Asset Policies 301007

Network Rail Asset management
Network Rail October 2007 Strategic

Business Plan
Supporting document
Asset management
CONFIDENTIAL
Page 1 of 470
Contents
Introduction 3
Part 2: Asset management strategy 5
Part 3: Asset Management Policy 11
Part 4: Asset Policy Development 15
Part 5: Track 47
Track Policy 48
Track policy justification 71
Part 6: Signalling 144
Signalling policy 145
Signalling policy justification 155
Part 7: Structures 195
Structures policy 196
Structures policy justification 202
Part 8: Operational property 241
Operational property policy 242
Operational property policy justification 249
Part 9: Telecoms 293
Telecoms policy 294
Telecoms policy justification 301
Part 10: Electrification and Plant 341
Electrification and Plant policy 342
Electrification and Plant justification 350
Appendix Business Planning Criteria 428
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Introduction
The effective and efficient implementation of our corporate strategy and the
achievement of our sustainability goals requires infrastructure that meets our
customers’ and funders’ requirements in terms of safety, capacity, capability,
reliability and cost. A key business objective, therefore, is to optimise activities
and expenditure on our assets in a way that provides demonstrable value for
money to passengers and freight operators and to the ultimate customers of the
railway – fare paying passengers, freight users and the taxpayer.
Our asset management strategy, and the investment planning and
implementation process that underpins it, provides a structured approach to this
challenge.
Asset policies form the cornerstone of an effective strategy, providing the pivotal
link between our strategy for meeting our stakeholder/statutory requirements and
how we manage our asset base. Assets are designed, constructed, inspected,
maintained and replaced in accordance with these policies and any subsequent
guidance issued since the policies were last updated. The objectives of these
policies are to deliver a safe and reliable railway through the proactive
management of our assets and, where financial and other constraints allow,
achieve this on a minimum whole railway whole life cost basis.
In June 2006 we published the first generation of asset management policies
centred on a risk-based methodology. This methodology was used to identify the
risks to the delivery of our corporate objectives, and to manage these risks by:
• an initial fit-for-purpose asset or system design;
• an inspection regime to monitor asset condition and identify actual or
potential defects that could compromise the performance of the asset;
• maintenance activities to address degradation identified at the time of
inspection or to address predictable asset degradation; and
• renewal criteria that identify when the current asset or system should be
replaced as ongoing maintenance is considered to be uneconomic.
Within the Initial Strategic Business Plan (ISBP) we acknowledged a need to
enhance the implementation of this framework and committed to the development
of a programme of improvement initiatives. Considerable progress has been
made since the publication of the ISBP, including the development of our asset
management framework and improved quantitative justification of a number of our
key cost drivers. We recognise, however, that further work remains and we are
committed to an ongoing programme of improvement initiatives.
Purpose
The purpose of this document is to provide supporting information to the Strategic
Business Plan; setting out our approach to asset management and providing the
asset policies and policy justifications that underpin the activity and cost forecasts
in the plan. This document includes:
• our asset management strategy;
• our asset management policy, that sets out the key principles against
which our policies are developed and maintained;
• the progress we have made since the ISBP in the development of our
framework and with the individual policies;
• updated policy and policy justification documents for each key asset
group; and
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• our updated Business Planning Criteria.

Details of the broader context within our asset management framework are
developed and implemented, can be found in our Business Planning Criteria.
This is provided as an appendix to this document.
The diagram below provides a representation of the relationships between the
various documents that define our approach to asset management.
Figure 1 Document hierarchy
Business planning criteria
Asset management strategy
Asset management policy
Asset specific policies, covering:

• Track
• Signalling
• Civils
• Ops property
• Telecoms
• Electrification and plant Supported
by individual
policy
justification
documents
Workbanks containing asset

specific actions
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Part 2: Asset management strategy
Page 5 of 470
Asset management strategy
1 Purpose
Running the railway well needs infrastructure that meets our customers’ and
funders’ requirements, in terms of safety, capacity, capability, reliability and cost.
We aim to balance work and spend to give value for money to passenger and
freight operators and to the final customers of the railway – fare paying
passengers, freight users and the taxpayer.
This document sets out our strategy for the sustainable management of our
infrastructure assets and acts as a road map, describing our approach to asset
management and our priorities for improvement.
It describes:
• the principles behind our strategy;
• our framework for delivering our asset management responsibilities; and
• the core components in the framework.
We believe our processes generally represent good practice. However, some
parts of the framework are not fully developed and we need to improve the links
between different parts of the framework. As a result we have identified a number
of improvement tasks, which will put our approach to asset management on par
with the small number of companies who have already achieved best practice. In
delivering these tasks we will build on the work being undertaken to establish
Network Rail as a world class company.
2 Core principles
This asset management strategy is based on a set of core principles that reflect
our objectives and values:
• at each stage during the life of an asset we will aim to make the most of
the network by delivering sustainable route outputs that meet the needs of
our customers and stakeholders;
• our asset investment plans will balance maintenance and renewal work
with the aim of minimising whole life costs for the whole network;
• we will prevent an increase in the risk to passengers, workers and
members of the public from the degradation or failure of infrastructure and
will reduce it where reasonably practicable;
• we will develop technology and methods to support fact based decisions
on maintaining and renewing the infrastructure improving our capability for
predicting and preventing failures;
• when making decisions, whether about our strategy for the network or
about work we are carrying out locally, we will use a risk management
process to identify and reduce threats that could stop us meeting our
objectives;
• we develop our asset policies, standards and plans through consensus, to
improve their practicality, to encourage consistency and to help long-term
maintainability; and
• investment plans for the network, and any consequent change in outputs,
will be published and be sufficiently transparent to enable key
stakeholders to plan their own activities with a reasonable degree of
assurance.
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3 Asset management framework

The diagram below, illustrates the framework that we apply to oversee and
monitor the efficiency and effectiveness of our asset management activities.
There are three sets of components in the asset management framework:
• a central axis comprising the complete set of asset management
decisions, linking all stages between the high level specification of the
requirements of the railway infrastructure to the delivery of specific work
activities;
• a set of enabling systems, tools and processes, which support asset
management decision making and ensure that those responsible for their
implementation have the appropriate competencies and awareness;
• a set of review processes which monitor the effectiveness of the asset
management system through audit, measurement and review and include
a feedback mechanism for further development and continuous
improvement.
A description of each of these components is provided below.
Figure 1 Asset management framework
Decision components
Route utilisation and output specification
This is concerned with defining the physical outputs that the infrastructure needs
to deliver, e.g. condition, reliability and capability, in order to meet the
requirements of our customers and funders. When these have been defined, it
provides targets against which our major decisions on maintaining, renewing and
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enhancing our assets can be taken. We will specify and document these targets
for each of our strategic routes.
The network is also differentiated by route type (e.g. primary, London & SE
commuter routes), reflecting the volume and nature of the traffic carried. This
approach provides a means of identifying the differing reliability and performance
requirements of, for example, high intensive routes carrying inter-city traffic from
those with a more infrequent service. This allows for asset policies to be
differentiated by the type and nature of traffic carried, facilitating the delivery of
the route specification.
Asset management policies
Policies are in place for each asset type, setting out the asset major decisions on
the work we do to deliver the required network and route outputs for the funding
available. Assets are designed, constructed, inspected, maintained and replaced
in accordance with these policies. We will seek to improve these policies using
methods and tools that support decisions on the frequency and type of the work
we propose to undertake. The approach will be based on a good understanding of
the causes of asset degradation, the impact of this degradation on the delivery of
business outputs and the cost of remedial action.
Each asset policy statement is supported by a methodology to forecast the impact
of the implementation of the policy, addressing the volume of work, the cost of the
work and the impact on route and network outputs. These methodologies form an
important component of our strategic planning tool, the Infrastructure Cost Model
(ICM).
Engineering standards, specification and guidance
Our high-level policy documents are supported, where appropriate, with
standards, specifications and work instructions. These prescribe specific
requirements for the asset interventions that need to be undertaken to meet the
higher level criteria expressed in the asset policies. We will update these
documents when changes are made to the higher level route specifications and
asset policies.
Asset plans
Our workbanks specify the maintenance and renewal activities considered
necessary to deliver our asset management policies. In general, for activities to
be carried out over the next three years, these workbanks need to be based upon
a detailed understanding of the performance of the asset on which the work is to
be carried out. Longer term forecasts are produced by the ICM.
These plans are collated in our annual business plan, which sets out the actions
we are undertaking to deliver the capacity, capability and reliability levels as
agreed with our stakeholders on each strategic route.
Local delivery plans
We prioritise delivery of the work required on the infrastructure, according to the
following hierarchy:
• protecting expenditure on safety critical schemes
• maintaining defined capability of the route
• meeting targets for operational performance and asset condition.
Other factors considered when determining the scheduling of a scheme include:
• the availability of resources (both internal and external) to deliver the work
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• the cost and benefit impact of deferring the scheme, particularly where
reductions in unit costs are imminent
• the packaging of work to minimise service disruption and network access
costs and to improve delivery efficiency.
Where resource constraints limit our ability to deliver items of work a mitigation
plan is developed to eliminate any safety impact and minimise any impact on the
delivery of contracted services until the work can be rescheduled.
Local delivery execution
This stage represents the result of all the preceding strategy and planning stages
in the process, the stage at which physical changes to the infrastructure take
place. If the preceding stages have been effective, the right work will have been
prescribed to be undertaken at the right place and at the right time. The key
factors that determine the quality of delivery execution include competency and
culture of our own people and contractors, the systems for scheduling and
recording work and the procedures associated with the hand back of the asset on
completion of work.
Enabling components
Asset information
Timely, accurate and accessible asset information is required to support all stages
of decision making. A comprehensive set of information is required on, for
example, asset type, location, installation date, utilisation, condition, failures and
work records and plans. We will continue to improve the quality of our asset
information. We will also continue to consolidate our data by removing
unnecessary duplication and provide a single point of access to data held in
various systems through user friendly geographical and reporting interfaces. This
will open up our systems to a much broader range of stakeholder, including our
customers and funders.
Decision support tools and methods
Analytical tools and methods support our decisions in a number of key areas, for
example in strategic activity/output forecasting, in work optimisation and in
delivery method selection. They are complementary to engineering and economic
judgement, providing, for example, insight into the collective behaviour of groups
of assets over an extended period. We will develop our tools and methods so that
they are able to support the full range of tactical and strategic decisions for all of
the major asset types.
Risk management
An effective risk management system helps to identify, and, as a result, minimise
the residual uncertainty that can affect the way that Network Rail delivers its asset
management responsibilities. The system is used to identify the reasonably
foreseeable threats to the delivery of the company’s objectives and to develop
and risk controls in a consistent way across a range of potential causes and
business consequences.
Business processes
The asset management system needs to be underpinned by a complete set of
business processes to ensure that decisions from strategy to implementation are
internally consistent and effectively joined up. The processes are the key input to
defining roles and responsibilities, to specifying the requirements for asset
information and decision support tools and to managing the interfaces with other
company systems and processes.
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Competency
The effectiveness of the asset management system depends ultimately on the
competence of the people who make and implement the strategic and tactical
decisions on the work to be undertaken on the infrastructure. It is therefore
necessary to identify the competency and skills required to sustain the asset
management system. This provides a benchmark for assessing gaps in
competency and prioritising training and recruitment.
Reviewing components
Performance measurement
Assessing the performance of the asset management system requires a broad
range of measures combining leading and lagging indicators. Lead indicators
include, for example, measures on data quality and the competence of staff.
Lagging indicators include measurements on the condition and performance of
the assets and their impact on business objectives. We will review and further
develop the current suite of indicators and improve our ability to assess relative
performance (e.g. by the use of internal and external benchmarking) and the
performance of our suppliers.
Audit
The majority of audit requirements on the asset management system are provided
for by the corporate audit programme. The asset management risk framework
and the performance measurement regime will be used to identify key areas for
audit programme and to prioritise additional monitoring activities where
appropriate. The scope of the audit includes physical checks and compliance
with processes and procedures.
Management review
The management review is a mechanism for providing active leadership to the
further development and implementation of the asset management system and for
establishing a culture of continuous improvement. This involves keeping business
objectives under review and prioritising improvements based on an assessment of
the performance outputs from the monitoring process. Much of this work is
already undertaken by established groups and processes e.g. Monthly Business
Review process, Tactical Safety Group. The Asset Management Strategy
Steering Group has a particular role in ensuring the asset management
framework is fit for purpose and that its constituent components are suitably
developed and implemented.
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Part 3: Asset management policy
Page 11 of 470
Network Rail’s Asset Management Policy
Document control
File name
Location
Status Final
Author Andrew McNaughton
Date last amended 29/10/2007
Authorisation control
Name Signature Date
Document revision information

Draft number Details Date
This document is the property of Network Rail. It shall not be reproduced in whole or part
nor disclosed to a third party.
© Copyright 2006 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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Network Rail’s asset management policy

This policy, with the supporting functional asset policies, covers the full life cycle
management of our physical assets from design, through construction, operation,
inspection and maintenance to decision to renew, alter or take out of use.
1. The collective totality of assets shall be managed on a minimum whole

railway system, whole life cost basis. Where, through funding or
deliverability constraints, this is not possible short term decisions shall
minimise variance from the whole life policy and enable its re-establishment
when such constraints are overcome.
2. Asset management activities shall be aimed at achieving overall asset

condition levels that balance business risk as a result of asset failure with
the whole life, whole system costs of managing the assets.
3. Assets shall be managed compliant with relevant statutory and legislative

requirements.
4. The whole life capability and functionality requirement of any asset or

system of assets shall be directed by the output of industry and company
business decision processes
5. The design of assets or asset systems shall comply with the company
ergonomics policy and standards to ensure optimum operability and
maintainability, thereby minimising loss of functionality performance or
capability through human error or human performance limitations.
6. As far as is reasonably practical, new changed and renewed assets shall be

designed to minimise subsequent need for attention requiring human
intervention or co-existence with train movements or live electrical
equipment.
7. The use of standard designs, products and technique shall be maximised to

avoid unnecessary diversity and complexities of training and competence for
constructors, operators and maintainers.
8. New asset products shall be identified, developed and approved only where
overall business performance improvement outweighs the risks and costs of
diversification.
9. The design and construction of new and renewed assets shall minimise
reliance on repetitive human examination and subjective assessment.
Centralised remote monitoring by technical instrumentation of current status
and aspects of condition shall be a requirement for new or renewed assets
or asset systems.
10. All assets shall be managed to take account of obsolescence that may affect
any component or sub-system within that asset
11. Asset examination technology and techniques shall be operated to support

an overall engineering maintenance strategy of measuring deterioration
trend and arranging intervention on a planned basis before asset loss of
functionality or capability. This shall enable progressively replacement of
traditional “find and fix” reactive maintenance with “predict and prevent”
active management.
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12. The decision on timing of individual asset replacement shall include

consideration of replacement timing of other assets at a location. When
economically justified, a mixture of life extension and premature
replacement shall be pursued in order to achieve overall railway system best
value including impact on train service delivery of repeat interventions.
13. Before commencement of the business processes for renewal, the

opportunity for change (enhancement or reduction) of an asset or asset
system shall be considered in consultation with passenger and freight users,
operators and maintainers. On completion of that process, and within
funding or deliverability constraints, revised arrangements shall be planned
and executed.
14. Enhancement of change of assets or their management, within the

maintenance period of their life cycle shall be effected only as a
consequence of changed use or required capability following a business risk
and opportunity evaluation taking into account the whole railway system.
15. Asset information and records shall be captured and managed sufficiently
accurately and comprehensively as necessary to enable management of an
asset within its life cycle. Such information shall contribute to long-term
planning and expenditure forecasting. Information and records of new or
renewed assets shall be added to asset information repositories
contemporaneously with the assets being brought into operation or requiring
examination or maintenance.
16. Company Standards, Specifications and Standard Functional Procedures

shall be created and maintained to bring into day-to-day effect the aims of
the asset policies.
17. Wherever practical and economic, materials used for assets and their
construction and life cycle management shall be from sustainable sources
and accord with Network Rail’s Corporate Responsibility Policy.
18. Asset and asset system design shall include railway access constraints and
costs as part of optimising whole life design.
Andrew McNaughton 29 October 2007
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Part 4: Asset management development
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Asset management development
1 Introduction
In the ISBP we described the asset management framework we have
implemented to provide us with a structured approach to the delivery of asset
infrastructure that meets the needs of our customers and funders. A core
component of our framework is asset policies and in June 2006 we published a
revised suite of asset management policies. These policies differed from
previously published policies in that they were based upon a risk-based
methodology – identifying those asset related factors that may impede the
delivery of our corporate objectives and putting in place an effective decision
making process to mitigate these risks to an acceptable level.
Asset management activities have always underpinned the effective management
of the rail infrastructure. However, it is only recently that Network Rail has
adopted the broader concept of asset management as a mechanism to improve
the coordination of all related activities associated with the management of our
assets. As a consequence the framework in place in June was not considered to
be complete and in our ISBP we made a commitment to improve its effectiveness.
We also made a number of commitments relating to our asset policies, including
the need to provide more robust, and quantitative, evidence to support the
intervention criteria detailed in these policies.
The purpose of this note is to set out the approach we have adopted to address
this challenging task, the progress we have made to date and how this is reflected
in the Strategic Business Plan (SBP). It also provides details of those initiatives
whose completion date extends beyond the publication of the SBP.
The document is structured as follows:
Section 2: summarises the result of the assessment of our asset management
framework and policies by the Independent Reporter for Asset
Management.
Section 3: provides detail of the development work and other initiatives that
have taken place and how this has been used to support activity,
cost and output forecasts in the SBP. It also provides asset specific
details of our ongoing policy development programme.
Section 4: details the revised asset management framework we have now
adopted and the plans in place to ensure its effective and
comprehensive implementation within the business, including further
enhancements to our policies and policy justifications.
2 Independent review of our asset management framework

and polices
During 2006 the Independent Reporter for Asset Management (AMCL) carried out
an assessment of our asset management capabilities. This assessment
consisted of a comprehensive review of related documents published by Network
Rail and structured interviews with 95 people, representing a cross section of
people involved in asset related activities. The assessment was structured
around 20 key activities (e.g. policy and strategy development, demand analysis,
review and audit), considered by the reporter to represent the organisational
capability needed for effective asset management.
The reporter’s conclusion from this assessment was that Network Rail has a high
level of motivation and commitment to delivering improvements in asset
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management and that we are making good progress towards a coherent and
holistic asset management regime. They also concluded that “Network Rail’s
maturity in asset management is at least comparable to that of other major
infrastructure owners in the UK”.
Their report also made a number of recommendations, including:
• that the programme for the development of asset policies and justifications
is accelerated in order to bring forward the savings that could be achieved
through more focused and optimised asset policies;
• that feasibility studies should be undertaken to confirm the potential
benefits available from adopting risk-based asset maintenance and
inspection; and
• consideration is given to the improvement opportunities detailed in the
report.
Network Rail’s response

We consider the views of the reporter represent an accurate assessment of our
asset management capability and are generally in agreement with the key tasks
and priorities as identified within their report.
In parallel to our discussions with AMCL we have continued our consideration of
the guidance contained in the Institute of Asset Management’s publicly available
statement on good practice asset management (BSI PAS 55) and discussions
with other asset management organisations sharing the same challenges as
Network Rail.
Our asset management improvement plans have been refined as a consequence
of this input, in particular:
• the identification of a criticality rating as a mechanism to prioritise work on
improving the justification of our asset policies; and
• revisions to the structure of our asset management framework and our
programme of improvement initiatives, targeted with improving the
effective operation of this framework.
Progress on the development and implementation of these plans is detailed
below.
3 Asset policy development

In publishing our asset management policies in June 2006 we acknowledged that
although we had made considerable progress in improving the alignment between
asset related risk and asset management activities, further work was required. A
key task was to provide more quantitative evidence to support the inspection,
maintenance and renewal criteria detailed in the policies. In addition, a number of
revised asset management strategies were currently under consideration for each
asset group.
Our aim was, where possible, to complete the analysis of these initiatives, amend
our policies, update the infrastructure cost model (ICM) to allow us to model the
impact of these policies and document the result of this work in the SBP.
However, as both time and manpower resources were limited it was important
that a robust methodology was used to prioritise and progress this work.
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Methodology
In the longer term we expect to be in a position where all key aspects of our asset
management regimes are fact-based (i.e. based upon quantitative supporting
evidence and subject to rigorous analysis). However, this is not the current
position for all interventions. This is in part due to the fact for a number of assets
the inspection, maintenance and renewal regimes have evolved over a number of
years. Whilst individual amendments to these regimes will have been subject to
review, a rigorous assessment of all aspects of the regime may not have been
carried out. In addition, the introduction of a risk-based approach requires a more
detailed understanding of asset degradation and the impact of this degradation on
business outputs than was required in the past.
Resource and time constraints meant that our policy development actions had to
be prioritised. The identification of a criticality rating for assets provided the basis
for this prioritisation, see Appendix 1. Our immediate work programme was
based on:
• identifying assets with a high criticality rating;
• assessing the robustness of the criteria that underpins each of the cost
drivers for managing these assets; and
• improving our understanding of those key cost drivers where the
robustness of the criteria is considered to be low.
The challenging nature of this programme is evidenced by the fact that the
activities being reviewed accounted for a significant proportion of our forecast
expenditure for CP4.
As part of this examination of our policies we took the opportunity to test some of
the underlying assumptions in our existing asset policies. This was achieved by
the consideration of two scenarios:
• improvements in reliability for marginal increases in whole life costs; and
• reductions in whole life costs where this could be achieved without a
marked impact on train service reliability.
The parameters that formed the basis of this analysis were deliberately
challenging, to encourage a robust examination of our existing thinking. Further
details of the approach to this task are provided in Appendix 2.
These two overlapping activities have enabled us to make significant
improvements to the value delivered by our asset management policies and the
remainder of this section provides details for each asset group of the output of this
work. The activity, output and expenditure impacts of these amendments to our
asset policies are reflected in the SBP.
For some activities the necessary data collection and subsequent analysis has
precluded a resolution of all outstanding issues in time to amend our policies for
the October SBP. These ongoing tasks are identified below and in Section 4 we
set out how this work is being incorporated into our broader programme of asset
management improvement initiatives.
Track
The approach outlined in our June 2006 track asset policy for the differentiation of
these policies across the network provided us with a very solid platform on which
to build. A business risk-based approach that aligned route activities and required
outputs was already central to our thinking. This has been applied to the critical
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areas of policy where the strengthening of the justification was assessed as being
necessary using the criteria described above.
Policy development priorities
The key activities that met the criteria for requiring further analysis to improve the
robustness of the asset management regime were:
• the renewal of rail, sleeper, ballast and S&C;
• inspection frequencies of all critical assets; and
• inspection driven maintenance for rail and ballast.
A comprehensive series of detailed tasks was addressed to progress this work,
the outputs of which are shown in the table below.
Figure 1 Improved asset policy justification

Initiative Result of analysis CP4 impact
Two aspects are currently under
review for possible change in the re-
issue of NR/SP/TRK/001 that is
planned for 2008:
Plain line: implementation of
increased geometry measurement Progressive reduction in the
frequencies, including the use of volume and cost of basic
UGMS, may enable network wide visual inspection of plain line.
reductions in the frequency of basic Cost savings have been
Review of visual inspections of CWR (site included in our maintenance
visual specific reductions of 50% are efficiency plans, rising to
inspection already possible where the criteria £16M p.a. by the final year of
frequencies specified in Appendix A of CP4
NR/SP/TRK/001 are met)
S&C: the potential benefits of
inspection and maintenance by As this work is still in
dedicated S&C system teams are progress, no reductions in the
being investigated and assessed, volume or cost of basic visual
including the impact on basic visual inspection of S&C have been
inspection frequencies. The key driver included in our maintenance
for this work is to improve the quality efficiency plans for CP4
of S&C inspection and maintenance
There will be no increase in the
Revised geometry measurement cost of geometry measurement
frequencies have been determined as a result of the revised
that will make optimum use of the recording frequencies, thanks to
fleet of track recording vehicles and better utilisation of the geometry
the capability of UGMS. Distinction recording fleet and the
has been made between reportable timetabling of measurement
Review of track recording (primary recording of the runs.
geometry track with generation of a full set of Management information from
measurement data and output reports), and the revised regime will support:
frequencies monitoring recording (used principally
to refresh the track geometry • better predictive trend
database). analysis
It is intended to include the revised • improved targeting of
regime in the re-issue of track geometry
NR/SP/TRK/001 that is planned for maintenance
2008 • achievement of track
geometry output
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targets
• potential reductions in
tamping volumes and
costs
We estimate that the overall
number of ’14 day’ top and
line exceedences identified for
Revised geometry parameters have repair nationally each year will
been determined for top and line reduce by 15%. The
exceedences that tighten tolerances reductions will be on lower
on higher speed tracks and relax speed tracks, enabling more
Review of track them on lower speed tracks. The attention to be paid to
geometry parameters are in line with European effective repair of
exceedence practice. exceedences on higher speed
parameters tracks. For this reason, no
It is intended to include the revised reductions in geometry
parameters in the re-issue of exceedence repair costs have
NR/SP/TRK/001 that is planned for been included in our
2008 maintenance efficiency plans
for CP4; the change supports
the achievement of track
geometry output targets
Curved track:
Review of rates of wear and loss of
lateral and longitudinal rail profile has The principal benefit of this
confirmed that a grinding interval of change is the freeing up of
15EMGT is appropriate on curves, to grinding resource to improve
control the RCF and other surface compliance to the 15EMGT
Review defects and to optimise rail service interval on curves, without the
grinding life. need to purchase additional
frequencies rail grinders. In addition, the
Straight track: 45EMGT interval means that
The interval on straight track has rail service life on straight
been extended from 30EMGT to 45 track will not be limited by
EMGT because the rates of wear head loss from grinding
observed are lower than originally
forecast
An independent study has been
commissioned of recent rail defect
history, growth rates and rail Replacement criteria based
Re-railing
replacement on a selection of routes. on defect history would
criteria for rail
The output of the study, which is support improved validation
with defect
expected by the end of 2007, will be and prioritisation of re-railing
history
used to determine whether consistent programmes
criteria can be set for the renewal of
rail on the basis of defect history
Re-railing of all remaining pre-1976
rail in track categories 1A & 1 on
Primary routes has been included in Progressive reduction in the
our policy statements (approximately volume and cost of rail defect
Re-railing 1200 track km). This represents just removal in category 1A & 1
criteria for pre- over a quarter of the rail renewal track. Cost savings have been
1976 rail included in the SBP. The modelled included in our maintenance
service lives of pre-1976 rail and the efficiency plans, rising to £4M
sleeper types on which they are p.a. by the final year of CP4
commonly installed mean that this
policy will be generally achieved by
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complete renewal of the track
Removal of the requirement to

specially test and remove
It is proposed to change our defects from the rail before
standards to allow rail with useful certifying it as serviceable,
remaining service life to be directly usually at a depot, potentially
Review criteria cascaded from renewals sites for re- improves the cost
for the re-use use in track categories 4 to 6. This effectiveness of re-using rail.
of renewed rail practice is currently being trialled in Pending the results of
conjunction with the high output track experience currently being
renewals programme on Western gained on Western Territory,
Territory no cost savings have been
included in our renewals
efficiency plans for CP4
Replacement of 5mm pads at sleeper This will prevent premature
half life on Primary and Secondary failure of sleepers and rails,
Criteria for the routes (preferably with 7.5mm pads, e extending the service life of
renewal of plus clips and side post insulators), repadded track by at least 10
pads and has been included in our policy years and reducing whole life
insulators and statements. costs by over £100k per km.
choice of new
The 10mm pads that are specified for The cost of replacing the pads
pad type
track renewals should generally have and insulators is £20k-30k per
the same service life as the sleepers km
Review criteria
We estimate that reliable track
for ballast Ballast cleaning on Primary routes at
system service life on heavily
renewal, approximately half the service life of
trafficked primary routes is up
including life the track system has been included in
to 30% longer where ballast
extension our policy statements
cleaning has been carried out
options
Our policy statements include
consideration of partial renewal or
refurbishment of S&C on timber The cost of partial renewal to
bearers as an alternative to complete deliver the required additional
renewal, in the following reliable service life is
circumstances: approximately one third of
• Rural and Freight Only complete renewal cost.
routes: always Partial renewal of timber
• Secondary routes: where this bearer S&C will free up
complete renewal capacity to
would enable abandonment
enable the heavy programme
or complete renewal to be
or S&C enhancements
Review criteria carried out in conjunction with
proposed for CP4 to be
for partial or full resignalling or enhancement delivered. Cost reductions of
renewal of schemes that will be over £120M from an
S&C implemented within 10 years increased proportion of partial
• Primary routes: where this renewals in our plans for CP4
would enable abandonment are included in the SBP.
or complete renewal to be Complete renewals in
carried out in conjunction with subsequent control periods
resignalling or enhancement will benefit from significant
schemes that will be reductions in cost and
implemented within 5 years installation time from the full
Renewal of S&C in conjunction with implementation of modular
resignalling or enhancement schemes S&C
is generally cheaper than
independent renewal. Layout
Page 21 of 470

improvements can be incorporated
more economically because the
signalling is being renewed anyway
Scenario analysis
The scenario analysis for our track assets identified a number of initiatives that
were considered to provide reliability or cost reduction benefits and were worthy
of more detailed analysis. The output of this analysis is shown in the table below.
The table also includes consideration of a number of activities where standards or
work instructions were potentially unclear on the criteria for the application of
existing asset management policies.
Figure 2 Cost reduction or reliability improvement

The initially higher purchase cost
can be offset by longer service life
Work is currently in progress to
in high wear locations, provided
determine the criteria that make
there is a grinding regime in place
the installation of head hardened
to manage railhead profile.
rail on curves economic. The
Savings during CP4 could be
criteria depend on the cost of the
Criteria for the generated at a limited number of
rail, currently about 70% more
installation of sites subject to very heavy wear,
expensive than 260 grade rail
head hardened but in general installation costs
because it has to be imported.
rail on curved would increase in CP4 and the
This may be reduced to about
track benefits would accrue from
35% if UK production
reduced rail replacement volumes
commences, depending upon the
in later control periods. Pending
quantity of rail ordered. This is
the outcome of discussions with
currently under consideration with
manufacturers, no increase in the
our supplier
cost of rail replacement has been
included in the SBP
Obsolete sleeper types have
been modelled in the ICM with
shorter service lives than newer
types. Our policy statements Implementation of our policies will
Identify include prioritisation of obsolete support achievement of reliability
obsolete sleeper types with 5mm pads in output targets on primary routes
sleepers to be future renewal programmes on and effective asset stewardship
replaced in Primary routes. On Secondary on secondary routes, by the
future renewals routes, timber sleepered jointed application of consistent criteria
programmes track will be prioritised for for identifying potential renewal
renewal; obsolete concrete sites
sleeper types will be maintained
to achieve their potential service
life
Improved deployment of high
Establish
A draft strategy has been output plant supports potential
strategy for
produced for the deployment of reductions in access
high output
high output plant, including ballast requirements for track renewals
delivery of track
cleaners on heavily trafficked primary
renewal
routes in CP4
Cost/benefit As for curved track above, head As for curved track above, the
analysis for the hardened rail is also being initially higher purchase cost can
installation of considered for the manufacture of be offset by longer service life in
half sets half sets of switches high wear locations. Pending the
Page 22 of 470

manufactured outcome of discussions with
from head manufacturers, no increase in the
hardened rail purchase cost of half sets of
switches has been included in the
SBP
Cost/benefit The additional purchase cost of
analysis for the EDH crossings offer worthwhile EDH crossings is £800 - £2000
installation of whole life cost benefits from per crossing, depending on the
explosive depth reduced repair welding number of crossings ordered.
hardened requirements and longer service The additional purchase cost of
(EDH) life EDH crossings is not included in
crossings the SBP
Implementation of modular S&C
will progressively reduce the
possession time required to install
S&C. The ultimate aim is 12
A project team has been hours or less for a single lead.
established to progress modular Depending on the volume of S&C
Business case S&C to full implementation. Trial renewed, by the end of CP4 the
for modular installations of split bearer S&C at modular project is forecast to
S&C Innerwick and Hunterston have reduce the cost of S&C renewals
demonstrated significant savings by 15% - 30% for each point end
in both cost and installation time renewed by the full modular
process. Cost reductions from the
progressive implementation of
modular S&C are included in the
SBP
Transposition of sideworn rail is
Transposition justified at linespeeds below 80 Cost savings from our estimate of
of rail due to mph, because transposing is potential transposing volumes are
side wear cheaper than renewal of the included in the SBP
sideworn high rail
Implementation of this policy
Replacement of IBJs at half the
supports the achievement of
Replacement of service life of rail is included in
output targets for track circuit
insulated joints our policy statements for Primary
failures and geometry
routes
exceedences on primary routes
The purchase cost of non contact
A good practice guide has been
remote mounted lubricators is
produced that describes the
typically up to £5k more than
characteristics, capabilities and
conventional types, but they are
maintenance requirements of the
easier to maintain and therefore
approved types of lubricator. Our
much more likely to deliver longer
Installation of policy statements include
rail service life and reduced wheel
preferred type preferment of non contact remote
wear, particularly where rolling
of lubricator mounted lubricators, particularly
stock with high primary yaw
for Primary routes, because they
stiffnesses operate. The
are capable of effectively
additional purchase cost of non
lubricating long and/or multiple
contact remote mounted
curves and can be filled without
lubricators is not included in the
track access
SBP
Economic best practice is to In combination with specification
Wear limits for repair crossing noses and wings of EDH crossings, existing
S&C weld when wear is between 3mm and crossing service lives can be
repairs 6mm. This is already given in our extended and whole life costs
standards reduced
Page 23 of 470
Where necessary, standards and work instructions will be amended and the
appropriate teams involved in their implementation briefed accordingly.
Longer-term programme
As described above, there are a number of initiatives that are currently in
progress. These are detailed below together with the forecast completion dates.
Figure 3 Longer term policy development initiatives

Initiative Target date for completion
Linespeed handback for primary routes 31 March 2008
Cyclical renewals for primary routes 31 March 2008
Installation of absolute track geometry / managed
31 March 2008
track position on primary routes
Analysis of the life cycle of the whole track system,
31 March 2008
including track drainage and track formation works
Business case for slab S&C 31 March 2008
Business case for the installation of undersleeper
31 March 2009
padded sleepers
Initiatives that will provide data to support further
policy development: Draft volumes established for
unlubricated curves and weak
• establish population of unlubricated curves;
banks, to be refined.
• establish population of bridges with
Longitudinal timbers complete
longitudinal timbers; and
and included in ICM
• establish population of routes with weak banks
Signalling
The European Rail Traffic Management System (ERTMS) is a signalling and train
control system in use in Europe and elsewhere and is required for full compliance
with the high speed and conventional interoperability directives. Key
characteristics of ERTMS include automatic train protection and in cab signalling,
providing movement authority directly and continuously to the driver.
A key focus for signalling over the previous twelve months has been related to
ERTMS and considerable technical investigation and business case development
for has been undertaken since the publication of the ISBP. In December 2006 a
cross industry consensus that a realistic and affordable ERTMS roll-out could be
achieved if close integration with the signalling and rolling stock renewals
programmes was achieved. The basis of this plan is that during CP4 there will be
a migration towards ERTMS technology. Since December 2006 the ERTMS roll-
out plan has been further integrated with the conventional signalling plan including
alignment with other discipline renewals and major enhancement programmes
such as Thameslink.
Further details on the development of these plans are identified in the Signalling
Strategic Business Plan Commentary (provided to ORR in early October 2007).
During this period we have also made progress on a number of initiatives
currently underway to make changes to both the frequency and specification of
maintenance activities. These initiatives operate under the generic programme
name ROSE (Reliability Centred Maintenance for Signalling Equipment). In
addition to delivering efficiency benefits, these initiatives also help to ensure that
limited maintenance are utilised effectively. The benefits delivered during CP4
will increase progressively as the roll-out programme covers a broader spectrum
Page 24 of 470
of our assets. A more detailed implementation plan will be provided in the April
update to our plan.
Other developments during this period included:
• the further development of our national renewals planning process that
prioritises workbanks against national requirements and constraints, and
helps facilitate the use of the most cost-effective renewals strategies; and
• the consolidation of best practice maintenance into a single set of national
maintenance standards for use by our teams. The introduction of the
national Signalling Maintenance Standards (SMS) has facilitated the
production of national competency standards for technicians, which are
presently being further developed. This has enabled the introduction of
standard training modules which are currently under development; and
• a number of existing designs have been developed as a result of
incremental requirements over a number of years. We are reviewing
these designs to determine if they deliver the desired outputs in the most
efficient manner.
Structures
The identification of the most appropriate course of action to address degradation
on an individual structure is well understood, having received considerable
attention over many years. However, due to the long life of these assets and the
ability to defer maintenance activities for a number of years without any
immediate adverse effect, the identification of an appropriate solution for a
structure is based in part on the funds available. The particular challenge we face
is optimising these regimes across a large portfolio of assets. As a consequence,
our focus continues to be on the development of our Civil Engineering Cost and
Strategy Evaluation (CECASE) model.
As the analysis below indicates, however, there are intervention criteria that need
to be reviewed and there are a number individual initiatives that can be
implemented to improve the value delivered by our asset policies.
Policy development impacting on the CP4 plan
• inspection frequencies of metal and masonry underbridges; to determine
the relative effectiveness of detailed and visual examinations with respect
to structure type. Adjust the detailed frequency to prioritise resources to
structure types where detailed examination is the only effective way of
finding defects; and
• preventative work on earthworks and off-track drainage.
A review has been undertaken to improve the robustness of the policies in these
two areas. The results are summarised below, including a statement on whether
there has been a change in policy and, if so, whether this has an impact on the
expenditure during CP4.
Page 25 of 470

Initiative Result of analysis Conclusion
No cost
Better understood relationship between
Review of detailed implication
visual and detailed examination.
inspection frequencies but lower
Opportunity to better target resources
overall risk
Assessment and monitoring is beneficial in
targeting activity
Preventative work is more efficient than
reactive minimising spend.
£20m
Preventative work on Existing infrastructure of poor design in saving as a
earthworks and off-track comparison with modern practice result of
drainage Analysis of trust data over 4 year period reduced
showed that performance impact of disruption
earthworks disruption was £35m allowing
for extreme events preventative work could
achieve a saving of £20m over the control
period.
The other areas of policy that required further explanation and justification were
the:
• use of CECASE in the statistical forecasting of interventions and
expenditures; and
• the development of individual schemes and workbanks.
A key development since June has been the redefinition and revised application
of our A, B and C policies as a result of the application of CECASE. The
development of the model helped to identify a number of overlaps in the policies
used in the ISBP. We have subsequently redefined these policies to reflect better
how we would manage the asset with each of these policies and to differentiate
more accurately between them. These policies are now defined as follows:
• policy A – return and maintain the asset to a sustainable state by the use
of maintenance activities that will improve performance levels and extend
its remaining life;
• policy B – maintain the asset condition and capability by carrying out
interventions that achieve the lowest whole life cost, without incurring
condition led operational restrictions to the railway;
• policy C – allow assets to deteriorate until interventions are essential to
maintain safety standards or raise performance levels to an acceptable
level for continued railway operations. When work is required it should
restore an acceptable level performance and minimise the remaining
whole life cost of the asset;
• policy D – the minimum maintenance approach commensurate with
running a rail vehicle on a railway; and
• policy E – lowest cost approach that maintains public safety on non-
operational assets.
Policy A would only be applied on a by exception basis, generally limited to grade
1 listed buildings or other such assets where allowing the asset to deteriorate to a
condition where a complete renewal would be required is not an acceptable
option.
Page 26 of 470
Policy D is the minimum safe standard for running a particular rail vehicle/train.
This is only rarely applied when typically there is a need to move a train or rail
vehicle over a route or siding that has been mothballed. Typically it relates to
delivering materials or vehicles to a yard or area that has been disused for some
time.
Policy E relates to ensuring public safety on closed lines where we still have
liability for the residual infrastructure.
Although policy B provides the minimum whole life cost solution for managing the
civils infrastructure portfolio, the selective use of policy C enables a balance to be
achieved between delivering current route capability and train performance,
lowest whole life cost and the level of funding available. Consequently, for CP4
policies have been applied to the different categories of route as shown below.
Figure 5 Policy application by route category for CP4

Route category Policy
Primary B
London and south east B
Secondary B
Rural C
Freight only C
The development of CECASE is explained more fully below.
Use of CECASE
The levels of funding required to achieve the different policy outputs have been
modelled using CECASE. This is a sophisticated programme that utilises a
dynamic Markov chain model to determine deterioration and maintenance
intervention cycles for large populations of structures. It enables the effects of
various asset policies to be modelled and then sampled to determine the effects
on the asset base of differing policy scenarios by route category and /or structure
type.
To work effectively CECASE requires a good knowledge of current asset
condition and a large number of specific studies of assets to determine
deterioration, maintenance intervention probabilities and associated cost data.
Extensive data is now available both from the Structures Condition Marking Index
(SCMI) and assessment sources together with other study and cost data gathered
as part of the CECASE project.
CECASE is an important analysis tool where there are large populations of
assets, for example bridges where there are 43,000 on the network. Small
populations of assets such as tunnels and major structures were modelled by
deterministic methods.
Our policy development work has concentrated on improving our understanding of
the asset base by linking previous policy initiatives and closing gaps in our
knowledge. This is illustrated below but involves utilising the CECASE data to
understand medium and long term behaviour of the asset base; whilst
researching and understanding structure degradation mechanisms. This will
compliment work already in progress on hidden parts of structures and a risk
based examination regime.
Page 27 of 470
The output from the CECASE policy planning tool provides both graphical and
tabular information on costs by structure type and work category for a given policy
scenario. The availability of this information has allowed a better understanding of
the medium and long term effects of differing interventions for different types of
structure.
A typical example of this is the comparison between metal and masonry bridges.
CECASE was able to show that if the whole population of metal bridges were
maintained to policy C the level of replacement activity generated in 50 years time
would be unsustainable. However if the same policy were applied to masonry
bridges the result would be less waterproofing works and more arch repairs but of
similar cost and hence very little cost difference over a similar timescales.
Whilst this is an over simplification when comparing the more complex structures
in each category, it clearly demonstrates the need to prioritise the maintenance of
the majority of metal bridges to policy B.
Workbank and individual scheme development

CECASE outputs can be obtained by route and territory and will be analysed to
inform budgets and set targets for levels of intervention activity with respect to
importance of route and civil engineering policy requirements.
However, engineers develop their workbanks based upon the specific condition of
their assets and knowledge of asset degradation behaviour, although schemes
may be prioritised based on funding available. Budgets are held centrally which
allows priorities to be reviewed and managed during the annual business planning
process and throughout the year.
We have updated our policy development document to reflect better the
framework we have in place to ensure that optimum solutions are adopted for
each structure that requires remedial work. The application of this framework is
based in part on the likely cost and complexity of work required and may require,
for example:
• the use of feasibility studies to consider options and risks;
• the application of our computer based decision support tool STAMP
(Structures Asset Management Process) that enables the cost of options
to be compared; or
• the use of SBMT (Structures benchmarking tool) rates to cost individual
proposals.
Although STAMP provides an excellent tool for complex situations it is considered
a little unwieldy for more straightforward situations. As a consequence we are
intending to produce a number of generic STAMP solutions for a range of
standard structure repair scenarios in order to provide engineers with an improved
decision support reference and provide a more robust audit trail in assessing
value delivered by the selected option. From 2008 we will mandate the use of
STAMP for schemes with a likely cost in excess of £2m.
Longer-term programme
Further development of the policies is a long term commitment that will continue
into the next regulatory control period. A number of assessments are underway
that will improve the robustness of the policies and, in some cases, result in
changes to the policies where there is a reduction in whole life costs.
Page 28 of 470
Drainage
Our policy for earthworks and drainage will need to allow for the effects of future
climate change. However, the data currently available is generally not robust
enough to justify major changes to standards and specifications.
We also believe we need to complete a cycle of the earthworks and drainage
examination process to fully understand the likely reliability of these assets in the face
of different climate change scenarios. Our planned spend on this activity during
control period 4 is:
• earthworks examination, £2 million per annum; and
• drainage examination, £1 million per annum.
The current most likely climate scenario in the future is one of drier summers and
wetter winters with a greater frequency of extreme events for example, high intensity
short duration rainfall. It is this increase in range and intensity, which would have most
effect on these assets because of instability from summer desiccation and winter
saturation.
Unlike bridges the majority of earthworks were poorly constructed by current
standards and are sensitive to poor drainage and severe weather effects
A new company standard NR/L3/MTC/TK0167 Management of responses to extreme
weather conditions at structures earthworks and other key locations requires an
increased level of flood monitoring to be carried out by maintenance staff during
adverse weather.
The extent to which climate change will increase this level of activity is not quantifiable
currently but will be informed by further weather data trends during control period 4.
Mineworking programme
An extensive legacy of ancient mineworkings exists beneath our infrastructure.
Ancient mineshafts, adits and shallow mineworkings present a potential hazard of
instability that may affect track geometry, structures and earthworks, leading to loss of
train paths, possible derailment or collision.
A proactive mineworking programme has been implemented to address the risk of
catastrophic collapse associated with ancient mineworkings, requiring the provision
and maintenance of a register of known mining hazards beneath railway infrastructure,
together with a programme of hazard assessment, site investigation and remediation
of high risk sites, as appropriate. There are some 2,800 recorded mining sites in the
register. We have recently revised our approach to this task and now believe that
the implementation of the following policy will reduce the risk to ALARP levels:
• continue to develop and maintain the register of ancient mineworkings
beneath railway infrastructure, incorporating details into the Hazard
Directory;
• undertake a prioritised programme of site assessment and investigations
to quantify the risk at known mining sites; and
• remediate sites identified as exceptionally high risk.
Implementation of such a policy will ensure that:
• Network Rail continues to collate details of ancient mineworkings beneath
railway property, thus increasing asset knowledge;
• safety information is disseminated through the Hazard Directory; and
Page 29 of 470
• where precursors to instability are identified, appropriate intervention is

instigated and appropriate management, monitoring and remediation
schemes are designed and implemented.
R&D
We have gained EPSRC funding to sponsor a PhD research study into corrosion
environments at critical locations in rail bridges. These are often hidden details
and the focus will be on understanding and preventing the environment that
causes corrosion. Corrosion requires the presence of oxygen, water, iron and in
some cases stray electrical currents. It is accelerated by the presence of
chlorides caused by run off from salted roads. The vision is that smaller cheaper
maintenance interventions that prevent air circulation and water occurring at the
critical locations of metal structures would be as effective as extensive high cost
painting and waterproofing works.
This work will build on that already completed on identifying hidden details in rail
bridge types and further inform our work on developing risk based examination
frequencies.
Operational property
For operational property assets the key focus of attention over the last twelve
months has been the development of our portfolio asset management framework.
The work has been in two main areas to enable us to improve the cost estimate
for CP4, based on:
• improved knowledge of our asset base to gain a clearer definition of
activity volumes
• confirmation and, where appropriate, improvement of the robustness of
our policies regarding inspection, maintenance and renewal
We have also developed, for stations, the broader business context in our
Stations Strategy and Plan
robustness of their asset management regime were:
• for franchised stations, the inspection of all assets and the inspection,
maintenance and renewal of platforms, roofs and drainage and
footbridges; and
• for non-franchised stations, the inspection, maintenance and renewal of
platforms, roofs and drainage
To supplement our internal review and challenge, we commissioned the Building
Research Establishment (BRE) to review literature and industry practice on the
deterioration characteristics of the key cost driver assets, to address the optimum
maintenance activities (i.e. frequency of inspection and the appropriate action to
address asset deterioration); the identification of the maintenance/renewal
interface and the material specification and maintenance regime for new or
renewed assets.
A series of detailed tasks was addressed to progress this work, the outputs of
which are shown in the table below.
Page 30 of 470

Review inspection Substantiation of policy,
of all assets at with estimated saving of
franchised stations £13m during CP4
Review
maintenance and Substantiation of policy,
Substantiation by BRE of our
renewal of with estimated saving of
frequency of inspection and
platforms at £5m during CP4
appropriate action to address asset
franchised stations
deterioration
Review
renewal of roofs with estimated saving of
and drainage at £15m during CP4
franchised stations
Review Substantiation by BRE of our
maintenance and frequency of inspection and
renewal of appropriate action to address asset £140m increase in CP4
footbridges at deterioration has identified additional
franchised stations spend
Review of
inspection, Substantiation by BRE of our
Substantiation of policy,
maintenance and frequency of inspection and
with estimated additional
renewal of appropriate action to address asset
cost of £11m during CP4
platforms at non deterioration
franchised stations
Review of
inspection,
Substantiation by BRE of our
frequency of inspection and
renewal of roofs with estimated additional
appropriate action to address asset
and drainage at cost of £42m during CP4
deterioration
non franchised
stations
As a result of this work we have developed the following suite of policies to

facilitate a more appropriate and robust asset management framework:
• policy A – renewal of complete assets which deliver greater functionality
and business value;
• policy B – maintaining current levels of functionality and business value at
the lowest whole life cost; and
• policy C – minimum level of intervention to efficiently maintain health and
safety and operability in the short-term.
The approach we have adopted is different for each major asset type. For
example, for franchised stations the selection of policy is differentiated both by
station category and asset type, see the table below. This enables us to
concentrate our efforts on high-risk assets.
Page 31 of 470
Figure 7 Policy application for franchised stations

Station Category
Asset
A B C D E F
Platforms A A B B C C
Roof and roof drainage A B B B B C
Footbridges B B B B C C
Lifts & escalators B B B B B B
Electrical circuits etc. B B B B B B
Car Parks etc. B B B B C C
Facilities & accommodation A A B B C C
A similar approach has been applied to managed stations, light maintenance

depots, lineside buildings etc. The application of these policies are detailed in our
updated justification document.
The work undertaken by BRE made the following observations relating to our
policies:
• although more cost effective in the short term, policy C represents
comparatively high long term maintenance costs in keeping the assets in
a functional and safety state and imposes a higher risk of sudden failure.
• in the longer term policy B is more affordable and is based on predictable
planned or condition based maintenance costs, with lower risks of
unexpected failures.
• the trigger systems to manage the maintenance and renewal interface i.e.
the point at which it becomes cost effective to undertake a renewal as
opposed to continuing maintenance currently rely on survey reports, user
notification or failure.
BRE noted that once we have fully implemented the Operational Property Asset
Systems, OPAS, there will be an additional mechanism to support the planning of
the next major intervention and better identify, understand and respond to trends.
The data collection inputs have been structured to facilitate this risk-based
intervention.
Overall the work we have undertaken, supported by BRE, has improved the
robustness of our decision making and assisting in achieving optimised long term
asset management through the policy approach applied. An ongoing programme
of research work and improved data from OPAS will deliver improvements in the
robustness of our decision making incrementally over the next few years.
Longer term developments
changes to the policies where there is a reduction in whole life costs. These are
summarised in the table below, which also provides dates by which the
assessment will justify or result in a change to current policy.
Page 32 of 470

Initiative Completion date
Work in partnership with key stakeholders across the
company and externally to ensure their business requirements 18 months
are met in future policy development
Continue policy development work under our Asset Policy
Provisional work to be
Development Programme – this will feature the exploration of
complete within 12
opportunities to optimise asset management of operational
months and completion
property across the industry and to develop more cost
within 36 months
effective and appropriate solutions for the future
Undertake research into the application of differential policy
application across operational property assets to improve 18 months
understanding of asset performance and asset degradation
Benchmarking NR policy and practice against property
industry and railway industry policy and practice both in the 18 months
UK and elsewhere
Develop condition measures and asset performance
9 months
measures for all property types
Undertake further development of standardisation and
modularisation and the part they should play in both
maintenance and renewals and enhancement activity. This
will extend to the standardisation of designs, the 48 months
standardisation of components, fixtures & fittings and to
modular components, buildings and structures across the
portfolio.
Review interventions at lower criticality lineside buildings 18 months
Review interventions at MDU 24 months
A proportion of the cost increase over ISBP is also due to the further
development, over the past 12 months of some of the significant major renewals
projects at
• Edinburgh Waverley Station Refurbishment Project
• Kings Cross Station Redevelopment Programme
• Victoria Stations Roof Renewal
• Paddington Station, Span 4 Major Structural Works
E&P
The policy improvement work is summarised in the following two parts: the first
describes the work that has influenced the October 2007 cost submission; the
second describes longer term initiatives, where the impact on whole life costs has
yet to be determined.
• the renewal of contact and catenary wire; and
• OLE structures renewal.
Analysis has been undertaken to substantiate the policy statements for these
critical activities. This is summarised in the table below. In a number of cases, the
Page 33 of 470
review has led to a change in policy. Where this is the case, the estimated impact
on expenditure during CP4 is provided.

Sample current wear of
contact wire, check against The desk top wear analysis
age and expected life, identified that the contact wire Change in policy
compare against current wear assumptions within the leading to estimated
research on contact wire initial version of the policy were savings of £44m
degradation. The aim is to conservative and it has been during CP4
determine the optimum possible to identify policy
renewal point based on changes which reduce whole
system design age, line life costs.
speed and usage
We have commissioned The study has provided us with
some independent research sufficient information to Change in policy
with Delta Rail into the conclude that we do not need to
deterioration mechanisms for implement a rolling programme No impact on cost in
AWAC catenary used on Mk3 of AWAC replacement, based CP4
Overhead Line Equipment. on condition.
Change in policy
Whole life cost analysis has leading to estimated
Implement revised campaign
identified that campaign change additional cost of
change policy based on route
programmes can be £44m during CP4 but
categories and business
reprogrammed resulting in reduction in whole life
impact of delays
additional spend in CP4 costs over 10 year
period
Review of published standards
Substantiation of
(including EN Standards) has
Consider extending contact existing policy, no
confirmed that no change to the
wire wear beyond the current change to
33% trigger can be justified as
33% trigger for renewal expenditure during
the acceptable factor of safety
CP4
(FOS) will be compromised.
External benchmarking with
National Grid did not identify
Substantiation of
that remaining life of structures
existing policy, no
Consider extending the life of should be amended, and the
change to
OLE structures execution of a national policy
expenditure during
related to painting and
CP4
protective coating is required to
safeguard the life of structures
Longer term developments

changes to the policies where there is a reduction in whole life costs. These are
summarised in the table below, which also provides dates by which the
assessment will justify or result in a change to current policy. Further details will
be provided in our April update for those actions where no completion date is
currently determined.
Page 34 of 470

Initiative Completion date
Accelerate removal of backlog of defects in system to
December 2008
timescale that provides lowest whole life cost
Design isolation system so that isolation can be taken and
December 2008
given back faster
Assess business case for each campaign change based on
type of campaign change and location (six sigma type).
To be determined
Optimise targeting of resources to highest benefit cost ratio
campaigns and locations
Combine inspection driven maintenance (E02), defects To be reviewed once
removal activities and campaign changes in one single pre- current organisational
planned activity review work is further
advanced
Improve availability of OLE structures data and assess
We are to commission
maintenance/renewal interface. (Note that we have
research into degradation
reviewed the methodology for renewal of OLE support
of painted and galvanised
structures, in particular the painting regime and the
structural steelwork.
conditions driving the repair or replacement of these
structures) Completion date to be
determined
Design an improved contact wire pantograph interface.

(Note that work is being addressed through European Rail Completion date and cost
Agency (ERA) and update to Technical Standards for impact in CP4 cannot be
Interoperability (TSI), Energy & Rolling Stock supported by forecast at this stage
Network Rail, DfT, ATOC and RSSB.)
Telecoms
For telecoms assets, the criticality rating process described above did not identify
any specific prioritisation for improved quantitative supporting evidence.
Consequently, our focus since the publication of the ISBP has been on the
development of the decision support tool to improve robustness of activity
forecasting and production of workbanks, detailed below. In addition, in our ISBP
we identified a number of policy development initiatives that were to be
progressed. This section identifies progress on these initiatives, and describes
how they have been reflected in the SPB.
Justification for existing inspection, maintenance and renewal

regimes
Historically a lack of robust information on asset degradation has meant that for
many telecom assets the identification of those requiring renewal has been based
primarily on engineering judgement. This has limited our ability to apply a
consistent approach to renewal decisions between asset types, schemes and
routes.
The Decision Support Tool (DST) for telecom asset renewals has been developed
to improve the robustness of this process and to provide a common approach
across the network. The tool was successfully validated and trialled in 2006. The
DST uses a series of asset specific assessment questions, e.g. asset and
environmental conditions, maintainability and impact to the business of failure.
The output of these questions are then used to assess the status of the asset and
to determine if the initial renewal date, as currently detailed in the telecoms policy,
is appropriate. The standardisation of renewals decision making process using
the tool has also allowed the comparison of the renewals across all the territories
Page 35 of 470
as the renewals assessment and prioritisation can be compared between

territories.
The DST has been trialled and embedded into the current renewals process and
has been validated against the current business planning process. The design of
the tool also provided an indication of the age of the assets and thus enables
planning of the asset inspections used to support the renewals process.
The DST is currently being developed from the initial pilot into a fully supported
application which will provide the functionality already developed by the tool and
develop its future uses. With the maturation of the data in the tool it is envisaged
that additional functionality will be available to the telecoms engineers and this is
being developed in the future tool. As the data improves it is expected that it will
be possible to review data trends with the asset life and asset inspection data as
a means of reviewing current policy lives and the status of assets over their entire
life. Reporting functionality is to be added into the tool to allow engineers to
determine more accurately when an asset should be reviewed and inspected as
well as providing an indication of why it is being renewed allowing better planning
of the renewals requirements.
Convergence and FTNe

The installation of the fixed telephone network bearer network (FTN) is currently
scheduled for completion during CP4. Based upon 2002 technology and
originally designed to support the organisation that existed at that time, the
system comprises transmission systems, optical fibre cables, main copper cables
and cable route. It was designed to provide the necessary transmission
infrastructure required by signalling, electrification control systems, train radio
systems, line-side communication, level crossing CCTV, and to support the
implementation of GSM-R. However, since the initial development of this scheme
the underlying technology on which it is based has changed considerably and the
communication requirements within the business are becoming increasingly
sophisticated.
In terms of technology, the global trend within telecommunications is to move
away from the traditional model of separate data and voice telecommunications
networks and move toward a single converged IP (internet protocol) platform.
Converged IP based networks potentially offer significant business benefits to
large organisations as they can facilitate the rapid introduction of new IP based
technologies to improve business processes. Another benefit associated with
having a converged IP network is the reduction in costs associated with separate
voice and data networks. Emerging user requirements for improved
communications facilities include:
• the support for various CCTV projects;
• remote condition monitoring and intelligent infrastructure;
• connectivity for future SCADA projects; and
• the support of our station information and surveillance system strategy
(see below).
The introduction of an IP enabled network would enable us to meet these user
requirements and exploit the lower costs of commercially available equipment that
would result from the converged platform. Although the FTN system as currently
specified does not have the capability or functionality to allow us to meet these
needs, an examination of options to meet the challenges has led us to the
conclusion that enhancing this system provides the optimum solution. This would
be achieved by either installing additional cards within the existing FTN nodes,
Page 36 of 470
deployment of additional equipment adjacent to the FTN nodes or deployment of

additional equipment at trackside locations, stations and signal boxes connected
by optical fibre cabling linking back to the FTN nodes.
Our enhanced FTN option (known as FTNe) would provide:
• a core network, to provide data connectivity to our maintenance depots,
corporate offices, managed stations (and stations where Network Rail has
responsibility for CIS) and key signal boxes; and
• an interface for other data intensive applications such as SCADA systems
for control of electric traction switching stations.
Although the size of the core network is based upon our current understanding of
capacity requirements it is recognised that as the IP technology becomes more
established there will be an increased demand for connection to the FTNe.
Consequently it is important that the FTNe is easily scaleable to allow efficient
capacity enhancement.
The cost of this initiative is estimated at £28m and has been included in our list of
CP4 discretionary projects.
There are a number of further potential options regarding FTNe. These options
require further work between now and April 2008 to refine the cost estimates and
include:
• replacement of broadband connections (£8 million) – this is an option to
replace public telephony broadband connections with IP network
connections at around 1000 locations such as small signal boxes, to
enable the delivery of data-rich applications in the future;
• connectivity for intelligent infrastructure (£4 million) – this involves
connection of Intelligent Infrastructure monitoring applications to the IP
network, where data rates cannot be economically by using other services;
and
• connectivity to franchised stations (£70 million) – this relates to the
provision of FTN connectivity at around 2500 franchised stations to service
the operational needs of the TOCs (as described in the DfT’s Technical
Strategy) and as a potential backbone for modern Customer Information
Systems, smart ticketing and other data-rich applications required on
stations, such as high definition CCTV to support emerging aspirations
from national security initiatives championed by the British Transport
Police and security agencies.
Remote condition monitoring of telecoms equipment
Increasingly, the specification for telecoms equipment includes a remote
monitoring ability. The FTN/GSM-R system already has this capability and this
facility will be included in the product specifications for equipment we install in
CP4. Our renewal and maintenance cost forecasts in the SBP reflects this
strategy.
Station information & surveillance systems (SISS) strategy
The ownership and management of SISS assets on franchised stations has been
an issue since rail privatisation. The absence of an industry-wide strategy has
resulted in disputes over asset ownership and inadequate asset management
policies. This has led to disparate and often sub-standard systems being
deployed across the rail network.
As major owners of SISS assets, Network Rail is mandated to renew these assets
when they become life-expired or as other business drivers dictate. Network Rail
Page 37 of 470
therefore plays an important role within the industry in terms of funding, specifying
and delivering new systems.
Many TOCs also own, manage and maintain SISS assets on their stations.
These assets have usually been introduced as station enhancements and often
funded by the appropriate regional Passenger Transport Executive. There are
also circumstances where TOCs have introduced additional SISS assets under
their franchise commitments.
The problems associated with split ownership are compounded further with
misaligned management and technical strategies relating to interoperability, co-
existence of old and new assets, renewal and repair responsibilities, and
maintenance regimes.
In response to this and other similar anomalies, we have developed a proposal to
provide both technical leadership and industry consistency for future deployments
of SISS assets.
For the purposes of the CP4 submission, Network Rail has submitted policies and
cost profiles for those SISS assets transferred in from Railtrack and those
recognised as owned by Network Rail. A cost model has been developed for
Network Rail to deliver SISS renewals – these include historical TOC funded
enhancements and deployments of appropriate SISS technologies at those
stations that currently have little or no customer information facilities. The outputs
of this model are seen as options for future consideration.
Our SBP contains a provision of £62m to cover the renewal cost of Network Rail
owned equipment. It has been estimated that the cost of renewing equipment
installed by our industry partners is approximately £107m, and this has been
included in our list of CP4 discretionary projects.
In order to support our vision for station information and surveillance systems we
are reviewing new and emerging technologies with a view to developing new
standards, specifications, products and systems. The outputs from these
workstreams will shape the future of SISS and harmonise the industry approach
in terms of the system and product choices it makes. In addition, we are working
with our industry partners to identify what information should be available to the
customer in and around the station environment to enable appropriate
engineering solutions to be developed. As part of this initiative we have identified
possible SISS system proposals for each category of station (i.e. A to F).
Initiatives being considered include:
• provision of low-cost, commercially available solutions that could satisfy
the relatively low-level needs of passengers at category E and F stations.
Typical solutions being considered are based upon combining the help
phone, information display and camera into a common unit;
• standardisation of Customer Information Systems (CIS) and products is a
key work stream to provide consistent information to our passengers. As
part of this we are developing a core approved product list to simplify
installation and maintenance, reduce cost and improve fault rectification;
• development of “open” or “standardised” protocols for CIS equipment so
that equipment from different manufacturers can be connected together,
reducing maintenance and performance issues and reducing cost; and
• deployment of station management systems at large stations to improve
the integration, management and monitoring of fire alarms, security CCTV,
CIS, PA/VA, lifts and escalators and intruder alarms.
Page 38 of 470
Indicative timescales for the development of these initiatives are the latter half of
2008.
Lineside communications strategy
Wireless communication technologies
Wireless technologies are enabling network providers and businesses to serve
many of these “last mile” applications without the need for expensive (and
vulnerable) copper infrastructure. Although there are technical and security
considerations associated with deploying wireless technologies, there are
significant potential benefits.
Network Rail is currently formulating technical strategies that address both the
impact of these new technologies and identify appropriate applications that can
add value to Network Rail and other industry stakeholders. This includes
investigating synergies with the FTNe scope and the impact of future policy
changes associated with the anticipated phasing-out of Signal Post Telephones
(SPTs).
Preliminary work in this area suggests that there are a number of appropriate
applications that could benefit from using wireless technologies as a “last mile”
solution. These include:
• intelligent infrastructure and remote condition monitoring of lineside
assets;
• delivery of CIS data to small / low-category stations;
• capture and back-haul of train data; and
• IT connectivity for the mobile workforce
Indicative timescales for the development of a trial and “proof of concept” will be
September 2008. As a consequence the potential cost of this initiative has not
been included in the SBP.
Communication requirements in the signal box environment
There are a number of requirements driving the need to change the specification
for telephone concentrators within the signal box environment, including:
• the anticipated reduction in SPTs;
• the potential move to route based signal control areas with;
• the deployment of a fixed terminal system (FTS) at each signal box for
GSM-R provides the opportunity to consider integrating line side telephone
presentation within the FTS to provide a common man-machine-interface
(MMI) front end to the signaller; and
• the move to IP technology by our concentrator suppliers.
As a consequence we are considering IP based concentrator solutions for the
large signal boxes, interfacing with the FTNe network. This evaluation work is
expected to be completed in early 2009. As a consequence the potential cost of
this initiative has not been included in the SBP.
Other key initiatives progressed since June 2006
Standards
The ‘proof of concept’ exercise carried out over the summer 2006 resulted in the
development and publication of a company standard detailing the requirements of
Page 39 of 470
the new Network Rail Standards Management system – NR/L2/STP/001. The

standard was published in December 2006 and implemented in June 2007.
The purpose of the new standards management system is to codify the
information; principles and business requirements that together help establish a
consistent, safe and coherent company-wide set of working practices.
NR/L2/STP/001 describes how all Network Rail standards are created, modified
or withdrawn and how derogations from standards are managed. A new
programmed change process applies to all non-emergency changes to Network
Rail standards.
The process is based on Standards Programmes comprised of individual projects
that are prioritised and managed by Steering Groups established for particular
subject areas. Working Groups comprising technical experts and other parties
(from across the company) that are materially affected, are remitted by the
Steering Groups to develop the content of standards and plan their
implementation. The Network Rail Standards Programme is overseen by the
Company Standards Group and co-ordinated by the Standards Management
team.
The process for emergency change is also described, along with the process and
individual responsibilities for the management of non-compliance applications for
Network Rail standards, Railway Group standards and Technical Specifications
for Interoperability.
Rollout of the new requirements across the organisation continues, and ongoing
evaluation of the effectiveness of the new standard and associated processes is
undertaken by the Company Standards Group.
Asset information
Over the past two years we have undertaken a programme of work in accordance
with the Asset Register Guidelines, which were published in November 2005. This
work has involved a review and update of the asset information necessary to
support primary decisions on maintaining, renewing and enhancing the
infrastructure. These requirements were compared with existing data coverage
and quality. The gaps identified were used to prioritise a series of twenty four data
and system improvement initiatives were completed in September 2007.
The twenty four initiatives involved all the major asset disciplines and included the
following key developments:
• a new asset register for Civils based on a modern IT platform, populated
through a data matching exercise which sourced and reviewed the best
available data from a large number of legacy systems;
• a major overhaul and development for Electrification and Plant, which has
reconfigured and populated the static asset register in Ellipse, catalogued
and scanned over 300,000 as-built drawings and upgraded or developed
systems for monitoring and storing condition information;
• a complete new system for Operational Property (OPAS), for which the
first stage of population includes assets, and their attributes, covering 80%
of renewals and maintenance expenditure;
• a series of initiatives to specify and improve the quality of infrastructure
capability data, undertaken to meet a key requirement of our customers,
particularly the freight companies;
• removal of the backlog of track renewals that had not been updated in the
track asset register, GEOGIS, over the previous three years.
Page 40 of 470
From a relatively weak position two years ago, with major gaps in the coverage
and quality of asset information and a lack of definition in the processes and
procedures for maintaining and assuring data quality, we have now advanced to
the point where:
• all infrastructure asset disciplines have systems in place that are
populated with the core data necessary to support primary decisions on
the maintenance and renewal of the infrastructure;
• Asset Data Management (ADM) procedures are in place for all disciplines
with existing systems and are being finalised at the time of writing for the
new Civils systems CARRS and OPAS. ADM assurance has been
mandated; the recent National Core Audit Plan report assessed the
procedure as being sound and successfully implemented.
We have also continued to implement our longer term strategy for asset
information, the aim of which is to provide a single point of access for viewing,
updating and reporting on all corporate asset data. Integral to this vision is the
requirement that each data item has only one master source throughout the
company. A number of major workstreams are underway to make this happen,
including the development of the Corporate Network Model for accessing and
updating information on the railway infrastructure and the establishment of an
enterprise architecture which will underpin the integration of our asset systems.
Further detail on this work is provided in a series of progress reports on the
implementation of the asset information strategy, published at six monthly
intervals and available via the Network Rail website.
4 Asset framework development

In April 2007, following the publication of the asset reporter’s assessment and a
result of discussions with other asset infrastructure owners on asset management
best practice we undertook a review of our approach to asset management. A
key recommendation from the asset reporter was the documentation of our asset
management strategy, which we have now drafted. In drawing up this strategy
we made a number of modifications to our asset management framework, the
most important of which was the separation of enabling and reviewing
components – see below. The role of each of the components of this framework
is detailed in our asset management strategy.
Improvement programme
Generally the processes we have in place are considered to be good practice.
However, some elements of the framework are not fully developed, nor are the
integration of these processes complete. As part of our aim to achieve best
practice in asset management, and taking cognisance of the opportunities
identified by the asset reporter, we have identified a number of necessary
improvement tasks. These are detailed below.
Our focus during 2007 has been on improving the robustness of our October
SBP. As a consequence, and with the exception of the development of our asset
policies and some work on the policy initiative, the period leading up to the
publication of the SBP has been used to identify the scope of each of these plans.
We have also used this time to ensure alignment with this programme and our
world class initiatives.
Page 41 of 470
Figure 11 Asset management framework
Task 1: Route utilisation and output specification

We will develop route plans that provide sufficient detail to align the required route
outputs with asset policies and plans that specify the maintenance, renewal and
enhancement work necessary to deliver these outputs. The approach will be
piloted on the Glasgow-Edinburgh route by June 2008.
Timescales a review will be undertaken to confirm alignment between the route
specifications and the asset policies following which the template for
the route specifications will be finalised. A work programme will be
produced for the production of route specifications by April 2008.
Task 2: Asset management policies
We will improve the robustness of the criteria in our asset policies that govern key
interventions on our assets. The programme of work will be prioritised according
to the criticality of the assets (in terms of overall spend or on the potential impact
on business outputs of potential failure of the asset).
Timescales: as discussed above, the work to date has concentrated on the
highest criticality assets. The next phase of work will improve the
policy justification for the next tier of criticality and will also assess
the cross-disciplinary dependencies e.g. between track and
signalling. This work is planned for completion by December 2008.
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Task 3: Engineering standards, specification and guidance

The work that has been undertaken to improve the robustness of our asset
policies has led to a refinement in the specification of asset interventions and has
highlighted some areas where the lower level documents need to be updated to
reflect these changes or made more explicit to clarify their interpretation. We will
undertake a prioritised review of relevant standards to ensure that improvements
in asset policies are reflected in the scope and consistency of the work
undertaken on the infrastructure.
Timescales: this review will be completed by September 2008, followed by the
compilation of proposals for changes to standards, where
appropriate, by December 2008.
Task 4: Asset information
We will build on the progress that has been made in establishing a core asset
register for all disciplines by developing the Corporate Network Model and
associated systems to remove or manage duplication in asset data, to integrate
across asset disciplines and information categories, and to provide user-friendly
geographical and reporting interfaces. This will open up our systems to a much
broader range of stakeholder, including our customers and funders.
Timescales: we are currently undertaking a programme of work to integrate the
engineering, operational and commercial representations of the
network within the Corporate Network Model, which will be
completed by August 2008. At this point, access will be available to
key data layers, for example on infrastructure capability parameters
such as gauge and route availability. We will also complete a pilot
exercise with ORR on providing external access to the Corporate
Network Model by March 2008 and intend to broaden access to
other stakeholders during the remainder of 2008.
Task 5: Decision support tools and methods
We have a range of analytical tools that have been developed for specific
requirements, for example the Infrastructure Cost Model, TRAIL, RCM and a large
number of bespoke risk/cost models. We will review the current modelling tools
and methods to determine whether the overall portfolio is sufficiently
comprehensive, to confirm consistency of application and to identify opportunities
for spreading good practice between asset disciplines and across functional
initiatives.
Timescales: we will develop a whole life, whole system framework for
categorising analytical tools and methods and review it against
external best practice by June 2008. We will develop a work
programme for completing the population of the modelling framework
by September 2008. We anticipate that the implementation of the
work programme will take approximately two years. This will include
the further development of the Infrastructure Cost Model.
Task 6: Risk management
We will apply the Network Rail Integrated Risk Process to identify, prioritise and
control the risks affecting the asset management system. This will require the
treatment of risks arising from diverse sources e.g. ranging from uncertainties
associated with strategic decisions to hazards affecting the local delivery of work.
Timescales: the integration of the strategic risk maps and the bottom-up risk
assessment process is relatively advanced and we expect that this
work will be completed by March 2008.
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Task 7: Business processes

We will develop a comprehensive set of integrated business processes to
underpin the delivery of all components of the asset management framework and
key interfaces between components, for example linking route specifications and
asset policies.
Timescales we will integrate this workstream, including functional initiatives
underway on e.g. vehicle acceptance, with the ‘world class’ initiative
on business process improvement and develop a work programme
to develop the asset management components by June 2008.
Task 8: Competency
We will use the PAS 55 competency framework as the basis for a comprehensive
review of competency and skill requirements considered essential to the delivery
of best practice asset management. The review will address all components of
the asset management framework, including upstream activities e.g. strategy and
planning.
Timescales: we intend to complete this review by June 2008 and will follow up, as
appropriate, with more detailed assessments in critical areas.
Task 9: Performance measurement
We will review and develop further the current suite of indicators to improve our
ability to monitor the effectiveness of the asset management framework. We will
also improve our ability to assess relative performance (e.g. by the use of internal
and external benchmarking) and the performance of our suppliers
Timescales the review will be completed by March 2008, which will be followed
by the specification of a set of performance measures aligned to the
asset management framework and the implementation of a process
for data collection and reporting by the start of the next control period
in April 2009.
Page 44 of 470
Appendix 1
Identification of critical assets and the robustness of the

intervention criteria used
For the purposes of prioritising our policy development work a critical asset is
defined as one where:
• the total inspection, maintenance and renewal expenditure forecast for
CP4 is greater than £200m; or
• the CP4 expenditure forecast is between £100m and £200m and the
potential safety or operational impact of asset degradation is considered to
be high.
The results of this analysis are shown in the table below.
Figure 12 Critical assets

Asset group Asset type
Plain line (Primary, London & South East commuter and
Track Secondary routes)
S&C (all routes)
Masonry underbridges
Structures Metal underbridges
Earthworks
Managed stations
Operational property
Franchised stations
Train detection and control systems
Signalling
Level crossings
E&P Overhead Line Equipment (OLE)
For each critical asset, expenditure forecasts for the following key cost drivers
were identified:
• inspection;
• inspection driven maintenance;
• fixed interval maintenance; and
• renewal
An assessment of the robustness of the criteria that underpins each of these cost
drivers was made using the following criteria:
1 Engineering judgement. Little or no quantitative supporting information.
2 Some quantitative analysis available but most decisions "judgement"
based.
3 Activity and frequency (trigger) based upon quantitative analysis but
analysis not entirely comprehensive.
4 Robust, quantitative supporting evidence. Little or no gaps in
understanding.
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Appendix 2
Scenario analysis
Two scenarios were considered, as follows:
• scenario 1: identifying and costing revised asset design or
inspection/maintenance regimes that would reduce infrastructure failures
to 25% of their current level; and
• scenario 2: reducing whole-life asset design or inspection/maintenance
costs by 50% and evaluating the impact on train service reliability of these
revised regimes.
The analysis focused primarily, but was not restricted to, amending the asset
management regimes of our critical assets (as defined in Appendix 1).
To assist in the analysis, four sections of route were selected, as follows:
• primary route – Crewe to Preston
• secondary route – Ayr Lines, Wemyss Bay and Gourock
• rural route – Ely North to Trowse Junction
• freight route – Blyth Tyne Network
In addition, Windmill Bridge to Brighton, was also analysed to consider the
application of the scenarios to a section of route having third rail electrification
For each scenario and each asset under consideration two key questions were
addressed:
• could the required outputs of the scenario be achieved with the existing
asset population (i.e. by varying the inspection and maintenance regimes)
and if not, what level of improvement could be achieved; and
• what level of improvement could be achieved by asset replacement?
Expenditure forecasts and actual asset failure data was used to test the likely
impact of any policy change under consideration.
Amendments to existing asset management regimes that are considered worth
pursuing would either be implemented as a result of this analysis or, where further
analysis was required, would be included in the asset policy development
programme.
Page 46 of 470
Part 5: Track
Page 47 of 470
Track Policy
Document control
File name
Location
Status Issue 1
Author Track Engineering team
Date last amended 26th October 2007
Name Signature Date
Bob Cummings
Head of Track
Engineering
Gareth Jenkins
Head of Business
Engineering
Andrew
McNaughton
Chief Engineer

Network Rail, 40 Melton Street, London NW1 2EE
Page 48 of 470
1 Introduction
1.1 This asset management policy for track engineering assets has been
written to demonstrate how these assets will be managed to meet the
requirements of Network Rail’s corporate objectives and the Network Rail
asset management policy.
1.2 The outputs from track engineering assets are:

• Achievement of the network performance targets for train performance
delays caused by the track system;
• Achievement of the key network targets of: track geometry, level 2
exceedences and broken rails;
• Maintenance of the capability of the track network, defined in terms of
gauge capability, speed, maximum axle weight and annual equivalent
tonnage of traffic;
• Gradual increase in the service life of the track system from the
renewal of historic jointed track with modern robust continuous
construction.
1.3 We plan to deliver the defined capability (and capacity) for each route. Where
changes to the existing capability of the network are required, we will need to
have clarity on the availability of funding, recognising that our core renewals
plans are prepared on the basis of maintaining existing capability. Where a
RUS or other strategic analysis has not yet been completed for a route our
plans will be targeted with maintaining the current capability of the route
together with any agreed and funded amendments.
1.4 We will pursue opportunities to enhance the value of a route where proposed
asset renewal plans provide us with the opportunity to improve the alignment
between actual and required capability.
1.5 As part of our whole life cost evaluation we consider the likely change in
operating environment resulting from climate change and how this may impact
upon the performance of the asset.
2 Overview of Asset Portfolio
2.1 The purpose of the track system is to convey the planned range and
tonnage of traffic at the range of authorised speeds safely and reliably
across the network. The capability of route sections will be defined in
terms of the gauge capability, speed, maximum axle weight and annual
equivalent tonnage of traffic that the track system can accommodate.
2.2 To ensure that the cost of these regimes is commensurate with the risks to
business outputs of asset failure/degradation on these routes, the
inspection, maintenance and renewal regimes are differentiated by the
type and nature of traffic carried.
Safety risk on track assets is managed by the application of a
categorisation system, based upon speed and annual tonnage of traffic
(Equivalent Million Gross Tonnes per Annum – EMGTPA). Track
categories are defined in the Track Category Matrix, which is recorded in
Railway Group Standard GC/RT/5023 ‘Categorisation of Track’. They
range from Categories 1 and 1A for high speeds and tonnages, to
Category 6 for low speeds and tonnages. The track category provides
details of the minimum inspection and maintenance regime.
For the purpose of managing other business outputs a further
classification system has been adopted. This is based on the nature and
volume of traffic carried, and hence the importance of the route to the
Page 49 of 470
business and industry stakeholders. Within the constraints defined by the

route category, the asset management regimes are further differentiated
obtain a balance between the cost of these regimes and the cost of the
business risks. For the purpose of differentiating these regimes three
route types have been adopted:
1
• primary and key London & South East (L&SE) routes
• secondary, other L&SE routes and freight trunk
• rural and freight other routes
2.3 Primary and key L&SE routes make up the core of the network and have
the following usage characteristics:
• high speed and/or intensive use
• comprise 80% of the network above 90 mph
• high income and high delay charges
• limited track access for engineering work
• mainly passenger operators on L&SE
• mixture of passenger and freight operators on Primary
• high demand for increased capability (gauge, axle weight, tonnage,
etc)
• high axle weight, large wagons (container boxes)
Common features of their configuration include:

• the majority of Overhead Line Electrification and modern signalling
systems on the network
• the majority of 4-track route mileage
• high concentration of S&C layouts
• generally ‘modern’ track construction (CWR/concrete
sleepers/adequate ballast)
• well engineered original alignment and clearances
• capability generally not constrained by track construction
2.4 Secondary, other L&SE and freight trunk routes comprise a diverse
mixture of routes with the following usage characteristics:
• moderate speed and traffic intensity (higher intensity on some L&SE
routes and heavy freight links)
• cross-country links
• diversionary routes for the Primary network
• 70% is 60-90 mph
• wide range of income and delay charges (higher on L&SE)
• wide range of track access opportunities for engineering work
• mainly passenger operators on L&SE
• multiple operators on Secondary – passenger and freight
• targeted demands for increased capability

• generally double track
• L&SE routes mainly electrified, Secondary routes generally not
• high concentrations of S&C on L&SE and other urban centres
• original alignment and clearances and current track construction not
always in line with existing traffic
• capability sometimes limited by track construction
1
London approaches and other key corridors
Page 50 of 470
2.5 Rural routes serve towns and communities in the less populated areas of
the country. Other freight routes link freight railheads with the network.
These two groups of routes have the following usage characteristics:
• slow speed and low intensity (heavy axle weight on Freight Only)
• 70% is less than 60 mph
• low income and low delay charges
• opportunities for good track access
• mainly single passenger and/or freight operators
• low demand for increased capability

• the majority of single track on the network
• not electrified
• mechanical signalling
• low concentration of S&C
• capability often limited by structures and/or significant mileages of old
jointed track
2.6 The principal components of the track system are:
• rails; provide guidance and a smooth running surface for train wheels
• sleepers; support the rails at the correct inclination and distance apart
(gauge), and transmit vertical, lateral and longitudinal forces from
trains and thermal stresses in the rails into the ballast
• ballast; supports the sleepers at the correct level and alignment,
spreads the forces from the sleepers into the sub-grade and formation,
and enables surface water to drain away
• sub-grade and formation; support the forces from the ballast, and
collect water into the drainage system
• drainage; conveys water from the sub-grade and formation along or
across the track to an outfall
• S&C; to enable trains to move from one track to or across another
• boundaries; delineate Network Rail property and deter trespass and
animal incursion. Boundaries are generally fences or walls
• vegetation; managed to minimise interference with train operations and
track worker safety, caused by obstruction of the track, positions of
safety, sight lines or overhead lines
• level crossing surfaces; carry road traffic across the railway at grade
• end stops; prevent trains running off the end of a track. They can be
buffer stops, wheel stops or sand drags
• lineside signs: indicating mileage, gradients and permissible speeds
The track system can be divided into three main sub-groups:

• plain line
• S&C
• lineside and other track assets
2.7 Targets will be set annually for broken rails and immediate action rail
defects, good track geometry (GTG), poor track geometry (PTG),
intervention and immediate action geometry exceedences, condition of
track speed restrictions, point failures, track circuit failures and
achievement of planned preventive maintenance. The targets will also
differentiate between Primary, L&SE, Secondary, Rural and Freight
routes, to support the progressive achievement of appropriate track asset
performance and maintenance and renewal costs for each route type.
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Targets will be derived for individual route sections. The aspects targeted
and the differentiations between route types are designed to encourage
asset management practice that implements the policies.
2.8 The track inspection regime includes:
• visual inspection on foot by patrollers, supervisors and engineers
• cab riding inspection by supervisors and engineers
• track geometry recording
• ultrasonic inspection of the rails
• special inspections of specified track and off track assets
Train borne systems shall be the primary method of track geometry

recording (e.g. NMT, SMT, UGMS), otherwise manual track recorders
shall be used. Train borne UTUs supported by manual verification shall be
the primary method of ultrasonic testing, otherwise manual testing shall be
used.
In addition to being used to identify faults that require repair, information
from track inspection and recording is used to monitor deterioration rates
and predict the future condition and performance of track assets and the
track system overall. Preventative maintenance regimes shall be planned
on the basis of the inspections, recordings and predictions. Where the
construction, condition or performance of a section of track falls short of
the requirements for the route type, additional inspection and maintenance
shall be carried out to enable output targets to be met. If necessary, track
renewals shall be prioritised at locations where maintenance delivery is
significantly constrained by track access or other resource issues, to
reduce the maintenance workload.
2.8 The service lives and performance of rails, sleepers and ballast are
interlinked. For example, rail surface damage and voiding at blocked
drainage both increase the dynamic loads and wear suffered by the track
system as a whole. Similarly, worn rail pads can trigger rail foot corrosion
defects as well as premature sleeper rail seat wear. It is therefore
essential that track asset management plans include appropriate volumes
of all the specified maintenance activities to enable optimum service lives
and performance output targets to be met.
2.9 Route strategies will include the strategic asset requirements along the
route in order to meet the present and future performance and
stewardship outputs. In particular, the location and provision of S&C can
be reviewed and optimised as resignalling schemes, enhancement
schemes and other opportunities arise
2.10 The principal future developments in asset management are
• Further development and increased use of train borne inspection
systems will depend on the business case. There is considerable
potential for integrated use of these systems, in conjunction with
developments such as high speed video, pattern recognition, laser rail
profile recording and surveying of track position, to produce enhanced
asset management information and reduce reliance on site visual
inspection.
• Premium rail steels can reduce whole life costs in high wear situations,
as part of rail management regimes that include lubrication and
grinding to manage rail head profile. The following potential
applications are being assessed:
o head hardened rail for sharp curves and half sets of switches
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o EDH crossings
• Under sleeper pads have the potential to reduce track geometry
maintenance and increase track service life. Trial installations are
underway, in conjunction with collaborative European work with the
UIC
• Rail mounted mobile workshops can provide rapid and safe worksites
for white period track maintenance, with lighting, tools and welfare
facilities included
• Implementation of managed track position systems across the
network, to increase the sustainability and repeatability of track
geometry and reduce maintenance volumes
• Embedded rail level crossing systems
• Managed stocks of headworn and sideworn rail for defect replacement
• Investigate the practicality of developing further asset stewardship
measures that address track asset availability and optimisation of
whole life costs
3 Asset populations
The number or volume of assets in each Route Type is given in the
following table:
Figure 1 Asset Population for Track
Route Type Type Number Unit
Primary Routes Track Category 1A 1,049 Single Track km
Track Category 1 4,210
Track Category 4 311
Uncategorised 210
Total 10,294
Plain Line CWR 94 %
Plain Line Jointed 6 %
S&C 8418 Point Ends
London & SE Routes Track Category 1A 0 Single Track km
Track Category 1 85
Uncategorised 74
Total 4,152
Plain Line CWR 88 %
S&C 1733 Point Ends
Secondary Routes Track Category 1A 0 Single Track km
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Route Type Type Number Unit

Uncategorised 127
Total 10,719
Plain Line CWR 88 %
S&C 5414 Point Ends
Rural Routes Track Category 1A 0 Single Track km
Track Category 1 0
Track Category 2 0
Uncategorised 34
Total 3,848
Plain Line CWR 42 %
S&C 1235 Point Ends
Freight Routes Track Category 1A 0 Single Track km
Track Category 1 4
Track Category 2 97
Uncategorised 234
Total 2,092
Plain Line CWR 57 %
S&C 891 Point Ends
Network Total Track Category 1A 1050 Single Track km
Uncategorised 677
Total 31,105
Plain Line CWR 83 %
S&C 19,491 Point Ends
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4 Policy Statements
The following policy statements apply to track assets.
Figure 2 Policy statements for track assets

No Activity Primary and Key Secondary, Other Rural and freight
L&SE L&SE and Freight Other
Trunk
Policy Statements for Track System,
General
1 Performance Track inspection, Track inspection, Track inspection,
Outputs maintenance and maintenance and maintenance and
renewal regimes renewal regimes renewal regimes
shall be designed to shall be designed to shall be designed to
minimise the number reduce the number prevent an increase
of defects or failures of defects or failures in the number of
of the track system of the track system defects or failures of
that cause: that cause: the track system that
cause:
• delays to trains • delays to trains
• accelerated wear • risk of derailment • delays to trains
to trains or the or fatality • risk of derailment
infrastructure or fatality
• risk of derailment In particular:
or fatality In particular:
• all condition of
In particular: track speed • condition of track
restrictions shall speed restrictions
• there shall be no be rectified shall be rectified
broken rails from if they cause
detectable unacceptable
defects delays to trains
• there shall be no
condition of track
speed restrictions
imposed for
longer than 48
hours
• speed restrictions
due to rail defects
shall be
minimised
immediate action
geometry
exceedences
2 Construction The performance and service life of track shall be progressively

Improvements improved by the following actions, prioritised by route type:
• the elimination of fishplated rail joints by:

• replacement of jointed rails with CWR
• replacement of jointed and tight joint plated S&C with fully
welded S&C
• replacement of jointed track circuits and IBJs with jointless train
detection systems in conjunction with resignalling schemes
• the replacement of defect-prone rails made from ingots
(generally manufactured up to 1976) with rails made by
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continuous casting
• the elimination of older, weaker rail welds with shorter fatigue
lives (such as old composite and SMW) by re-railing and targeted
replacement
• reduction in the number of welds in CWR by the use of new rail
manufactured in longer lengths with fewer intermediate flash-butt
welds
3 Track Position: Track maintenance and renewal regimes will include improved
Clearances management of track position, to enable:
• better control of gauge capability and through alignment

• optimisation of gauge clearances between trains, other trains and
structures
The gauge capability aspirations set out in the Freight RUS shall be
achieved at renewal where there is a business case
Inspection
4 Inspection Track shall be inspected at regular intervals, dependent on its
Regime construction and the equivalent annual tonnage of traffic carried. The
regime shall include visual inspection, track geometry recording and
ultrasonic inspection of the rails. Specific complex components shall
receive additional special inspections
Maintenance
5 Service Life The service life of ballast may be limited by rail surface damage,
dipped joints or welds, voiding, attrition, or contamination from fines,
spillage, blocked drainage or formation failure, singly or in
combination. Track management regimes shall comprise appropriate
volumes of train based grinding, rail defect repair and replacement,
geometry maintenance, drainage maintenance and replacement of
rail pads and insulators, prioritised by route type, to optimise ballast
service life.
6 Service Life The service life of the track shall be extended by heavy maintenance
Extension or partial renewal where appropriate
Renewal
7 Formation and Track renewals shall include formation treatment and/or the
Drainage installation, renewal or refurbishment of drainage, where specified
8 Renewal Track renewal Track renewal Track maintenance
Regime regimes shall be regimes shall and renewal regimes
developed that: predominantly be shall be developed
condition driven, for each route,
• are driven by with tactical depending on the
predicted deployment of high proportion of jointed
condition output methods track and its
• make optimum where appropriate condition:
use of high
output methods • significant
• progressively mileage of track
move towards is jointed and in
cyclic renewal of good condition –
sections of route maintain jointed
after the passage track in
of specified perpetuity
tonnages of • significant
traffic, taking mileage of track
account of route is jointed and in
specific asset or poor condition –
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traffic conditions plan to renew
jointed track in
Note: this will require poor condition
a proportion of with CWR
condition driven • short mileage of
renewals to be either track is jointed –
brought forward or consider renewal
deferred of remaining
jointed track with
CWR, to reduce
inspection and
maintenance
costs on the
route
Regimes shall
comprise the
minimum quantity of
renewal required to
sustain the existing
capability of each
route, subject to
economic delivery
considerations
9 Renewal When track or one of its constituent components require renewal,
Criteria abutting track or the other components with less than 5 years’
remaining service life shall also be considered for renewal
10 Renewal Track shall be N/A N/A
Criteria considered for
complete renewal
after the passage
of specified
tonnages of traffic
11 Renewal Track shall be considered for complete Track shall be
Criteria renewal: considered for
complete renewal if
• If geometry targets cannot be met by economic
tamping or stoneblowing at economic maintenance
intervals (including the repair
and replacement of
defective
If the rail and/or sleepers have no remaining
components) cannot
service life (but if rail wear or corrosion is the
prevent the
only renewal driver, only the rail shall be
imposition of a TSR
renewed)
due to track
geometry or
component condition
12 Construction The preferred Track categories 1 If complete renewal
construction for track and 2: as for is required, the
renewal is CEN60 Primary. Track preferred
rail, G44 or EG categories 3 to 6: constructions for
equivalent concrete the preferred track renewal are:
sleepers at 600mm construction for
spacing and 300mm renewal is CEN56 • cascaded or
depth of ballast rail, G44 or EG serviceable flat
equivalent concrete bottom rail,
sleepers at 650mm serviceable
spacing and 200- concrete
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250mm depth of sleepers at
ballast 700mm spacing
and 200mm
depth of ballast
• CEN56 rail, steel
sleepers at
700mm spacing
and scarified
ballast
Selection will be on a
site by site basis,
depending on
installation cost,
availability of
recovered materials
and suitability for
scarifying (ballast
condition and
clearances for lifting)
13 Recovery and Rails and sleepers N/A N/A
Re-use of shall be recovered
Materials from renewals sites
for re-use unless this
is uneconomic or
their condition is
unsuitable. Rails may
either be directly
cascaded to low
category tracks or
certified as
serviceable after
refurbishment
Interfaces
14 Resignalling Track renewal plans shall be integrated with future planned
and resignalling and enhancement schemes to:
enhancement
Schemes • reduce the cost of renewals
• abandon surplus track infrastructure
• move S&C from curves onto straights
• reconfigure slips and switch diamonds
• improve performance, capability and capacity
This may require renewals to be accelerated or deferred

15 Incremental The opportunity to incorporate incremental enhancements to improve
Enhancement performance, capability and capacity shall be considered at renewal.
16 Track Position: Managed track When track is renewed, designed alignments
Geometry position shall be shall be installed and referenced at all fixed
installed and points, transitions, regular curves and S&C
maintained at all
fixed points,
transitions, regular
curves and S&C on
the East Coast and
Western main lines.
ATG shall be used to
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support EPS
operation on the
West Coast main
line. Other routes
shall be as for
Secondary
Policy Statements for Plain Line System
Inspection
17 Inspection Track inspection Track inspection regimes shall use an
Regime regimes shall make appropriate mix of train borne, remote and
maximum use of train manual methods
borne and remote
methods
Maintenance
18 Maintenance Track maintenance Track maintenance Track maintenance
Regime regimes shall be regimes shall be regimes shall be
designed that: designed that: designed that:
• rectify defects • rectify defects • rectify defects

before when when intervention
intervention intervention levels are
levels are levels are reached
reached reached • avoid increases
• minimise the • reduce the in the number of
number of number of immediate action
immediate action immediate action defects
defects defects • reduce the need
• deliver the • deliver the for renewal by
expected service expected service the replacement
lives of rails, lives of rails, of components to
sleepers and sleepers and extend service
ballast ballast life
Policy Statements for Plain Line Rail

Inspection
19 Ultrasonic UTU compliant Track categories 1 Ultrasonic inspection
inspection regimes shall be and 2: as for of rail shall generally
used for the Primary. be manual
ultrasonic inspection
of rail in track Track categories 3
categories 1A to 3. to 6: UTU compliant
The balance of regimes shall be
inspection shall be by considered for the
UTU where practical, ultrasonic inspection
otherwise manual of rail in track
testing shall be used category 3,
depending on:
• proportion of
CWR/jointed
track
• age of rail
• access for
manual testing
• deliverability of
UTU programme
nationally
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(current UTU
resources
enable approx.
75% of all
category 3 track
to be covered)
The balance of
inspection shall be
manual
Maintenance
20 Service Life The service life of rail may be limited by surface damage, internal
defects, dipped joints or welds, voiding, wear or corrosion, singly or
in combination. Track management regimes shall comprise
appropriate volumes of rail lubrication, train based grinding, defect
repair and replacement, geometry maintenance, drainage
maintenance and replacement of rail pads and insulators, prioritised
by route type, to optimise rail service life.
21 Lubrication All curves with radii All curves with radii Curves with radii
below 1500 metres below 800 metres below 800 metres
shall be lubricated shall be lubricated. shall be lubricated if
using non contact Curves with radii the rail life due to
remote mounted between 1500 and sidewear without
lubricators. Existing 801 metres shall be lubrication is (or
mechanical lubricated if the rail would be) less than 5
lubricators shall be life due to sidewear years. Lubricators
replaced when the without lubrication is shall be installed on
rail is renewed (or would be) less unlubricated curves
than 5 years. when the rail is
Installation of non renewed
contact remote
mounted lubricators
should be
considered on
multiple curves
when the rail is
renewed
22 Lubrication The adequacy of existing lubrication shall be reviewed following
significant changes to the type of rolling stock or tonnage of traffic
along a route
23 Grinding Rail shall be ground Track categories 1 Train based grinding
using train based to 3: as for Primary. shall be considered
grinders to restore where inspection
the specified Track categories 4 identifies problems
transverse and to 6: train based due to poor
longitudinal rail head grinding shall be transverse or
profile at regular considered where longitudinal rail head
intervals, dependent inspection identifies profile
upon: problems due to
poor transverse or
• whether the track longitudinal rail head
is straight or profile
curved
• the passage of
specified
tonnages of
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traffic
24 RCF Rail that exhibits heavy or severe high rail RCF shall be planned for
replacement. Grinding heavy or severe high rail RCF shall only be
used as temporary mitigation pending rerailing
25 Welds Welds shall be Welds shall be Welds shall be
straightened and straightened and straightened and
ground and/or lifted ground and/or lifted ground and/or lifted
and packed before and packed when and packed when
intervention level dip intervention level dip intervention level dip
angles are reached. angles are reached. angles are reached
Welds that Welds that
repeatedly deteriorate to
deteriorate to immediate action
intervention level dip level dip angle shall
angle shall be be replaced or
considered for rerailed
replacement or
rerailing
26 IBJs IBJs and adjustment IBJs and adjustment switches shall be
switches shall be tamped or lifted and packed when
tamped or lifted and intervention level dip angles are reached
packed before
intervention level dip
angles are reached
27 IBJs IBJs shall be N/A N/A
replaced after the
passage of specified
tonnages of traffic
28 IBJs IBJs shall be replaced: IBJ insulations shall
be replaced:
• if they repeatedly deteriorate to
intervention level dip angle • if they show
• if they cause track circuit failure signs of failure
• if the insulations show signs of failure • if the IBJ causes
a track circuit
Shop manufactured glued IBJs shall be failure
used. They shall be 6-hole unless precluded
by curvature. Site made IBJs may only be IBJs shall be
used as a temporary measure and shall be replaced:
replaced within specified timescales
• if they repeatedly
deteriorate to
intervention level
dip angle
• if the insulations
require to be
replaced, but
cannot be without
replacing the
whole joint
Like for like

replacements shall
be used, unless the
existing IBJ type is
obsolete
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Renewal
29 Renewal Rail shall be renewed if specified replacement criteria are met for:
Criteria
• defect history (frequency of intervention)
• safety (heavy or severe RCF, risk of broken rail, etc)
• wear (sidewear, railhead profile grinding)
30 Renewal All pre-1976 rail in All pre-1976 rail in N/A

Criteria track categories 1A track categories 1
and 1 shall be and 2 shall be
renewed by the end renewed by the end
of CP4 and in track of CP5
categories 2 and 3 by
the end of CP5.
Note: approx. 1200

and 1500 track km
respectively
31 Renewal Rail in wet tunnels and other aggressive environments shall be
Criteria replaced at specified frequencies to suit the rate of rail corrosion at
each site
Policy Statements for Plain Line Sleepers
Maintenance
32 Service Life The service life of sleepers may be limited by rail surface damage,
dipped joints or welds, voiding, or ineffective pads or insulators,
singly or in combination. Track management regimes shall comprise
appropriate volumes of train based grinding, rail defect repair and
replacement, geometry maintenance, drainage maintenance and
replacement of rail pads and insulators, prioritised by route type, to
optimise sleeper service life
33 Pads and Pads and insulators of all types shall be replaced:
Insulators
• where inspection identifies local deterioration
• if pad condition is adversely affecting track circuit reliability
• when rails are replaced
in conjunction with ballast cleaning

34 Pads and 5mm pads, insulators and fastenings shall Where 5mm pads
Insulators be replaced after the passage of specified and insulators
tonnages of traffic. The preferred require replacement,
replacements on sleepers with pandrol like for like
fastenings are 7.5mm pads, side post replacements shall
insulators and e-plus clips be used
Renewal
35 Renewal Older concrete Timber sleepered
Criteria sleeper designs with jointed track shall be
5mm pads shall be prioritised for
prioritised for replacement in
replacement in renewal
renewal programmes programmes
36 Cable Cable installation or reinstatement shall enable every sleeper to be
Management tampable
Interfaces
37 Longitudinal Longitudinal timbers N/A N/A
Timbers shall be
progressively
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eliminated by
replacement with
ballasted track or
other improved track
support systems.
Future track and
structures renewals
plans shall be
reviewed to identify
potential sites for
improvement
38 Weak Weak embankments N/A N/A
Embankments that cause high rates
of track settlement
shall be identified
and considered for
strengthening in
structures renewals
plans
Policy Statements for Plain Line Ballast and Track Geometry
Inspection
39 Monitoring Track geometry shall be monitored to enable:
• deterioration rates to be determined

• future track geometry maintenance requirements to be planned
• the specified track geometry targets to be met
Maintenance
40 Maintenance Track geometry shall Track geometry shall be maintained when
Criteria be maintained at target intervention limits are predicted to be
regular intervals met
dependent upon the
deterioration rates
along sections of
route
41 Tamping, The preferred As for Primary.
Stoneblowing method of track
and Manual geometry If the rail, sleepers, fastenings or ballast on a
Maintenance maintenance is section of jointed track are unsuitable for
tamping. tamping or stoneblowing, geometry shall be
Stoneblowing may be maintained manually
used instead of
tamping on older
track, if ballast
conditions are such
that geometry targets
cannot be met by
tamping at economic
intervals.
Additional localised
lifting and packing
may be required to
rectify geometry
exceedences
Renewal
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42 Renewal CWR track should be CWR track shall be As for Secondary.
Criteria ballast cleaned and ballast cleaned and
restressed at restressed if: Note: stand alone
approximately half reballasting is not a
the service life of the • track geometry preferred treatment
track system, so that: cannot be for jointed track
sustained by
• tamping at stoneblowing
economic • the rails and
intervals sleepers have at
continues to be least 15 years’
effective remaining
• geometry targets service life
continue to be • there is no
met significant
• the full service formation failure
life of the track
system is Note: typical sites
achieved would be suffering
ballast
Ballast cleaning contamination due to
should also be wash down in
considered for cuttings or spillage
stoneblown track if from wagons.
the rail and sleepers Traxcavation is not a
have at least 15 preferred method for
years remaining stand alone
service life. reballasting
Note: traxcavation is
not a preferred
method for stand
alone reballasting.
Track that cannot be
ballast cleaned due
to obstructions will
therefore have a
shorter service life
Policy Statements for S&C (plain line policies also apply to S&C unless modified below)
Inspection
43 Inspection S&C systems shall receive detailed inspection at regular intervals, so
Criteria that the maintenance required to ensure their reliable and safe
operation is identified and programmed. The following aspects shall
be addressed:
• reliability – avoidance of point failures, track circuit failures or

speed restrictions due to track condition
• asset life – preventive maintenance to achieve the expected
service life
safety – avoidance of derailment risk from worn, damaged, broken or

incorrectly adjusted components
Maintenance
44 Grinding S&C shall be ground Track categories 1 N/A
using train based to 3: as for Primary.
grinders to restore
the specified rail
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head profile at Track categories 3
regular intervals, to 6: N/A
dependent upon the
tonnages of traffic.
Crossing noses shall
be ground manually
45 RCF S&C that exhibits heavy or severe RCF shall be planned for
replacement. Grinding heavy or severe RCF shall only be used as
temporary mitigation pending replacement of ironwork
46 Switches Switch blades and Switch blades and stock rails that exhibit
stock rails that exhibit lipping, ridges or other derailment hazards
lipping, ridges or shall be manually ground using supported
other derailment grinders when intervention limits are reached
hazards shall be
manually ground
using supported
grinders before
intervention limits are
reached
47 Switches Wear to the top of Wear to the top of switch blades within the
switch blades within planed length shall be weld repaired when
the planed length intervention limits are reached
shall be weld
repaired before
reached
48 Crossings Crossings shall be Crossings shall be manually ground within a
manually ground specified timescale after renewal, to remove
within a specified lipping from around the nose and enable the
timescale after expected service life of the crossing to be
renewal, to remove achieved
lipping from around
the nose and enable
the expected service
life of the crossing to
be achieved
49 Crossings Crossings shall be Crossings shall be weld repaired when
weld repaired at intervention level wear to the nose and/or
regular intervals, wing rails is reached
before intervention
level wear to the
nose and/or wing
rails is reached
50 Geometry Track geometry at N/A
Maintenance S&C shall be
Criteria maintained at regular
intervals dependent
upon the
deterioration rates at
each layout
51 Tamping and The preferred method of S&C geometry maintenance is tamping.
Manual Every bearer shall be tamped (this may require manual resources).
Maintenance All S&C tamping shall be to a design scheme.
Additional localised lifting and packing may be required to rectify

geometry exceedences
52 Tamping and Parallel tamping is required to achieve long Manual methods
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Manual lasting results on concrete bearer layouts may be used if this is
Maintenance more economic than
tamping, due to the
location or condition
of the S&C (i.e. due
to the cost of sending
a tamper to a remote
location, or the cost
of component
refurbishment and
replacement to make
the S&C fit for
tamping)
53 Cable Cable installation and When S&C is renewed, cable installation or
Management reinstatement shall reinstatement shall enable every bearer to
enable every bearer be tampable
to be tampable
Renewal
54 Renewal S&C shall be N/A
complete renewal
after the passage of
specified tonnages of
traffic
55 Renewal S&C shall be considered for complete S&C shall be
Criteria renewal: renewed if economic
maintenance
• if geometry targets cannot be met by (including the repair
maintenance at economic intervals and replacement of
• if points failures due to track condition defective
cannot be prevented by maintenance at components) cannot
economic intervals prevent:
• if the ironwork and/or bearers have no
remaining service life (but if the condition • the imposition of
of switches and/or crossings is the only a TSR due to
renewal driver, only the switches and/or track geometry
crossings shall be renewed) or component
condition
S&C on timber bearers on high cant • unacceptable
deficiency curves or of older inclined design numbers of point
shall be prioritised for replacement in renewal failures due to
programmes track condition
56 Abandonment The opportunity to abandon S&C shall always be considered at

renewal
57 Partial Partial renewal or Partial renewal or The service life of
Renewal refurbishment of refurbishment of S&C S&C shall be
S&C on timber on timber bearers shall extended as far as
bearers shall be be considered as an possible by the
considered as an alternative to complete replacement of
alternative to renewal, where this individual
complete renewal, would enable components. Partial
where this would abandonment or renewal or
enable complete renewal to refurbishment of
abandonment or be carried out in S&C on timber
complete renewal to conjunction with bearers shall
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be carried out in resignalling or always be
conjunction with enhancement considered as an
resignalling or schemes that will be alternative to
enhancement implemented within 10 complete renewal.
schemes that will be years Asset management
implemented within plans shall be
5 years based on the
minimum quantity of
complete renewal of
S&C required to
capability of each
route
58 Construction The preferred Track categories 1 and If complete renewal
construction for S&C 2: as for Primary. is required, the
renewal is NR60 Track categories 3 to preferred
S&C fully welded 6: The preferred construction for
and stressed, construction for S&C S&C renewal is
concrete bearers renewal is shallow shallow depth
and 300mm depth of depth vertical S&C vertical S&C
ballast. Shallow fully welded and
depth vertical S&C stressed, concrete fully welded and
on concrete bearers bearers and 300mm stressed, concrete
may be used by depth of ballast bearers and 300mm
exception in low depth of ballast
speed layouts if
NR60 geometry is
unsuitable
59 Mechanically Mechanically driven Appropriate treatments for mechanically
Driven S&C S&C shall be driven S&C that requires renewal are, in
prioritised for order of preference:
replacement in
renewal • abandonment
programmes. • motorisation and renewal in shallow
depth vertical on concrete bearers
Appropriate • retention of mechanical operating
treatments for mechanism and renewal in full depth
mechanically driven vertical on hardwood bearers
S&C that requires • retention of mechanical operating
renewal are, in order mechanism and renewal in bullhead on
of preference: hardwood bearers
• abandonment Selection will be on a site by site basis,

• motorisation and depending on operational requirements and
renewal practicability
60 Reballasting Stand alone As for Primary N/A

reballasting shall
only be considered
on fully welded S&C
on concrete bearers
61 Switches and When the condition As for Primary, except that for S&C in track
Crossings of switch blades, categories 4 to 6:
stock rails or
crossings is such • new or serviceable replacement half sets
that they have to be of switches or crossings may be used
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replaced, new half • semi-welded or fabricated crossings may
sets of switches or be used as follows:
crossings shall be
used. The preferred o to replace existing semi-welded or
replacement types fabricated crossings like for like: on a
are weldable half permanent basis
sets and cast centre
block crossings, to
to replace existing cast crossings: only as a
avoid or reduce
temporary measure
bolted joints in the
S&C. Bolted
monoblock
crossings may be
used by exception or
in lower speed
station layouts.
Serviceable half sets

or crossings and
semi-welded or
fabricated crossings
may only be used as
a temporary
measure and shall
be replaced within
specified timescales
62 Crossings Replacement crossings shall be installed with new check rails
63 IBJs IBJs in S&C shall be N/A N/A
replaced after the
tonnages of traffic
64 IBJs IBJs in S&C shall be replaced: IBJ insulations in
S&C shall be
• if they repeatedly deteriorate to replaced:
intervention level dip angle
• if they cause track circuit or points • if they show signs
failure of failure
• if the insulation shows signs of damage • if the IBJ causes
a track circuit or
Shop manufactured glued IBJs shall be points failure
used if practicable. They shall be 6-hole
unless precluded by curvature or geometry IBJs in S&C shall be
constraints. Site made IBJs not specified as replaced:
such in the layout drawings may only be
used as a temporary measure and shall be • if they repeatedly
replaced within specified timescales deteriorate to
intervention level
dip angle
require to be
replaced, but
cannot be without
replacing the
whole joint
Like for like

replacements shall be
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used, unless the
obsolete
Policy Statements for Lineside assets
Drainage
65 Inspection Drainage shall be inspected no less than annually
regime
66 Maintenance Drainage shall be cleared where inspection identifies that water is
not free flowing
67 Maintenance Track drainage Track drainage Track drainage
chambers shall be chambers shall be catchpits and pipes
cleared no less than cleared to suit the shall be cleared if:
annually monitored condition
of the drainage • inspection shows
that water cannot
flow away; or
• flooding is
causing
unacceptable
delays to trains or
nuisance to
neighbours
68 Maintenance All existing open channels shall be Crestline and Toe

cleared/reinstated in CP4 to permit the free drainage shall be
flow of water through to the outfall and cleared/reinstated in
beyond. CP4 to permit the free
flow of water through
to the outfall and
beyond
69 Fixed Interval Earthwork pipes and channels shall be cleared no less than once in
Maintenance 3 years
Boundary measures
70 Inspection Tactile inspection of boundary measures every 12 to 36 months
regime depending on track category and adjacent land use
71 Inspection Enhanced boundary inspections shall occur every 3 to 6 months at
regime evidenced locations of route crime
72 Maintenance Boundary measures shall be maintained to reduce the risk of
trespass and animals incursion
73 Maintenance Boundaries shall be repaired following damage
74 Maintenance The reliability and longevity of boundaries shall be progressively
improved by the cyclic re-tensioning of all fences with in-line straining
devices every 5 years
Vegetation
75 Inspection Vegetation shall be inspected to assess risks to the operational
regime railway, track worker safety and neighbours
76 Inspection Vegetation shall be surveyed every 5 years
regime
77 Inspection The National Vegetation survey will be completed by 2011
regime
78 Inspection Systematic inspection of trees over 150mm diameter
regime
79 Maintenance Risk mitigation timescales for dangerous trees shall be
commensurate with the assessed risk
80 Maintenance Cut stumps will be treated with herbicide to reduce undesirable
regrowth
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81 Maintenance All woody vegetation All woody vegetation All woody vegetation
shall be progressively shall be shall be
cleared to 5 metres progressively progressively
from the cess rail and cleared to 5 metres cleared to 3 metres
maintained to prevent from the cess rail from the cess rail
regrowth and maintained to and maintained
prevent regrowth. prevent regrowth
82 Maintenance Sites assessed as having a vegetation risk category 4 or 5 on any
earthwork type shall have the vegetation within our boundary
managed to reduce the risk to risk category 2 or below
83 Maintenance Sites in cuttings assessed as having a risk category 3 shall have the
vegetation within our boundary managed to reduce the risk to risk
category 2 or below
84 Maintenance Knotweed growing within our boundary will be controlled
85 Maintenance Lineside vegetation (not captured above) shall be cleared, including
the pruning or felling of trees, if:
• inspection or reports from staff/traincrew indicate that sight lines

or the cess are obstructed
• there is a high risk of obstruction of the track

• there is an unacceptable risk to neighbours
to mitigate leaf fall risks (SPAD, wheelslip and loss of track circuit
detection)
86 Maintenance The track and cesses shall be maintained clear of all vegetation
using train-based weedspraying no less than annually, supported
where necessary by manual spraying/clearance at environmentally
sensitive locations or locations where access by train is limited
87 Maintenance Vegetation in the 3-5m area shall be managed on a cyclic regime
utililising a combination of manual, mechanical and chemical
measures within the defined maintenance regime
Level crossing
88 Inspection Level crossing surfaces shall be inspected at regular intervals,
regime dependent upon crossing user and rail traffic volumes, to identify
defects that pose potential risk to crossing users or trains
89 Maintenance Level crossing surfaces shall be maintained to reduce the risk to
users and to trains
90 Maintenance Manufacturer-specified maintenance shall be carried out on A-road,
skewed and high load crossings no less than annually
End stop
91 Inspection End stops shall be inspected every 6 months
regime
92 Maintenance End stops shall be maintained in effective working order
Lineside signs
93 Inspection Lineside signs shall be inspected during basic visual track
regime inspections
94 Maintenance Lineside signs shall be maintained in a legible condition
Access points
95 Inspection Access points shall be inspected no less than annually
regime
96 Maintenance Access points in regular use shall be maintained in a safe condition
for users
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Track policy justification
Document control
File name
Location
Status Issue 1
Author Track Engineering team
Name Signature Date
Bob Cummings
Head of Track
Engineering
Gareth Jenkins
Head of Business
Engineering
Andrew
McNaughton
Chief Engineer

Page 71 of 470
1 General and Track System

1.1 Introduction
The track asset policy sets out the inspection, maintenance and renewal policy
statements that are in place to deliver the required network and route outputs.
Track assets are designed, constructed, inspected, maintained and replaced in
accordance with the policy.
The purpose of this document is to record the information and assumptions that
underpin these policy decisions, with quantitative evidence to support the principal
cost drivers. Issues addressed include:
• an assessment of the risk to business outputs as a result of asset
degradation or failure
• options considered to mitigate this risk
• the determination of the optimum balance between inspection,
maintenance and renewal
• the rationale for the choice of the replacement asset
• an assessment of the long-term implications of this policy (in terms of
impact on business outputs and cost)
1.2 Policy statements

The policy statements apply to all track engineering assets.
Figure 1 Policy statements for track system
No Activity Primary and Key L&SE Secondary, Other Rural and Freight
L&SE and Freight Other
Trunk
General
1 Performance Track inspection, Track inspection, Track inspection,
Outputs maintenance and maintenance and maintenance and
renewal regimes shall renewal regimes renewal regimes
be designed to minimise shall be designed to shall be designed to
the number of defects or reduce the number of prevent an increase
failures of the track defects or failures of in the number of
system that cause: the track system that defects or failures of
cause: the track system that
• delays to trains cause:
• accelerated wear to • delays to trains
trains or the • risk of derailment • delays to trains
infrastructure or fatality • risk of derailment
• risk of derailment or or fatality
fatality In particular:
In particular:
In particular: • all condition of
track speed • condition of track
• there shall be no restrictions shall speed
broken rails from be rectified restrictions shall
detectable defects be rectified if
• there shall be no they cause
condition of track unacceptable
speed restrictions delays to trains
imposed for longer
than 48 hours
• speed restrictions
due to rail defects
shall be minimised
Page 72 of 470
immediate action
geometry
exceedences
2 Construction The performance and service life of track shall be progressively

Improvements improved by the following actions, prioritised by route type:
• the elimination of fishplated rail joints by:

• replacement of jointed rails with CWR
• replacement of jointed and tight joint plated S&C with fully welded
S&C
• replacement of jointed track circuits and IBJs with jointless train
detection systems in conjunction with resignalling schemes
• the replacement of defect-prone rails made from ingots (generally
manufactured up to 1976) with rails made by continuous casting
• the elimination of older, weaker rail welds with shorter fatigue lives
(such as old composite and SMW) by re-railing and targeted
replacement
• reduction in the number of welds in CWR by the use of new rail
manufactured in longer lengths with fewer intermediate flash-butt
welds
3 Track Track maintenance and renewal regimes will include improved

Position: management of track position, to enable:
Clearances
• better control of gauge capability and through alignment
• optimisation of gauge clearances between trains, other trains and
structures
The gauge capability aspirations set out in the Freight RUS shall be
achieved at renewal where there is a business case
Inspection
4 Inspection Track shall be inspected at regular intervals, dependent on its
Regime construction and the equivalent annual tonnage of traffic carried. The
regime shall include visual inspection, track geometry recording and
ultrasonic inspection of the rails. Specific complex components shall
receive additional special inspections
Maintenance
5 Service Life The service life of ballast may be limited by rail surface damage, dipped
joints or welds, voiding, attrition, or contamination from fines, spillage,
blocked drainage or formation failure, singly or in combination. Track
management regimes shall comprise appropriate volumes of train based
grinding, rail defect repair and replacement, geometry maintenance,
drainage maintenance and replacement of rail pads and insulators,
prioritised by route type, to optimise ballast service life.
6 Service Life The service life of the track shall be extended by heavy maintenance or
Extension partial renewal where appropriate
Renewal
7 Formation Track renewals shall include formation treatment and/or the installation,
and Drainage renewal or refurbishment of drainage, where specified
8 Renewal Track renewal regimes Track renewal Track maintenance
Regime shall be developed that: regimes shall and renewal regimes
predominantly be shall be developed
• are driven by condition driven, with for each route,
predicted condition tactical deployment depending on the
• make optimum use of high output proportion of jointed
of high output methods where track and its
methods appropriate
Page 73 of 470
• progressively move condition:

towards cyclic
renewal of sections • significant
of route after the mileage of track
passage of specified is jointed and in
tonnages of traffic, good condition –
taking account of maintain jointed
route specific asset track in
or traffic conditions perpetuity
• significant
Note: this will require a mileage of track
proportion of condition is jointed and in
driven renewals to be poor condition –
either brought forward plan to renew
or deferred jointed track in
poor condition
with CWR
• short mileage of
track is jointed –
consider renewal
of remaining
jointed track with
CWR, to reduce
inspection and
maintenance
costs on the
route
Regimes shall
comprise the
minimum quantity of
renewal required to
capability of each
route, subject to
economic delivery
considerations
9 Renewal When track or one of its constituent components require renewal,
Criteria abutting track or the other components with less than 5 years’ remaining
service life shall also be considered for renewal
10 Renewal Track shall be N/A N/A
Criteria considered for complete
renewal after the
tonnages of traffic
11 Renewal Track shall be considered for complete renewal: Track shall be
• If geometry targets cannot be met by complete renewal if
tamping or stoneblowing at economic economic
intervals maintenance
• If the rail and/or sleepers have no remaining (including the repair
service life (but if rail wear or corrosion is the and replacement of
only renewal driver, only the rail shall be defective
renewed components) cannot
prevent the
imposition of a TSR
due to track
geometry or
component condition
construction for track and 2: as for Primary. is required, the
Page 74 of 470
renewal is CEN60 rail, Track categories 3 to preferred

G44 or EG equivalent 6: the preferred constructions for
concrete sleepers at construction for track renewal are:
600mm spacing and renewal is CEN56
300mm depth of ballast rail, G44 or EG • cascaded or
equivalent concrete serviceable flat
sleepers at 650mm bottom rail,
spacing and 200- serviceable
250mm depth of concrete
ballast sleepers at
700mm spacing
and 200mm
depth of ballast
• CEN56 rail, steel
sleepers at
700mm spacing
and scarified
ballast
Selection will be on
a site by site basis,
depending on
installation cost,
availability of
recovered materials
and suitability for
scarifying (ballast
condition and
clearances for lifting)
13 Recovery and Rails and sleepers shall N/A N/A
Re-use of be recovered from
Materials renewals sites for re-use
unless this is
uneconomic or their
condition is unsuitable.
Rails may either be
directly cascaded to low
category tracks or
certified as serviceable
after refurbishment
Interfaces
14 Resignalling Track renewal plans shall be integrated with future planned resignalling
and and enhancement schemes to:
enhancement
Schemes • reduce the cost of renewals
• abandon surplus track infrastructure
• move S&C from curves onto straights
• reconfigure slips and switch diamonds
• improve performance, capability and capacity

15 Incremental The opportunity to incorporate incremental enhancements to improve
Enhancement performance, capability and capacity shall be considered at renewal.
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16 Track Managed track position When track is renewed, designed alignments

Position: shall be installed and shall be installed and referenced at all fixed
Geometry maintained at all fixed points, transitions, regular curves and S&C
points, transitions,
regular curves and S&C
on the East Coast and
Western main lines.
ATG shall be used to
support EPS operation
on the West Coast main
line. Other routes shall
be as for Secondary
1.3 Brief description of the purpose of the track system

The purpose of the track system is to convey the planned range and tonnage of
traffic at the range of authorised speeds safely, economically and reliably across
the network. The capability of route sections is defined in terms of the gauge
capability, speed, maximum axle weight and annual equivalent tonnage of traffic
that the track system can accommodate.
The principal components of the track system are:
• rails; provide guidance and a smooth running surface for train wheels
• sleepers; can be pre-stressed concrete, steel, hardwood or softwood;
support the rails at the correct inclination and distance apart (gauge), and
transmit vertical, lateral and longitudinal forces from trains and thermal
stresses in the rails into the ballast
• fastenings; secure the rails to the sleepers, either directly or via
baseplates or chairs
• ballast; supports the sleepers at the correct level and alignment, spreads
the forces from the sleepers into the sub-grade and formation, and
enables surface water to drain away
• sub-grade and formation; support the forces from the ballast, and collect
water into the drainage system
• drainage; conveys water from the sub-grade and formation along or
across the track to an outfall
The track system can be divided into three main sub-groups:

• plain line, described in part 2
• switches and crossings (S&C), described in part 3
• lineside and other track assets, described in part 4
1.4 Failure modes and risks

Deterioration of the track system is primarily usage driven. Deterioration rates are
increased by:
• high train speeds
• heavy annual tonnages
• heavy axle weights
• jointed track construction
• inappropriate maintenance
Other causes of deterioration include:
• vehicle suspension characteristics
• poor wheel/rail interface (caused by inappropriate wheel and/or rail
profiles)
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• poor vehicle and train management, e.g. causing wheel flats

• weather and other external factors
• tamping (improves track geometry but wears out ballast)
• insufficient or irregular track access
1.5 Impact on business outputs

The potential impact on business outputs of failed or degraded track assets
includes:
• train service delays
• increased maintenance cost, shortened asset service lives and increased
asset whole life cost
• failure to meet targets for asset stewardship (including broken rails and
immediate action rail defects, track geometry quality, intervention and
immediate action geometry exceedences)
• reduced route capability (e.g. condition of track speed restrictions, axle
weight and gauge restrictions) and failure to meet train service contractual
commitments
• increased risk of train derailment or collision
• route closure
1.6 Risk management

We manage these risks by:
• A track asset inspection and maintenance regime based on safety and
commercial risk, deterioration rates, anticipated failure modes and
identification of work needed so that, as far as possible, it can be carried
out in a planned way
• A track asset renewal regime which uses a set of condition based
replacement criteria, derived from analysis and experience, which enables
us to balance the cost of renewal with the loss of output as a result of
failure
To ensure that the cost of these regimes is commensurate with the risks to
business outputs of asset failure/degradation on these routes, the inspection,
maintenance and renewal regimes are differentiated by the type and nature of
traffic carried.
Safety risk on track assets is managed by the application of a categorisation
system, based upon speed and annual tonnage of traffic (Equivalent Million Gross
Tonnes per Annum – EMGTPA). Track categories are defined in the Track
Category Matrix, which is recorded in Railway Group Standard GC/RT/5023
‘Categorisation of Track’. They range from Categories 1 and 1A for high speeds
and tonnages, to Category 6 for low speeds and tonnages. The track category
provides details of the minimum inspection and maintenance regime.
For the purpose of managing other business outputs (primarily financial and
reputational) a further classification system has been adopted. This is based on
the nature and volume of traffic carried, and hence the importance of the route to
the business and industry stakeholders. Within the constraints defined by the
route category, the asset management regimes are further differentiated obtain a
balance between the cost of these regimes and the cost of the business risks.
For the purpose of differentiating these regimes three route types have been
adopted:
Primary and key London and South Eastern (L&SE) commuter routes
Page 77 of 470
These routes are intensively used and support high speed traffic. Passenger
revenue on these routes is high, as are the compensation payments for train
delays. There is a generally high demand for increased capability (gauge, axle
weight, tonnage etc), but track access for maintenance, renewals and
enhancements is at a premium.
These routes are predominantly Continuous Welded Rail (CWR); with
approximately 95% CWR and 5% jointed.
Secondary, other L&SE and freight trunk routes
These routes generally have a high to moderate frequency of service, with lower
line speeds. Traffic is mainly from multiple operators with associated wide range
of income and delay charges. Some of the routes are diversionary routes for
primary routes. In L&SE the routes are mainly electrified and, together with other
suburban areas, have a high concentration of switches and crossings.
These routes are generally CWR, with some jointed track (85% CWR, 15%
jointed).
Rural and other freight
These routes have a lower level of intensity of service, at lower speeds. Traffic is
local and often from a single operator, generally dedicated passenger or freight
with lower income and delay charges. Most have mechanical signalling, are not
electrified, and have a low concentration of S&C. The route capability is often
limited by structures or significant mileage of old jointed track
Rural routes are predominantly jointed construction (63% jointed, 37% CWR).
Freight only routes convey heavy axle weight traffic and have a greater proportion
of CWR (42% jointed, 58% CWR).
The policies for rural and freight only routes also applies to track in depots and
sidings.
1.6.1 Inspection and maintenance criteria and type
The key elements of the inspection and maintenance regime for track assets are:
• visual track inspections by patrollers to identify any immediate or short
term actions required
• visual track inspections by supervisors, to identify work to be planned and
carried out, review trends in condition, identify items to be proposed for
renewal, and check that inspection, maintenance and renewal work are
effective
• visual inspections by engineers to review condition, trends, work
sufficiency, proposals for renewal work, and check the quality and
effectiveness of inspection, maintenance and renewal regimes
• special inspections of specific assets and components
• ultrasonic testing of rails
• track geometry recording
• reactive maintenance to address issues resulting from asset inspection
• planned preventive maintenance regimes to address monitored and
predictable asset degradation and prevent premature asset failure
• wherever possible, the definition of criteria that identify when the asset
should be repaired or replaced
The inspection frequencies have been chosen to balance the cost of these
inspections with the cost to the business of asset degradation that would lead to
service disruption.
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In addition to these routine inspections special inspections are undertaken for

specific complex components. Frequencies of these special inspections are
independent of Track Category. The types and minimum frequencies of the most
common special inspections are shown in Appendix 1.
Inspection and maintenance regimes may be increased for routes where track
construction, condition or performance falls short of the requirements for the route
type. High or increasing deterioration rates are indicators that the route may
contain localised weaknesses or that the assets may be nearing the end of their
economic service life.
1.6.2 Replacement criteria and type
The key condition-related elements of the replacement criteria are:
• rail defects and poor rail defect trends
• rail wear approaching acceptable limits
• sleepers rotting, cracking or showing significant deterioration around the
housing or rail seat
• failure or seizure of fastenings
• clogged ballast, preventing effective tamping and correct drainage
• ineffective drainage or waterlogged sub-grade
• poor track geometry quality and trends
Performance-related replacement criteria include:
• track circuit failures and poor failure trends
• point failures and poor failure trends
Particular types of track component and construction more commonly exhibit the
replacement criteria than others. They include:
• jointed rails
• rail manufactured before 1976
• softwood sleepers
• concrete sleepers with 5mm pads, generally manufactured before 1979
• older obsolescent fastening types
• jointed S&C
• older inclined designs of S&C
• slips and switch diamonds
• timber bearers
Other replacement criteria include redundant or surplus assets and assets with
less than the required capability or capacity.
The following construction types are preferred for the renewal of plain line and
S&C:
• CEN60 or CEN56 flatbottom CWR on concrete or steel sleepers for plain
line
• NR60 or shallow depth vertical fully welded designs on concrete bearers
for S&C
These construction types are significantly stronger than the historic jointed
construction they often replace, leading to significant performance and safety
benefits, reduced maintenance expenditure, longer asset service lives and
reduced whole life costs. Recovery and re-use of serviceable materials from
renewals can be economic, particularly re-use on lightly-trafficked routes.
1.7 Planning assumptions
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The long term renewals planning process is centred on estimated service lives of
assets deemed to be a suitable proxy for condition based assessment. The
Infrastructure Cost Model (ICM) contains a series of service life curves for rail,
sleepers, ballast and S&C, as shown below.
Figure 2 Rail service life curves
Rail service lives

120
100
service life (years)
80
60
40
20
0
2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32 34 36
PL CWR - pre 75 PL CWR - post 75 PL Jointed EMGTPA
Figure 3 Sleeper service life curves
Sleepers service lives
70
60
50
s e rv ic e life
40
30
20
10
2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32 34 36
Concrete / Hardw ood - pre 79 "less than ideal"
Concrete / Hardw ood - pre 79 "OK" EM GTPA
Concrete / Hardw ood - post 79 any
Softw ood under bullhead rail
Softw ood under flat bottom rail
Steel
Page 80 of 470
Figure 4 S&C service life curves
S&C service lives

60
55
50
45
service life
40
35
30
25
20
4 6 8 10 12 14 16 18 20 22 24 26 28 30 32 34 36
EM GTPA
V ertical (modern) Inclined ("older types")
The service life curves are based on a matrix of service lives for the main track
components across the range of track categories. The service lives in the matrix
reflect our experience of the age of track currently being validated for renewal.
Service lives can be expected to increase in future control periods, as existing
populations of older CWR, sleepers and S&C on timber bearers are renewed with
CEN60 CWR and NR60 or shallow depth vertical S&C on concrete bearers.
Each of the service life curves shown above have been calculated from the matrix
based on usage (EMGTPA). These have been used for the majority of segments
within the ICM to determine renewal dates. Some segments (mostly Rural and
Freight Only routes) have a management regime of ‘maintain in perpetuity’, as
renewals on these routes are not based on asset service lives.
Rail types modelled are CWR plain line installed before 1975, CWR plain line rail
installed after 1975 and jointed rail. Rail is also modelled as straight or curved,
where curved rail is replaced at half the service life of straight rail. Sleeper types
modelled are concrete/hardwood, softwood under bullhead rail, softwood under
flat bottom rail and steel. S&C types modelled are vertical and inclined.
The future volumes of key track maintenance and inspection activities are also
modelled by the ICM, in accordance with current policies, standards and practice.
A number of approaches are needed to determine volumes of inspection and
maintenance activity including time based frequencies, usage and position in
asset life. Wet bed removal for example is based upon a percentage treated each
year based on age whereas tamping is based upon cumulative tonnage.
Deterioration rates and service lives for drainage and lineside and other track
assets are generally independent of track category. Renewal and maintenance
volumes for drainage, boundary measures and vegetation are modelled from
geographically based work banks through CP4 and an annual percentage of the
asset population in subsequent years.
Page 81 of 470
1.8 Critical assets

In line with Network Rail’s asset management strategy, we are moving to a
position where all key aspects of our track management regimes are fact-based
(i.e. based upon quantitative supporting evidence and subject to rigorous
analysis). As this represents an extensive exercise we have prioritised our
actions based upon CP4 expenditure forecasts and the safety or performance
impact of premature asset. For track these ‘critical assets’ cover plain line on all
routes and S&C on primary, L&SE and secondary route.
In addition for each of these assets we have identified the key interventions (in
expenditure terms) that support the delivery of the management regimes for each
of these assets. These are shown in the table below.
Figure 5 Key cost drivers for critical assets

Asset Intervention
Rail/ballast/sleeper Inspection
Rail Inspection driven maintenance
Fixed-interval maintenance
Renewal
Sleepers Renewal
Ballast Inspection driven maintenance
Renewal
With few exceptions, and where feasible, key interventions on track critical assets
are supported by quantitative data.
2 Plain line
2.1 Brief description of the purpose of plain line
The purpose of plain line is covered in section 1.3. Common components in plain
line in addition to those in section 1.3 include:
• rail welds; the strongest means of connecting one rail to another; they can
be flash-butt (generally shop-manufactured) or aluminothermic (generally
made on site)
• fishplated and bolted joints; fishplates can be tight jointed to transmit
longitudinal rail forces, or plain to allow the rail to expand and contract
• Insulated Block Joints (IBJs); fishplated joints that electrically insulate one
rail from another
• expansion switches; permit greater expansion and contraction than
fishplated joints; fitted at the ends of continuous welded rail (CWR) to
prevent lateral buckling of the abutting track
• pads and insulators; resilient inserts that reduce wear and electrically
insulate the rails from the sleepers and fastenings
• baseplates; steel or cast iron seats for rails, fitted to particular
sleeper/fastening combinations
• longitudinal timbers; alternative to sleepers and ballast, installed mainly on
older metal underbridges
• slab track; reinforced concrete slab alternative to sleepers and ballast,
installed mainly in tunnels to maximise gauge clearance for trains
The following policy statements apply to plain line assets
Page 82 of 470
Figure 6 Policy statements for plain line system

No Activity Primary and Key Secondary, Other Rural and Freight
Trunk
Inspection
17 Inspection Track inspection Track inspection regimes shall use an
Regime regimes shall make appropriate mix of train borne, remote and
maximum use of train manual methods
borne and remote
methods
Maintenance
18 Maintenance Track maintenance Track maintenance Track maintenance
Regime regimes shall be regimes shall be regimes shall be
designed that: designed that: designed that:
• rectify defects • rectify defects • rectify defects

before intervention when intervention when
levels are reached levels are intervention
• minimise the reached levels are
number of • reduce the reached
immediate action number of • avoid increases
defects immediate action in the number of
• deliver the expected defects immediate action
service lives of rails, • deliver the defects
sleepers and ballast expected service • reduce the need
lives of rails, for renewal by
sleepers and the replacement
ballast of components
to extend service
life
Policy Statements for Plain Line Rail

Inspection
19 Ultrasonic UTU compliant regimes Track categories 1 Ultrasonic inspection
inspection shall be used for the and 2: as for of rail shall generally
ultrasonic inspection of Primary. be manual
rail in track categories
1A to 3. The balance of Track categories 3 to
inspection shall be by 6: UTU compliant
UTU where practical, regimes shall be
otherwise manual considered for the
testing shall be used ultrasonic inspection
of rail in track
category 3,
depending on:
• proportion of
CWR/jointed
track
• age of rail
• access for
manual testing
• deliverability of
UTU programme
nationally
(current UTU
resources enable
approx. 75% of
all category 3
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Trunk
track to be
covered)
The balance of
inspection shall be
manual
Maintenance
20 Service Life The service life of rail may be limited by surface damage, internal
defects, dipped joints or welds, voiding, wear or corrosion, singly or in
combination. Track management regimes shall comprise appropriate
volumes of rail lubrication, train based grinding, defect repair and
optimise rail service life.
21 Lubrication All curves with radii All curves with radii Curves with radii
below 1500 metres shall below 800 metres below 800 metres
be lubricated using non shall be lubricated. shall be lubricated if
contact remote mounted Curves with radii the rail life due to
lubricators. Existing between 1500 and sidewear without
mechanical lubricators 801 metres shall be lubrication is (or
shall be replaced when lubricated if the rail would be) less than
the rail is renewed life due to sidewear 5 years. Lubricators
without lubrication is shall be installed on
(or would be) less unlubricated curves
than 5 years. when the rail is
Installation of non renewed
contact remote
mounted lubricators
should be considered
on multiple curves
when the rail is
renewed
22 Lubrication The adequacy of existing lubrication shall be reviewed following
significant changes to the type of rolling stock or tonnage of traffic along
a route
23 Grinding Rail shall be ground Track categories 1 to Train based grinding
using train based 3: as for Primary. shall be considered
grinders to restore the where inspection
specified transverse Track categories 4 to identifies problems
and longitudinal rail 6: train based due to poor
head profile at regular grinding shall be transverse or
intervals, dependent considered where longitudinal rail head
upon: inspection identifies profile
problems due to poor
• whether the track is transverse or
straight or curved longitudinal rail head
• the passage of profile
specified tonnages
of traffic
24 RCF Rail that exhibits heavy or severe high rail RCF shall be planned for
replacement. Grinding heavy or severe high rail RCF shall only be used
as temporary mitigation pending rerailing
25 Welds Welds shall be Welds shall be Welds shall be
straightened and straightened and straightened and
ground and/or lifted and ground and/or lifted ground and/or lifted
packed before and packed when and packed when
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Trunk
intervention level dip intervention level dip intervention level dip
angles are reached. angles are reached. angles are reached
Welds that repeatedly Welds that
deteriorate to deteriorate to
intervention level dip immediate action
angle shall be level dip angle shall
considered for be replaced or
replacement or rerailing rerailed
26 IBJs IBJs and adjustment IBJs and adjustment switches shall be
switches shall be tamped or lifted and packed when
tamped or lifted and intervention level dip angles are reached
packed before
intervention level dip
angles are reached
27 IBJs IBJs shall be replaced N/A N/A
after the passage of
traffic
28 IBJs IBJs shall be replaced: IBJ insulations shall
be replaced:
• if they repeatedly deteriorate to intervention
level dip angle • if they show
• if they cause track circuit failure signs of failure
• if the insulations show signs of failure • if the IBJ causes
a track circuit
Shop manufactured glued IBJs shall be used. failure
They shall be 6-hole unless precluded by
curvature. Site made IBJs may only be used as IBJs shall be
a temporary measure and shall be replaced replaced:
within specified timescales
• if they
repeatedly
deteriorate to
intervention level
dip angle
require to be
replaced, but
cannot be
without replacing
the whole joint
Like for like

replacements shall
be used, unless the
obsolete
Renewal
29 Renewal Rail shall be renewed if specified replacement criteria are met for:
Criteria
• defect history (frequency of intervention)
• safety (heavy or severe RCF, risk of broken rail, etc)
• wear (sidewear, railhead profile grinding)
30 Renewal All pre-1976 rail in track All pre-1976 rail in N/A

Criteria categories 1A and 1 track categories 1
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Trunk
shall be renewed by the and 2 shall be
end of CP4 and in track renewed by the end
categories 2 and 3 by of CP5
the end of CP5. (Note:
approx. 1200 and 1500
track km respectively)
31 Renewal Rail in wet tunnels and other aggressive environments shall be
Criteria replaced at specified frequencies to suit the rate of rail corrosion at
each site
Policy Statements for Plain Line Sleepers
Maintenance
32 Service Life The service life of sleepers may be limited by rail surface damage,
dipped joints or welds, voiding, or ineffective pads or insulators, singly
or in combination. Track management regimes shall comprise
appropriate volumes of train based grinding, rail defect repair and
optimise sleeper service life
33 Pads and Pads and insulators of all types shall be replaced:
Insulators
• where inspection identifies local deterioration
• if pad condition is adversely affecting track circuit reliability
• when rails are replaced
in conjunction with ballast cleaning

34 Pads and 5mm pads, insulators and fastenings shall be Where 5mm pads
Insulators replaced after the passage of specified and insulators
tonnages of traffic. The preferred replacements require replacement,
on sleepers with pandrol fastenings are 7.5mm like for like
pads, side post insulators and e-plus clips replacements shall
be used
Renewal
35 Renewal Older concrete sleeper Timber sleepered
Criteria designs with 5mm pads jointed track shall be
shall be prioritised for prioritised for
replacement in renewal replacement in
programmes renewal programmes
36 Cable Cable installation or reinstatement shall enable every sleeper to be
Management tampable
Interfaces
37 Longitudinal Longitudinal timbers N/A N/A
Timbers shall be progressively
eliminated by
replacement with
ballasted track or other
improved track support
systems. Future track
and structures renewals
plans shall be reviewed
to identify potential sites
for improvement
38 Weak Weak embankments N/A N/A
Embankments that cause high rates of
track settlement shall be
identified and
considered for
strengthening in
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Trunk
structures renewals
plans
Policy Statements for Plain Line Ballast and Track Geometry
Inspection
39 Monitoring Track geometry shall be monitored to enable:
• deterioration rates to be determined

• future track geometry maintenance requirements to be planned
• the specified track geometry targets to be met
Maintenance
40 Maintenance Track geometry shall be Track geometry shall be maintained when
Criteria maintained at regular target intervention limits are predicted to be
intervals dependent met
upon the deterioration
rates along sections of
route
41 Tamping, The preferred method of track geometry As for Primary.
Stoneblowing maintenance is tamping. Stoneblowing may be
and Manual used instead of tamping on older track, if ballast If the rail, sleepers,
Maintenance conditions are such that geometry targets fastenings or ballast
cannot be met by tamping at economic on a section of
intervals. jointed track are
unsuitable for
Additional localised lifting and packing may be tamping or
required to rectify geometry exceedences stoneblowing,
geometry shall be
maintained manually
Renewal
42 Renewal CWR track should be CWR track shall be As for Secondary.
Criteria ballast cleaned and ballast cleaned and
restressed at restressed if: Note: stand alone
approximately half the reballasting is not a
service life of the track • track geometry preferred treatment
system, so that: cannot be for jointed track
sustained by
• tamping at stoneblowing
economic intervals • the rails and
continues to be sleepers have at
effective least 15 years’
• geometry targets remaining service
continue to be met life
• the full service life of • there is no
the track system is significant
achieved formation failure
Ballast cleaning should Note: typical sites

also be considered for would be suffering
stoneblown track if the ballast contamination
rail and sleepers have due to wash down in
at least 15 years cuttings or spillage
remaining service life. from wagons.
Traxcavation is not a
Note: traxcavation is not preferred method for
a preferred method for stand alone
stand alone reballasting
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Trunk
reballasting. Track that
cannot be ballast
cleaned due to
obstructions will
therefore have a shorter
service life
2.2 Asset types and population details
Figure 7 Track – plain line types and population details (km)

FREIGHT Trunk 1391
Other 701
Total 2092
LSE Key 2065
Other 2087
Total 4152
PRIMARY 10294
SECONDARY 10719
RURAL 3848
Total 31105
Age profiles
Figure 8 Primary and Key London & SE routes, rail age profile
3000
2500
2000
kms of Track
PL Jnt
1500
PL CWR
1000
500
0
2005-Present
Pre 1940
1940-1944
1945-1949
1950-1954
1955-1959
1960-1964
1965-1969
1970-1974
1975-1979
1980-1984
1985-1989
1990-1994
1995-1999
2000-2004
Year
Page 88 of 470
Figure 9 Primary and Key London & SE routes, sleeper age profile
2000
1800
1600
1400
1200 Steel
kms of Track
Softwood
1000 Slab track
Longitudinal timber
800 Concrete/Hardwood
600
400
200
0
Pre 1940
1940-1944
1945-1949
1950-1954
1955-1959
1960-1964
1965-1969
1970-1974
1975-1979
1980-1984
1985-1989
1990-1994
1995-1999
2000-2004
2005-Present
Year
Figure 10 Primary and Key London & SE routes, ballast age profile
Total
2000
1800
1600
1400
1200
kms of Track
1000 Total
800
600
400
200
0
2005-Present
Pre 1940
1940-1944
1945-1949
1950-1954
1955-1959
1960-1964
1965-1969
1970-1974
1975-1979
1980-1984
1985-1989
1990-1994
1995-1999
2000-2004
Year
Page 89 of 470
Figure 11 Secondary, Other London & SE and Freight Trunk routes, rail age
profile
2500
2000
1500
kms of Track
PL Jnt
PL CWR
1000
500
0
2005-Present
Pre 1940
1940-1944
1945-1949
1950-1954
1955-1959
1960-1964
1965-1969
1970-1974
1975-1979
1980-1984
1985-1989
1990-1994
1995-1999
2000-2004
Year
Figure 12 Secondary, Other London & SE and Freight Trunk Routes, Sleeper Age
Profile
2500
2000
1500 Steel
kms of Track
Softwood
Slab track
Longitudinal timber
1000 Concrete/Hardwood
500
0
Pre 1940
1940-1944
1945-1949
1950-1954
1955-1959
1960-1964
1965-1969
1970-1974
1975-1979
1980-1984
1985-1989
1990-1994
1995-1999
2000-2004
2005-Present
Year
Page 90 of 470
kms of Track kms of Track
0
100
200
300
400
500
600
700
800
900
0
500
1000
1500
2000
2500
Pre 1940
Figure 14
Figure 13
Pre 1940
Network Rail
1940-1944
1940-1944
1945-1949
1945-1949
1950-1954
1950-1954
1955-1959
1955-1959
1960-1964
1960-1964
1965-1969
1965-1969
1970-1974
Year
Year 1970-1974
Page 91 of 470
1975-1979
1975-1979
1980-1984
1980-1984
Rural and Freight only routes, rail age profile
1985-1989
1985-1989
1990-1994
1990-1994
1995-1999
1995-1999
2000-2004
2000-2004
2005-Present
2005-Present
Asset management
PL Jnt
Secondary, Other London & SE and Freight Trunk routes, ballast age profile
PL CWR
Total
kms of Track kms of Track
0
100
200
300
400
500
600
700
800
0
100
200
300
400
500
600
700
800
Figure 16
Figure 15
Pre 1940 Pre 1940

Network Rail
1940-1944
1940-1944
1945-1949
1945-1949
1950-1954
1950-1954
1955-1959
1955-1959
1960-1964
1960-1964
1965-1969
1965-1969
1970-1974
Year
1970-1974 1975-1979
Year
Page 92 of 470
1975-1979 1980-1984
1980-1984 1985-1989
1990-1994
1985-1989
Rural and Freight only routes, ballast age profile
Rural and Freight only routes, sleeper age profile
1995-1999
1990-1994
2000-2004
1995-1999
2005-Present
2000-2004
Steel
2005-Present
Softwood
Slab track
Asset management
Longitudinal timber
Total
Concrete/Hardwood
2.3 Degradation, failure modes, consequential risks

As described in section 1.4, asset degradation is a result of train services and
environmental issues, and has the following characteristics:
• vertical settlement of the track (increased over weak embankments)
• horizontal displacement of the track
• longitudinal movement of rails
• mechanical wear to rails: loss of railhead depth, sideworn railhead on
curves, railfoot gall in wet or corrosive environments
• fatigue cracking of rails: at the wheel/rail interface (Rolling Contact Fatigue
– RCF); at bolt holes; and from internal and surface defects
• dipped rail joints and welds
• mechanical wear to insulated block joint (IBJ) insulation
• fatigue cracking of fishplates
• mechanical wear to concrete sleepers: attrition to undersides, worn rail
seat area, worn housings
• cracking of concrete sleepers: at the centre, around the housings,
chemical reaction and fatigue cracking
• mechanical wear to timber sleepers, bearers and longitudinal timbers:
indentation under baseplates, elongated screw and spike holes
• decay of timber sleepers, bearers and longitudinal timbers: rot, loss of
strength
• mechanical wear to ballast: clogging with fines, loss of angularity
• contamination of ballast due to formation failure, flooding or spillage from
trains
• fastenings: loss of strength and effectiveness
• mechanical wear and decay of pads and insulators
• silting up of drainage pipes and catchpits
The table below summarises these degradation characteristics, their impact and
predictability, and possible mitigation measures. If the consequences of
deterioration described below are not rectified, they can lead to increased costs,
deteriorating performance and ultimately to an unacceptable risk of derailment or
collision:
Figure 17 Business risk for plain line

Asset Degradation Impact Predictability Possible
and key of defect or mitigation
driver deterioration measures
rate
Track vertical loss of gauge clearance, Low corrected by manual
settlement and poor geometry, poor ride intervention or by
horizontal for trains and tamping/stoneblowing
displacement accelerated rates of
of the track deterioration to geometry
and components
Rail longitudinal leads to risk of lateral Low Can be reduced by
movement of track buckling attention to or
rails: replacement of
fastenings, pads and
insulators. It can be
corrected by rail
adjusting or
restressing
mechanical Leads to loss of railhead Low Rail must be replaced
wear to rails depth or sidewear on
Page 93 of 470
curves
Corrosion of leads to localised loss of Low
the railfoot: strength and risk of
broken rails
propagation of leads to risk of broken High
rail defects rails
under traffic
Rail joints dipped rail leads to poor geometry Low May be straightened
joints and and increased risk of rail and ground with
welds end failures and broken associated lifting and
welds packing, or removed
by rail replacement
IBJ mechanical leads to track circuit Low Can be reduced by
wear to IBJ failure and train delays regular lifting and
insulation: packing. Ultimately
the IBJ must be
replaced (on lightly
used lines, the
insulations can be
replaced)
Fishplates fatigue leads to broken Low can be avoided by
cracking of fishplates and train regular lifting and
fishplates: delays while packing joints.
replacements are fitted Repair can be by
shimming or rail end
straightening,
Ultimately the rails
and/or fishplates
must be replaced
Sleepers mechanical leads to inability to Low cracked concrete
wear and sustain acceptable track sleepers and
cracking to geometry and gauge decayed timber
concrete sleepers, bearers and
sleepers longitudinal timbers
leads to loss of gauge Low can either be
mechanical replaced individually
wear or decay and poor vertical support
or wholesale
to timber
sleepers,
bearers and
longitudinal
timbers:
Ballast mechanical lead to clogging, wet Low wet beds may be dug
wear or beds, and inability to out and reballasted if
contamination sustain acceptable track localised. Track
of ballast: geometry geometry on clogged
ballast may be
sustainable by
stoneblowing,
otherwise wholesale
replacement by track
renewals is required
Fastenings loss of strength lead to rail roll, rail creep Low Normally requires
of fastenings or and increased resleepering. Poor
deterioration of maintenance toe load on other
pads: fastenings may be
corrected by
repadding and/or
replacement of the
fastenings. Worn
pads require
repadding
Drainage silting up of leads to softening of Low corrected by rodding
drainage pipes formation, poor geometry or jetting pipes and
and catchpits: and reduced asset life digging out catchpits
Page 94 of 470
2.4 Managing degradation risk

2.4.1 Mitigation regime
The degradation of plain line is dependent on local circumstances, including:
• the speed and tonnage of traffic
• the mix of passenger, freight and rolling stock types
• the construction and condition of the track
• whether the track is straight or curved
As a result, the prevailing degradation mechanisms and deterioration rates have a
low predictability overall. However, they can be established on a site specific
basis from the outputs of inspection and monitoring regimes, so that preventive
maintenance can be effectively planned. In order to achieve lowest whole life
costs, we therefore operate inspection led maintenance regimes. Our
understanding of the causes and impacts of degradation allows us to optimise
these inspection regimes and carry out the most effective remedial action to
prevent premature failure of the asset. Routine visual inspections are combined
with special inspections that check for known potentially serious defects that can
develop, for example in tunnels, at level crossings and longitudinal timbers. Rates
of wear to all plain line components are mitigated by track geometry and drainage
maintenance. Worn components that cannot be repaired are replaced as
appropriate. Details of these regimes are outlined in the following sections.
As further information on asset condition and behaviours becomes available,
especially from automated measuring systems, the predictability of degradation
will increase and hence the balance between inspection led and fixed interval
maintenance may change.
2.4.2 Inspection
The inspection regime is designed to identify defects in a timely manner, so that
appropriate remedial action can be carried out without incurring unacceptable
safety or performance risk on the route. Inspection frequencies for routine
inspections are commensurate with the Track Category, and differentiated by
route type.
The table below shows the minimum inspection frequencies for the most
significant track categories in plain line.
Figure 18 Inspection regimes for plain line

Track Ultrasonic
Category
UTU Manual
Visual Track
Basic Supervisor CWR and CWR Jointed Geometry
Jointed
Primary and key L&SE
1A Once Once every Once Once Once every Once every
per three every every three two months three
week1 months eight months months
1 (every two weeks Once Once every
months for every six three
jointed) months months
2 Once Once Once every Once every
every every six months six months
sixteen twelve
weeks months
Secondary, other L&SE and freight trunk
Page 95 of 470
2 Once Once every Not Once Once every Once every

per three applicable every six months six months
week2 months twelve
months
3 Once Once Once every Once every
every every twelve twelve
two twenty four months months
weeks3 months
4
5 Once
every
four
weeks4
Rural and Freight Other
3 Once Once every Not Once Once every Once every
every three applicable every twelve twelve
two months twenty four months months
weeks2 months
4
5 Once
every
6
four
weeks3
Note that the Ultrasonic Testing Unit (UTU) train based ultrasonic testing regime
replaces manual as primary method of testing, supported by manual confirmation
of new defects found, for primary routes. This is based on the experience gained
on West Coast South which shows that increased frequency and better accuracy
enables improved management of defects with 25% reduction in broken rails and
25% reduction in number of defects requiring removal.
The majority of track maintenance work is driven by routine inspection, dealing
with unpredictable defects which, if left, would impact on the performance or
safety of the line. The remainder of track maintenance work is carried out at fixed
intervals.
Where the construction and condition of the track assets conform to the desirable
quality for the route type, deterioration rates will be steady and predictable from
the outputs of inspection and monitoring. This enables the majority of inspection
driven maintenance to be planned in advance and delivered within Rules of the
Route possessions.
However, where the track assets are below the desirable quality for the route
type, deterioration rates will be high and volatile. Additional inspection driven
maintenance will therefore be required with some work requiring short notice
possessions. This is a particular risk in the London area where traffic levels,
possession opportunities, resources and skill shortages can lead to high levels of
additional inspection driven maintenance in order to meet the required
performance outputs.
More detail on these inspections is given in specification NR/SP/TRK/001
“Inspection and Maintenance of Permanent Way”.
The overall inspection regime comprises visual inspection, cab riding, special
inspections, ultrasonic testing of rails and track geometry recording. The key
drivers of frequency and cost of inspection are the speed and tonnage of traffic -
classified by track category – and whether the track is jointed or CWR. Visual and
2
For jointed track the frequency is twice per week
3
For jointed track the frequency is every week
4
For jointed track the frequency is every two weeks
Page 96 of 470
ultrasonic inspection of jointed track is at twice the frequency of CWR and costs
twice as much. For example, the annual cost of basic visual inspection of
category 4 CWR is around £400 per km, compared to £800 per km for category 4
jointed track. Similarly, the annual cost of basic visual inspection of category 1
CWR is around £1600 per km.
2.4.3 Inspection led maintenance
The majority of track maintenance work is driven by routine inspection, dealing
safety of the line.
Figure 19 Inspection led maintenance for plain line

Asset Activity Primary and Secondary, Other Rural and
Key L&SE L&SE and Freight Freight Other
Trunk
Rail Removal of rail The defect size As for Primary routes
defects found as intervention limits
a result of the and rectification Risk assessment of longer removal
inspection regime timescales timescales for lower category tracks is
specified in currently in progress
NR/SP/TRK/001
are the result of
many years of
experience of rail
defect
management,
testing and
analysis. Failure
to remove defects
within the
timescales
specified would
result in
unacceptably high
risk from broken
rails and
immediate action
rail defects,
particularly under
heavy or high
speed traffic
Removal of rail For small defects where weld repair is cheaper than rail
1
defects by weld replacement
repair
Removal of rail For large, multiple or continuous defects, because weld
defects by rail repair can only cope with small defects and rail replacement
replacement is cheaper than weld repair if there are several defects
present within the length of a closure rail in CWR or a 60 foot
jointed rail
Train based rail Not appropriate Not appropriate for track categories 1 to
grinding to control because an 3.
longitudinal and inspection based
transverse programme Accepted for track categories 4 to 6,
railhead profile containing the where longitudinal or transverse
volume of grinding railhead profile is so poor that it must
required to control be repaired and the length of rail
longitudinal and affected makes train grinding cheaper
transverse than rail replacement
railhead profile on
heavily used
tracks cannot be
planned or
delivered
Adjustment of The most economic way to ensure that jointed track is free to
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Trunk
jointed rails to expand and contract without buckling in hot weather.
restore the correct Intervention limits are set out in NR/SP/TRK/001.
expansion gaps
Shimming or rail Where the rail ends are not battered or crippled, as an
end straightening economic way of restoring geometry and maximising service
at dipped joints life for jointed track2
Transpose rails For linespeeds below 80 mph where sidewear reaches the
for headwear limits specified in NR/SP/TRK/001, because transposing is
cheaper than renewal of the sideworn high rail
Replacement of Battered or crippled rail ends cannot be repaired, they cause
rails with battered immediate action geometry exceedences and they increase
or crippled ends the risk of broken rails
Fitting rail Where the frequency of rail adjustment is high enough to
anchors to jointed make fitting anchors economic
rails to reduce the
rate of rail creep
Welding up 60- Not appropriate Not appropriate for track categories 1 to
foot rails into 120- because jointed 3.
foot lengths to track on Primary
reduce the routes will Accepted for track categories 4 to 6,
number of generally either where:
fishplated joints be near the end of
its service life,
making welding • the condition of the rail ends is good
up uneconomic, enough for welding up without
or will have been cropping (the higher cost of cropping
installed on tight and welding is not generally
radius curves worthwhile)
where joints are • the rails, sleepers and ballast have
required to cope enough remaining service life to
with thermal make the reduction in maintenance
expansion and costs greater than the cost of
contraction of the welding up
rail
Sleepers Spot replacement The most economic way of preventing the development of
of individual associated gauge, level and rail defects. Intervention limits
sleepers that are are set out in NR/SP/TRK/001
cracked, rotten or
have defective
housings
Replacement of Not appropriate because: Where the rails
significant and ballast are
numbers of • significant numbers of defective in good enough
concrete sleepers sleepers usually indicate that the condition for the
that are cracked track system is nearing the end sleeper
or have defective of its economic service life replacement to
housings (up to 1 generate at
• extensive disturbance to the
in 3) least 10 years’
ballast bed introduces a high risk
further service
of geometry exceedences and
life for the track
increased geometry
system overall,
maintenance under heavy traffic
because:
• sleeper
replacement is
cheaper than
complete
renewal of the
track
• the effects of
disturbance to
the ballast bed
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Trunk
can be
effectively
mitigated by
maintenance
under light
traffic
extensive
Ballast Removal of wet The most economic way of restoring track geometry and
beds mitigating damage to other track components. Intervention
limits are set out in NR/SP/TRK/001
Re-profiling or The most economic way of restoring lateral stability and
topping up of reducing the risk of track buckles after several cycles of
ballast geometry maintenance. Intervention limits are set out in
NR/SP/TRK/001
Tamping to The most economic way to meet the track geometry targets
restore track commensurate with the standard of ride and track service
3
geometry lives that are required
Stoneblowing to Where ballast conditions are too poor to support tamping at
restore track economic intervals because3:
geometry
• stoneblowing can produce durable geometry
improvements in poor ballast
• stoneblowing can achieve low to medium geometry SDs
(above 1.5)
• stoneblowing is cheaper than replacement of the ballast
Not appropriate where ballast conditions are good enough to

support tamping at economic intervals because:
• stoneblowing cannot easily achieve the very low

geometry SDs (below 1.5) that are desirable on high
speed lines
• stoneblowing costs more per shift than tamping
Manual lifting and Not appropriate because manual lifting and packing is more
packing to restore expensive than tamping over continuous lengths4
track geometry
quality
Manual lifting and Manual lifting and packing is generally cheaper than tamping
packing to repair individual geometry exceedences (except for cyclic top).
individual Intervention limits are set out in NR/SP/TRK/001
geometry
exceedences
Pads/insulators Spot replacement The most economic way to reduce the risk of track circuit
of worn pads and failure, damage to the rail seat area of sleepers and
insulators corrosion pitting to the rail foot. Replacement of worn pads
and insulators is cheaper than replacement of the sleepers
Fastenings Spot replacement The most economic way to restore toe load to prevent rail
of loose creep and roll, prolong the life of the sleepers and ensure the
fastenings correct management of stress in CWR
Longitudinal Maintenance of The most economic way to control gauge and other track
timbers packings, geometry parameters. Maintenance of these components is
baseplates, cheaper than replacement of the timbers
chairscrews and
fastenings
Spot replacement Where the condition of the timber is no longer good enough
of timbers for maintenance of packings, baseplates, chairscrews and
fastenings to be effective
IBJs Lifting and The most economic way to ensure that the joint achieves its
packing where design life. Intervention limits are set out in NR/SP/TRK/001.
necessary
Page 99 of 470

Trunk
Replacement of Not appropriate because dismantled and Accepted
damaged reassembled joints are not strong enough because:
insulation or reliable enough under heavy traffic
• replacement of
insulation is
cheaper than
replacement of
the entire joint
• dismantled
and
reassembled
joints are
strong enough
and reliable
enough under
light traffic
Replacement The most economic way to5:

where the IBJ is
failing either • prevent the development of immediate action geometry
mechanically or exceedences and risk of broken rails
electrically
• maintain electrical insulation and avoid track circuit
failures
Fishplates Spot replacement To prevent the development of immediate action geometry

if cracked or exceedences and risk of broken rails
broken
Drainage Jetting or rodding The most economic way to ensure free flow of water and
to clear drainage hence maintain trackbed stiffness, track geometry and
pipes; digging out prevent flooding
catchpits and
open channels
Table notes:
1. Grinding and MMA weld repair of small surface defects costs £0.3k - £1.5k,
depending on the number to be done in a shift. Wide gap welds and
conventional aluminothermic welds cost £1.5k - £3.0k. Rail replacement costs
are £1.0k - £2.0k for a jointed 60 foot rail. Weld repair can therefore be
economic, particularly in CWR where the costs of closure welds and stress
management are avoided
2. Note that;
• a low proportion of track on Primary routes is jointed
• rail end straightening generally becomes ineffective after more than three
treatments, due to yielding in the fishplates and rail ends
• shimming is carried out most economically when done in conjunction with
fishplate lubrication
3. Not appropriate for rural and freight only routes where the condition of rails,
sleepers, fastenings and ballast is too poor to support mechanical
maintenance because refurbishing the track to make it fit for mechanical
maintenance is generally uneconomic under light traffic
4. Manual lifting and packing appropriate on rural and freight only routes where
the condition of rails, sleepers, fastenings and ballast is too poor to support
mechanical maintenance because refurbishing the track to make it fit for
mechanical maintenance is generally more expensive than manual lifting and
packing under light traffic
5. For rural and freight only routes where the IBJ is failing electrically, the
insulation can be replaced.
Page 100 of 470
2.4.4 Fixed interval maintenance

The following fixed interval maintenance activities are carried out.
Figure 20 Fixed interval maintenance for plain line

Asset Activity Primary and Key Secondary, Other Rural and
L&SE L&SE and Freight Freight Other
Trunk
Rail Train based The most economic Accepted for track categories 1 to 3.
rail grinding to method to control Not appropriate for track categories 4 to 6
control longitudinal and because the slow and variable rates of wear
longitudinal transverse railhead under light traffic make fixed interval
and transverse profile, because: grinding uneconomic
railhead • the frequencies of
profile1 grinding required
under heavy traffic are
reasonably
predictable from
experience
• grinding frequencies
based on the passage
of specified tonnages
of traffic can be
planned and delivered
Control of longitudinal
and transverse railhead
profile improves the
wheel/rail interface,
reducing the wear and
dynamic loading from
trains on the track. This
mitigates the following
risks:
RCF and the
formation of squats
corrugation and
increased wheel
noise
low rail plastic flow
internal rail defect
propagation
increased dynamic
loading on the track
due to local
irregularities and
misalignments
increased damage
to sleepers, ballast
and other track
components
reduced track asset
service lives
abnormal wheel
wear due to poor rail
profile
increased wear and
tear on trains
poor rail adhesion
particularly during
leaf fall season
Note that maintenance of
Page 101 of 470


Trunk
good wheel profiles by
train operators is also
essential for these risks
to be effectively mitigated
Lubrication of The most economic method to limit the development of sidewear and
2
curves below RCF and maximise rail service lives on curves . Effective lubrication of
800 metres the high rail can reduce sidewear rates by up to 80%
radius Lubricator maintenance costs are £1.5k - £3.0k per curve per annum,
depending on the number of curves that a gang can service. Rail
replacement costs are £30k - £40k for a 400 metre length curve
Lubrication of Accepted for the reasons Not appropriate where Not appropriate
curves outlined above the rail life due to because the slow
between 801 sidewear without rates of sidewear
and 1500 lubrication is more than under light traffic
metres radius 5 years unless justified make the cost of
by a site specific lubricator
business case. installation and
maintenance
greater than the
cost of rail
replacement
Fishplates Lubricate The most economic method to ensure that jointed track is free to expand
fishing and contract without buckling in hot weather.
surfaces every Experience has shown that annual lubrication of all joints is not required,
2 years to provided that alternate fishplates are lubricated each year.
enable jointed
track to
expand and
contract)
IBJs Replacement Because the reliable Not appropriate as the risk of IBJs failing in
of IBJs at half service life of IBJs under service is adequately mitigated by inspection
service life of heavy traffic is less than led replacement of the insulations or the
the rail the service life of the rail. complete joint, because the rates of
Preventive replacement deterioration under medium and light traffic
at half rail service life enable identification and replacement before
reduces the frequency of failure
geometry maintenance
and the risks of track
circuit failure and broken
rails, without increasing
replacement costs. Half
service life of rail varies
between 400 and 600
EMGT depending on rail
type
Page 102 of 470


Trunk
Pads and Replacement Because 5mm pads wear out under heavy traffic Not appropriate
Insulators of 5mm pads before the sleepers reach the end of their service as the risks are
and insulators life. Preventive replacement at half sleeper service adequately
at half service life reduces the risk of track circuit failure, damage to mitigated by
life of the the rail seat area of sleepers and corrosion pitting to inspection led
sleepers the rail foot, without increasing replacement costs. replacement,
Half service life of sleepers varies between 400 and because the
600 EMGT depending on sleeper type rates of
deterioration
under light traffic
enable worn
pads and
insulators to be
identified and
replaced before
significant
damage is
caused to the
sleepers or the
rails
Table notes:
1. Curved track is ground after the passage of 15 EMGT of traffic. Small
amounts of wear to the rail profile in curves will significantly reduce the
benefits of grinding, so frequent grinding is required. 15 EMGT was
chosen as a balance to suit all curves below 2500m radius. In sharper
curves below 800m radius, the wear and transverse rail profile
deterioration will be high, but the propensity for RCF formation is less. In
shallower curves between 800 and 2500m radius, the rail profile
deterioration will be less but the propensity for RCF damage is higher,
peaking at a radius of around 1500m depending upon rolling stock.
2. Straight track is ground after the passage of 45 EMGT of traffic. Rail
grinding was initially planned for every 25 to 30 EMGT on straight track.
After 3 years of monitoring wear and rail profile deterioration on a number
of straight sections on key Primary routes, the rate of profile loss was
found to be low. Many sites had not worn smooth and still exhibited
grinding marks from the previous cycle of grinding. Furthermore, whilst
controlling other degradation mechanisms, the artificial wear due to
grinding at a 25 to 30 EMGT cycle would have a negative effect on overall
rail life (about 0.2mm is ground off the railhead at each cycle, removing
5mm after 650 – 750 EMGT in addition to the wear from trains). From
analysis of Miniprof profile data and assessment of the position of the
contact band on the head of the rail, the grinding cycle has been increased
by 50% to 45 EMGT. The effects of this will be carefully monitored to
assess the impact on transverse and longitudinal rail profile, including the
development of corrugations and squats.
3. Our worst problems tend to occur with worn wheels on worn rail. Recent
modelling has shown a six fold reduction in “steady state” RCF formation
in curves can be achieved by maintaining an optimal wheel profile
(WRISA2 on Desiros in Wessex). Careful control of wheel profiles by train
operators may enable rail grinding frequencies to be reduced in future.
4. On low category routes, timescales between grinding cycles would be
long. For example, on a route carrying 3 EMGTPA, curves would only be
programmed for grinding every 5 years and straights every 15 years. In
practice, cyclic grinding is only of real benefit in low category routes where
Page 103 of 470
the life of the rail is not limited by natural wear, corrosion, or rail end
fatigue in jointed track. Where these degradation mechanisms limit rail life,
cyclic grinding is not worthwhile. Where RCF and other surface defects are
of particular concern, bespoke grinding can be planned.
5. Typical grinding costs are around £700 per km. Grinding at 15 EMGT
intervals for 750 EMGT (a typical service life for existing Primary track) will
cost £35k per km. High rail replacement costs are around £150k per km.
Emerging evidence suggests that grinding extends rail life on curves by at
least 50%. On curves where high rail life without grinding is 300 EMGT
(about 15 years at typical Primary route tonnages), the saving over the
service life of the track would be £115k per km. At 100 EMGT life (about 5
years), the saving would be £415k per km. This is before taking account of
improvements in sleeper and ballast service lives, reduced maintenance
and train delays from RCF and immediate action defects.
6. Not appropriate for rural and freight only routes where the rail life due to
sidewear without lubrication is more than 5 years unless justified by a site
specific business case.
2.5 Replacement
2.5.1 Criteria
These are listed in section 1.6.2 and the table below explains how they are
applied
Figure 21 Replacement criteria for plain line

Asset Activity Primary and Key Secondary, Rural and Freight
L&SE Other L&SE and Other
Freight Trunk
Rail Stand alone Where justified by the criteria below, taking account of the remaining
renewal of service life of the sleepers and ballast
rails
Renewal of Where either: Not appropriate unless:
rails as part
of complete • justified by the criteria below, and the • the criteria for
renewal of sleepers or ballast have less than 5 years renewal of the
track remaining service life, or sleepers and ballast
have been met and
• the criteria for renewal of the sleepers or the rails have less
ballast have been met and the rails have than 5 years
less than 5 years remaining service life remaining service
life, or
• stand alone renewal
of the rails is
prevented by
obsolescence or the
condition of the
fastening system
Renew the Where sidewear or RCF reaches the limits specified in NR/SP/TRK/001
high rail on and the rail has already been transposed or the linespeed is greater
curves due to than 80 mph
sidewear
Renew rails Where rail depth or foot gall reach the limits specified in
due to NR/SP/TRK/001, to mitigate the risk of broken rails
strength
criteria
Renew CWR By consideration of the circumstances at individual sites where the
due to dipped dipped welds cannot be rectified by weld straightening, and it is
welds uneconomic to replace them due to the number of dipped welds present
and/or limited remaining service life in the parent rails
Page 104 of 470

Renew rails By consideration of the circumstances at individual sites, where renewal

due to would be less costly than replacing multiple defects, taking account of
defects or future performance and safety risks1
poor defect
history
Renew rails Rail manufactured Not appropriate for Not appropriate as the
manufactured before 1976 has more track category 3 as rail has generally not
before 1976 internal imperfections the rail has yet reaching the end of
in track and a generally not yet their reliable service
categories 1A correspondingly lower reaching the end of lives under typical
to 3 fatigue limit than their reliable service traffic levels
newer rail lives under typical
manufactured using traffic levels
the concast process2.
Conversion Not appropriate. By consideration of Not appropriate
of jointed Jointed track should the circumstances because the cost of
track into be prioritised for at individual sites, conversion cannot
CWR complete renewal, where: generally be recovered
except where from reduced
specified in • rail end condition maintenance costs
NR/SP/TRK/102 due is good enough under light traffic over
to sharp curvature for welding (only the remaining service
mobile flash butt life of the track
welding is likely to
be economic)
• sleepers and
ballast are
suitable
• the cost of
conversion can be
recovered from
reduced
maintenance
costs over the
remaining service
life of the track
Sleepers Spot Yes (for isolated sleepers or lengths less than 60 metres), as less costly
replacement than wholesale renewal
of sleepers
Stand alone Not appropriate because more expensive Only for stand alone
renewal of than when carried out as part of complete renewal of timber
3
sleepers renewal . sleepers in jointed
track (1 in 3 or more)
as the most economic
way of maximising the
life of jointed track on
timber sleepers where
historic sleeper
replacement volumes
have been adequate
and rail and ballast
conditions are
4
satisfactory . Timber
sleepers can be
replaced without
causing significant
disturbance to the
ballast
Page 105 of 470

Renewal of Where either:

sleepers as
part of • justified by the criteria below, or
complete
renewal of
track • the criteria for renewal of the rails or ballast have been met
and the sleepers have less than 5 years remaining service life
Where the rail is suitable for re-use it can be recovered
It is very difficult to achieve adequate track geometry where large

numbers of individual sleepers are replaced, particularly for high speed
traffic
Renewal of Where the sleepers are showing widespread signs of cracking, rot or
sleepers due wear, particularly around the rail seat area or housings. These defects
to cracking, lead to sleepers becoming ineffective and unable to support the rails
rot or wear
Renewal of Where a significant proportion of the fastenings are defective or seized.
sleepers due These defects lead to gauge spread, rail rotation or inability to replace
to defective worn or defective rails
or seized
fastenings
Renewal of To be prioritised in Not appropriate other than for specific sites,
older renewals because the sleepers are generally not yet
concrete programmes, reaching the end of their reliable service lives
sleepers with because under heavy under typical traffic levels, and the risk of
5mm pads traffic, the risk of irrepairable damage to both rails and sleepers
irrepairable damage can be mitigated by replacement of worn pads
to both rails and
sleepers is high if the
original pads have not
been replaced, and
the sleepers are
nearing the end of
their reliable service
lives anyway if the
original pads have
been replaced
Ballast Spot renewal Less costly than wholesale renewal for wet beds or clogged ballast over
of ballast less than 60 metres, as less costly than wholesale renewal
Stand alone By consideration of By consideration of the circumstances at
ballast the circumstances at individual sites, where the rails and sleepers
cleaning individual sites, where have at least 15 years’ remaining service life
the rails and sleepers and track geometry targets cannot be met by
have at least 15 tamping or stoneblowing at economic
years’ remaining intervals5
service life and track
geometry targets Typical sites would be suffering ballast
cannot be met by contamination due to wash down in cuttings or
tamping at economic spillage from wagons
intervals
Traxcavation is not a
preferred method for
stand alone
reballasting, because
it costs £500 - £600
per metre compared
to around £200 per
metre for ballast
cleaning
Stand alone An economic method Not appropriate because under medium and
renewal of of enabling the full light traffic, ballast and sleeper service lives
ballast at half service life of the are generally compatible
service life of track system to be
the track achieved under heavy
system
Page 106 of 470

traffic6
Renewal of Where either:

ballast as
part of • justified by the criteria below, and the rails or sleepers have less
complete than 5 years remaining service life, or
renewal of
• the criteria for renewal of the rails or sleepers have been met and
track
the ballast has less than 5 years remaining service life
Renewal of Where track Where track Where track geometry

ballast due to geometry targets geometry targets targets cannot be met
clogging or cannot be met by cannot be met by by tamping,
poor track tamping at economic tamping or stoneblowing or
geometry intervals stoneblowing at manual maintenance at
economic intervals economic intervals
Rail, Complete Where the following Where the following Where the following
sleepers renewal components require components require components require
7 7
and renewal : renewal : renewal:
ballast
sleepers only sleepers only rail and sleepers
rails and sleepers and rail, sleepers and
sleepers ballast; ballast
rails and ballast rail and ballast
sleepers and Premature renewal of
ballast rail or sleepers as part
rails, sleepers of complete renewal is
and ballast judged to be
uneconomic
Renewal of To be prioritised in renewals programmes, Not appropriate where
jointed track because under heavy and medium traffic, historical maintenance
on timber jointed track on timber sleepers suffers rapid and rail and sleeper
sleepers rates of deterioration. It requires high replacement volumes
volumes of inspection and maintenance that have been adequate,
are difficult and expensive to deliver in the because the slow rates
available track access, and has a higher of deterioration under
performance risk from rail defects and light traffic, the
geometry exceedences than CWR on correspondingly low
concrete or steel sleepers performance and
safety risks and the
availability of track
access, enable jointed
track on timber
sleepers to be
inspected and
maintained on an
economic basis
Drainage Replace For lengths less than 60 metres that cannot be cleared by rodding or
section of jetting, as less costly than wholesale renewal
drain under
maintenance
Installation or Where site investigation indicates this is necessary, to prevent flooding
complete or premature failure of the sub-grade
renewal of
drain
Table notes:
1. Renew both rails due to poor defect history is not appropriate for rural and
freight only routes because the slow rate of defect propagation under light
traffic and the correspondingly low performance and safety risks generally
make wholesale renewal of lengths of rail uneconomic
2. Typical CWR service lives for pre 1976 rail are 500 – 750 EMGT as opposed
to 800 – 1000 EMGT for newer CEN56 BS113A rail. Under heavy traffic, rails
manufactured before 1976 are therefore reaching the end of their reliable
Page 107 of 470
service lives and require increased maintenance due to defect replacement.

They also cause increased performance and safety risks from immediate
action rail defects and broken rails
3. It is very difficult to achieve adequate track geometry, particularly for high
speed traffic. Significant numbers of defective sleepers are usually associated
with rails and/or ballast in that are nearing the end of their economic service
lives, therefore justifying complete renewal of the track. Where the rail is
suitable for re-use it can be recovered.
Stand alone sleeper replacement costs are estimated at around £300 per
metre, compared to around £200 per metre when carried out as part of
complete renewal
4. Tactical timber resleepering costs are £120 - £180 per sleeper, compared to
£120 - £150 per sleeper as part of complete renewal. Typical softwood
sleeper life under light traffic is around 40 years, so provided that the rate of
sleeper replacement along a route is sufficient to avoid a backlog building up
(10% – 15% over 5 years), the existing average age of sleepers can be
maintained and the track can be sustained under light traffic with minimum
need for complete renewal
5. Stand alone reballasting is not a preferred treatment for jointed track on Rural
and Freight Only routes, because it is generally not strong enough to
withstand ballast cleaning without significant damage, and there is a high risk
of damage to the formation due to low existing ballast depths
6. Without ballast cleaning, track system service lives under heavy traffic are
estimated to be up to 25% shorter; geometry maintenance costs increase and
the performance risk from geometry defects and rail defects also increases.
Ballast cleaning costs around £200 per metre, deferring complete renewal
costs of £500 - £800 per metre
7. Complete renewal is the most efficient way of renewing all components, giving
reduced whole life costs; however, renewal may be premature for some
elements.
2.5.2 Replacement specification
Figure 22 Replacement type for plain line

Trunk
Rail CEN56 grade Accepted for renewing Accepted for renewing The preferred rail
260 rail only on older rail only on older for complete
sleeper designs, as sleeper designs and for renewal on new
CEN60 has a wider complete renewal for sleepers
foot and can only be track category 3 and
installed on newer below. CEN60 has a
designs of sleepers wider foot and can only
be installed on newer
designs of
sleepers.CEN56
performs satisfactorily
under moderate usage
CEN56 head Accepted for renewing Accepted for renewing
hardened rail only on older rail only on older
designs of sleepers, on designs of sleepers in
curves where there is track categories 1 and
an exceptionally high 2, on curves where
rate of sidewear. Head there is an exceptionally
hardened rail is only high rate of sidewear.
used where necessary Head hardened rail is
as it requires a only used where
proactive grinding necessary as it requires
Page 108 of 470
regime to manage a proactive grinding

surface fatigue cracks regime to manage
surface fatigue cracks
CEN60 grade Accepted for complete Accepted for complete Not accepted as
260 renewal and for renewal and for more expensive
renewing rail only on renewing rail only on than CEN56 and
newer designs of newer designs of stronger than
sleepers. CEN60 is a sleepers, for track required
heavier and stiffer rail categories 1 and 2.
section than CEN56 CEN60 is a heavier and
and consequently stiffer rail section than
delivers higher CEN56 and
standards of track consequently delivers
geometry, slower rates higher standards of
of deterioration, track geometry, slower
extended tamping rates of deterioration,
intervals and ultimately extended tamping
longer asset life intervals and ultimately
longer asset life
CEN60 head Accepted for complete Accepted for complete
hardened renewal and for renewal and for
renewing rail only on renewing rail only on
newer designs of newer designs of
sleepers, on curves sleepers in track
where there is an categories 1 and 2, on
exceptionally high rate curves where there is
of sidewear. Head an exceptionally high
hardened rail is only rate of sidewear. Head
used where necessary hardened rail is only
as it requires a used where necessary
proactive grinding as it requires a
regime to manage proactive grinding
surface fatigue cracks regime to manage
surface fatigue cracks
Serviceable Accepted for complete The preferred rail
BS113a renewal for track for complete
category 4 and below. renewal on
Cascaded serviceable serviceable
BS113a rail performs sleepers or
satisfactorily under renewal of rail only
medium speed (typically
less than 75 mph) light
tonnage traffic
Serviceable For complete
BS109/110 renewal on
serviceable
sleepers or
renewal of rail only
Serviceable or For renewal of
new BS95 existing bullhead
rail only
Sleepers 600mm sleeper
spacing for track
categories 1 &
The appropriate balance between material cost and track stability and
1A, 650mm for
service life
categories 2 &
3, 700mm for
categories 4 to 6
G44 concrete The standard company sleeper on the grounds of
sleeper initial cost and service life
EG47 3R The company standard sleeper on DC electrified
(fastclip) or routes. Similar to G44, with inserts for conductor
EG49 3R (e- rail insulator fixings
clip) concrete
sleeper
Page 109 of 470

Steel sleepers Not accepted as more For use up to 90mph For complete
expensive than where reballasting can renewal where
concrete and track be avoided by scarifying reballasting can be
geometry deteriorates the existing ballast and avoided by
too rapidly on high topping up with new scarifying the
speed high tonnage ballast. Steel sleepers existing ballast and
routes perform satisfactorily topping up with
under moderate usage. new ballast. Not
Their installation is not suitable for routes
cost effective where carrying more than
reballasting is required. moderate
They cannot be used on tonnages of 25t
DC electrified lines axle traffic
Hardwood Not accepted except where construction depth or weight limitations
sleepers prevent the use of standard concrete sleepers
Serviceable Accepted for
concrete complete renewal
sleepers where reballasting
is required or for
DC electrified
routes
Ballast 300mm ballast Accepted, as provides the range of depths required to spread the loads
depth for track from traffic sufficiently to keep the stresses on the sub-grades within
categories 1 & acceptable limits
1A, 250mm for
categories 2 &
3, 200mm for
categories 4 to 6
Concrete slab Not accepted, on cost grounds, except in tunnels Not accepted, on
track or other locations where very tight clearances or cost grounds,
track lowering is necessary. Construction methods other than in
require route closures for extended periods for exceptional
installation or renewal circumstances
Pads and 10mm resilient Accepted, as having the potential to last the life of the sleepers
insulators pads
Fastenings Fastclip Accepted, as the preferred fastening on initial cost Accepted, for
grounds, due to suitability for mechanised renewal on new
installation sleepers, as the
preferred fastening
on initial cost
grounds, due to
suitability for
mechanised
installation
E- clip Accepted, as an alternative to fastclip for DC electrified routes and other
particular circumstances
Longitudinal Enhancement to Accepted, on Not accepted, on cost grounds, except when
timbers ballasted or slab maintainability and the supporting structure requires renewal
construction safety risk grounds, but
may be constrained
due to cost or feasibility
Like for like Rejected, except where Accepted, as the most economic way to
renewal unavoidable due to deliver acceptable performance at historic
constraints imposed by underbridges
historic underbridges
IBJs 6-hole glued Accepted, by Accepted, by experience, as the best
shop- experience, as the best available joint for use in CWR
manufactured available joint to
withstand high speed,
heavy tonnage use
4-hole Accepted, by
experience, as the
appropriate IBJ for
use in jointed track
CEN56 (BS113A) rail
Page 110 of 470

• cost £26 - £28 per metre

• designed for 25t axles
• service life predicted to be up to 1000 EMGT on straight track under heavy
traffic with good maintenance
• can be used for stand alone rail renewal on older sleepers
CEN60 rail
• cost £28 - £30 per metre
• cannot be used for stand alone rail renewal on older sleepers because the
foot is too wide
• CEN60 offers worthwhile whole life cost benefits under heavy and medium
traffic, because:
o material cost is less than 10% greater than CEN56
o service stresses are 15% lower than CEN56 under the same traffic,
less likely to breach fatigue limit stress
o larger head than CEN56, can tolerate more wear
o stiffer than CEN56, slower track geometry deterioration rates
Head hardened rail
• cost is currently double 260 grade rail because it has to be imported
• UK manufacture is being investigated, potentially reducing the cost to 30-
50% more than 260 grade
• potential whole life cost benefits on curves subject to heavy sidewear or
carrying high tonnages of heavy axle freight traffic
Serviceable rail
• direct cascade from site of recovery to site of installation is required for re-
use to be economic; currently under trial in conjunction with high output
relaying programme on Western Territory
• suitable for use on light traffic lines only, remaining service life is too short
to be economic elsewhere
G44 concrete sleepers
• cost £43 each including fastenings
• potentially has the same service life as CEN60 rail under heavy traffic with
good maintenance
• heavy sleeper, contributes to slow track geometry deterioration rates
W560 steel sleepers
• cost £43 each including fastenings
• offers whole life cost advantages over G44 concrete, under medium and
light traffic, where existing ballast conditions are good enough to permit
scarifying and top ballast rather than complete renewal (£450 – £650 per
metre for steel sleeper scarify compared to £700 - £800 per metre for
complete renewal traxcavation)
Hardwood sleepers
• cost £70 each with baseplates fitted excluding fastenings
• cost £37 each plain
• suitable for 25t axles
Page 111 of 470

• high cost, low weight and sustainability issues limit their use to specific
locations where concrete sleepers are not suitable
Softwood sleepers
• cost £54 each with baseplates fitted excluding fastenings
• cost £21 each plain
• maximum service life limited to 40 years due to natural decay; shorter at
rail joints or under heavy traffic
• economic for tactical sleeper renewal to extend the life of softwood sleeper
jointed track under light traffic
2.6 Asset performance indicators

Revised performance indicators have been selected that are designed to
encourage asset management practice that implements the policies. At depot
level, they indicate the effectiveness of local practice. Rolled up at network level,
they indicate the effectiveness of the track asset policies. Network targets will be
set for each indicator that can be disseminated down so that maintenance
engineers can link their efforts to the overall objectives.
Broken rails and immediate action rail defects are relevant to all route types. As
the numbers of broken rails have reduced over recent years, on their own they
are no longer a satisfactory indicator of the effectiveness of rail management, so
the numbers of immediate action rail defects have been added. Numbers should
be negligible on Primary routes, higher values will be acceptable on Rural and
Freight Only routes operating at lower speeds. Low numbers indicate that rail
management is effective in controlling performance and safety risk – albeit not
necessarily that rail life is being optimised.
Good track geometry (GTG) is relevant to Primary and Secondary routes. High
GTG is an indicator that trains are likely to experience good riding and that
dynamic loading on the track is being controlled. High standards of mechanical
geometry maintenance, with good site preparation and carried out to surveyed
designs, are key to achieving high GTG. Good quality installation of track
renewals is also important. GTG has increased steadily over recent years; further
significant improvements will not be targeted.
Poor track geometry (PTG) is relevant to all route types. Poor track geometry
needs to be controlled to limit poor riding and the volume of track that is subject to
high dynamic loading and consequential rapid degradation. This will be
increasingly important as new, lighter trains such as the IEP are brought into
service. PTG should be negligible on Primary routes; higher values will be
acceptable on Rural and Freight Only routes operating at lower speeds. Effective
targeting of maintenance and renewals are key to controlling PTG.
Intervention level geometry exceedences are relevant to Primary and Secondary
routes. Large numbers of intervention level defects on these routes indicate that
the preventive maintenance being undertaken is not fully effective. They also
indicate a risk of immediate action defects developing, with their attendant
performance and safety risks.
Immediate action geometry exceedences should not occur on Primary routes and
should be limited on Secondary routes. Higher numbers may occur on Rural and
Freight Only routes, where performance and safety risks are lower.
Condition of track speed restrictions and track circuit failures are clear indicators
of the effectiveness of preventive maintenance and renewal identification and
planning in addressing the risk of train delays. Low numbers of managed speed
Page 112 of 470

restrictions may be acceptable on Rural and Freight Only routes where the
timetable can still be delivered.
Achievement of planned preventive maintenance is under development as an
indicator. The preventive maintenance activities that are judged to be most
important for the achievement of optimum track asset service lives will be
targeted. Activities under consideration include rail grinding, rail lubrication,
replacement of pads and insulators, and maintenance of drainage.
The ultimate track asset stewardship indicator would be annual whole life costs
per km. Consideration is being given to how we can progress towards this with
accurate fault attribution and cost allocation processes key to this.
2.7 Constraints and deliverability check

Other than network access, particularly on primary and key L&SE routes these
are no significant constraints to the delivery of the policy for plain line.
However, deliverability of these policies may be affected by
• the need to obtain track possessions of suitable duration
• the need to maximise the maintenance and renewal work carried out
during each possession by having available appropriate plant
• the need to maximise possession outputs by having the correct,
competent, staff.
The planning assumptions for plain line are given in section 1.7.
2.9 Longer-term implications

The longer term implications are considered to be
Primary and key L&SE routes
Our policy will improve the overall condition and ongoing maintenance costs of
the track assets on these routes during the current period. Reliability and
availability will be improved over time, for example by reducing the incidence of
broken rails and reducing track geometry deterioration rates.
Secondary and other L&SE routes
Our policy will make minor improvements in the overall condition, performance
and ongoing maintenance costs of the track assets on these routes during CP4,
mainly by the continued renewal of jointed track with CWR.
Rural and Freight Only routes
and ongoing maintenance costs of the track assets on these routes during over
time, mainly by the continued renewal of jointed track with CWR. Nevertheless,
significant mileages of jointed timber sleepered track will remain for the
foreseeable future, presenting a long-term maintenance burden.
2.10 Compliance with Network Rail asset management policy

The policy for the management of plain line assets complies with Network Rail’s
2.11 References
• ‘Forces Applied to the Rail’ B. Whitney 2006
• ‘Good Practice Guide on Rail Flange Lubrication’ M. Allen 2006
• NR/SP/TRK/001
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• NR/SP/TRK/102
3 Switches and Crossings (S&C)

3.1 Brief description of the purpose of S&C
The purpose of S&C is to enable trains to move from one track to or across
another. Common components in S&C in addition to those used in plain line
include:
• switch rails; planed rails that can move laterally to change the direction of
train wheels
• stock rails; static rails to which switch rails mate up
• crossings; enable train wheels to follow one rail and cross another; can be
castings, or fabricated from rail
• bearers; long sleepers that support the S&C layout
• switch rails move laterally on roller baseplates or slide chairs. They are
generally moved by point operating mechanisms, which are managed as a
signalling asset
S&C is the most complex element of permanent way. It accounts typically for
1.5% of track mileage and yet generates far larger delays due to unreliability.
The following policy statements apply to S&C assets
Figure 23 Policy statements for S&C (plain line policies also apply to S&C unless
modified below)
Trunk
Inspection
43 Inspection S&C systems shall receive detailed inspection at regular intervals,
Criteria so that the maintenance required to ensure their reliable and safe
operation is identified and programmed. The following aspects shall
be addressed:
• reliability – avoidance of point failures, track circuit failures or
speed restrictions due to track condition
• asset life – preventive maintenance to achieve the expected
service life
• safety – avoidance of derailment risk from worn, damaged,
broken or incorrectly adjusted components
Maintenance
44 Grinding S&C shall be ground Track categories 1 N/A
using train based to 3: as for
grinders to restore the Primary.
specified rail head Track categories 3
profile at regular to 6: N/A
intervals, dependent
upon the passage of
traffic. Crossing noses
shall be ground
manually
45 RCF S&C that exhibits heavy or severe RCF shall be planned for
replacement. Grinding heavy or severe RCF shall only be used as
temporary mitigation pending replacement of ironwork
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Trunk
46 Switches Switch blades and stock Switch blades and stock rails that exhibit
rails that exhibit lipping, lipping, ridges or other derailment
ridges or other hazards shall be manually ground using
derailment hazards supported grinders when intervention
shall be manually limits are reached
ground using supported
grinders before
reached
47 Switches Wear to the top of Wear to the top of switch blades within
switch blades within the the planed length shall be weld repaired
planed length shall be when intervention limits are reached
weld repaired before
reached
48 Crossings Crossings shall be Crossings shall be manually ground
manually ground within within a specified timescale after
a specified timescale renewal, to remove lipping from around
after renewal, to the nose and enable the expected
remove lipping from service life of the crossing to be achieved
around the nose and
enable the expected
service life of the
crossing to be achieved
49 Crossings Crossings shall be weld Crossings shall be weld repaired when
repaired at regular intervention level wear to the nose and/or
intervals, before wing rails is reached
intervention level wear
to the nose and/or wing
rails is reached
50 Geometry Track geometry at S&C N/A
Maintenance shall be maintained at
Criteria regular intervals
dependent upon the
deterioration rates at
each layout
51 Tamping and The preferred method of S&C geometry maintenance is tamping.
Manual Every bearer shall be tamped (this may require manual resources).
Maintenance All S&C tamping shall be to a design scheme.
Additional localised lifting and packing may be required to rectify
geometry exceedences
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Trunk
52 Tamping and Parallel tamping is required to achieve long Manual methods
Manual lasting results on concrete bearer layouts may be used if this
Maintenance is more economic
than tamping, due
to the location or
condition of the
S&C (i.e. due to the
cost of sending a
tamper to a remote
location, or the cost
of component
refurbishment and
replacement to
make the S&C fit
for tamping)
53 Cable Cable installation and When S&C is renewed, cable installation
Management reinstatement shall or reinstatement shall enable every
enable every bearer to bearer to be tampable
be tampable
Renewal
54 Renewal S&C shall be N/A
Criteria considered for complete
renewal after the
tonnages of traffic
55 Renewal S&C shall be considered for complete S&C shall be
Criteria renewal: renewed if
• if geometry targets cannot be met by economic
maintenance at economic intervals maintenance
• if points failures due to track condition (including the
cannot be prevented by maintenance at repair and
economic intervals replacement of
defective
• if the ironwork and/or bearers have no
components)
remaining service life (but if the condition
of switches and/or crossings is the only cannot prevent:
renewal driver, only the switches and/or •
the imposition
crossings shall be renewed) of a TSR due to
S&C on timber bearers on high cant track geometry
deficiency curves or of older inclined design or component
shall be prioritised for replacement in renewal condition
programmes • unacceptable
numbers of
point failures
due to track
condition
56 Abandonment The opportunity to abandon S&C shall always be considered at
renewal
57 Partial Partial renewal or Partial renewal or The service life of
Renewal refurbishment of S&C refurbishment of S&C shall be
on timber bearers shall S&C on timber extended as far as
be considered as an bearers shall be possible by the
alternative to complete considered as an replacement of
renewal, where this alternative to individual
would enable complete renewal, components.
abandonment or where this would Partial renewal or
Page 116 of 470

Trunk
complete renewal to be enable refurbishment of
carried out in abandonment or S&C on timber
conjunction with complete renewal bearers shall
resignalling or to be carried out in always be
enhancement schemes conjunction with considered as an
that will be implemented resignalling or alternative to
within 5 years enhancement complete renewal.
schemes that will Asset management
be implemented plans shall be
within 10 years based on the
minimum quantity
of complete
renewal of S&C
required to sustain
the existing
capability of each
route
construction for S&C and 2: as for is required, the
renewal is NR60 S&C Primary. Track preferred
fully welded and categories 3 to 6: construction for
stressed, concrete The preferred S&C renewal is
bearers and 300mm construction for shallow depth
depth of ballast. S&C renewal is vertical S&C
Shallow depth vertical shallow depth fully welded and
S&C on concrete vertical S&C fully stressed, concrete
bearers may be used by welded and bearers and
exception in low speed stressed, concrete 300mm depth of
layouts if NR60 bearers and ballast
geometry is unsuitable 300mm depth of
ballast
59 Mechanically Mechanically driven Appropriate treatments for mechanically
Driven S&C S&C shall be prioritised driven S&C that requires renewal are, in
for replacement in order of preference:
renewal programmes. • abandonment
Appropriate treatments • motorisation and renewal in shallow
for mechanically driven depth vertical on concrete bearers
S&C that requires • retention of mechanical operating
renewal are, in order of mechanism and renewal in full depth
preference: vertical on hardwood bearers
• abandonment • retention of mechanical operating
mechanism and renewal in bullhead
• motorisation and on hardwood bearers
renewal Selection will be on a site by site basis,
depending on operational requirements
and practicability
60 Reballasting Stand alone reballasting shall only be N/A
considered on fully welded S&C on concrete
bearers
61 Switches and When the condition of As for Primary, except that for S&C in
Crossings switch blades, stock track categories 4 to 6:
rails or crossings is • new or serviceable replacement half
such that they have to sets of switches or crossings may be
be replaced, new half used
sets of switches or • semi-welded or fabricated crossings
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Trunk
crossings shall be used. may be used as follows:
The preferred o to replace existing semi-welded
replacement types are or fabricated crossings like for
weldable half sets and like: on a permanent basis
cast centre block to replace existing cast crossings: only as
crossings, to avoid or a temporary measure
reduce bolted joints in
the S&C. Bolted
monoblock crossings
may be used by
exception or in lower
speed station layouts.
Serviceable half sets or
crossings and semi-
welded or fabricated
crossings may only be
used as a temporary
measure and shall be
replaced within
specified timescales
62 Crossings Replacement crossings shall be installed with new check rails
63 IBJs IBJs in S&C shall be N/A N/A
replaced after the
tonnages of traffic
64 IBJs IBJs in S&C shall be replaced: IBJ insulations in
• if they repeatedly deteriorate to S&C shall be
intervention level dip angle replaced:
• if they cause track circuit or points failure • if they show
• if the insulation shows signs of damage signs of failure
Shop manufactured glued IBJs shall be used • if the IBJ
if practicable. They shall be 6-hole unless causes a track
precluded by curvature or geometry circuit or points
constraints. Site made IBJs not specified as failure
such in the layout drawings may only be used IBJs in S&C shall
as a temporary measure and shall be be replaced:
replaced within specified timescales • if they
repeatedly
deteriorate to
intervention
level dip angle
• if the
insulations
require to be
replaced, but
cannot be
without
replacing the
whole joint
Like for like
replacements shall
be used, unless the
obsolete
Page 118 of 470

Figure 24 S&C population details

Primary L&SE Secondary Rural Freight Freight Total
Trunk Other
8418 3022 5414 1235 511 891 19491
Age profiles
Figure 25 Primary and key L&SE Routes
1800
1600
1400
1200
Number of Units
1000
800
600
400
200
0
Pre 1940 1940- 1945- 1950- 1955- 1960- 1965- 1970- 1975- 1980- 1985- 1990- 1995- 2000- 2005-
1944 1949 1954 1959 1964 1969 1974 1979 1984 1989 1994 1999 2004 Present
Installation Date
Page 119 of 470

Figure 26 Secondary, other L&SE and Freight Trunk routes
1600
1400
1200
1000
Number of Units
800
600
400
200
0
Pre 1940 1940- 1945- 1950- 1955- 1960- 1965- 1970- 1975- 1980- 1985- 1990- 1995- 2000- 2005-
1944 1949 1954 1959 1964 1969 1974 1979 1984 1989 1994 1999 2004 Present
Installation Date
Figure 27 Rural and other Freight routes
350
300
250
Number of Units
200
150
100
50
0
Pre 1940 1940- 1945- 1950- 1955- 1960- 1965- 1970- 1975- 1980- 1985- 1990- 1995- 2000- 2005-
1944 1949 1954 1959 1964 1969 1974 1979 1984 1989 1994 1999 2004 Present
Installation Date

In addition to the degradation mechanisms of plain line, S&C degrades by:
Page 120 of 470

Figure 28 Business risk from S&C degradation

Degradation Impact Predictability of Possible mitigation
and key defect or measures
driver deterioration rate
mechanical worn switch rails and an low Corrected by weld
wear to increased risk of wheel repairs and grinding
switch rails, flange climbing
particularly severe wear requires
within the replacement of the
planed length complete half-set
impact failure of the crossings low Corrected by arc welding
damage to and/or premature
crossing replacement severe wear or large
noses and cracks require
wing rails replacement of the
crossing
poor increased risk of points low Corrected by manual
geometry in failure and associated lifting/slewing and
S&C leads to delays to traffic packing or by
excessive tamping/stoneblowing
voiding
If the consequences of deterioration described above are not rectified, they can
lead to increased costs, deteriorating performance and ultimately to an
unacceptable risk of derailment or collision.

The degradation of S&C is highly dependent on local circumstances, including:
• the tonnage of traffic and the mix of passenger, freight and rolling stock
types
• the speed on the through and turnout routes
• the frequency of use in the turnout direction
• whether the S&C is facing, trailing, or bi-directional
• the construction, condition and through alignment of the S&C
As a result, the prevailing degradation mechanisms and deterioration rates have a
low predictability overall. However, they can be established on a site specific
basis from the outputs of inspection and monitoring regimes, so that preventive
maintenance can be effectively planned. In order to achieve lowest whole life
costs, we therefore operate an inspection led maintenance regime. Inspection
frequencies are based on our experience and understanding of the degradation
mechanisms, range of deterioration rates and the associated performance and
safety risks. Routine visual inspections are combined with special inspections
that check for known potentially serious defects that can develop in cast crossings
and switch rails. The regime allows us to carry out the most effective remedial
action to prevent premature failure of the asset. Rates of wear to all S&C
components are mitigated by track geometry and drainage maintenance. S&C is
generally amenable to the replacement of worn components that cannot be
repaired.
As further information on asset condition and behaviour becomes available,
especially from automated measuring systems, the predictability of degradation
Page 121 of 470

will increase hence the balance between inspection led and fixed interval
3.5.2 Inspection

inspections are commensurate with the Track Category.
The table below shows the minimum inspection frequencies for the most
significant track categories in S&C.
Figure 29 Inspection regimes, S&C
Visual
Track
Category Basic Supervisor Manual Ultrasonic Track Geometry
Testing
Primary and key L&SE
1A Once per week Once every Once every two Once every three
(twice per week two months months months
if not
1 Once every three
strengthened)
months
2 Once every six Once every six
months months
Secondary, Other L&SE and Freight Trunk
2 Once per week Once every Once every six Once every six
(twice per week two months months months
if not
strengthened)
3 Once per week Once every Once every twelve Once every twelve
three months months
4
months
5
Rural and freight other
3 Once per week Once every Once every twelve Once every twelve
three months months
4
months
5
6 Once every two
weeks
More detail on these inspections is given in specification NR/SP/TRK/001

“Inspection and Maintenance of Permanent Way”.
The overall inspection regime, comprising visual inspection, cab riding, special
inspections, ultrasonic testing of rails and track geometry recording, covers S&C
as well as plain line. Where the frequency of visual inspection of S&C is higher
than for the adjoining plain line (for example once per week for S&C in track
categories 3 and 4, compared to once every two weeks for plain line CWR),
separate visual inspection of the S&C is carried out.
The nature of S&C makes it more liable to high rates of degradation than the
adjoining plain line. The key drivers of frequency and cost of inspection are the
speed and tonnage of traffic - classified by track category – and whether the S&C
is strengthened or unstrengthened. Unstrengthened S&C is not designed to
transmit longitudinal thermal forces in the rails and can deteriorate more quickly
than strengthened S&C under heavy traffic. Visual and ultrasonic inspection of
Page 122 of 470
unstrengthened S&C is at twice the frequency of strengthened and costs twice as

much.
Special inspections of S&C are different to those for plain line, covering facing
switches and cast crossings. More detail on these inspections is given in
specifications NR/SP/TRK/053 ‘Inspection and Repair Procedures to Reduce the
Risk of Derailment at Switches’ and NR/SP/TRK/054 ‘Inspection of Cast
Crossings and Cast Vees in the Track’.
A complete review of S&C inspection frequencies and practice is currently in
progress, considering the requirements of the complete S&C system comprising
track, signalling and plant assets. The review is addressing both performance and
safety risk, and is considering the mix of skills and competencies required to
deliver inspection of the complete system.
The majority of S&C maintenance work is driven by routine inspection, dealing
safety of the line. The remainder of S&C maintenance work is carried out at fixed
intervals.
Where the construction and condition of S&C conform to the desirable quality for
the Route Type, the majority of inspection driven maintenance will be planned in
advance and delivered within Rules of the Route possessions.
Where this is not the case, additional inspection driven maintenance will be
required with some work requiring short notice possessions. This problem is
particularly acute in the London area where traffic levels, possession
opportunities, resources and skill shortages lead to high levels of additional
inspection driven maintenance.
S&C on rural routes is generally of obsolescent designs, S&C on freight routes
carrying significant tonnage may well be of a modern design and suitable for
stressing.
Our inspection led maintenance is described below:
Figure 30 Inspection led maintenance, S&C

Asset Activity Primary and Key Secondary, Rural and
L&SE Other L&SE Freight Other
and Freight
Trunk
Rail Manual grinding of The most economic way to mitigate derailment risk
switches to remove at switches and to prolong their service life.
lipping and other Intervention limits are set out in standards
derailment hazards, NR/SP/TRK/001and /053
and weld repair to
rebuild worn switch Switch welding and grinding repairs cost £0.5k -
tips £1.0k, compared to replacement costs of £8k – £12k
Hand grinding of To remove initial lipping around the nose and
crossings soon prevent cracks that would shorten the service life of
after installation the crossing
Crossing grinding repairs cost £0.5k - £1.0k,

compared to replacement costs of £10k – £15k for a
cast crossing
Weld repair of worn To the restore the correct profile to the nose and
crossing noses and wing rails. Repair before the 6mm intervention limit
wing rails is reached prevents increases in dynamic loading,
damage to bearers and ballast, and reduces the risk
Page 123 of 470

of cracks and premature failure the crossing
Crossing weld repairs cost £0.5k - £1.0k, compared

to replacement costs of £10k – £15k for a cast
crossing
Adjustment or Because if not rectified, worn check rails will lead to
replacement of rapid wear of the crossing nose and wing rails.
worn check rails to Intervention limits are given in NR/SP/TRK/001
maintain
dimensional Conventional check rails cost £1k - £2k to replace,
tolerances to compared to replacement costs of £10k – £15k for a
crossing noses cast crossing. Adjustable check rails can be
shimmed several times at minimal cost
Replacement of Where the wear or defect reaches the limits
worn or defective prescribed in standards NR/SP/TRK/001, /053 or
crossings and half /054 and cannot be repaired
sets of switches
The limits have been set, from experience, to
mitigate the risk of derailment from flange climb or
cracks propagating to failure
Bearers Insertion of coils The most economic way to maintain the integrity of
and replacement of the S&C and to ensure that gauge is adequately
ferrules to restore controlled
the security of
loose coach screws Coils and ferrules cost £10 - £20 per bearer to
in timber bearers install, compared to £200 - £400 for bearer
replacement
Pull through timber Not appropriate For moderate and low speed
bearers to enable as this technique S&C, where coils have already
baseplates and does not result in been fitted and the bearers are
screw holes to be the quality of not split or indented at the new
repositioned support required baseplate seating positions
for reliable
operation under
high speed,
heavy tonnage
traffic
Spot replacement Where installation Where the insertion of coils and
of timber bearers of coils and ferrules or pulling through the
that are badly ferrules would not bearers would not be effective
cracked, split or be effective
have loose
housings
Replacement of To prevent damage to the rail foot and the bearer
worn pads on rail seat area. Timely replacement of pads is much
concrete bearers cheaper than replacement of the bearers
Repair of concrete For bearers that support 3 or more rails, because
bearers with costs are similar to replacement of the bearers but
defective housings repair does not affect track geometry
Ballast S&C tamping to The most economic way to maintain track geometry
restore track at a good or satisfactory level, necessary if the
geometry (sites predicted reliability and service life of the S&C are to
identified through be achieved
analysis of track
recording data and Manual assistance is required except on S&C with
site inspection) in bearer drive mechanisms. Parallel tamping is
required to obtain durable results on concrete
bearer crossovers
Manual lifting and To prevent increases in dynamic loading, damage to
packing of switch ironwork, bearers and ballast, and reduces the risk
Page 124 of 470
tips, crossing noses of points failures and premature failure of

and rail joints to components1
repair voiding
All S&C Adjusting, The most For S&C with a high
components lubricating, economic way to performance priority, as the
tightening and avoid point most economic way to avoid
minor component failures and point failures and achieve the
replacement as achieve the required reliability
necessary, required reliability
identified through of the S&C
‘pointcare’
inspection
Table notes:
1. Manual lifting and packing may also be economic for all S&C geometry
maintenance under slow speed, light traffic, particularly in remote locations
2. The justification of the selected wear limits for cost effective weld repair
are
• The most cost effective time to carry out maintenance welding of a
crossing is when the wear is between 3mm and 6mm
• Repairs thinner than 3mm, whilst quick to carry out, are not durable and
are prone to spalling out
• Repairs thicker than 6 mm require large amounts of preheating of the
crossing and have to be built up in layers: this is much more time
consuming, costly and prone to inclusion of defects during the repair
• Repair costs at 3mm – 6mm are £0.5k - £ 1.0k
• Crossing replacement costs are £10k - £15k
Figure 31 Fixed interval maintenance, S&C

Activity Primary and Key L&SE Secondary, Rural and
Other L&SE Freight Other
and Freight
Trunk
Train based grinding The most economic method Appropriate for track categories 1
of S&C to restore rail to maintain the rail profile to 3
profile every 15 and reduce the following
EMGT risks: Not appropriate for track categories
4 to 6 because rail profile wear
RCF including the rates are slow and under light traffic
formation of squats; and can be more economically
poor riding of trains; addressed by manual grinding of
increased vertical and switch tips, crossing noses and
lateral damage wings using supported grinders.
including damage to The low density of S&C commonly
bearers, ballast and found on low category tracks
point operating makes efficient and economic train
equipment based grinding difficult to achieve
The usage-based
intervention is designed to
strike an economic balance
between the cost of
grinding and the
performance and safety
Page 125 of 470

benefits.
Manual lubrication of To prevent point failures caused by ‘dry slide chairs’. Lubrication
cast iron slide chairs is generally undertaken in conjunction with visual inspection
Note that contemporary S&C designs incorporate low friction slide

inserts and/or rollers that do not require frequent lubrication
3.6 Replacement
3.6.1 Criteria
These are listed in section 1.6.2 and the table below explains how they are
applied
Figure 32 Replacement criteria, S&C
L&SE L&SE and Freight Freight
Trunk Other
Rail Replace worn Where the ironwork cannot be repaired but the bearers and
crossings or half ballast are in satisfactory condition
sets of switches
under
maintenance
Bearers Replace Where individual Where individual bearers are
defective bearers bearers are defective, defective, but the majority of the
under but the ballast and the bearers are in satisfactory
maintenance majority of the bearers condition
are in satisfactory
condition
Ballast Stand alone Not appropriate except For fully welded S&C on concrete
ballast cleaning for fully welded S&C on bearers with linespeed of 90 mph
(separate from concrete bearers with or below where the ballast is
partial or linespeed of 75 mph or clogged and the S&C has more
complete below, where the than half its expected life
renewal) ballast is clogged but remaining, as an economic way
the S&C has more than of maximising the service life of
half its expected life the S&C
remaining, as this
technique does not
result in the quality of
support required for
reliable operation
under high speed
traffic
Rail, Partial renewal For S&C on timber bearers where significant additional
bearers reliable service life can be secured by the renewal of a
and proportion of the ironwork, bearers and ballast. Partial
ballast renewal is not justified for replacement of ironwork only.
Complete Where the following components require Not
renewal renewal: appropriate
except
bearers only where the
bearers and ballast ironwork,
ironwork and bearers bearers
ironwork and ballast and ballast
ironwork, bearers and ballast all require
renewal
Complete renewal is the most effective way
of enabling satisfactory performance and
reducing maintenance input; however,
Page 126 of 470
renewal may be premature for some

elements. Site specific assessment is
required
Figure 33 Replacement type, S&C

L&SE L&SE and Freight
Freight Trunk Other
Half sets Replace with Because welded switches suffer less dynamic loading,
of new weldable require less maintenance, have a lower risk of points failure
switches half set of and have longer service lives
switches
Replace with Where the existing half set is bolted and welding up is not
new bolted half practical
set of switches
Replace with Not appropriate except Not appropriate for track
serviceable as a temporary categories 1 to 3
half set of measure, because
switches serviceable Appropriate for track categories 4
components cannot to 6 because serviceable
meet the performance components can meet the
requirements under performance requirements under
high speed heavy moderate speed medium and light
traffic traffic
Crossings Replace with Because welded crossings suffer less dynamic loading,
new weldable require less maintenance, have a lower risk of rail end
cast crossing failure and have longer service lives
Replace with Where the existing crossing is bolted and welding up is not
new bolted practical
cast crossing
Replace with Not appropriate except Not appropriate track categories 1
serviceable, as a temporary to 3
semi welded or measure, because
fabricated serviceable, semi Appropriate for track categories 4
crossing welded or fabricated to 6 because serviceable, semi
crossings are not welded or fabricated crossing are
strong enough to meet strong enough to meet the
the performance performance requirements under
requirements under moderate speed medium and light
high speed heavy traffic
traffic
Install Because retention of the existing worn check rails will lead
replacement to rapid wear of the crossing nose and wing rails
crossing with
new check rails
All S&C Abandonment Preferred option where the S&C is no longer required for
(renew with operation of trains
plain line)
Renew with On the grounds of Appropriate for track categories 1
NR60 S&C reliability, low rates of to 3
fully welded deterioration and
and stressed, service life as the Not appropriate for track
concrete preferred option for categories 4 to 6 as is more
bearers and high speed high expensive than shallow depth
300mm of tonnage routes vertical and stronger than required
ballast
Note that
Page 127 of 470
NR60 is not
available on
hardwood
bearers
Renew with Not appropriate except Not appropriate Appropriate
shallow depth for low speed S&C track categories 1 where
vertical S&C layouts where the to 3 complete
fully welded geometry renewal is
and stressed, requirements are less Appropriate track justified.
concrete onerous than for high categories 4 to 6 The
bearers and speed locations. The as the performance
300mm of wider range of performance of of vertical
ballast available geometries vertical S&C is S&C meets
enables installation satisfactory for the all
where space is short majority of requirements
or to minimise locations on for rural and
alterations to signal or Secondary and freight only
OHLE systems other L&SE routes
routes. The wider
range of available
geometries
enables
installation where
space is short or
to minimise
alterations to
signal or OHLE
systems
Renew with Not appropriate except where physical constraints prevent
shallow depth the use of concrete bearers
vertical S&C
fully welded
and stressed,
hardwood
bearers and
300mm of
ballast
Partial renewal Where appropriate to Where appropriate The
of ironwork, extend the life of S&C to extend the life preferred
bearers, ballast on timber bearers by of S&C on timber treatment for
and up to 5 years, to co- bearers by up to S&C under
components, ordinate with 10 years, to co- light traffic,
and restoration resignalling or ordinate with unless the
/ installation of enhancement scheme resignalling or condition of
design timescales or to avoid enhancement ironwork,
geometry premature complete scheme bearers and
renewal timescales or to ballast
avoid premature makes
complete renewal complete
renewal
more
economic
Renew with Not appropriate as not capable of meeting Appropriate
serviceable performance requirements for low
S&C speed
locations,
where either
bullhead or
flatbottom
designs on
timber can
Page 128 of 470
be re-cycled
at economic
cost
The following are the justifications for major expenditure items

Shallow depth vertical S&C
• cost £400k - £500k per point end
NR60 S&C
• cost £500k - £600k per point end
• NR60 offers worthwhile whole life cost benefits under heavy and medium
traffic, because:
o Installation cost is 20% greater than shallow depth vertical but
service life is potentially 20% longer
o service stresses are 15% lower than shallow depth vertical under
the same traffic, less likely to breach fatigue limit stress and fail
prematurely
o larger head than shallow depth vertical, can tolerate more wear in
the through route direction
o stiffer than shallow depth vertical, slower track geometry
deterioration rates
Head hardened rail for the manufacture of half sets of switches
• cost is currently double 260 grade rail because it has to be imported
• UK manufacture is being investigated, potentially reducing the cost to 30-
50% more than 260 grade
• Rail material cost is around 20% of the cost of manufacturing a half set of
switches. Potential whole life cost benefits because life of turnout half sets
could be doubled. Typically these are replaced twice during the service life
of a point end, at a cost of £8k - £12k on each occasion
Concrete bearers
• cost £100 – £250 each including fastenings
• heavy bearer, contributes to slow track geometry deterioration rates
Hardwood bearers
• cost £50 - £200 each without baseplates or fastenings, depending on
length
• shorter potential service life than concrete bearers
• high cost, low weight and sustainability issues limit their use to
maintenance replacement and specific locations where concrete bearers
are not suitable
Explosive depth hardened (EDH) crossings
• EDH treatment will double the time before the first weld repair is
necessary
• Weld repair costs £0.5k - £1.0k
Page 129 of 470

• EDH treatment will extend crossing service life by at least 25%

• Crossing replacement costs £10k - £15k
• Cost effective on the basis of weld repairs saved and longer service life for
only £0.8k increase in initial cost

The number of point failures is the output-based performance indicator that has
been chosen to monitor the effectiveness of S&C maintenance. Point failures are
failures of the complete S&C system and the root cause may be related to the
track, signalling or plant assets. All system aspects have to be addressed to
achieve good S&C reliability, particularly under heavy traffic. Substandard track
conditions such as geometry defects, gauge or flangeway defects, voiding, dipped
joints or IBJs, can increase the risk of failure of the signalling assets.
Achievement of planned preventive maintenance is under development as an
indicator. The preventive maintenance activities that are judged to be most
important for the achievement of optimum S&C service lives will be targeted.
Activities under consideration include S&C grinding and maintenance of drainage.

A business case is being developed for the cyclic renewal of primary and key
L&SE routes which would install a common, higher, standard of S&C with reduced
operational expenditure. This is not included in the policy because further work is
required to assess the cost and benefits of this approach.
In addition, deliverability may be affected by:
during each possession by having available sufficient, high output, high
speed, high capacity plant
• the availability of sufficient staff with the necessary skills to carry out the
work. This is particularly an issue around London and other major
conurbations where it results in high levels of reactive maintenance
• the need for sufficient numbers of specialist S&C designers, signal
engineers and technicians to carry out design, installation and testing work
There are no particular constraints affecting S&C on secondary and other L&SE
routes
However, deliverability of these policies may be affected by
during each possession by having available appropriate plant
• the need to maximise possession outputs by having the correct,
competent, staff.
• the need for sufficient numbers of specialist designers, signal engineers
and technicians to carry out the S&C design, installation and testing work
There are no particular constraints that affect S&C on rural and freight only routes

The planning assumptions for switches and crossings on all routes are as set out
in section 1.7

For primary and Key L&SE routes
Page 130 of 470
Our policy will gradually improve the overall condition of S&C and reduce
maintenance costs on these routes. Reliability and availability will be improved,
for example by the better reliability of robust NR60 fully welded S&C and
reduction in track geometry deterioration rates. Partial renewals will help to offset
the peak in S&C renewal demand that is forecast for CP4 and CP5.
For secondary and other L&SE routes
and ongoing maintenance costs of the S&C on these routes during CP4, mainly
by the continued renewal of jointed S&C with modern fully welded designs. Partial
renewals will help to offset the peak in S&C renewal demand that is forecast in
CP4 and CP5.
For rural and freight only routes
Our policy will sustain the existing overall condition, performance and ongoing
maintenance costs of the S&C on these routes. Partial renewals will help to offset
the peak in S&C renewal demand that is forecast in the current period and CP5.

There are no known exceptions to the asset management principles or general
policy statements for S&C.
3.12 References
• ‘Forces Applied to the Rail’ B. Whitney 2006
• NR/SP/TRK/001 ‘Inspection and Maintenance of Permanent Way’
• NR/SP/TRK/011 ‘Continuous Welded Rail (CWR) Track’
• NR/SP/TRK/053 ‘Inspection and Repair Procedures to Reduce the Risk of
Derailment at Switches’
• NR/SP/TRK/054 ‘Inspection of Cast Crossings and Cast Vees in the
Track’
• NR/SP/TRK/102 ‘Track Construction Standards’
4 Lineside Assets
4.1 Lineside asset policies
Figure 34 Inspection and maintenance policy statements for lineside assets

No Activity Primary and Secondary, Other Rural and Freight
Key L&SE L&SE and Freight Other
Trunk
Drainage
65 Inspection Drainage shall be inspected no less than annually
regime
66 Maintenance Drainage shall be cleared where inspection identifies that water
is not free flowing
67 Maintenance Track drainage Track drainage Track drainage
chambers shall chambers shall be catchpits and pipes
be cleared no cleared to suit the shall be cleared if:
less than monitored condition
annually of the drainage • inspection shows
that water cannot
flow away; or
Page 131 of 470

• flooding is
causing
unacceptable
delays to trains
or nuisance to
neighbours
68 Maintenance All existing open channels shall be Crestline and Toe

cleared/reinstated in CP4 to permit the drainage shall be
free flow of water through to the outfall cleared/reinstated in
and beyond. CP4 to permit the
free flow of water
through to the outfall
and beyond
69 Fixed Interval Earthwork pipes and channels shall be cleared no less than once
Maintenance in 3 years
Boundary measures
70 Inspection Tactile inspection of boundary measures every 12 to 36 months
regime depending on track category and adjacent land use
71 Inspection Enhanced boundary inspections shall occur every 3 to 6 months
regime at evidenced locations of route crime
72 Maintenance Boundary measures shall be maintained to reduce the risk of
trespass and animals incursion
73 Maintenance Boundaries shall be repaired following damage
74 Maintenance The reliability and longevity of boundaries shall be progressively
improved by the cyclic re-tensioning of all fences with in-line
straining devices every 5 years
Vegetation
75 Inspection Vegetation shall be inspected to assess risks to the operational
regime railway, track worker safety and neighbours
76 Inspection Vegetation shall be surveyed every 5 years
regime
77 Inspection The National Vegetation survey will be completed by 2011
regime
78 Inspection Systematic inspection of trees over 150mm diameter
regime
79 Maintenance Risk mitigation timescales for dangerous trees shall be
commensurate with the assessed risk
80 Maintenance Cut stumps will be treated with herbicide to reduce undesirable
regrowth
81 Maintenance All woody All woody vegetation All woody vegetation
vegetation shall shall be shall be
be progressively progressively cleared progressively cleared
cleared to 5 to 5 metres from the to 3 metres from the
metres from the cess rail and cess rail and
cess rail and maintained to maintained prevent
maintained to prevent regrowth. regrowth
prevent regrowth
82 Maintenance Sites assessed as having a vegetation risk category 4 or 5 on
any earthwork type shall have the vegetation within our boundary
managed to reduce the risk to risk category 2 or below
83 Maintenance Sites in cuttings assessed as having a risk category 3 shall have
the vegetation within our boundary managed to reduce the risk to
risk category 2 or below
84 Maintenance Knotweed growing within our boundary will be controlled
Page 132 of 470

85 Maintenance Lineside vegetation (not captured above) shall be cleared,

including the pruning or felling of trees, if:
• inspection or reports from staff/traincrew indicate that sight

lines or the cess are obstructed
• there is a high risk of obstruction of the track

• there is an unacceptable risk to neighbours
to mitigate leaf fall risks (SPAD, wheelslip and loss of track circuit
detection)
86 Maintenance The track and cesses shall be maintained clear of all vegetation
using train-based weedspraying no less than annually, supported
where necessary by manual spraying/clearance at
environmentally sensitive locations or locations where access by
train is limited
87 Maintenance Vegetation in the 3-5m area shall be managed on a cyclic regime
utililising a combination of manual, mechanical and chemical
measures within the defined maintenance regime
Level crossing
88 Inspection Level crossing surfaces shall be inspected at regular intervals,
regime dependent upon crossing user and rail traffic volumes, to identify
defects that pose potential risk to crossing users or trains
89 Maintenance Level crossing surfaces shall be maintained to reduce the risk to
users and to trains
90 Maintenance Manufacturer-specified maintenance shall be carried out on A-
road, skewed and high load crossings no less than annually
End stop
91 Inspection End stops shall be inspected every 6 months
regime
92 Maintenance End stops shall be maintained in effective working order
Lineside signs
93 Inspection Lineside signs shall be inspected during basic visual track
regime inspections
94 Maintenance Lineside signs shall be maintained in a legible condition
Access points
95 Inspection Access points shall be inspected no less than annually
regime
96 Maintenance Access points in regular use shall be maintained in a safe
condition for users
Figure 35 Renewal policy statements for lineside assets

No Activity Primary and Key L&SE Secondary, Rural and
Other L&SE Freight Other
and Freight
Trunk
Drainage
97 Renewal Track renewals shall include formation treatment and/or the
installation, renewal or refurbishment of track drainage, where
specified
98 Renewal Standalone drainage renewals shall take place: Standalone
where changes in adjacent land use or railway drainage
characteristics render the current system renewals will only
inadequate; blockages cannot be cleared by be considered
maintenance or ongoing maintenance becomes where train
uneconomic or ineffective delays, safety
and/or
As Primary environmental
risks are
Page 133 of 470

unacceptable
and other
measures have
failed
Boundary measures
99 Renewal Boundary measure shall be renewed when:
• unauthorised access can not be effectively deterred.

• changes in adjacent land use that increase the risk
• changes in railway characteristics that increase the risk
• the posts and/or infill have no remaining service life
• ongoing maintenance becomes uneconomic or ineffective
100 Renewal When boundaries are renewed, abutting boundaries with less than 5
years’ remaining service life shall also be considered for renewal.
Level crossing
101 Renewal Level crossing surfaces shall be renewed where specified in
conjunction with track renewal, where more than 50% of the surface is
worn out or where there is a significant change in road traffic volumes
End stops
102 Renewal End stops shall be renewed where repairs or replacement of individual
components are no longer capable of keeping them in effective
working order
Lineside sign
103 Renewal Lineside signs shall be renewed where cleaning, painting or
reinstatement are ineffective
Access point
104 Renewal Access Points shall be renewed when:
• unauthorised access can not be effectively deterred

• changes in use increase the risk to staff
• the steps and handrail have no remaining service life
• ongoing maintenance becomes uneconomic or ineffective
4.2 Brief description of the purpose of Lineside Assets
The following features of the track system are treated as lineside assets:
• drainage; conveys water from the ballast, sub-grade and formation, or
from earthworks, along or across the track to an outfall
• boundary measures; delineate Network Rail property and deter trespass
and animal incursion. The commonest boundary measures are fences and
walls
• vegetation; managed to minimise interference with train operations and
risks to staff and neighbours, caused by obstructed sight lines or positions
of safety, damage to overhead lines, or trees falling across the track or
onto neighbouring property
• level crossing surfaces; carry road traffic across the railway at grade
• end stops; prevent trains running off the end of a track. They can be buffer
stops, wheel stops or sand drags
• lineside signs: indicating mileage and gradients
4.3 Asset Types and Populations

N/A
Page 134 of 470

As described in section 1.5, asset degradation is largely but not entirely a result of
environmental issues. The table below summarises these degradation
characteristics, their impact and predictability and possible mitigation measures
Figure 36 Business risk for lineside assets

Asset Degradation and Impact Predictability Possible mitigation
key driver of defect or measures
deterioration
rate
Drainage Silting up of Blockage, leading Low Regular maintenance
catchpits, pipes and to risk of flooding, of catchpits, pipes and
open channels weakened track channels
support and
earthwork
instability,
increased track
maintenance costs
and shortened
asset service lives
Damage or blockage Blockage, leading Low Vegetation clearance
by vegetation growth to risk of flooding,
weakened track Replacement of
support and damaged sections of
earthwork drain
instability,
increased track
maintenance costs
and shortened
asset service lives
Boundary Cracking, decay or Encroachment, Low Regular inspections
measures corrosion of leading to risks leading to repair or
concrete, timber or from boundary replacement of assets
steel fence posts disputes and in unsatisfactory
Slackening or liabilities condition
corrosion of wires
and netting, or Trespass or Cyclic, proactive
settlement following animal incursion, maintenance to
installation leading to risks of sustain boundary
Damage caused by vandalism, graffiti measure effectiveness
vandals, livestock or and fly tipping,
accidents train delays,
Changes in adjacent Reassessment of
collision with boundary suitability
land use animals and where adjacent land
derailment use change is
identified
All Natural growth Reduces sighting Low Proactive intervention
vegetation for signals, through appropriate
uncontrolled public maintenance regimes
crossings, and to minimise the risk
staff working on or posed by vegetation.
about the line, This can include
leading to risks of felling, pruning and
train delays, chemical application
overhead line
failures, signals
passed at danger,
injury or fatality to
staff or crossing
users
Obstructs places
of safety and
impairs the safety
of staff on or about
Page 135 of 470

the line
Trees Natural ageing and Trees falling Low Identification of dead,

decay, accelerated across the line or dying or diseased
deterioration due to onto neighbouring trees and lopping or
natural or man-made property, leading felling as appropriate
damage to risks of train
delays, collision
Storm damage to and derailment,
trees damage to
overhead line
electrification,
damage to
adjoining property
or injury to the
public
Leaf fall in autumn Fallen leaves High Clearance of trees at
crushed onto the high leaf fall risk sites
railhead cause
wheelslip that Railhead treatment
damages rails and during the leaf fall
wheels and season with high
increases the risk pressure water jetting
of signals passed and sandite
at danger application using
MPVs
Level Mechanical wear Surface damage Low Maintenance or
crossing caused by road and reduced skid replacement of
surfaces vehicles resistance damaged or displaced
increase risks for surface units
crossing users
Movement of Gaps between
crossing units units increase
caused by road risks for
vehicles pedestrians,
cyclists and trains
End stops Loss of effectiveness Increased risk of Low Repair or replacement
caused by weather damage, injury of assets in
and ageing and fatality in the unsatisfactory
event of buffer condition
stop strikes
Lineside Loss of legibility Increased risk of Low Cleaning, painting,
signs caused by weather, signals passed at reinstatement or
ageing, brake dust danger and replacement
and graffiti inaccurate
reporting of the
location of faults,
failures or
incidents
The potential impact on business outputs of failed or degraded off track assets
includes: train service delays
• increased cost of remedial work
• increased risk of train derailment or collision
• injury to staff, travelling public, neighbours or third parties
• public complaints
• contravention of legislation and subsequent prosecution
Page 136 of 470


For Lineside assets, degradation is generally not predictable hence our
maintenance regime is mainly inspection led.
4.5.2 Inspection
inspections are commensurate with the Track Category.
The table below shows the minimum inspection frequencies by track category
Figure 37 Inspection regimes for lineside assets

L&SE Other L&SE and Freight
Freight Trunk Other
Boundary Inspection every 3 to Accepted as the most economic method of minimising the risk
measures 12 months depending of trespass and animal incursions. Inspection frequencies take
on track category and account of site specific risk
adjacent land use
Vegetation Inspection every 12 Accepted as the appropriate frequency to monitor vegetation
months growth and decay and the potential impact on the operational
railway
End stops Inspection every 6 Accepted as the appropriate frequency to monitor their condition
months
Level crossing Inspected during Accepted as sufficient to monitor their condition
surfaces routine visual
inspection
Lineside signs Inspected during Accepted as sufficient to monitor their condition
routine visual
inspection
More detail on these inspections is given in specifications NR/SP/TRK/05100

‘Management of fencing and other boundary measures’, NR/SP/TRK/05201
‘Management of lineside vegetation’ and NR/SP/TRK/001 ‘Inspection and
Maintenance of Permanent Way’.
Figure 38 Inspection led maintenance for plain line

Trunk Other
Drainage Jetting or rodding to clear The minimum action necessary to mitigate the Rejected
drainage where risk of flooding unless train
inspection identifies that services are
water is not flowing freely being disrupted
by flooding
Track drainage chambers Rejected, fixed interval The minimum Rejected
shall be cleared when maintenance is action necessary to unless train
inspection identifies that required to prevent reduce the higher services are
they are full unacceptable risk of cost of increased being disrupted
damage to track track maintenance, by flooding
infrastructure and shorter service
disruption to traffic by lives and disruption
flooding to traffic from
flooding
Page 137 of 470

Track drainage shall be Rejected, fixed interval maintenance is The minimum

cleared when flooding required to prevent unacceptable risk of action
occurs damage to track infrastructure and disruption necessary
to traffic by flooding where flooding
is causing
unacceptable
train delays or
nuisance to
neighbours
Boundary Replacement of Cheaper than wholesale renewal of the boundary measure,
measures ineffective wires, netting, where the posts are sound
chainlink, mesh or
palisade pales
Replacement of up to 15 Cheaper than wholesale renewal of the boundary measure,
ineffective posts in Class where the rest of the posts are sound
II and III fences,
measured between two
consecutive quarter-mile
posts
Reinstatement of Accepted as cheaper than wholesale renewal of the wall
damaged boundary walls
less than 10 metres in
length
Vegetation Chemical treatment of cut Controls vegetation re-growth and reduces future maintenance
stumps to reduce costs
undesirable regrowth
Clearance of all woody Rejected because the frequency of planned and Enables the
vegetation to 3 metres unplanned intervention required to maintain shorter
from the cess rail and sighting and clearances to OHLE is uneconomic sighting
maintenance to prevent distances
regrowth required at
lower line
speeds to be
achieved
economically
Clearance of all woody Enables sighting and OHLE clearances to be Not required
vegetation to 5 metres achieved using planned and economic at lower line
from the cess rail and frequencies of intervention speeds
maintenance to prevent
regrowth
Lopping or felling of The minimum action required to reduce the risks from fallen
identified dead, dying or trees
diseased trees
Tree clearance at sites in The minimum action required to reduce the risks from fallen
cuttings assessed as trees, slope instability or leaf fall at identified high risk sites to an
having a risk category 3, acceptable level
or category 4 or 5 on any
earthwork type
Control of Japanese Mitigates risk of damage to infrastructure, nuisance to
Knotweed growing within neighbours and prosecution
our boundary
End stops Replacement of defective The most economic way to sustain their effectiveness
components, painting,
resetting and
reinstatement
Level Maintenance of fastening The most economic way of minimising the risk of accidents to
crossing systems, replacement of crossing users and trains
surfaces damaged surface units,
Water jetting road Reduces risks of broken rails from corrosion and train delays
crossings to clear salt, grit from track circuit failures
and debris
Lineside Cleaning, painting or The most economic way to keep signs legible
signs reinstatement
Replacement under Where cleaning, painting or reinstatement are ineffective
maintenance
Access Replacement of defective The minimum work necessary to keep the access point secure
points components
Page 138 of 470

Access Vegetation clearance The minimum work necessary to keep access points in regular
points use safe for staff
Boundary Re-tensioning of fencing Cheaper than wholesale renewal of boundary measures for
measures wires, replacement of lengths under 150 metres
individual damaged
components or lengths of
ineffective boundary
measure
Figure 39 Fixed interval maintenance for lineside assets

Trunk Other
Drainage Annual clearance of Accepted that this will Rejected
track drainage avoid the higher costs
chambers of increased track
maintenance, shorter
service lives and
disruption to traffic from
flooding
Clearance or Accepted as this will avoid the higher costs of Rejected, only
reinstatement of increased track maintenance, damage to required for
existing open earthworks, shorter service lives and disruption to crestline and
channels, and traffic from flooding toe drainage to
subsequent clearance avoid the
at least every 3 years higher costs of
damage to
earthworks,
shorter service
lives and
disruption to
traffic from
flooding
Fencing Fixed interval Rejected as correctly installed class I and II fences should only need
maintenance of class I intervention when damaged
and II fences
Re-tensioning of class The most economic Fences adjacent to livestock or arable
III fences with in-line method to mitigate fields: as Primary
straining devices deterioration, reduced
service life and the risk Fences adjacent to woodland and open
of animal incursion country: Rejected as the cost cannot be
justified on the basis of service life
Untensioned wires improvements alone
render post and wire
fences ineffective
against animal incursion
and shorten service life
Vegetation Annual weedspraying The minimum frequency that controls the growth of vegetation,
of the ballasted area preventing clogging and premature degradation of the ballast and
and cesses obstruction of the cesses
Some locations require more frequent weedspraying, due to rainfall

at first application or vigorous growth
Train borne Train-borne weedspraying is the most economic method for
weedspraying of the continuous application
ballasted area and
cesses
Manual weedspraying Rejected, except where trains cannot operate due to environmental
of the ballasted area or track access constraints, because manual weedspraying is more
and cesses expensive
Annual maintenance of The most economic method of controlling regrowth after clearance
cleared 3-5m areas
Page 139 of 470

Annual maintenance minimises the need for expensive clearance of

established woody vegetation
Maintenance of 3-5m Rejected as there is insufficient track access and train-borne
area using only train application equipment available; unacceptably high levels of chemical
borne scrub spraying use across the infrastructure
with selective
herbicides
Maintenance of 3-5m An integrated approach makes optimum use of the available track
area using train borne access and train-borne resource and is the most economic and
scrub spraying with environmental method of controlling regrowth after clearance
selective herbicides
together with manual
and mechanical
methods
Level Annual maintenance of The minimum frequency required to ensure the integrity of the
crossing A-road, skewed and surface
surfaces high load crossing
surfaces
4.6 Replacement
4.6.1 Criteria
Figure 40 Replacement criteria for lineside assets

L&SE Other L&SE and Freight Other
Freight Trunk
Drainage Replacement of piped For lengths that cannot be cleared by rodding or jetting, as less
(less than 450mm dia) or costly than wholesale renewal
lined channel section of
drain less than 60 metres
or 3 chambers in length
under maintenance
Installation or complete Accepted, for lengths greater than 60m or where specified, as it
renewal of drain is less costly than piecemeal replacement, or where the
likelihood of damage to drains during track renewals is high
Stand-alone drainage Accepted, where changes in adjacent land Only where
renewals use or railway characteristics render the safety and/or
current system inadequate environmental
risks are
unacceptable
and other
measures have
failed
Stand-alone drainage Where blockages cannot be cleared by Only where
renewals maintenance, or ongoing maintenance safety and/or
becomes uneconomic or ineffective environmental
risks are
unacceptable
and other
measures have
failed
Boundary Class I fence complete Rejected during CP4, other than in exceptional circumstances,
measure renewal because the fences are generally new
Class II and III fence More economic than maintenance where there are more than 15
complete renewal ineffective posts, measured between two consecutive quarter-
mile posts
Class III dry stone wall Where maintenance is uneconomic (typically 10m or more of
complete renewal complete renewal)
Brick and mortar wall Where maintenance is uneconomic (typically 10m or more of
complete renewal complete renewal)
Complete renewal (all Where there are changes in railway characteristics or adjacent
types) land use that render the existing boundary ineffective
Level Complete renewal Where specified in conjunction with track renewal, where there is
crossing a significant change in road traffic volumes or where more than
surfaces 50% of the surface units are worn out, as the most economic
Page 140 of 470

way to keep them safe for crossing users

End stops Complete renewal Where the general condition is such that replacement of
individual components is impractical, or a significant increase in
traffic renders the existing stops ineffective, as the most
economic way to protect the ends of running lines
Access Complete renewal Where the general condition is such that replacement of
points individual components is impractical, as the most economic way
to enable security and safe access for staff
Figure 41 Replacement type for lineside assets

Trunk Other
Drainage A range of approved Specification to meet the requirements of individual sites
concrete, metal and
plastic pipes and
components
Boundary Class I fences; Open These fence types are the minimum specification that meet
measure mesh steel panel system, security requirements for high risk areas and have reduced
welded mesh system, maintenance costs
steel palisade
Class II fences; Open These fence types are the minimum specification that meet
mesh steel panel system, security requirements for medium risk areas and have reduced
welded mesh system, maintenance costs
chain link
Class III fences; Strained Accepted, these fence types are the minimum specification and
wire, wire mesh netting whole life cost that meet the requirements at low risk locations
Class III fences; Welded Rejected, unless required by site specific circumstances,
mesh system, chain link, because they are more expensive than strained wire and mesh
post and rail, dry stone netting
wall
Concrete posts (all fence Rejected, concrete posts have significant disadvantages in
types) terms of cost, environment and ergonomics (they are heavier
and more expensive to install than timber or steel)
Timber posts (all fence The preferred post type for class III fences due to lowest
types) installation and whole life costs
Incompatible with class I and II fencing systems

Steel posts (all fence The preferred post type for classes I and II fences, and for class
types) III where timber cannot be specified (i.e. welded mesh or chain
link infill)
Steel is lighter than concrete and has lower installation costs

End stops Like for like renewal Sustains the existing level of protection to the ends of running
lines
Upgrade Where significant changes in traffic render the existing stop
ineffective
Level A range of approved Preferred surface type for road crossings, road rail access
crossing prefabricated units points and frequently used occupation, bridleway and foot
surfaces points, due to strength, service life and ease of removal for track
maintenance
Tarmac or timber Not preferred Acceptable for light use locations

Three performance indicators are proposed to be monitored in order to assess the
effectiveness of key aspects of the lineside asset policies;
• Track flooding incidents due to defective drainage
• Animal incursions
• Train striking tree, tree obstructing the track or fouling the OLE
Page 141 of 470
Achievement of planned preventive maintenance and reporting of unplanned

maintenance are under development as indicators. The maintenance activities
that are judged to be most important for the achievement of optimum lineside
asset service lives or costs will be targeted. Activities under consideration include
preventive maintenance of drainage, fence repairs following damage, enhanced
boundary inspections, vegetation operations required following report, and
additional vegetation inspections.

There are no particular constraint affecting lineside and other assets on all types
of route. Whole-life, whole-system costs have been used extensively in the
development of the lineside asset policies. They have been constrained to the
extent that cognizance has been taken of the ability of in house resources and
external contractors to actually undertake the work. Work volumes and overall
costs have been set at realistic levels. A greater proportion of the management of
lineside assets could be undertaken in house; this would require significant levels
of recruitment and training to enable Network Rail personnel to achieve the
necessary competencies, often required by legislation.

The planning assumptions for Lineside and other track assets on all types of route
are described in section 1.8

Our policies will gradually reduce the risks arising from lineside and other track
assets. This will require increased work volumes in future years compared to
CP3. Train service reliability and availability will also be improved over time, for
example by reducing the incidence of boundary incursions and leaf fall delays.
Regular maintenance of lineside vegetation will reduce the risk inherent with a
natural system to an acceptable level, supported by knowledge of the asset
obtained through detailed surveys. This will increasingly enable hazards from
lineside vegetation to be managed through predict and prevent inspection and
maintenance practices, improving the safety and reliability of railway operations.
After an initial increase in the volume of work in CP4, volumes and costs will
steadily decrease as more easily maintained lineside vegetation is established.
Legislation requires Network Rail to manage the risk posed by the railway and to
deter unauthorised access by people and animals. Maintenance and renewal of
in accordance with our policies will enable suitable boundary measures to be
installed and maintained across the network, thereby reducing risk.

The policies for lineside assets comply with the Network Rail asset management
policy
4.12 References
Post treatment / life
Author/Company Date Title

United States Department of
Agriculture (Forestry) 1952 Service Life of Treated and Untreated Fence Posts
Oregon State University Forest Service Life of Treated and Untreated Fence Posts: 1985
Research Laboratory 1986 Report
United States Department of 1992 Service Life of Treated and Untreated Ponderosa Pine
Page 142 of 470
Agriculture (Forestry) Fence Posts

United States Department of Service Life of Fence Posts Treated by Double Diffusion
Agriculture (Forestry) 1999 Methods
Intermountain Roundwood
Association 2003 How to Recognise Quality Treated Posts and Poles
Protim Solignum Ltd 2004 Osmose: A quick guide to specifying preserved timber
Protim Solignum Ltd - Osmose Celcure AC - 500
Wooden posts

Agriculture (Forestry) 1946 Selecting a Suitable Method for Treating Fence Posts
British Columbia Ministry for
Ag, Food, & Fish. 1996 Fence posts: Materials, installation, and removal
Oregon State University Forest
Research Laboratory 1999 Service Life of Treated and Untreated Fence Posts
Agriculture (Forestry) 2001 Wood Fence Posts
Forestry Commission 2006 Forest Fencing
Network Rail Chief Engineer 2006 Engineering Asset Policy
Health and Safety Executive 2007 Getting to Grips With Manual Handling
Scottish Woodlands Ltd 2007 Confidential Contractor Questionnaire
Tree inspection/management

Forestry Commission 1992 The Recognition of Hazardous Trees
RG Strouts and TG Winter 1994 Diagnosis of Ill Health in Trees
David Lonsdale 1999 Principles of Tree Hazard Assessment and Management
C Davies, N Fay and C
Mynors 2000 Veteran Trees: A guide to risk and responsibility
David Lonsdale 2000 Hazards from trees: A general guide
International Society of
Arboriculture 2001 Mature Tree Care
International Society of
Arboriculture 2001 Recognising Tree Hazards
The Body Language of Trees: A Handbook for Failure
C Mattheck and H Breloer 2003 Analysis
David Dowson 2005 Tree Inspections: the need for a defensible system
Tree Safety: Advice about trees and plants near electrical
Eon Central Networks 2007 supplies
Health and Safety
Executive 2007 Management of the Risk From Falling Trees
Quantified Tree Risk
Assessment Limited 2007 Quantified tree Risk Assessment Practice Note
Forest Enterprise 2003 Tree Safety Management
Network Rail 2005 Management of lineside vegetation
Page 143 of 470

Part 6: Signalling
Page 144 of 470

Signalling policy
Document control
File name
Location
Status Issue 1
Author Signalling Engineering Team
Date last
26 October 2007
amended
Name Signature Date
Andrew
Simmons
Head of
Signalling
Engineering
Gareth Jenkins
Head of
Business
Engineering
Andrew
McNaughton
Chief Engineer

Page 145 of 470

1 Introduction
This Signalling asset management policy has been written to demonstrate how
the management of signalling system meets the requirements of Network Rail’s
corporate objectives and how the Network Rail asset management policy is
applied to them.
Defined outputs
We plan to meet output targets for signalling which are
• No reduction in the capability of any route based on April 2001 traffic
levels
• No significant deterioration in signalling asset condition from the 2003/4
level and
• No deterioration in the serviceability of signalling assets, as reflected in the
number of asset failures causing delay
We plan to deliver the defined capability (and capacity) for each route. Where
changes to the existing capability of the network are required, we will need to have
clarity on the availability of funding, recognising that our renewals plans are prepared
on the basis of maintaining existing capability. Where a RUS or other strategic
analysis has not yet been completed for a route our plans will be targeted with
maintaining the current capability of the route together with any agreed amendments.
We will pursue opportunities to enhance the value of a route where proposed

Signalling systems provide the main control and protection function for the
railway. The intention is to provide a safe and reliable signalling system in a cost
effective way whilst recognising the needs of our key stakeholders.
Within the railway system, the signalling system is primarily provided to maintain a
safe separation between trains and prevent conflicts. Signalling systems also
facilitate control of the railway, enabling operators to implement the railway
timetable and make regulation and routing decisions. The Signalling system also
provides a fundamental interface to the driver in the form of signals, indicators
and in-cab information.
The signalling system comprises several key elements to provide the functions
required:
• signalling Control
• interlocking
• train detection
• train protection
• signals and indicators
• points operating equipment
• level crossings
Network Rail’s primary objective is to provide a signalling system which is able to

meet the required functionality and performance in a safe, cost effective and
efficient manner. This asset policy describes how this is achieved. In addition to
the main asset types described above, this policy also highlights key application
features of the signalling system.
Page 146 of 470
Signalling Control Systems
Signalling control systems are safety related systems that are used by signallers
to control and monitor the passage of trains. Types include hard-wired control
panels with mimic diagrams, Integrated Electronic Control Centres (IECC) and
other VDU-based systems from various suppliers. Train describer (TD)
functionality, which receives train running information from the interlockings and
other train describer systems, showing train positioning information to the
signaller to support the control decision making process. The information held in
the train describer is also passed to other ‘non signalling’ information systems to
support the overall management of the railway. Automatic Route Setting (ARS)
systems may also be provided.
Interlocking Systems
Interlockings are safety critical systems which control ‘output functions to

command’ and ‘input functions to monitor’ primarily the states of train detection,
signals, points and level crossings. Interlockings also process route setting
requests for from the signaller and issue appropriate commands to signals and
points if the request is valid in accordance with the signalling principles and
specific application data.
Train detection
Train Detection systems are equipment which determines the absence of a train
on a defined section of line. Predominant types are track circuits and axle
counters although there are significant amounts of manual systems such as
absolute block and token working on secondary and rural lines.
Train protection
Train Protection Systems, incorporating lineside and train borne equipment,

provide either advisory information on signal aspects to train drivers (Automatic
Warning System (AWS)) or supervise and enforce speed and movement authority
limits (Train Protection Warning System (TPWS), Great Western and Chiltern
Automatic Train Protection (ATP), mechanical train stops and ERTMS).
Signals and Indicators
Signals are lineside devices that provide visual information to drivers about the
state of the line ahead (usually the permitted limit of movement and route to be
taken). Types include multiple-aspect and searchlight colour light signals,
semaphore signals, position light and alphanumeric route indicators, position light
signals, banner repeaters, Signal Passed At Danger (SPAD) indicators, off
indicators, “Close Door/Right Away” indicators, stop boards, and fixed speed
restriction signage.
Points operating equipment
Point operating mechanisms are attached to the moveable part of points to

change the lie and lock and detect the position of point blades and moveable
crossings. Types include electric point machines, electro-hydraulic clamp locks,
hydro-kinetic points, supplementary detectors, supplementary drives, and
mechanically operated points with separate facing point locks.
Page 147 of 470

Level crossings
As regards signalling assets, Level crossings consist of road traffic signals,

audible (and visual) alarms, usually associated with barriers (or occasionally
gates) to close or partially close the highway and prevent road users from
crossing the railway when trains are approaching or occupying the crossing.
Level crossings are broadly divided into two types – manual, for which closure is
initiated by a signaller or crossing keeper, and automatic, where closure is
initiated automatically by approaching trains.
Asset populations and nominal life
Figure 1 Asset Populations for Signalling Assets

Description Main sub-division Quantity Nominal Life
(Years)
Control Systems Control centres 930 35
Signal boxes
Interlocking Mechanical interlockings 600 35
Systems Relay interlockings 787 35
Electronic interlockings 343 35
Cables and 35
communication
Power supplies 35
Ground frames 35
Train Detection Track circuits 65000 35
Axle counters 35
Train Protection Existing systems 35
ERTMS 35
Signals and Signals 39800 35
Indicators Supporting structures 35
Points Point mechanisms 23800 35
Operating
Equipment
Level Crossings 8700 35
3 Policy Statements
Figure 2 Policy Statements for Signalling Assets

Number Policy Statement
General
Signals-1 The average condition of signalling interlockings, measured in
average remaining life across all interlockings, shall not
significantly deteriorate from year to year. Renewals and life
extension activities shall be implemented to ensure this objective
is met.
Signals-2 All signalling assets have their condition assessed using the
Signalling Infrastructure Condition Assessment (V3) tool. These
assessments supported by a peer review process are used as
the basis for the renewals plan and business planning .
Signals-3 Signalling assets shall be replaced according to either their
condition as defined by SICA or due to the changing
engineering, operational or business needs, or a combination of
these factors.
Page 148 of 470
Signals-4 In developing the renewals plan a number of factors shall be

considered. These include delivery and operational
considerations plus alignment, where possible with
enhancement proposals and also other discipline renewals,
particularly switches and crossings
To facilitate the iterative business plan development process,

Interlocking Data Cards (IDCs) shall be produced for each
interlocking area. The IDCs shall record all renewal activities
associated with an interlocking area, including minor works/life
extension activities to sustain the signalling system through to
the renewal date.
Signals-5 The base case for renewals shall be the defined capacity and
capability for the route. Where changes to the existing capability of
the network are required, we will need to have clarity on the
availability of funding, recognising that our renewals plans are
prepared on the basis of maintaining existing capability.
Opportunities for rationalisation and/or enhancements to satisfy
existing or future operational/business requirements shall be
identified and incorporated within the renewals development
process.
Signals-6 New signalling installations shall be designed and constructed to
have a minimum asset life of 35 years.
Signals-7 Many items of equipment within the signalling system,
particularly those based on electronic components cannot
realistically have a maintainable life of 35 years. For critical
systems/components an obsolescence plan shall be generated
supported by a manufacturers’ support contract where
appropriate. Provision shall be made in the system architecture
for mid-life upgrades of critical systems/components at a line
replaceable unit level. Obsolete equipment shall be retained as
strategic spares material where this is appropriate.
Signals-8 Replacement of assets shall be grouped into major interlocking
areas and aligned with route utilisation strategies.
Signals-9 For signalling cables, UTXs shall be used where their cost can
be justified within a scheme. For most track crossing points,
hollow sleepers shall be the preferred method.
Signals-10 Proceed on sight signals shall be installed as part of new
schemes or retrofitted to existing schemes where a business
case can be made for their installation and use.
Signals-11 Options for the provision of bi-directional signalling will be
considered on a project by project basis should RSPG consider
that such a facility has overall benefits to the railway and a
positive business case exists.
Signals-12 TPWS shall be configured to provide intervention for a train
which is disregarding red aspects such that, in all reasonable
instances, it will be stopped before it reaches a point of conflict
with another legitimate train.
Signals-13 Complexity of design, including intervention requirements shall
be minimised by the adoption of standard layouts and signalling
which reduce conflict opportunities to ALARP.
Signals-14 When adopting technology new to UK applications, systems of
operation and maintenance where this technology has a proven
record should be reviewed and considered for parallel
deployment.
Page 149 of 470

Signals-15 Signal profiles, positions and aspect sequences shall be

standardised to provide consistent messages to drivers and thus
minimise the possibility of confusion.
Signals-16 System architecture including interdisciplinary issues, power and
remote or centralised interlockings for main control centres shall
be designed as far as practicable to support emergency and
degraded mode operation, maintenance and localised renewals.
Signalling Control Systems
Signals-17 Signalling control systems shall be visually inspected,
functionally tested and key components replaced/serviced in
accordance with guidance from the system supplier. These
Maintenance requirements have been incorporated in Network
Rail standards including competence and training requirements
Signals-18 A combined operational and systems strategy shall be
developed in conjunction with Operations and Customer
Services. This strategy will identify operational requirements as
well as the location and span of control for all future signalling
control centres and the migration plan to such centres.
Signals-19 In designing signalling control centre buildings, consideration
shall be given to the impact of signalling control centre strategy
on the space required, the timing of the requirements and the
lowest life cost method of meeting the space requirement.
Signals-20 Where signalling control panels are replaced they shall be
replaced by VDU based systems unless additional operators
would be required, in which case, new or refurbished control
panels shall be provided.
Signals-21 Duplicate or emergency signalling control panels/systems shall
not be provided. Further analysis shall be undertaken to
determine if a cost effective emergency system can be
developed for future major signalling control centres.
Signals-22 New VDU systems shall be capable of interfacing with all of
Network Rail’s preferred interlocking systems.
Signals-23 Enhanced functionality ARS known as ARS+ shall be developed
and fitted to all large control facilities.
Signals-24 The need for ARS+ on other projects including upgrades to the
existing IECCs shall be determined on the basis of the business
case for provision and the need as determined by human factors
assessment.
Signals-25 All new signalling control installations shall be fitted with SPAD
alarms. Retrospective fitment is required where a major
upgrade of systems is taking place as part of life extension
activities.
Signals-26 Train describer facilities shall be integrated into the signalling
control system where possible.
Signals-27 Control panels which are based on individual switches to
perform defined functions e.g. NX, IFS shall be maintained until
a case exists for their replacement based upon re-signalling
requirements and synergies with other schemes.
Signals-28 Existing systems shall be supported by updates to both software
and hardware as necessary in order that they can be maintained
and operated until such time as an economic case for their
replacement can be made or they require replacing due to other
business needs such as the renewal of the associated
interlocking systems, enhancement/rationalisation opportunities
or operational considerations.
Page 150 of 470

Interlocking Systems
Signals-29 All mechanical interlockings shall be visually inspected and
functionally tested at regular intervals. Periodic
replacement/servicing of key components shall also be
undertaken. The details associated with this maintenance
regime have incorporated within Network Rail Standards
including competence and training requirements.
Signals-30 All relay interlockings shall be functionally tested where
appropriate and visually inspected at regular intervals. Periodic
undertaken. The details associated with this maintenance
regime have been incorporated in Network Rail standards
including competence and training requirements
Signals-31 Relay interlockings shall be maintained such that their designed
principles of operation and capability are sustainable.
Modifications to relay interlockings should be carried out in
accordance with the standards to which the circuits were
originally designed where these are documented and
understood e.g Western Region E10k. Where the functionality of
originally designed circuits is at variance to current
requirements, an assessment shall be carried out to determine if
the current functionality is practicable to provide, in which case it
shall be incorporated. Otherwise non-complinces against
existing functionality shall be sought where appropriate.
Signals-32 All electronic interlockings shall be visually inspected,
functionally tested and key components replaced/serviced in
accordance with guidance from the system supplier. These
Rail standards including competence and training requirements.
Signals-33 All signalling cables shall be maintained according to the
configuration of the system, the risk and the practicability of
implementing cable testing. The maintenance requirements for
the cable system is detailed in Network Standards according to
the above considerations.
Signals-34 Signalling power supplies shall be visually inspected and
functionally tested at regular intervals. Periodic
undertaken. These Maintenance requirements have been
incorporated in Network Rail standards including competence
and training requirements
Signals-35 The overall replacement of mechanical interlockings with other
types of interlocking technology cannot be currently be justified
from a business case perspective. Where significant life
extension/minor works are required at specific locations (or line
of route) then individual business case justifications may be
possible. Where a business case exists for the replacement of
mechanical interlockings they shall be replaced by electronic
interlockings.
Signals-36 Geographical interlockings shall be modified and/or refurbished
where this presents the most economic solution, provided
suitable spares or refurbished items are available. Additional
free-wired circuitry may be used but is non-preferred and
standard geographical connectivity and design should be
perpetuated where possible.
Page 151 of 470

Signals-37 Electronic interlockings are the preferred technology for the

replacement of Relay interlockings.
Signals-38 For non digital communications, signalling cables shall be
replaced with modern equivalent, and shall be routed within the
existing cable route where extant or within an alternative
protected route. Armoured cable shall not be used for signalling
functions, alternative cable protection methods such as
troughing shall be used to provide alternative protection to all
signalling cables apart from designated ‘tail’ cables specifically
designed to provide local connections to trackside equipment.
Signals-39 FTN shall be used as the preferred fixed bearer for signalling
system digital communications.
Signals-40 All new, digital, signalling systems are will be capable of
operating using open communications principles on non-
dedicated bearers.
Signals-41 GSM-R shall be used as the preferred radio bearer for digital
signalling applications.
Signals-42 The preferred option for replacement signalling power supplies
shall be single-phase 650 volt earth free systems incorporating
earth fault monitoring. Other solutions shall be considered where
alternative supplies are available e.g. 415 volt 3 phase or 240
volt single phase, where their use provides the most economic
solution commensurate with the required performance and
geography of the scheme.
Signals-43 Event logging shall be fitted to new interlocking systems. They
shall also be fitted to existing interlockings when associated with
life extension activities or where a business case exists to justify
fitment by reducing the time required to analyse and fix failures.
Intelligent algorithms shall be developed to allow real time
monitoring of key system components to allow preventative
maintenance to be implemented where appropriate.
Signals-44 New electronic interlockings will only be considered where they
demonstrate a significant whole life benefit compared to existing
systems or enable the introduction of other benefits (such as
ERTMS).
Train Detection
Signals-45 Track circuits and axle counters shall be inspected at regular
intervals to identify potential defects.
Signals-46 Maintenance of train detection systems shall be carried out
according to manufacturer’s recommendations and in-service
experience. Risk Based maintenance has been made available
for use on a number of train detection systems. These
Signals-47 Axle counters shall be the preferred method of train detection.
Signals-48 Every proposed axle counter implementation shall take into
consideration issues surrounding the requirements for
emergency communications.
Signals-49 In general, if axle counters are replacing track circuits, GSM-R
or CSR shall be available but Interim Voice Radio System
(IVRS) may be acceptable if GSM-R train fitment cannot be
guaranteed but needs to be examined on a case-by-case basis.
Page 152 of 470

Signals-50 Where track circuits are to be replaced by track circuits, the

following types shall be preferred, according to application and
considerations such as traction type, immunity requirements,
compatibility with adjacent areas, track type etc, DC, AC-
immune DC, HVI and TI21. HVI track circuits are non-preferred
for new installations on DC electrified lines
Signals-51 Other types of track circuit, for example AC, shall only be used
where there is a compelling case for retaining them.
Train Protection
Signals-52 Train protection systems shall be inspected, maintained and
tested at regular intervals based upon in-service experience.
Risk Based maintenance has been made available for use on
TPWS. These Maintenance requirements have been
Signals-53 AWS shall be perpetuated at its current fitment level. Further
fitment of AWS shall be determined by examination of the
case for fitment dependant line and traffic type, risk etc.
Signals-54 RETB (except Cambrian) shall be life-extended until 2015
pending the identification or development of a suitable
replacement.
Signals-55 Automatic Train Protection fitted to GWML and Chilterns shall be
perpetuated (maintained and modified where necessary) at the
current fitment level.
Signals and Indicators
Signals-56 Signals and supports shall be inspected, maintained and tested
at regular intervals based on in-service experience. These
Signals-57 LED based units shall be preferred for all types of colour light
signal and indicator.
Signals-58 Long Life lamps shall be used where appropriate for existing
filament type signals
Signals-59 Signal structures shall be constructed to the most economic
form whilst meeting any requirements for signal sighting,
compliance, location, access, maintenance, loading and
structural integrity.
Signals-60 Fixed signal structures are preferred, however Crown-type posts
(or other types of approved moveable signal head mechanism)
may be used on gantries or cess mounted applications where
this can facilitate meeting other requirements for signal sighting
and structure location.
Point Operating Equipment
Signals-61 All point operating and detection equipment shall be inspected,
maintained and tested for correct operation at regular intervals
based on in-service experience. Risk Based maintenance has
been made available for use on a number of point operating
equipment types. These Maintenance requirements have been
Signals-62 Replacement point operating equipment shall be according to
our document Sig/Policy/001 “Point Operating Policy” which
details which machines shall be used with various points
layouts.
Page 153 of 470

Signals-63 Point remote condition monitoring shall be installed, with

emphasis on specific components, depending on the business
case for specific point machines at specific locations
Level Crossings
Signals-64 All level crossing signalling assets shall be inspected and
maintained and tested at regular intervals based upon in-service
experience.
Signals-65 The preferred method of controlling the level crossing operation
shall be low-cost interlockings and/or modular level crossing
controllers.
Signals-66 The preferred form of train detection for all automatic level
crossing types on non-electrified lines shall be level crossings
predictors.
Signals-67 The preferred form of train detection for all automatic level
crossing types on electrified lines shall be electronic treadles.
Signals-68 The preferred form of train detection for manual type level
crossings shall be the train detection system for the signalling
system.
Signals-69 Mechanical treadles and/or track circuits shall continue to be
used pending the full type approval of the level crossing
predictors and electronic treadles.
Signals-70 For new and refurbished installations, colour CCTV and flat-
screen monitors shall be used in preference to black and white
CRT solutions. In addition we are progressing the approval of
CCTV recording equipment for use on all new and refurbished
level crossing CCTV installations.
Signals-71 Event logging shall be fitted to new level crossings and existing
level crossings where the risk profile from a safety or
performance consideration justifies such fitment. Intelligent
algorithms shall be developed to allow real time monitoring of
key system components to allow preventative maintenance to be
implemented where appropriate.
Page 154 of 470

Signalling policy justification
Document control
File name
Location
Status Issue 1
Author Signalling Engineering Team
Date last
26 October 2007
amended
Name Signature Date
Andrew
Simmons
Head of
Signalling
Engineering
Gareth Jenkins
Head of
Business
Engineering
Andrew
McNaughton
Chief Engineer

Page 155 of 470

Signalling general
Signalling systems provide the main control and protection function for the
railway. The intention is to provide a safe and reliable signalling system in a cost
effective way whilst recognising the needs of our key stakeholders.
The Signalling asset policy sets out the maintenance and renewal policy
statements that are intended to deliver the required network and route outputs for
the funds that are available. Signalling assets are designed, constructed,
inspected, maintained and replaced in accordance with that document.
Network Rail’s signalling policy has two main aims. Firstly it aims to set out a
development path that will deliver signalling and control systems fit for the long-
term needs of the business. Secondly it aims to improve asset management of
the signalling infrastructure.
Within the railway system, the signalling system is primarily provided to maintain
safe separation between trains and prevent routing conflicts. Signalling systems
also enable operators to implement the railway timetable and make regulation and
routing decisions. Signalling systems provide the fundamental interface to the
driver in the form of signals, indicators and in-cab information.
Network Rail’s objective is to provide a signalling system which is able to meet the
required functionality and performance in a safe, cost effective and efficient
manner. The purpose of this document is to provide further information and
justification on the policy statements within the signalling asset policy.
The process of delivering signalling projects will be improved through

centralisation and the growth of the Signal and Telecoms Project Engineering
team. This will ensure all schemes are developed to final approved scheme plan
stage, to common standards, before tendering to suppliers. Network Rail will aim
to provide suppliers with specifications in the form of approved signalling scheme
plans rather than the performance-based specifications of recent years.
The policy will contribute to the achievement of targets for the following Network
Rail corporate objectives:
• improved safety
• higher service performance
• improved asset stewardship
• improved system capability
• reduced costs and improved efficiency
• improved business performance.
Asset management for an entity as large and complex as Network Rail’s

signalling systems presents a great many challenges. This policy covers a range
of assets ranging from mechanical systems more than a century old, to
sophisticated modern electronic systems, declaring a general policy for asset
management is almost impossible, except in very high level terms. Even within
broad classifications of system type such as ‘RRI’ or ‘SSI’ there exist many
variations to the extent that every installation is unique. Elements within a system
can become life-expired at different times, particularly where unexpected
mechanisms occur such as wire degradation or silver migration. In many cases it
is not economic to replace a signalling system in totality as certain elements may
have plenty of remaining useful life and hence minor works or partial renewals
Page 156 of 470

may be the most expedient way of extending the life of some elements and
therefore the installation.
General policy statements
The following framework policy statements apply to all signalling assets. Asset
specific policy statements are shown in Sections 2 to 8.
Figure 1 Policy Statements for Signalling Assets

Signals-1 The average condition of signalling interlockings, measured in
average remaining life across all interlockings, shall not
significantly deteriorate from year to year. Renewals and life
extension activities shall be implemented to ensure this objective
is met.
Signals-2 All signalling assets are to have their condition assessed using
the Signalling Infrastructure Condition Assessment (V3) tool in
accordance with relevant standards. These assessments
supported by a peer review process will be used as the basis for
the renewals plan and business planning .
Signals-3 Signalling assets shall be replaced according to either their
condition as defined by SICA or due to the changing
engineering, operational or business needs, or a combination of
these factors.
Signals-4 In developing the renewals plan a number of factors shall be
considered. These include delivery and operational
considerations plus alignment, where possible with
enhancement proposals and also other discipline renewals,
particularly switches and crossings
To facilitate the iterative business plan development process,

Interlocking Data Cards (IDCs) shall be produced for each
interlocking area. The IDCs shall record all renewal activities
associated with an interlocking area, including minor works/life
extension activities to sustain the signalling system through to
the renewal date. Where the IDC shows that renewals have
been deferred past their optimum renewal date then this shall be
subject to the Network Rail deferred renewals process.
Signals-5 The base case for renewals shall be the defined capacity and
capability for the route. Where changes to the existing capability of
the network are required, we will need to have clarity on the
availability of funding, recognising that our renewals plans are
prepared on the basis of maintaining existing capability.
Opportunities for rationalisation and/or enhancements to satisfy
existing or future operational/business requirements shall be
identified and incorporated within the renewals development
process.
Signals-6 New signalling installations shall be designed and constructed to
have a minimum asset life of 35 years.
Signals-7 Many items of equipment within the signalling system,
particularly those based on electronic components cannot
realistically have a maintainable life of 35 years. For critical
systems/components an obsolescence plan shall be generated
supported by a manufacturers’ support contract where
Page 157 of 470

appropriate. Provision shall be made in the system architecture

for mid-life upgrades of critical systems/components at a line
replaceable unit level. Obsolete equipment shall be retained as
strategic spares material where this is appropriate.
Signals-8 Replacement of assets shall be grouped into major interlocking
areas and aligned with route utilisation strategies.
Signals-9 For signalling cables, UTXs shall be used where their cost can
be justified within a scheme. For most track crossing points,
hollow sleepers shall be the preferred method.
Signals-10 Proceed on sight signals shall be installed as part of new
schemes or retrofitted to existing schemes where a clear
business case can be made for their installation and use.
Signals-11 Options for the provision of bi-directional signalling will be
considered on a project by project basis should RSPG consider
that such a facility has overall benefits to the railway and a
positive business case exists.
Signals-12 TPWS shall be configured to provide intervention for a train
which is disregarding red aspects such that, in all reasonable
instances, it will be stopped before it reaches a point of conflict
with another legitimate train.
Signals-13 Complexity of design, including intervention requirements shall
be minimised by the adoption of standard layouts and signalling
which reduce conflict opportunities to ALARP.
Signals-14 When adopting technology new to UK applications, systems of
operation and maintenance where this technology has a proven
record should be reviewed and considered for parallel
deployment.
Signals-15 Signal profiles, positions and aspect sequences shall be
standardised to provide consistent messages to drivers and thus
minimise the possibility of confusion.
Signals-16 System architecture including interdisciplinary issues, power and
remote or centralised interlockings for main control centres shall
be designed as far as practicable to support emergency and
degraded mode operation, maintenance and localised renewals.
1.2 Brief descriptions of the purpose of signalling assets
1.2.1 Functions and sub-systems
The signalling system has two primary functions:

• To ensure safe movement of trains
• To provide a means of running trains to time and in a regulated manner
To achieve these objectives, signalling provides both control and protection

functionality and traditionally, these have been physically separated in different
systems e.g. ‘vital’ interlocking systems and ‘non-vital’ control systems. Modern
systems and architectures tend to blur these distinctions but for the purposes of
this asset policy documentation, the traditional distinctions are maintained. The
signalling system can be conveniently divided into a number of key sub-systems.
These being:
• signalling control
• interlocking
• train detection
• train protection
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• signals and indicators

• points operating equipment
• level crossings
The asset policy and this justification use this division to describe the functions of
each sub-system.
1.2.2 Context
Before the emergence of ‘power signalling’ technology from about the 1930s, the
network was controlled almost entirely by mechanical signalboxes and absolute
block or token working. The limitations of mechanical signalling meant each
signalbox had a very small span of control. Power signalling permitted control to
be more centralised resulting in manpower savings and greater operational
efficiency. The introduction of electronic remote control systems in the 1960s
permitted this concept to be extended and very large control centres were
introduced, their control areas being completely re-signalled using relay-based
interlockings and colour light signalling. This type of renewal generally only
occurred on the more densely-trafficked areas of the network where the staff
savings and performance gains warranted the heavy investment in continuous
track circuiting, closely spaced lineside signals and electrical control of points.
By the 1980s, the primary routes had been almost entirely re-signalled in this way
(in some locations more than once). The remaining parts of the network, which
had the characteristics of low traffic levels and hence low revenue generation,
long distances between nodes and hence high costs for train detection, cabling
and data transmission and already low staffing levels because of the greater
distances between network nodes, could not bear the costs of expanding
‘modern’ signalling into their areas. In these areas mechanical signalling, in many
cases already over a century old, was retained. The present day network retains
this division between current and first generation signalling systems.
Mechanical signalling systems comprise relatively simple assets and components.

They have very long service lives and may be renewed on a piecemeal basis as
required, provided the technical skills exist. Power signalling systems are more
complex; they feature large relay interlocking systems making extensive use of
wiring and cabling and electronic transmission systems. The former can generally
be expected to last 30-40 years in service, the latter 15-20. In many cases power
signalling from the 1950s is still in service, the quality of materials (particularly
cabling) specified at that time being higher than was the case 20 or 30 years later.
From an overall railway perspective, it is expected that traffic will continue to grow
from the current levels and that this growth will take place across all
classifications of route and types of traffic, both passenger and freight. This
demand is expected to be greatest in the South East Commuter routes but will be
reflected nationally. Therefore, Network Rail, as the infrastructure provider will be
required to make provision for this growth in demand.
It is also assumed that demands to reduce the cost of the infrastructure both in
capital and operational expenditure costs will continue to increase. Great efforts
are being made by Network Rail to reduce capital expenditure but at present,
large reductions in operational expenditure on signalling can only really be
facilitated at an economical cost by evolutions in technology. These changes in
technology would reduce both expenditure required by providing signalling
systems that are less intensive to both maintain and operate by reducing the
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amount of equipment on the trackside and enabling further efficiencies in

signalling control centralisation and reduction in the number of smaller signal
boxes.
1.2.3 Vision
Network Rail’s long-term vision for signalling is for a cab-signalled railway with a
minimum of lineside infrastructure and train positioning established by the train
itself and communicated by radio. The railway will be controlled by means of a
control system which is largely automatic but provides essential decision support
to the operator when required. Interlocking functions as currently understood will
be distributed throughout the system to achieve the most efficient architecture,
rather than centralised at an arbitrary point. Connectivity will be achieved by a
combination of radio and open transmission systems. Continuous ‘Distance to
Go’ train protection will be provided which is guaranteed to control trains in a
defined manner and to a defined level of safety and provides the opportunity to
optimise the infrastructure and rolling stock capability. Information will be
provided to operators and drivers such that trains can be controlled to make the
most effective use of the railway infrastructure such that routing conflicts are
avoided, journey time optimised to defined rules and energy consumption
minimised.
1.2.4 Signalling asset breakdown
Figure 2 Populations of Signalling Assets

Description Main sub-division Quantity
Control Control centres 930
Signal boxes
Interlocking Mechanical interlockings 600
Relay interlockings 787
Electronic interlockings 343
Cables and communication
Power supplies
Ground frames
Train Detection Track circuits 65000
Axle counters
Train Protection Existing systems
ERTMS
Signals and Indicators Signals 39800
Supporting structures
Points Operating Equipment Point mechanisms 23800
Level Crossings 8700
1.3 Failure modes and risks for signalling assets
The failure modes of the signalling system are complex and are best described
within the sub-system classifications further in the document. However, signalling
failures can be broadly categorised into two main types:
• Right-side failures where the system fails in a predictable manner and the
failure is detected, resulting in the system reverting to a safer state
• Wrong side failures where the failure mode is not detected and the system
fails to a state which is considered unsafe.
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Clearly, wrong side failures are of the greatest concern and their prevention is of
prime importance in the design and maintenance of signalling components and
systems. They are very rare in comparison with right side failures.
Right side failures generally result in a loss of process and are a significant cause
of train delays. The signalling system in a failed state can have a huge impact on
the operability of the railway depending on the nature and location of the failure.
1.4 Inspection and Maintenance Criteria
Maintenance is carried out on signalling assets to ensure they are able to perform
their required functions in a safe manner and for the purpose of preventative
maintenance.
Inspections, separate to those carried out under maintenance, are carried out to
determine asset condition as part of the renewal planning processes. These
inspections are carried out using the SICA3 model which returns the average
remaining life for an installation. SICA has been is use for a number of years and
is now giving results which Network Rail engineers are able to have confidence in.
The purpose of SICA is not to give an exact renewal date but rather to supply
engineers with indicative dates for them to make future business planning
decisions and to programme their own additional inspections.
Network Rail have been implementing actions to ensure SICA remains credible as
a tool going forward into CP4 and to this end work has been done to ensure SICA
users are able to produce consistent results and that training and guidance is
adequate to make the tool fit for purpose. Although SICA gives an overall
indicative life of an interlocking area, it is necessary to review individual SICA
elements to determine if a particular part of the signalling system is driving the
renewal date and whether life extension activities can provide a cost effective
solution within the constraints of the delivery programme. Where appropriate,
SICA is supplemented by engineering peer review to ensure major investment
decisions are fully justified by professional judgement.
1.5 Type of maintenance
All signalling assets are inspected at regular, pre-determined intervals. The period
ranges from three monthly up to five yearly, depending on the equipment type and
the subsequent risks to business output. This period has been derived from
experience over many years.
Signalling maintenance is carried out in accordance with Network Rail’s suite of

Signal Maintenance Standards (SMS) which set out the details of what
maintenance is to be performed on which assets. The periodicity of maintenance
is specified in NR/SP/SIG/10661. The intervals shown are intended to maintain
the designed safety and reliability by detecting and correcting deficiencies to
signalling infrastructure before there is deterioration or failure. The intervals have
been derived from best practice over a wide range of operating uses and
environment and are suitable for network-wide application. However, there are
circumstances on the network where the specified intervals are not optimal and,
where specific operating uses and environments can be identified, a case may be
made to propose a change to the intervals shown.
Failure management is undertaken using the Failure Management System (FMS)

and Signalling Incidents System (SINCS). The existing failure management
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reporting process, which presently concentrates on the management of high risk

failures, will be enhanced to also consider performance monitoring of key
signalling equipment.
Reliability Centred Maintenance for Signalling Equipment (ROSE) is Network

Rail’s programme for implementation of RCM for signalling assets. There are
various ROSE initiatives and pilots whose aim is to make changes to both the
frequency and specification of maintenance in order to realise efficiency benefits
from tailoring maintenance of assets to the reliability and risks associated with the
asset. Such efficiency measures have the benefit of ensuring that limited
maintenance resources are utilised in the most efficient manner to optimise the
safety and reliability of the railway. Changes to maintenance processes do
however need to be very carefully controlled; hence it is necessary to ensure the
Head of Signal Engineering is aware of all implementations of ROSE as these
would represent a departure from normal maintenance practices.
Earlier implementations of Risk Based Maintenance regimes have highlighted the

benefits of the RCM process. ROSE is intended to develop this further to cover
additional maintenance activities in order that all significant maintenance activities
are covered to allow the development of optimised maintenance schedules.
1.6 Replacement criteria
Signalling assets are renewed on the basis of their condition and assessed using
the SICA tool, details of which can be found in Network Rail Standard
RT/E/P/13251, issue 2, last revised in February 2005. This document also
describes the period between SICA assessments which depends on the
classification found at the most recent inspection, explaining how the shortest
time to the next inspection is defined by the worst conditions at the most recent
inspection.
Network Rail has developed a plan for signalling renewals which looks forward 40
years and beyond. This plan is seen as essential to enable Network Rail to plan
its renewals properly and to develop a coherent and credible technical policy.
The renewals plan gives details of the renewal dates for all interlockings. The
plan was initially developed in conjunction with the Network Rail ERTMS Project
Team and was prepared to demonstrate how ERTMS could be implemented on
the network. To that end, the ERTMS plan took into account such factors as
complete route upgrades and replacement dates for the various rolling stocks
operating on the route and nationally as cab-fitment is a major issue for that
technology.
In parallel, Network Rail had begun work on the ‘Signalling Review’ as part of its
long term funding submission to the Regulator. Shortly into this review, it became
clear that there were many areas of common interest between an ERTMS plan
and a signalling renewals plan and it was decided to consolidate the two for use
as the basis of a long term renewals plan. The principal benefit of this approach
is that the renewals plan can be optimised such that such that route upgrades and
modernisations can be seen within a national context and with those of the needs
of the network’s users.
To facilitate efficient and transparent renewals planning, Network Rail has

introduced a suite of data cards for principal signalling assets, namely
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interlockings, level crossings and signal boxes/control points. These cards, which
are held within an intranet-based tool, hold all the key information to enable
renewals planning to take place, namely renewals dates, asset condition, current
and proposed technology, project dates and synergies with other renewals.
Importantly, the data cards also contain details any renewals needed to support
the 40 year plan and drive the business plan. There is therefore total integration
between the published and internal business plan and the asset condition and
planning tools used by Network Rail’s signal engineers.
In order to ensure consistent planning of signalling renewals, Network Rail have

adopted a defined standard set of renewable elements. These elements are
based on those used to make condition assessments and are also used in
estimating, accounting, contracting, planning and delivery. These elements are
therefore common to the entire renewals cycle.
In summary, the replacement of all signalling assets is based on the condition of

the asset, using SICA to make the assessment, and replacing at the end of the
estimated life, using the Red condition index from SICA to plan for up to three
years ahead. At the time of replacement, assets are replaced by their modern
equivalent form.
1.7 Replacement type
Network Rail is essentially funded to sustain the required network outputs. In

order to determine this funding requirement the renewal strategy is defined as
replacing existing assets in “modern equivalent form”. The asset policy effectively
defines what constitutes ‘modern equivalent form’.
The removal of redundant assets at renewal can help to attain renewals

efficiencies and reduce the overall renewals cost. Such changes to the
infrastructure will be the subject of Network Change where applicable.
Route Investment Review Groups and Route Strategy Planning Groups have
been set up to provide a cross-industry means of identifying network
enhancements which bring benefits across the industry. In conjunction with the
Route utilisation Strategies and the long term signal renewals plan, Network Rail
is better placed able to develop and implement a renewals plan to meet the future
demands of the network. Taking a route-wide view allows renewals to take better
account of current and future needs and enhancements and enables a coherent
policy for renewals to be developed.
The costs associated with a renewal in “modern equivalent form” will form the
base case for comparison with enhancements options in order that the
configuration with the optimal whole life business benefits can be determined.
1.8 Constraints and Deliverability Check
A major part of developing the long term renewals plan was to look at current and
expected resource profiles and make adjustments such that the plan could be
seen to be deliverable. This exercise also had the effect of smoothing the
resource demand profile and eliminating most of the peaks and troughs which
have previously been the subject of concern from signalling suppliers.
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It is clear that aligning signalling renewals with renewals in the same area being
carried out by other disciplines can give considerable efficiency benefits. This is
particularly the case with S&C renewals where it is generally more cost effective
to renew signalling and S&C simultaneously to facilitate improved track layouts
from either a service delivery or whole life asset perspective. In addition points
and their actuation and detection are inextricably linked providing further benefits
from a systems reliability perspective.
• the workbank for CP4 assumes that we will be able to recruit sufficient
technical staff to carry out the required work.
• there is some doubt that the signalling supply business will be able to
ramp up to meet our supply requirements during CP4. However, we have
held some discussions with suppliers who have argued that, if our
efficiency targets are met, then they will be able to supply the proposed
volume of work for CP4.
1.9 Planning Assumptions
1.9.1 Asset life
Determining the asset life for any engineered system is not an exact science and
to some extent the specification of 35 years as a minimum life for new systems is
based on a combination of pragmatic judgement, past experience of installations
and degradation rates. Part of this judgement centres around the amount of time
a system based on modern computer technology could reasonably be maintained.
Many of Network Rail’s mechanical installation date from the turn of the 20th
Century or earlier. This considerable asset age is a function of the way in which
mechanical signalling can be maintained and replaced on a ‘part replacement’
basis which allows components to be renewed as they become life expired
without affecting the whole or driving the need for complete replacement. This is
one of the reasons why mechanical signalling is still prevalent on Network Rail
infrastructure and will continue to be so for some years yet.
Conversely, many newer installations have had much shorter lives and the
reasons for this need some explanation. As a result of available funding and
British Railways’ modernisation plans in the 50s, 60s and 70s, many mechanical
installations were replaced with relay based interlockings, often as part of larger
route modernisations. This policy continued into the 80s when SSI became
available. A relay interlocking is essentially a large logic processor and consists
not only of a great many relays but also plugboards and connectors for those
relays and a vast amount of wire to provide connectivity. Connection to outside
equipment also requires considerable quantities of cable. Control for these
interlockings is generally from electromechanical control panels of varying size.
Experience has shown that for installations of this type, their remaining useful life
is often determined by the condition of the internal wiring and the relay
plugboards; wire degradation and silver-migration being of most concern. Many
interlockings which were installed with aspiration of 40 year plus life are now
showing signs of such degradation well ahead of the expected date.
Although there is not yet much experience of the degradation of electronic based
interlocking installations, it is known that the issues of support for electronic
components over an extended present a considerable challenge. The lifecycle of
modern electronic components is so short that planning for a life of 35 years is
unrealistic and therefore the management of obsolescence becomes a key
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consideration for modern systems. The 35 year life specified in the policy is
therefore taken to apply to the fixed elements of the signalling infrastructure i.e.
those parts which are not normally replaced a line items in maintenance. To
support a 35 year installation date, it is expected that at least one upgrade of
electronic items will be required throughout the installation’s life.
Recent works have in general been based on selective, localised condition-based

renewals and life extension works. Application of this policy has been acceptable
over recent years because few wholesale renewals of entire signalling areas have
been required and the life extension activities have maintained acceptable safety
and performance levels. However, this situation is changing as the benefits of the
earlier life extensions works are now coming to an end with the consequential
increase in the need for greater volumes of complete renewals in addition to
ongoing life extension works. Furthermore, interfacing issues associated with the
required introduction of ERTMS may preclude the localised renewal or long-term
retention of relay based systems. Therefore a policy of route-based renewal is
being adopted, where this can be shown to be economically expedient.
Although it may be the case that a route-based strategy will not yield optimised
renewal costs on an individual site basis (because some renewals will inevitably
be executed earlier than condition alone would dictate), such a strategy does
have the potential to allow for whole life benefits for the route to be obtained.
Whole life cost benefits may ensue from facilitating larger projects thereby
allowing suppliers to plan for growth through the award of long-term contracts
covering larger areas. The use of similar equipment will also provide benefits in
terms of maintenance, allowing optimum spares holding and consistent
competence requirements for maintenance staff.
Whilst the current business case suggests that a life extension policy for
mechanical signal boxes is still preferred from a whole life perspective,
opportunities in reducing renewal costs through standards changes, project
processes and new technology are being pursued. These reduced costs plus the
likely increase in operating costs requires that the business case for changing to a
renewal strategy is continual reviewed.
1.9.2 Half-life upgrades
For the reasons described above it is not reasonable to specify a 35 year life for
all elements electronic based signalling systems. However, as an interlocking is
required to last for this period, it is necessary to understand what components will
need to be replaced as part of the lifecycle. The cost of these upgrades should
be regarded in the same way as maintenance i.e. the cost of ownership.
1.9.3 ICM
The input to ICM consists two parts:

• minor works, comprising targeted renewals based on components with
known renewal dates, due to life expired assets or renewal of elements of
an interlocking in order to retain the identified interlocking
decommissioning date or life extend the interlocking. Minor works
expenditure is assessed on the expenditure of the previous five years and
is assumed to be constant throughout the current period
• replacement of major interlockings based on renewal dates included in the
current Interlocking Data Cards and based on Network Rail’s 40 year plan.
During the current period, work is scheduled for 13 major interlockings
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It should be noted that, although the longer term planning of renewals is carried
out assuming a 35 year service life, the actual renewal decisions are made based
on the asset condition.
1.10 Longer Term Implications
The basic premise of the CP4 submission is to maintain the average age of
signalling assets whilst facilitating the delivery of the current operational
requirements. Within this approach it is recognised that whole life benefits and
economies are possible including:
• economies from facilitating larger projects thereby allowing suppliers to
plan for growth through the award of long-term contracts covering larger
areas.
• the use of identical equipment will also provide benefits in terms of
maintenance, allowing optimum spares holding and consistent
competence requirements for maintenance staff.
• the requirement to install ERTMS across the network for future train
protection will force a step change in technology for the secondary routes,
as the ERTMS (unlike TPWS) cannot necessarily be overlaid onto
mechanical signalling.
• there is also the opportunity to use modern data communications
techniques, including radio, to overcome the traditionally high cost of
transmitting data over long distances through trackside cables.
1.11 Compliance with Generic and Asset Specific Policy Issues
The overall maintenance and replacement policy for all signalling assets complies
with all the generic policies (see Network Rail Asset Management Policy) and all
signalling framework policies
Signalling Control
2.1 Brief description of the purpose of signalling control
Control systems are safety related systems used by signallers to control and
monitor the passage of trains. Types include hard-wired control panels with
mimic diagrams, Integrated Electronic Control Centres (IECC) and other VDU-
based systems from various suppliers. Train Describers (TD) use information
from the signalling system to step train descriptions between signal berths and
may be integrated with the control system or provided by a separate system.
Automatic Route Setting (ARS) systems may also be provided.
The major components of a control system are:
Buildings
Provided to house the control equipment and control staff.
Control panels
These are associated with all types of interlocking and range from ‘standard’ NX
types to other bespoke designs. The most cost-effective method of modification
and life extension varies with type.
VDU systems
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These comprise configurable VDU displays and signaller input devices and
processors to interface with the signalling system. Most VDU control systems are
now based on PC technology.
Lever frames
These may be the traditional purely mechanical types or electro-mechanical types
using miniature levers.
Automatic Route Setting
The ARS determines the optimum routing of trains in the area based on the
timetable, their current position, their importance and their destination. It
automatically requests the required route and sets it up when it is available.
SPAD alarms
The SPAD alarm indicates to the signaller when a potential SPAD incident has
taken place and provides a data logging facility.
Train describers
These are used to pass train running description between control areas to assist
signallers and for use by automated systems. They may also interface with other
business systems such as TRUST, Staff Information VDU System (SIVS), and
driver-signaller radio systems such as Cab Secure Radio (CSR).
2.2 Asset population
Figure 3 Population of Signalling Control

Control Control centres 930
Signal boxes
2.3 Failure modes and risks for signalling control
Degradation of control centre equipment is categorised into
• failure of electronic based systems that provide the overall control

• failure of hardware due to ageing, for example wire degradation and silver
migration
• failure of hardware due to mechanical wear to of moving components
• systematic errors in software design and data
These factors combine to cause an overall failure at the control centre with a
resultant loss of control and consequent train delays.
These risks are mitigated by:

• use of duplicated computer hardware (redundancy)
• a clear distinction between safety-related and safety functions
• a programme of inspection to determine asset condition
• a programme of routine maintenance
• a programme of life extension and/or partial replacement
• renewal of assets at the end of their useful life or to meet revised customer
demands as part of enhancement projects
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2.4 Signalling control inspection and maintenance criteria

Control systems are inspected and maintained to ensure that their defined outputs
are delivered at an economical cost, consistent with safety and performance
requirements.
2.5 Type of inspection and maintenance
Figure 4 Inspection and Maintenance for Signalling Control

Item Maintenance Proposed Effect of maintenance and
Option Details why accepted or rejected
Control 1 Daily observation of normal Accepted as this represents
Panels, working the minimum routine
incorporating 1 Weekly cleaning and maintenance to enable the
train housekeeping control centre to operate
describer, 1 Three monthly check of correctly and is derived from
ARS and changeover from operational manufacturers recommended
SPAD alarm computer to standby computer instructions and experience
and vice versa and test SPAD
alarm
1 Annual check of cable
connection security and Recommended maintenance
change of air filters schedules from
1 Two yearly replacement of manufacturers should be
batteries and cooling fans for also be followed.
IECC
Five yearly replacement of

batteries and cooling fans for
Modular Control System and
Westcad Control System
The maintenance policy for signalling control can be summarised as:
Figure 5 Maintenance Policy for Signalling Control

Signals-17 Signalling control systems shall be visually inspected, functionally
tested and key components replaced/serviced in accordance with
guidance from the system supplier. These Maintenance requirements
have been incorporated in Network Rail standards including
competence and training requirements
In addition to the requirements of section 1.6, replacement is initiated when one of

the following conditions is met:
• when a business case is made for the rationalisation of Power Signalling
Boxes (PSB) into a reduced number of Signalling Control Centres
• when existing installation no longer meet business needs
• component obsolescence
• a business case can be made for business-driven requirement
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Figure 6 Replacement Options for Signalling Control

Item Replacement Proposed Effect of replacement and
Buildings 1 Like for like, modern Accepted noting that the use
equivalent of larger, and fewer, control
centres improves staff
utilisation and the associated
larger area of control improves
control of trains.
Control 2 Like for like Accepted only where no
Panels, business case for VDU system
incorporating can be made
train 3 VDU system Accepted as the norm due to
describer, the flexibility of VDU based
ARS and control systems
SPAD alarm
The replacement policies for signalling control can be summarised as:
Figure 7 Replacement Policies for Signalling Control

Signals- A combined operational and systems strategy shall be developed in
18 conjunction with Operations and Customer Services. This strategy will identify
operational requirements as well as the location and span of control for all
future signalling control centres and the migration plan to such centres.
Signals- In designing signalling control centre buildings, consideration shall be given to
19 the impact of signalling control centre strategy on the space required, the
timing of the requirements and the lowest life cost method of meeting the
space requirement.
Signals- Where signalling control panels are replaced they shall be replaced by VDU
20 based systems unless additional operators would be required, in which case,
new or refurbished control panels shall be provided.
Signals- Duplicate or emergency signalling control panels/systems shall not be
21 provided. Further analysis shall be undertaken to determine if a cost effective
emergency system can be developed for future major signalling control
centres.
Signals- New VDU systems shall be capable of interfacing with all of Network Rail’s
22 preferred interlocking systems.
Signals- Enhanced functionality ARS known as ARS+ shall be developed and fitted to
23 all large control facilities.
Signals- The need for ARS+ on other projects including upgrades to the existing IECCs
24 shall be determined on the basis of the business case for provision and the
need as determined by human factors assessment.
Signals- All new signalling control installations shall be fitted with SPAD alarms.
25 Retrospective fitment is required where a major upgrade of systems is taking
place as part of life extension activities.
Signals- Train describer facilities shall be integrated into the signalling control system
26 where possible.
Signals- Control panels which are based on individual switches to perform defined
27 functions e.g. NX, IFS shall be maintained until a case exists for their
replacement based upon re-signalling requirements and synergies with other
schemes.
Signals- Existing systems shall be supported by updates to both software and hardware
28 as necessary in order that they can be maintained and operated until such time
as an economic case for their replacement can be made or they require
replacing due to other business needs such as the renewal of the associated
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interlocking systems, enhancement/rationalisation opportunities or operational

considerations.
Refer to section 1.8
2.10 Long-term implications
Interlockings
3.1 Brief description of the purpose of interlockings
Interlockings are safety critical systems whose primary functions are:

• process requests for routes, points and other external devices from the
signaller and issue commands to the devices if the request is valid in
accordance with the signalling principles and specific application data or
otherwise reject the request,
• monitor the state of inputs from train detection systems and other external
devices,
• set the states of certain external devices automatically in response to input
state changes, without signaller intervention.
Interlocking types include mechanical lever frames, electromechanical systems,

relay-based (free-wired and geographical), Solid State Interlocking (SSI) and
Computer Based Interlocking (CBI). CBI is the generic term for any modern high
performance microprocessor-based interlocking other than SSI, but including 2nd
generation SSI. SSI and some CBIs include lineside object controllers in their
system architectures to interface with external devices. These controllers are
considered part of the interlocking system.
Electronic interlockings
SSI was originally developed by BR and has been used since the mid-80s and is
by far the most used electronic interlocking on the network. There are several
examples of non-SSI electronic interlockings on the network: Ansaldo’s ACC in
use at Manchester South and Siemens SIMIS-W at Bournemouth. Westighouse’s
Westrace is used as a level crossing controller in a handful of locations and as an
interlocking at Nairn. GETS’ VHLC is used in the same applications at a number
of sites across the network.
SSIs exist across the Network Rail network on all route types. Obsolescence of
the central interlocking units will become an issue in the near future. To counter
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this, the two SSI equipment suppliers are developing compatible CBIs with
Network Rail’s support. This will allow the subsequent cascade of critical
components where upgrading to new CBI technology is not the best option. Trials
are underway of next generation SSI from Westinghouse (Westlock) and Alstom
(Smartlock) at Leamington and Horsham respectively.
Obsolescence of the SSI Trackside Functional Modules (TFMs) is expected to be

an emerging issue in the future. Network Rail will pursue a modern replacement
for the SSI lineside infrastructure as a follow-on initiative after the development of
the central interlocking replacement.
Relay interlockings
Various types of relay interlocking exist across the network on all route types.
Many examples of the second generation of power signalling dating from the
1950s and 60s are still in service. Some more recent installations dating from the
70s and 80s are suffering from wire degradation. This situation is continuously
monitored to ensure the degradation is controlled. Many sites have restrictions
that mean they cannot be readily modified and this can prompt renewal in modern
form.
Geographical relay interlockings dating from the 70s and 80s require specialist
design competencies to modify with consequent high unit costs, although
refurbishment of Geographical sets is being pursued as an economic life
extension option.
Relays
Individual relays can suffer from performance degradation due to either time
related or usage related degradation mechanisms. The implementation of
previous maintenance regimes involving the overhaul of the majority of relays at
specific intervals or usage has proved not to be practicable. A revised policy for
relay re-servicing has been developed by Network Rail. This revised policy which
is now being implemented concentrates on the overhaul or replacement of
specific relays with features that are known to import risk as a result of age or
usage related degradation. The majority of relays on the network are considered
not to import significant risk should they be retained without overhaul for the
typical life of an installation. Overall this revised policy is considered ALARP as it
concentrates on ensuring that an overhaul or replacement strategy is practicable
and concentrates on those relays that have the ability to import significant risk.
Mechanical interlockings and ground frames
These are mainly confined to secondary and rural routes where no general
business case exists for replacement with newer technology. A business case for
abolition and replacement may exist when considered as part of a route upgrade
or significant rationalisation of multiple boxes or significant life extensions works
are required. Asset condition can be maintained almost indefinitely through
scheduled maintenance and targeted renewal of key components.
Mechanical installations can generally be maintained indefinitely, provided that

spares can be sourced and suitable resources are available. All parts of
mechanical installations e.g. frames, rodding/wire runs, detectors, semaphore
signals etc. shall be maintained to ensure their performance does not deteriorate
and that integrity is assured.
Page 171 of 470
The train protection legislation has required TPWS to be interfaced to electro-

mechanical signalling.
There are relatively few wholly mechanical installations and most have electrical
locking functions and/or electrically worked outside components. Mechanical
frames can be refurbished and re-fitted whilst electrical components and wiring
can be replaced individually. Issues with spares and/or skills required to maintain
the interlocking may be of such a consequence that replacement becomes the
most economic way forward.
Ground Frames are systems that permit local control of points and signals at
connections between sidings and running lines. They are interlocked with the
main line protecting signals and released for use from the controlling signalbox.
Ground frames exist in both traditional mechanical and electric variants.
Cables and cable routes
Signalling cables are typically laid in lineside concrete or fibreglass cable routes,
which may also contain telecoms cables. Alternatively, though less common, the
cables may be buried along the lineside. Some modern CBIs tend to require
larger cable routes due to their centralised system architectures involving long
multicore and tail cable runs to external devices.
Signalling cables are of many different designs, but are generally multicore cables
operating at 110 volts, AC or DC. Older designs are typically paper insulated
whilst more modern designs are polyethelene insulated.
External cabling is routed within the existing cable route where extant or within an
alternative protected route.
Under Track Crossing (UTXs) may be used for signalling cables where their cost
can be justified within a scheme.
For cross track cables, the use of ‘Orange Pipes’ is not preferred by the track
engineer as this provides a restriction to rail tamping activities. It is expected that
their will be much greater use of hollow sleepers/bearers to facilitate track
crossing in the future.
Power supplies
Internal power supply systems are required for control systems and interlockings.
These are derived from the traction supply and/or an area board supply with
backup from an Uninterruptible Power Supply (UPS) or standby generator.
Signalling equipment rooms

Equipment housings and location cases include lineside location cases,
relocatable equipment buildings, cable termination boxes and other enclosures
used to house signalling equipment. Operational Property are responsible for the
fabric and electrical & mechanical services of signal boxes, control centres and
relay rooms constructed of permanent materials.
Signalling equipment rooms are required to be of the most economic construction
commensurate with the environmental conditions on site and the required life of
the particular installation.
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Modular equipment rooms and locations, pre-fitted to standard designs are

preferred. This allows the installation and testing of signalling equipment in near
factory conditions before relocating to the required installation site.
Building services e.g. air conditioning, forced cooling are to be provided where
environmental conditions dictate in order to ensure asset life is not compromised.
In particular the onset of wire degradation and silver migration can be suppressed
by controlling the equipment room environment.
Where critical to the operation of the signalling system, environmental conditions
shall be monitored and alarms provided to alert maintainers when the
environmental conditions have exceeded or are likely to exceed the defined limits
for the equipment contained within equipment room or location. This is particularly
a requirement for modern electronic systems where system reliability can be
significantly affected when operating outside the external environmental
conditions.
Figure 8 Population of Interlockings

Interlocking Mechanical interlockings 600
Relay interlockings 787
Electronic interlockings 343
3.3 Failure modes and risks of interlockings
Interlocking installations can fail for an almost endless variety of reasons but
some of the more common are:
• random failure of electronic systems and components
• failure of hardware due to ageing effects e.g. wire degradation and silver
migration
• failure due to mechanical wear to of moving components
• failures of cables due to open circuit or earth faults
• high resistance failures in relay contacts
• dormant design errors
• power supply failures
Interlocking failures will generally result in a loss of control and consequent train
delays.

• redundancy within designs
• a design concept of failure to safety (right side failure) on all safety based
systems
• a programme of inspection to determine asset condition
• a programme of routine maintenance
• a programme of life extension and/or partial replacement
• fundamental system design according to failsafe principles
• a comprehensive programme of inspection and maintenance
• replacement of components according to their condition
Page 173 of 470

3.4 Interlocking inspection and maintenance criteria

Interlockings are inspected and maintained to ensure that their defined outputs
are delivered at the lowest overall cost, consistent with safety and required
performance.
3.5 Maintenance type
Figure 9 Maintenance for Interlockings

Mechanical 1 Visual inspection (A) every Accepted as being the most
interlockings three months economic testing to meet
requirements, based on
Interlocking function testing operating experience only.
(B) every 12 months
Electronic 1 Daily housekeeping Accepted as being the most
interlockings economic testing to meet
Visual inspection of cables requirements, based on a
and terminations and combination of manufacturers
check of all routine recommendations and
functions every three operating experience.
months
Visual inspection and full

functional testing every 12
months
Replacement of memory
board batteries every 60
months
Signalling 1 Visual inspection of the Accepted as being the most
cables cable route very three economic testing to meet
months requirements, based on
operating experience only.
Cable insulation testing
and full interlocking
function testing every 12
months
In summary, the maintenance and inspection policy is:
Figure 10 Inspection and Maintenance Policies for Interlockings

Signals-29 All mechanical interlockings shall be visually inspected and functionally
tested at regular intervals. Periodic replacement/servicing of key
components shall also be undertaken. The details associated with this
maintenance regime have incorporated within Network Rail Standards
including competence and training requirements.
Signals-30 All relay interlockings shall be functionally tested where appropriate
and visually inspected at regular intervals. Periodic
replacement/servicing of key components shall also be undertaken.
The details associated with this maintenance regime have been
incorporated in Network Rail standards including competence and
training requirements
Signals-31 Relay interlockings shall be maintained such that their designed
Page 174 of 470
principles of operation and capability are sustainable. Modifications to

relay interlockings should be carried out in accordance with the
standards to which the circuits were originally designed where these
are documented and understood e.g Western Region E10k. Where the
functionality of originally designed circuits is at variance to current
requirements, an assessment shall be carried out to determine if the
current functionality is practicable to provide, in which case it shall be
incorporated. Otherwise non-compliances against existing functionality
shall be sought where appropriate.
Signals-32 All electronic interlockings shall be visually inspected, functionally
tested and key components replaced/serviced in accordance with
guidance from the system supplier. These Maintenance requirements
have been incorporated in Network Rail standards including
competence and training requirements.
Signals-33 All signalling cables shall be maintained according to the configuration
of the system, the risk and the practicability of implementing cable
testing. The maintenance requirements for the cable system is detailed
in Network Standards according to the above considerations.
Signals-34 Signalling power supplies shall be visually inspected and functionally
tested at regular intervals. Periodic replacement/servicing of key
components shall also be undertaken. These Maintenance
requirements have been incorporated in Network Rail standards
The replacement criteria are described in section 1.6 but is important to note that
interlockings shall be life extended such that they are able to meet their original
design requirements in terms of safety, performance and reliability or new
requirements for new installations.
Electronic interlockings are preferred for all new signalling systems. They may be
SSI, next generation SSI, CBI or other electronic types depending on application,
business justification, required performance and applicable contracting and
procurement regimes.
There is currently no general business case for the replacement of mechanical

installation with modern equivalents although there may clearly be cases for
abolition. A case for abolition may exist where greater ‘industry’ benefits may be
obtained due to constraints or where there are other factors, such as maintenance
constraints, uniqueness etc. Where a business case can be made for re-
signalling this will generally be with an electronic-based system.
Figure 11 Replacement Options for Interlockings

Item Replacement Proposed Effect of replacement and why
Option Details accepted or rejected
Mechanical 1 Replacement by electronic Accepted where this is the most
interlockings interlocking system where economic solution, bearing in
a business case exists mind ongoing maintainability of
mechanical components and
operational costs
Relay 1 Replacement by electronic Accepted as being, in general,
interlockings interlocking system the most economic solution. See
note below
Electronic 1 Replacement like for like Accepted as being the most
Page 175 of 470

interlockings with modern equivalent. economical solution based on life

This may be SSI, next cycle costs
generation SSI, CBI or
other electronic types
depending on application,
business justification,
required performance and
applicable contracting and
procurement regimes.
Signalling 1 Replace like for like with Accepted as being the most
cables modern equivalent economical solution based on life
cycle costs for non digital systems
only
2 Replace the Accepted as being the most
communication function economical solution based on life
with products from the cycle costs for digital based
Telecom Engineering systems only
portfolio
Figure 12 Replacement Policies for Interlockings

Signals-35 The overall replacement of mechanical interlockings with other types of
interlocking technology cannot be currently be justified from a business case
perspective. Where significant life extension/minor works are required at specific
locations (or line of route) then individual business case justifications may be
possible. Where a business case exists for the replacement of mechanical
interlockings they shall be replaced by electronic interlockings.
Signals-36 Geographical interlockings shall be modified and/or refurbished where this
presents the most economic solution, provided suitable spares or refurbished
items are available. Additional free-wired circuitry may be used but is non-
preferred and standard geographical connectivity and design should be
perpetuated where possible.
Signals-37 Electronic interlockings are the preferred technology for the replacement of
Relay interlockings.
Signals-38 For non digital communications, signalling cables shall be replaced with modern
equivalent, and shall be routed within the existing cable route where extant or
within an alternative protected route. Armoured cable shall not be used for
signalling functions, alternative cable protection methods such as troughing shall
be used to provide alternative protection to all signalling cables apart from
designated ‘tail’ cables specifically designed to provide local connections to
trackside equipment.
Signals-39 FTN shall be used as the preferred fixed bearer for signalling system digital
communications.
Signals-40 All new, digital, signalling systems are will be capable of operating using open
communications principles on non-dedicated bearers.
Signals-41 GSM-R shall be used as the preferred radio bearer for digital signalling
applications.
Signals-42 The preferred option for replacement signalling power supplies shall be single-
phase 650 volt earth free systems incorporating earth fault monitoring. Other
solutions shall be considered where alternative supplies are available e.g. 415
volt 3 phase or 240 volt single phase, where their use provides the most
economic solution commensurate with the required performance and geography
of the scheme.
Signals-43 Event logging shall be fitted to new interlocking systems. They shall also be fitted
to existing interlockings when associated with life extension activities or where a
business case exists to justify fitment by reducing the time required to analyse
and fix failures. Intelligent algorithms shall be developed to allow real time
monitoring of key system components to allow preventative maintenance to be
implemented where appropriate.
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Signals-44 New electronic interlockings will only be considered where they demonstrate a
significant whole life benefit compared to existing systems or enable the
introduction of other benefits (such as ERTMS).
Note Circumstances may exist where installation of a new relay interlocking is the
preferred means of re-signalling. Where this is the case, new interlockings shall
be designed in accordance with current typical circuits.
Train detection
4.1 Brief description of the purpose of train detection
Train Detection systems determine the presence or absence of a train on a

defined section of line. Predominant types are track circuits (DC, AC, High
Voltage Impulse, and ‘traction-immune’ types such as TI21) and axle counters
which are available in single or multiple section types. Secondary devices, such
as treadles are used for ancillary detection functions. Trainborne Track Circuit
Actuators (TCA) are used to assist track circuit operation where the railhead may
be contaminated. Track Circuit Actuator Interference Detectors (TCAID) further
improve the reliable operation of track circuits by trains fitted with TCAs.
Axle counters are the preferred method of train detection. This applies to new
schemes, large schemes and for the introduction of train detection where none
existed previously. However, any proposed axle counter implementation must
take into consideration issues surrounding the requirements for emergency
communications and the in-service and predicted reliability of the proposed axle
counter system. This is covered in Network Rail standards but in general, if axle
counters are replacing track circuits and the linespeed exceeds 40 mph, GSM or
CSR should be available. An interim voice radio system (IVRS) using hand held
mobiles on GSM-R based infrastructure may be acceptable if GSM-R train fitment
is not available. The business case for Axle Counters shows that overall a positive
business case is achieved if the axle counters operate at 50,000 hours mean time
between section failure. Whilst it is considered that reliability figures suggest that
modern axles counter systems can achieve these requirements and indeed many
installations have achieved this figure, overall the installations provided by the
WCRM project have yet to deliver the required reliability. A number of factors
have been identified and remedial action is in-hand to resolve the known issues
Page 177 of 470
as part of a reliability growth initiative. Further installations of similar Axle Counter

equipment are being implemented within the renewals programme. These
schemes will benefit from the WCRM reliability growth activities and it is
considered that when installed they will operate at the desired reliability
requirements.
There may be circumstances where it is preferable to install new track circuits.
Such circumstances may, for example, be where it is important to maintain
consistency of technology to facilitate efficient maintenance or where there is a
compelling business case due to the need to provide isolated areas of IVRS and
significant volumes of mobile handsets to multiple train operators. Large scale re-
signalling schemes and particularly those forming part of route-based schemes,
should always consider axle counters as first preference but the issues of
emergency communications and predicted reliability must be considered in
determining if a whole life business case exists for the scheme.
Where track circuits are fitted, the following types are preferred, according to
application and considerations such as traction type, immunity requirements,
compatibility with adjacent areas, track type etc.:
• DC
• AC-immune DC
• HVI (not for use in areas with DC 3rd Rail Traction)
• TI21
Other types of track circuit e.g. AC may be perpetuated where there is a

compelling case for retaining them.
It has been recognised that under certain fault conditions it is possible for DC
traction to create a catastrophic failure of HVI components that could impose
Health and Safety risks to signalling technicians. Evaluation of alternative types of
track circuits to facilitate the replacement of HVI track circuits is ongoing and may
require a campaign change to eliminate this hazardous failure mode.
Figure 13 Population of Train Detection

Train Detection Track circuits 65000
Axle counters
4.3 Failure modes and risks for train detection
Track circuit failure prevents the correct identification of the occupancy of a

section of track. The failure may be right side failure where an occupied indication
is given for unoccupied track. Alternatively, the failure may be a wrong side failure
where an unoccupied indication is given for an occupied track. Because the track
circuit is designed to fail safe, wrong side failures are rare and are generally
caused by poor shunting performance.
The major causes of failure of track circuits are

• failure of connecting bonds resulting in open circuits
• electrical failure of insulated block joints
• changes in the electrical impedance of the track ballast due to
environmental factors
• failure of power supplies
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• poor shunting characteristics
Axle counters are now replacing track circuits in many areas. Axle counters have
been used in the past for train detection where track circuits cannot be made to
work reliably and have generally been single section devices. More recent larger
scale implementations have used multi-section evaluators.
The major causes of failure of axle counters are

• disturbances caused by counting anomalies at the heads
• loss of electrical supplies to the installation
• failure of process for resetting axle counter systems after maintenance
• failure of the communication channels from heads to evaluator
The failure of track circuits or axle counters is likely to cause train delays as
signals revert to their safe state. Wrong side failures can cause very hazardous
situations.

• inspection and maintenance
• fail safe design principles
• renewals and component replacement
4.4 Train detection inspection and maintenance criteria

Train detection systems are inspected and maintained to ensure that their defined
outputs are delivered at the lowest overall cost, consistent with safety and
required performance.
Train detection systems are inspected and maintained to ensure that their defined
For all routes, track circuit inspection and maintenance comprises
Track circuits
Figure 14 Inspection for Track Circuits

Item Inspection Proposed Effect of inspection and
Insulated rail joints 1 Visual inspection A at Accepted as this aligns with
minimum interval 6 experience
weekly, normal interval 3
monthly, maximum
interval 1 yearly
Track circuit feed 1 Visual inspection A at Accepted as this aligns with
and relay ends minimum interval 6 manufacturers
weekly, normal interval 3 recommendations and
monthly, maximum experience
interval 1 yearly
Track circuit length 1 Visual inspection A at Accepted as this aligns with
minimum interval 6 experience
monthly, maximum
interval 1 yearly and
remove conductive
debris
Page 179 of 470
Track circuits at 1 Visual inspection A at Accepted as this aligns with

S&C minimum interval 6 experience
monthly, maximum
interval 1 yearly
Location and Relay 1 Visual inspection B at Accepted as this aligns with
Room equipment minimum interval 3 manufacturers
monthly, normal interval recommendations and
1 yearly, maximum experience
interval 1 yearly
Track circuit tests 1 Visual inspection B at Accepted as this aligns with
minimum interval 3 manufacturers
monthly, normal interval recommendations and
1 yearly, maximum experience
interval 1 yearly plus
relay drop shunt test and
insulated rail joint test
Axle counters
Figure 15 Inspection for Axle Counters

Item Inspection Proposed Effect of inspection and
Rail contacts 1 Visual inspection A Accepted as this aligns with
every three months manufacturers
recommendations and
Visual inspection B experience
every twelve months
Lineside junction 1 Visual inspection A Accepted as this aligns with
boxes every three months manufacturers
recommendations and
every twelve months
Evaluator unit 2 Visual inspection A Accepted as this aligns with
every three months manufacturers
recommendations and
every twelve months
The maintenance policy can be summarised as:
Figure 16 Maintenance Policy for Train Detection

Signals-45 Track circuits and axle counters shall be inspected at regular intervals
to identify potential defects.
Maintenance of train detection systems shall be carried out according
to manufacturer’s recommendations and in-service experience. Risk
Signals-46 Based maintenance has been made available for use on a number of
train detection systems. These Maintenance requirements have been
incorporated in Network Rail standards including competence and
training requirements
Full details of all inspection periodicities can be found in NR/SP/SIG/10661 and

maintenance activities (Signalling Maintenance Specifications (SMS)) in
NR/SP/SIG/10660
Page 180 of 470

Figure 17 Replacement Type for Train Detection

Track 1 Like for like Accepted where it is
circuits important to maintain
consistency of technology to
facilitate efficient maintenance
or where there is a compelling
business case.
2 Axle counters Accepted as the preferred
method of train detection
In summary, our replacement policy is:
Figure 18 Replacement Policies for train Detection

Signals-47 Axle counters shall be the preferred method of train detection.
Signals-48 Every proposed axle counter implementation shall take into
consideration issues surrounding the requirements for emergency
communications.
Signals-49 In general, if axle counters are replacing track circuits, GSM-R or CSR
shall be available but Interim Voice Radio System (IVRS) may be
acceptable if GSM-R train fitment cannot be guaranteed but needs to
be examined on a case-by-case basis.
Signals-50 Where track circuits are to be replaced by track circuits, the following
types shall be preferred, according to application and considerations
such as traction type, immunity requirements, compatibility with
adjacent areas, track type etc, DC, AC-immune DC, HVI and TI21. HVI
track circuits are non-preferred for new installations on DC electrified
lines
Signals-51 Other types of track circuit, for example AC, shall only be used where
there is a compelling case for retaining them.
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Train protection
5.1 Brief description of the purpose of train protection
Train Protection Systems, incorporating lineside and trainborne equipment,

provide either advisory information on signal aspects to train drivers (Automatic
Warning System (AWS) or supervise and enforce speed and movement authority
limits (Train Protection Warning System (TPWS), Great Western and Chiltern
Automatic Train Protection (ATP), mechanical train stops and ERTMS)).
ERTMS is likely to become the most available ATP system in Europe in the
future. It defines standards for track to train communication, providing the
signalling and train protection functions in a variety of possible system
configurations, known as levels. ERTMS is currently being implemented, at least
on a trial basis, in most European countries and will be trialled in the UK on the
Cambrian lines.
TPWS provides mitigation against the risk presented by SPADs. TPWS is not
ATP although is effective in preventing 85% of ATP preventable accidents.
Fitment is standardised across Network Rail controlled infrastructure. TPWS has
seen some application changes to enable it to become more effective for certain
layouts such as TPWS+ and the set of solutions known as ‘Robust Train
Protection’. The future life of TPWS needs to be examined in terms of its
engineered quality and supplier support. Subject to the trials on the Cambrian
line and business case examination, it is probable that ERTMS will ultimately
replace TPWS, although timescales are as yet to be determined.
AWS was introduced in the mid 1950s and has been the main protection system
on railways in Britain since. The system exists side-by-side with TPWS and until
a full in-cab system can be introduced nationally, it remains unacceptable not to
have operable AWS for the majority of lines. Exceptions to this are a small
number of minor and freight routes where fitment is not justified. Network Rail
policy therefore has to be to continue to fit AWS to new schemes in accordance
with established principles. Further fitment of AWS shall be determined by
examination of the case for fitment dependant line and traffic type, risk etc
Radio Electronic Token Block (RETB) is utilised on lightly used rural lines. The
core technology utilises SSI and dedicated National Radio Network (NRN) band 3
radio channels. TPWS has been implemented on RETB lines. Current policy is
the life extension of the systems to approximately 2015 including upgrades to
both the radio and signalling sub-systems.
Figure 19 Population of Train Protection

Train Protection AWS 57000
TPWS 17919
ATP 2449
RETB 4 lines
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5.3 Failure modes and risks for train protection
AWS
• failure of the control circuitry to the electromagnet
• failure of the electromagnetic interface causing unexpected bahaviour
ATP TPWS and RETB

• Component failure and communication failure
AWS and TPWS are not strictly safety-critical systems and their failure will
generally result in a reduction of signalling capability while trains are cautioned
past failed installations.
ATP is designed to fail in a failsafe manner and again will result in loss of process
as the system resorts to a safe state.
Trainborne failures of all the above will result in trains being withdrawn fro service.
These failures are mitigated by:

• for ATP systems, a process of continuous monitoring whereby an ATP
fitted train is programmed to know where each signal is and, if the signal is
not detected, then an alarm is sounded in the cab and the speed of the
train reduced to a safe value.
• proving of TPWS at the signal in rear
• replacement of components that are assessed as approaching the end of
their service life, as measured by the asset condition on site
• reporting processes for failures of all systems
5.4 Train protection inspection and maintenance criteria

Train protection systems are inspected and maintained to ensure that their
defined outputs are delivered at the lowest overall cost, consistent with safety and
Figure 20 Maintenance for Train Protection

TPWS 1 Visual inspection every three Accepted as this is the
months minimum inspection that will
meet our operational
Full test of system and battery requirements. Combination of
replacement every 12 months manufacturers
recommendations and our own
Replace UPS battery every experience
five years
RETB 1 Weekly housekeeping checks Accepted as this is the
and system test minimum inspection that will
Check cable connections, requirements. Combination of
standby equipment test and manufacturers
full test of system every three recommendations and our own
months experience
ATP 1 Three monthly examination Accepted as this is the
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and housekeeping minimum inspection that will

6 monthly functional tests and requirements. Combination of
calibration manufacturers
experience
AWS 1 Three monthly examination Accepted as this is the
and housekeeping minimum inspection that will
6 monthly functional tests and requirements. Combination of
calibration manufacturers
experience
In summary, our inspection and maintenance policy is that
Figure 21 Inspection and Maintenance Policies for Train Protection

Signals-52 Train protection systems shall be inspected, maintained and
tested at regular intervals based upon in-service experience.
Risk Based maintenance has been made available for use on
TPWS. These Maintenance requirements have been
Figure 22 Replacement Type for Train Protection

ATP 1 No replacement, life extend Accepted until a migration
only strategy to a newer generation
of train protection system has
been developed.
RETB 1 No replacement, life extend Accepted because no suitable,
only economic replacement for
RETB has yet been identified
AWS 1 No replacement, life extend Accepted to permit the current
only level of fitment to be
perpetuated
TPWS 1 no replacement, life extend Accepted to permit the current
only level of fitment to be
perpetuated
In summary, our replacement policy is that
Figure 23 Replacement Policies for Train Detection

Signals-53 AWS shall be perpetuated at its current fitment level. Further fitment of
AWS shall be determined by examination of the case for fitment
dependant line and traffic type, risk etc.
Signals-54 RETB (except Cambrian) shall be life-extended until 2015 pending the
Page 184 of 470
identification or development of a suitable replacement.

Signals-55 Automatic Train Protection fitted to GWML and Chilterns shall be
perpetuated (maintained and modified where necessary) at the current
fitment level.
Signals and indicators
6.1 Brief description of the purpose of signals and indicators
Signals are external devices that provide information to drivers about the railway
ahead. Types include multiple-aspect and searchlight colour light signals using
either incandescent lamps or Light Emitting Diodes (LEDs), position light and
alphanumeric route indicators, position light signals, semaphore signals, banner
repeaters, Signal Passed At Danger (SPAD) indicators, Close Door/Right Away
indicators, stop boards, and fixed speed restriction signage.
The use of LED signals and indicators in preference to those being dependant on
filament lamps has significant financial and operational benefits and the policy of
renewing life expired signals with LED variants will be perpetuated and extended
to cover all types of indication. Fitment of LED GPLs across the network has
seen the failure trend for these types of signals fall to a near negligible level. The
savings in maintenance are considerable and contribute considerably to providing
a reliable network, with all the associated benefits.
Long range LED main running signals have been successfully installed and there
are trials of other types of signals in hand.
Business case analysis is being undertaken to determine if there is a whole life

benefit of replacing all mainline signals and indicators with LED variants as part of
a national change programme in order to achieve long-term maintenance savings.
A similar business case analysis is being carried out to determine if there is a
whole life benefit in replacing semaphore oil lamps with LED variants.
The purpose of the signal structure is to maintain the signal in the correct place
for operational viewing by the driver. There is some evidence that in the past
signal structures, driven by such considerations as wind loading, structural
strength, access etc. have led to some very large and potentially over-engineered
structures which are correspondingly expensive to install and maintain. Since
LEDs are lighter and have reduced maintenance needs, their use provides an
Page 185 of 470

opportunity to replace large, over-engineered signal structures with lighter

designs, including moveable types, whilst still meeting fundamental requirements.
Moveable structures or mountings provide an opportunity to give the best sighting

position whilst facilitating cleaning. Such arrangements have been used
successfully on both gantries and straight posts. Network Rail is keen to explore
other initiatives in this area by looking at novel designs or applications.
Figure 24 Population of Signal Indicators

Signals and Indicators Signals 39800
Supporting structures
6.3 Failure modes and risks for signals and indicators

There are a number of factors affecting the degradation of signal indicators
• semaphore signals degrade because of the mechanical wear of moving
components
• colour light signals degrade because of corrosion of the signal head and
due to ageing of wire insulation
• supporting structures degrade because of corrosion
These factors lead to the following risks
• mechanical wear of semaphore signals leading to incorrect indication,
potentially leading to wrong side failures, and train delays
• defects on colour light signals leading to incorrect indication, potential
wrong side failures and train delays
• structural failure of signals which, depending on the severity, can lead to
restrictions, wrong side failures and track blockage.
We manage these risks by
• a comprehensive programme of inspection and maintenance that
minimises the whole-life cost of managing these assets and ensures that
components are identified for replacement with sufficient lead time to
minimise the risk of complete asset failure.
• the installation of replacement equipment when the existing asset meets
the appropriate replacement criteria.
6.4 Signals and indicators inspection and maintenance criteria
Figure 25 Inspection and Maintenance Policies for Signal Indicators

Signals-56 Signals and supports shall be inspected, maintained and tested at
regular intervals based on in-service experience. These Maintenance
requirements have been incorporated in Network Rail standards
Figure 26 Maintenance for Signal Indicators

Colour light 1 Three monthly visual inspection Accepted as this aligns with
signals manufacturers
Page 186 of 470
Twelve monthly visual inspection, recommendations and our

change bulbs, check sighting and experience
operations check
Semaphore 1 Three monthly visual inspection Accepted as this aligns with
signals manufacturers
Twelve monthly visual inspection, recommendations and our
change bulbs, check sighting and experience
operations check
Five yearly. Replace lamp

assembly
Electro- 1 Three monthly visual inspection Accepted as this aligns with
mechanical manufacturers’
banner Twelve monthly visual inspection, recommendations and our
repeater change bulbs, lubricate experience
signals
Reflective 1 Three monthly visual inspection Accepted as this aligns with
boards manufacturers’
recommendations and our
experience
Semaphore 1 Three monthly visual inspection, Accepted as this aligns with
signal lubricate and check operation manufacturers’
machines recommendations and our
Twelve monthly visual inspection, experience
lubricate, clean case and check
operation
This is covered in section 1.6
Figure 27 Replacement Type for Signal Indicators

Colour light signals 1 Replacement by Accepted as the high reliability
LED based units and low maintenance costs of
LED indicators provide the
lowest life cycle costs.
Semaphore signals 1 Like for like Accepted when the most
replacement economic solution, but
replacement is rarely needed
due to the high maintainability
of semaphore signals
2 Colour light signals Accepted only when part of a
re-signalling scheme
Electro-mechanical 1 Like for like Rejected as not having the life
banner repeater replacement cycle costs of LED indicators
signals 2 Replacement by Accepted as the high reliability
LED based units and low maintenance costs of
LED indicators provide the
lowest life cycle costs.
Reflective boards 1 Like for like Accepted as the lowest life
replacement cycle cost scheme
Semaphore signal 1 Like for like Accepted as the lowest life
machines replacement with cycle cost scheme
modern equivalent
Page 187 of 470

Figure 28 Replacement Policies for Signal Indicators

Signals-57 LED based units shall be preferred for all types of colour light signal
and indicator.
Signals-58 Long Life lamps shall be used where appropriate for existing filament
type signals
Signals-59 Signal structures shall be constructed to the most economic form whilst
meeting any requirements for signal sighting, compliance, location,
access, maintenance, loading and structural integrity.
Signals-60 Fixed signal structures are preferred, however Crown-type posts (or
other types of approved moveable signal head mechanism) may be
used on gantries or cess mounted applications where this can facilitate
meeting other requirements for signal sighting and structure location.
Points operating equipment
7.1 Brief description of the purpose of points operating equipment
Points mechanisms are external devices that move, lock and detect the position
of points and moveable crossings. Types include electric point machines, electro-
hydraulic clamp locks, hydro-kinetic points, supplementary detectors, back drives,
and mechanically operated points with separate facing point locks.
Point mechanisms range from direct mechanical drive to modern high-

performance point machines. In terms of the existing population the most
common are the HW point machine and the hydraulic clamp lock. There are
significant populations of older machines, typically remaining from earlier large re-
signalling schemes. No longer manufactured, these machines are supported by
re-servicing and careful management of spares.
Following an analysis of requirements and whole life costs associated with Point
Operating Equipment, a Point Operating Equipment policy has been developed.
This is attached as Appendix A and sets out the requirements of the track
engineer and the preferred types of point operating equipment that can deliver
these requirements.
Page 188 of 470

Figure 29 Population for Points Operating Equipment

Points Operating Equipment Point mechanisms 23800
7.3 Failure modes and risks for points
There are a three major factors affecting the degradation of point mechanisms
• mechanical wear out due to the number of operating cycles
• environmental issues such as floods, low temperature extremes, solar
gain etc
• flexing of the trackbed
These factors can lead to

• failure of the point mechanism creating train delays
• incorrect detection creating train delays
• increased maintenance expenditure

• considering the track and the point machine as a complete system
ensures that mechanisms are matched to the S&C they are required to
drive and that problems can be minimised. A suite of options where these
considerations have already been made and the prescribed system is
known to perform well is documented in NR/Sig/Policy/001 (The Points
Operating Policy) which addresses not just the point machine but also
supplementary drives and the type of S&C to which the drive is being
applied.
• condition based replacement when the point mechanism has reached the
end of its economic life
7.4 Points operating equipment inspection and maintenance

criteria
Points operating equipment are inspected and maintained to ensure that their
Figure 30 Maintenance Type for Points Operating Equipment

Point 1 Visual inspection, clear debris, Accepted as this aligns with
machines operating test and lubrication experience
at three monthly intervals
Visual inspection and

operating detection test at 12
monthly intervals
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Point 1 Visual inspection at 3 monthly Accepted as this aligns with

Detector intervals and optional experience
(BR998 operating test
Detector)
Visual inspection and
operating test at 12 monthly
intervals
Facing 1 Facing Point Lock test at Accepted as best practice
Point Lock regular intervals, depending
on criticality
Figure 31 Inspection and Maintenance Policies for Point Operating

Equipment
Signals-61 All point operating and detection equipment shall be inspected,
maintained and tested for correct operation at regular intervals based
on in-service experience. Risk Based maintenance has been made
available for use on a number of point operating equipment types.
These Maintenance requirements have been incorporated in Network
At the end of their economic life, assets shall be replaced as follows:

• when rails are not being renewed, then, if the existing machine is Type
HW, Style 63, Type HPSA or Standard RCPL (Clamplock) the preferred
option shall be like-for-like replacement. If the mechanism is a different
type then the choice shall be dependent on the design compatibility with
the above list.
• when both half sets are being renewed, if the existing machine is a
Standard RCPL, it shall be replaced by an in-bearer RCPL. All other
replacements shall be on a like-for-like basis.
• when a complete renewal is being undertaken, the replacement shall be in
accordance with our document Sig/Policy/001, appendices A to F. The
preferred options are shown in the table, their being tampable and our
experience of these designs being the major factors for the preference.
Figure 32 Replacement Type for Point Operating Equipment

Switch Length Primary Supplementary Supplementary
Drive Drive System Detection
Mechanism System
NR60C, NR60D, NR60E, NR60F
and NR60SG from any approved
manufacturer HPSA Powerlink HPSA
RT60C, RT60D, RT60E, RT60F
and RT60SG from any approved LVDT
manufacturer
NR60G and NR60H from any Clamp Lock SO SO
Page 190 of 470

approved supplier (In Bearer)

113A/UIC54B types CVS, DVS,
EVS, FVS, SGVS and GVS from
any approved manufacturer and HPSA Powerlink BR998
for use over 60 mph
In summary, our replacement policy is
Figure 33 Replacement Policies for Point Operating Equipment

Signals-62 Replacement point operating equipment shall be according to our
document Sig/Policy/001 “Point Operating Policy” which details which
machines shall be used with various points layouts.
Signals-63 Point remote condition monitoring shall be installed, with emphasis on
predicting likely failures. The fitment is dependent on the business
case for specific point machines at specific locations.
Level crossings
8.1 Brief description of the purpose of level crossings
As regards signalling assets, level crossings consist of audible and visual alarms,
barriers and gates to alert and prevent road users from crossing the railway when
trains are approaching or occupying the crossing. Level crossings are broadly
divided into two types – manual, for which closure is initiated by a signaller or
crossing keeper, and automatic, where closure is initiated automatically by
approaching trains.
Manual types include locally monitored Manually Controlled Barriers (MCB),

CCTV monitored Manually Controlled Barriers (MCB-CCTV), mechanically or
electrically operated crossing gates and Traincrew Manually Operated (TMO)
crossings.
Automatic types include Automatic Half Barriers (AHB), Automatic Barrier

Crossing – Locally monitored (ABCL), Automatic Open Crossing – Locally
monitored (AOCL), Automatic Open Crossing – Remotely monitored (AOCR), and
Miniature Warning Lights (MWL).
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Other crossings include accommodation, occupation, and footpath crossings.

These do not usually have warning systems fitted, although some will have
railway telephones installed for communication with the signaller. These
crossings are generically known as User Worked Crossings (UWC).
LED indicators are proving to be highly reliable and their fitment is to be increased
to cover all types of level crossing indicator, assuming compliant designs can be
realised. There is no current reason why this policy should not be extended to
level crossing indicators.
Figure 34 Population of Level Crossings

Level Crossings 8700
8.3 Failure modes and risks for levels crossings

There are four major factors affecting the degradation of level crossing
mechanisms:
• mechanical wear out due to the number of operating cycles
• failure of control components and systems
• environmental issues such as floods, low temperature extremes, solar
gain etc
• obsolescence of components
These factors can lead to
• failure of the level crossing mechanism to operate, creating train delays
and road traffic delays
• increased maintenance expenditure
We mitigate these risks by
• a programme of inspection and maintenance
• condition based replacement when the level crossing mechanism has
reached the end of its economic life
8.4 Level crossing inspection and maintenance criteria
Level crossings are inspected and maintained to ensure that their defined outputs
are delivered at the lowest overall cost, consistent with safety and required
performance.
Figure 35 Maintenance Type for Level Crossings

Level 1 A inspections and Accepted as being the most
Crossings maintenance at three monthly economic method of
intervals comprising visual maintaining a level crossing in
examination and light satisfactory condition and is
maintenance based on experience
B inspections and
maintenance at 12 monthly
intervals comprising full
Page 192 of 470
maintenance
Figure 36 Inspection and Maintenance Policies for Level Crossings

Signals-64 All level crossing signalling assets shall be inspected and maintained
and tested at regular intervals based upon in-service experience.
Figure 37 Replacement Type for Level Crossings

Item Replacement Proposed Effect of replacement and why
Option Details accepted or rejected
Train detection 1 Mechanical treadles Accepted pending approval of
electronic treadles
2 Train detection system Accepted as no separate
that is used for signalling detection requirement
3 Electronic treadles Accepted as most reliable as no
mechanical contact
4 Predictors Accepted as being a cost
effective solution when approved
for an application
Level crossing 1 Low-cost interlockings Accepted on grounds of cost and
controllers and/or modular level efficiency savings
crossing controllers
CCTV 1 Black and white CRT Rejected on cost and availability
basis
2 Colour flat screen Accepted on cost and availability
basis
Figure 38 Replacement Policies for Level Crossings

Signals-65 The preferred method of controlling the level crossing operation shall be
low-cost interlockings and/or modular level crossing controllers.
Signals-66 The preferred form of train detection for all automatic level crossing types
on non-electrified lines shall be level crossings predictors.
Signals-67 The preferred form of train detection for all automatic level crossing types
on electrified lines shall be electronic treadles.
Signals-68 The preferred form of train detection for manual type level crossings shall
be the train detection system for the signalling system.
Signals-69 Mechanical treadles and/or track circuits shall continue to be used
pending the full type approval of the level crossing predictors and
electronic treadles.
Signals-70 For new and refurbished installations, colour CCTV and flat-screen
monitors shall be used in preference to black and white CRT solutions. In
addition we are progressing the approval of CCTV recording equipment
for use on all new and refurbished level crossing CCTV installations.
Signals-71 Event logging shall be fitted to new level crossings and existing level
crossings where the risk profile from a safety or performance
consideration justifies such fitment. Intelligent algorithms shall be
Page 193 of 470

developed to allow real time monitoring of key system components to

allow preventative maintenance to be implemented where appropriate.
Page 194 of 470

Part 7: Structures
Page 195 of 470

Civils (Structures) Policy
Document control
File name
Location
Status Issue 1
Author Civil Engineering Team
Date last amended 26 October 2007
Name Signature Date
Jerry England
Director of Civil
Engineering
Gareth Jenkins
Head of Business
Engineering
Andrew
McNaughton
Chief Engineer

Page 196 of 470

1 Introduction
1.1 This asset management policy for civil engineering assets has been
written to demonstrate how these assets will be managed to meet the
requirements of Network Rail’s corporate objectives and the Network Rail
1.5 The outputs from civil engineering assets are:

• sustained level of performance by the control of temporary speed
restrictions
• maintained capability of the network by ensuring that assets have load
carrying capacity which is at least equal to the heaviest load permitted
to travel on each route at 2001, or the published route availability,
whichever is the greater, or otherwise subject to network change.
• extension of the useful life of assets by the use of whole life evaluation
and the implementation of cost-effective maintenance strategies.
Renewal of assets is effected only when it is proven to have whole life
cost benefits
• avoidance of unplanned performance interruptions through loss of
functionality or unacceptable risk levels by using a ‘predict and
prevent’ approach to examinations and work specification which will
enable work to be implemented before performance restrictions or
interruptions occur
As part of our whole life cost evaluation we consider the likely change in operating
environment resulting from climate change and how this may impact upon the
performance of the asset.
We will pursue opportunities to enhance the value of a route where proposed asset
renewal plans provide us with the opportunity to improve the alignment between actual
and required capability.
2.1 Civil engineering assets comprise:

• underbridges (those where something passes under the railway)
• overbridges (those where something passes over the railway)
• embankments
• rock and soil cuttings
• retaining walls
• tunnels
• footbridges
• culverts
• major structures (a subset of underbridges)
• coastal and estuarine defences
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2.2 These assets share some common features:

• they have long lives and generally slow rates of deterioration
• many of them date back to the date of the original construction of
the railway, or to major railway upgrading work carried out in the
late nineteenth and early twentieth centuries
• the assets are generally bespoke designs to suit their location and
use, and reflecting the common technology in use at the time of
their construction
• they are subjected to heavier loads than they were originally
designed for
• they are capable, with appropriate maintenance, of being kept in
service almost indefinitely
2.3 Underbridges
Underbridges carry rail traffic across a geographic feature or obstruction
such as a road, river, valley, estuary, railway etc.
2.4 Overbridges
Overbridges carry another service (roadway, footway, bridleway, public
utility etc) over the railway. This asset group includes public highways as
well as accommodation and occupation bridges.
2.5 Embankments
Embankments carry rail traffic across low lying ground, a flood plain or
provide approach embankment to a bridge across an obstruction such as
a road, river, valley, estuary, railway etc.
2.6 Rock and soil cuttings

Cuttings, whether through rock or soil, carry rail traffic through hilly
topography at an acceptable level and track gradient.
2.7 Retaining walls

Retaining walls provide support to ground adjacent the railway to
maximise the available space. Retaining walls can also provide support to
the track.
2.8 Tunnels
Tunnels allow the passage of services through or under a land feature
such as high topographic relief, or a river, where the formation of
alternative structures such as cuttings or bridges would have been
undesirable on economic or technical grounds.
2.9 Footbridges
Footbridges carry pedestrians over the railway. The structures in this
group are mainly for public use and do not include footbridges at stations
which may have restricted use.
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2.10 Culverts
Culverts enable water to pass through embankments. Culverts are
defined as structures spanning between 450mm and 1800mm, while
larger spans are defined as bridges.
2.11 Major structures

Major structures are individual underbridges which have been identified as
being extremely costly to replace if this ever became necessary. There
are separate policy statements for major structures because of their
special nature.
2.12 Coastal and estuarine defences

The purpose of a coastal defence is to support and/or protect the railway
from the effects of the sea (flooding, scour and erosion, overtopping
waves etc). Estuarine defences perform a similar function in river
estuaries.
2.13 Asset populations

The number or volume of assets in each category, and where appropriate
sub-categories, is given in the following table:
Asset Type Number Unit

Underbridges Brick 20570 Spans
Masonry 1056
Stone 3696
Concrete 3422
Steel 7018
Wrought iron 3440
Other 2072
Total 41274
Overbridges Brick 4441 Spans
Masonry 416
Stone 1223
Concrete 2669
Steel 2127
Wrought iron 1046
Other 1805
Total 13727
Embankments (subset 9300 km
of earthworks)
Cutting (subset of Rock 1600 km
earthworks) Soil 6400 km
Retaining walls 17000 Number
Tunnels Lined length 327 km
Unlined length 8 km
Open shafts 453 Number
Footbridges 3,200 Number (including
station footbridges)
Culverts 23,000 Spans
Coastal and estuarine 300 Number
defences
Page 199 of 470
3 Policy Statements
Each asset is identified as being managed by one of the following policy
statements:
its remaining life;
restore an acceptable level performance and minimises the remaining
operational assets.
option.
time.

Civil-1 Examination of civil engineering assets shall be carried out at regular
intervals, selected to achieve the optimum balance between cost and
risk, and the condition of each asset inspected shall be recorded
Civil-2 Examination results shall be used to develop a bespoke plan for each
asset, consistent with the policy selected for the asset, to remedy the
defects found, if any, in order to maintain the asset’s functionality
Civil-3 Each civil engineering asset shall be identified as being managed
under policy A, B or C
Civil-4 The selection of the maintenance work to be carried out shall take into
consideration:
• asset condition and strength required

• short term and long term historical changes in the asset
condition
• the overall policy for the asset (policy A to C)
• the requirements of the route on which the asset is located
• the life cycle cost of each viable alternative (including cost of
possessions and track outages)
Page 200 of 470


• statutory requirements, including the rights of users and
heritage requirements
Civil-5 Assets shall be replaced only when the policy applicable to the asset
requires it and it is cheaper, in whole life cost terms, than the
maintenance needed to continue to meet the requirements of the route
Civil-6 Where replacement of any asset is necessary this shall be selected on
the basis of the least whole life cost solution that would meet the
route’s performance requirements.
Civil-7 Replacement work shall take into account the same considerations as
listed under Civil-4
Civil-8 Each bridge shall be allocated a Condition Marking Index from 0 to 100
to reflect the condition found on detailed examination.
Civil-9 The Route Availability of each underbridge shall be maintained to be
consistent with the requirements of the route on which the underbridge
is located.
Civil-10 Overbridges within the remit of Bridgeguard 3 shall be assessed to
check their ability to carry 40 tonne vehicles and any necessary
strengthening work to meet Network Rail’s obligations implemented.
Civil-11 Each embankment shall be allocated a condition on a poor
/marginal/serviceable rating.
Civil-12 Each cutting shall be allocated a condition on a poor
Civil-13 Each retaining wall shall be allocated a condition on a good/fair/poor
rating.
Civil-14 Each culvert shall be allocated a condition on a good/fair/poor rating.
Civil-15 Each culvert shall be maintained in a condition consistent with Route
Availability and such that it’s hydraulic capacity is adequate.
Civil-16 Earthworks shall be repaired not replaced
Civil-17 The condition of each tunnel shall be ranked using good/fair/poor
ratings
Civil-18 Tunnel maintenance work shall be specified on the assumption that
replacement of a tunnel is not affordable and that each tunnel must
remain in a fit for purpose condition for an indefinite period.
Civil-19 The condition of each footbridge shall be ranked using good/fair/poor
ratings
Civil-20 Each major structure shall be allocated a Condition Marking Index from
0 to 100 to reflect the condition found on detailed examination.
Civil-21 A maintenance manual shall be produced for each major structure.
Civil-22 As far as it is economic to do so major structures shall be maintained
so that the need for complete replacement is avoided.
Civil-23 The condition of each coastal and estuarine defence shall be ranked
using good/fair/poor ratings
Page 201 of 470

Civils (Structures) policy justification
Document control
File name
Location
Status Issue 1
Author Civil Engineering team
Name Signature Date
Jerry England
Director, Civil
Engineering
Gareth Jenkins
Head of Business
Engineering
Andrew
McNaughton
Chief Engineer

Page 202 of 470

1 General
The Network Rail asset management policy sets out our management policies for
Civil engineering assets. This document records the information and assumptions
that underpin those policy decisions, and provides quantitative evidence to
support the principal cost drivers.
Issues addressed include:

• the determination of the optimum balance between examination,
The policy statements in this section apply to all civil engineering assets except
where specific exceptions are identified.
The Route Types used in the policy are:

5
Primary and key London and South Eastern (L&SE) routes
These routes are intensively used and support high speed traffic. Passenger
revenue on these routes is high, as are the compensation payments for train
delays. There is a high demand for increased capability (gauge, axle weight,
tonnage etc), but track access for maintenance, renewals and enhancements is at
a premium.
Secondary and other L&SE
These routes have a high frequency of service (L&SE) all at moderate speeds.
Traffic is from multiple operators with associated wide range of income and delay
penalties. Some of the routes are diversionary routes for primary routes. In L&SE
the routes are mainly electrified and, together with other suburban areas, have a
high concentration of switches and crossings.
Rural and freight only

These routes have a low intensity service often at low speeds. Traffic is local and
often from a single operator, generally dedicated passenger or freight with low
income and delay penalties. Most have mechanical signalling, are not electrified,
and have a low concentration of S&C. The route capability often limited by
structures or significant mileage of old jointed track
1.1 Brief description of the purpose of civil engineering assets
Civil engineering assets comprise:

• underbridges (under the railway)
• overbridges (over the railway)
• embankments
• rock and soil cuttings
5
London approaches and other key corridors
Page 203 of 470
• retaining walls
• culverts
• tunnels
• footbridges
• major structures (significant structures where normal policy might
not be appropriate)
• coastal and estuarine defences
Civil engineering assets generally have long lives and slow initial deterioration
rates. Most have been in existence since the time of constructing the original
railway and are therefore between 100 and 150 years old.
Quantity
Year of
Construction
1850 1900 1950 2000
Figure 1, Approximate rates of construction for civil engineering assets
A number were improved around the beginning of the 20th century as a result of
railway expansion, with the result that much of the asset base has remained
unchanged for at least 90 years. During the last 90 years or so maintenance
levels have been variable, with reliance often placed on the resilience of the
assets to cope with deteriorating condition levels and increased loading and traffic
levels.
As a result the ability of individual assets to meet business needs varies widely
and careful evaluation of maintenance and renewal options is needed to ensure
that each asset has an intervention plan which is consistent with the needs of the
route.
Figure 2 Structures Assets – General policy statements

Civil-1 Examination of civil engineering assets shall be carried out at regular
intervals, selected to achieve the optimum balance between cost and risk,
and the condition of each asset inspected shall be recorded
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Figure 2 Structures Assets – General policy statements

Civil-2 Examination results shall be used to develop a bespoke plan for each
Civil-3 Each civil engineering asset shall be identified as being managed under
policy A, B or C
Civil-4 The selection of the maintenance work to be carried out shall take into
consideration:
• asset condition and strength required

• short term and long term historical changes in the asset condition
• statutory requirements, including the rights of users and heritage
requirements
Civil-5 Assets shall be replaced only when the policy applicable to the asset
requires it and it is cheaper, in whole life cost terms, than the maintenance
needed to continue to meet the requirements of the route
Civil-6 Where replacement of any asset is necessary this shall be selected on the
basis of the least whole life cost solution that would meet the route’s
performance requirements.
Civil-7 Replacement work shall take into account the same considerations as
listed under Civil-4
Civil-8 Each bridge shall be allocated a Condition Marking Index from 0 to 100 to
reflect the condition found on detailed examination.
Civil-9 The Route Availability of each underbridge shall be maintained to be
consistent with the requirements of the route on which the underbridge is
located.
Civil-10 Overbridges within the remit of Bridgeguard 3 shall be assessed to check
their ability to carry 40 tonne vehicles and any necessary strengthening
work to meet Network Rail’s obligations implemented.
1.3 Degradation, failure modes and consequential risk
The principal purpose of civil engineering assets is to provide support. Their

failure modes vary between the different types of asset, and are therefore
described in the later detailed sections of this document.
Complete failure of civil engineering assets is rare and records show that most
failures occur during construction. The last complete bridge failures on Network
Rail infrastructure were in the 1980s and caused by river scour. With some
notable exceptions bridges are highly redundant structures and apparent
deterioration may not be significant. However the relationship between condition
and strength is not linear and ultimately strength can jeopardised by small
changes in condition.
Earthworks fail in short lengths, with several occurrences a year across the
network, usually as a result of exceptional weather or circumstances. However, all
assets deteriorate, mainly according to the list below:
Page 205 of 470

Key drivers for Civils asset deterioration
• rainfall
• groundwater
• surface water run-off
• chloride induced corrosion (road salts)
• geological conditions
• mining activity
• freeze thaw/ thermal cycle
• vegetation
• animal Infestation
• scour
• design/latent defects
• increased loading
Defects develop which potentially lead to:

• loss of support to the track
• loss of support to adjoining land or roads or other features crossing over
the railway
• material falling onto the railway
• flooding of the railway
• failure to meet legal obligations to others
It is sometimes possible to continue to operate rail services after some defects

have occurred by:
• imposing weight restrictions on railway or road traffic
• imposing speed restrictions on railway traffic
• carrying out additional examinations
However, these options place limitations on the railway or road traffic or result in
increased costs.
We manage the risk of asset degradation by applying to each asset an
appropriate maintenance and renewal policy. We have recently developed a
policy planning tool, Civil Engineering Cost and Strategy Evaluation (CECASE)
that allows complex policy scenarios to be examined. Different policies can be
applied to individual groups of assets, enabling policy differentiation by, for
example, route type or material type to be modelled. The use of CECASE
identified a number of overlaps in the policies used in the ISBP. We have
subsequently redefined these policies to more accurately differentiate between
them. They are now defined as follows:
its remaining life;
Page 206 of 470

restore an acceptable level performance and minimises the remaining

operational assets.
option.
time.
Although policy B provides the minimum whole life cost solution for managing the
civils infrastructure portfolio, the selective use of policy C enables a balance to be
achieved between delivering current route capability and train performance,
lowest whole life cost and the level of funding available. Consequently, for CP4
policies have been applied to the different categories of route as shown below.
Figure 5 Policy application by route category for CP4

Route category Policy
Primary B
London and south east B
Secondary B
Rural C
Freight only C
However, whilst this table details the overall generic policy approach at the route
level; in some cases a more complex approach is required as rigid application of
policy to individual assets could have a disproportionately negative effect on the
performance of the route.
These policies were originally formulated for bridges; where the performance of
the asset under differing policies was initially easier to predict. It was considered
that all assets modelled would behave in a similar manner with low initial
investment causing a disproportionate increase in expenditure later.
Bridges are largely well built robust structures that deteriorate slowly and have
had regular maintenance interventions, albeit less than optimum. With the correct
and timely maintenance regime these structures can be maintained almost
indefinitely.
Whilst overall policies are assigned to routes it is sometimes advantageous to

maintain certain bridges to a different policy. For example, a large and complex
bridge on a rural route may need to be maintained to policy B rather than C. This
Page 207 of 470
is because operating to policy C may ultimately lead to the bridge requiring

renewal. The cost of the renewal could be greater than delivered by the route,
making a business case for its reconstruction difficult to justify. In such a
circumstance operating to policy B would provide the lowest whole life cost to
preserve the route. Conversely for a small bridge on a primary route that would
cause more disruption and cost to maintain over its life than replace; policy C may
be appropriate. In this case policy C would provide the lowest whole life cost
solution.
Earthworks in contrast with many bridges were constructed poorly because they
pre-dated any scientific understanding of the behaviour of soils and there was an
inability to transport sound bulk fill material any distance.
Because poor earthworks have largely always been in poor condition, their failure
depends on the risk that a particular set of circumstances will occur, usually
weather related. With current weather patterns exhibiting a greater frequency of
extreme events these failure risks have increased.
Modelling of policies B and C has shown that earlier expenditure on earthworks

policy B reduces the failure rate. Planned remediation of earthworks is less costly
than dealing with failures reactively and incurs less disruption costs.
All assets are subject to examination regimes, which produce reports that are
used to determine what maintenance and renewal work is needed. We aim to
identify work two or three years before it has to be carried out so that any repair
schemes are developed and track possessions booked to allow us to procure the
work as efficiently as possible. The aim is to optimise examination resources to
minimise the risk of failures occurring. Our examination periods are as specified
in Network Rail company standards which reflect widely accepted national and
international practice. We are however reviewing whether they are still the most
appropriate option.
1.5 Examination
The examination regimes vary across the different assets types (so tunnels are
inspected and examined in a different way to coastal and estuarine defences) to
reflect the different failure mechanisms and independent of variation in asset
policies A, B & C.
If necessary the frequency of the examination of an individual asset can be

increased if circumstances warrant it. One example would be where the rate of
development of a defect is such that failure of part of a structure is possible before
the next examination would normally take place.
The maintenance response to the results of the examination process does vary
according to the policy chosen for the individual asset.
As the assets and their circumstances vary the maintenance proposed is tailored
to provide the most cost-effective response under policy Civils-4.
1.6 Replacement
1.6.1 Replacement criteria

As discussed above, degradation of our civils asset portfolio is generally more
dependant on environmental factors than traffic volume or usage.
Page 208 of 470

Consequentially, the types of maintenance regimes that are typically suitable for
mechanical or electrical assets do not apply to civils assets. For this reason
maintenance and rehabilitation is driven by an appropriate examination regime.
This situation is further complicated by the range of asset type, materials used
and construction methodologies.
Whilst CECASE provides a robust predictor of funding requirements for a given
policy or policy mix and can be used for informing budget distribution by route or
territory it does not provide decision support for identifying the appropriate action
to address degradation on individual structures. To understand how we ensure
that the work arising from our inspection regimes is optimum, within any defined
delivery or financial constraints, it is necessary to be aware of the processes that
we have in place.
Nationally our inspection regimes result in approximately 187,000 examinations
per annum, each one potentially generating further action. The key decisions are
generally:
• do nothing, await next examination;
• carry out very minor repair work;
• carry out a more substantial repair; or
• renew asset.
In addition, each year there are a number of unplanned reactive tasks that are
generated outside of the inspection regime, often as a result of ground movement
or unexpected material failure. Whilst we make every effort to minimise this
workload, much of our infrastructure was built using designs and materials that by
modern standards would be considered to have latent defects. Although better
understanding of the behaviour of individual assets well help minimise this, unless
the asset is completely renewed reactive tasks are inevitable.
On average over 95% of the inspections carried out every year (in excess of
178,000) result in no action and approximately 4% (around 8,000) result in minor
works. The average cost of the minor works is £7,000. Although in part
influenced by the policy that is applied to the asset (i.e. B or C), generally the
solution is self-evident (for example, repointing where there is a danger of loose
bricks causing a safety hazard) – with much of the cost associated with gaining
access to the infrastructure rather than the repair activity actually carried out.
The 500 to 600 substantial repair or renewal activities carried out each year have
an average cost of £540,000. Typically 100 to 150 unplanned tasks occur each
year, with an average cost of £240,000. It is for these 600 to 750 annual tasks
(with a potential expenditure of around £320 million) that we have robust
processes in place to ensure that we are delivering value for money.
Having identified that a (potentially) major piece of work is required on an asset,
the development of the scheme is primarily dependent on the complexity.
Approximately 70 to 80 of the schemes will either not have an obvious solution or
there may be factors that could impede the delivery of the likely solution. In these
circumstances a feasibility study would be carried out using external experts.
This study would explore and cost options, and identify any key delivery risks.
The use of templated remits ensures that all key issues are addressed and that
the study would generally enable an appropriate solution to be determined. The
careful selection of external expert commissioned to carry out the study ensures
that industry best practice is being applied. It should be noted that feasibility
studies can cost typically up to [5 -10%?] of the total scheme costs, hence they
are only really viable for complex circumstances.
Page 209 of 470

For between 10 and 15 schemes per annum we carry out a STAMP analysis.
STAMP (Structures Asset Management Process) is a computer based decision
support tool that can be used to compare alternative options and select the
appropriate lowest whole life cost solution. It was developed by Mouchel
Parkman for Network Rail, was validated by testing on a range of projects as part
of its development. The input to STAMP is an ‘intervention cycle’ which combines
knowledge of the structure, its condition, predictions of deterioration and possible
maintenance activities. The unit costs for these interventions are the appropriate
SBMT (Structures benchmarking tool) rates. The SBMT is explained more fully
below.
The STAMP process offers consistency of approach across the company; an
auditable decision making process; a means of communicating Network Rail
asset management policy across the Network; integration and support to key
business processes; a means to develop and share engineering best practice.
From January 2008 a STAMP analysis will be compulsory for all schemes in
excess of £2m, except where derogation has been agreed by the professional
head.
STAMP is most effective when for use on projects relating to larger, more
complex structures, but where the cost of an externally delivered feasibility study
is not considered appropriate.
For the majority of schemes (typically 450 to 500 in number) the technical solution
is relatively straightforward, particularly as the high cost of complete renewal
compared to repair means that the latter is almost invariably the selected option.
The optimum structural solution can usually be designed directly from a library of
standard repair solutions. SBMT rates are used, where appropriate, to enable
options to be considered. As with the use of STAMP this helps ensure a
consistent approach across the company and provides an audit trail for key
decisions.
To support this process, by the start of CP4 we will have produced generic
STAMP analyses for a range of standard structure repair scenarios in order to
provide engineers with an improved decision support reference and provide a
more robust audit trail in assessing value delivered by the selected option.
Peer review plays an important part of our governance process, as follows:
• schemes greater than £1m are reviewed at Director level by the
Enhancement and Renewal Investment Panel (ERIP); and
• works costing between £50k and £1m are reviewed by the Investment
Review Group, a panel of senior members of Engineering, Infrastructure
Investment and Finance disciplines.
In addition to the above an annual territory business plan technical and
deliverability review is held jointly by the by the Civil Engineering Director and the
Infrastructure Investment Director (Civil Engineering).
SMBT
As discussed above, the SBMT plays an important role in helping to ensure that
the optimum solution is selected. The key components of this tool are explained
below.
The SBMT is a database of schemes completed since 2003 and with a
completion cost in excess of £100k. The database contains numerous details
about the specifics of the scheme, including location, quantities and costs. It is
referenced by 10 different asset types and 31 work types, as shown in the table
below.
Page 210 of 470

Figure 4 Asset Types and Work Types within SBMT

Asset Type Work type
Underbridge Hazard Management (lm)
Preventative (m2 Surface Area) ( masonry/
brickwork/ clean de-vegetate/ patch painting/
plating)
Preventative (m2 Deck Area) (waterproofing/
painting/ grit blast and paint only)
Repair (m2 surface area)
Replace (m2 deck area)
Strengthen (m2 surface area strengthened)
Overbridge Hazard Management (lm)

Preventative (m2 Surface Area) ( masonry/
brickwork/ clean de-vegetate/ patch painting/
plating)
Preventative (m2 Deck Area)
(waterproofing/painting/ grit blast and paint only)
Replace (m2 deck area)
Overbridge (BG3) Replace (m2 deck area)
Footbridge Preventative (m2 plan area)
Repair (m2 plan area)
Replace (m2 plan area)
Earthworks Preventative (metre sq) Cuttings (m2)
Embankments (m2)
Drainage (lm)
Earthworks Repair (metre sq) Cuttings (m2)
Embankments (m2)
Tunnels Preventative (m2 surface area)
Culvert Repair (m2 surface area)
Replace (m length)
Coastal & Estuarial Defences Preventative (lm)
Repair (lm)
Retaining Walls Preventative (m2 surface area)
Replace (m2 surface area)
All completed schemes other than minor works are recorded in this database.
The costs are logged in relation to global quantities, for example m2 of deck or
earthwork. Power curves are generated for each of the 31 work types. These
curves are scatter diagrams with a best fit curve plotted against unit cost and the
volume of activity. By selecting the appropriate curve for the asset and work type
and inserting the known volume of activity, these curves allow the typical unit cost
for a scheme to be determined. An example is shown below for preventative
maintenance work on a metal underbridge.
Page 211 of 470

Civils Unit Cost Benchmark - Underbridge Preventative

(Grit Blast & Painting / Coating / Waterproofing) Annual Performance
All costs inflation adjusted to 2005/06 Prices
8,000
2002/03 - 2003/04
Data
7,000
6,000 Benchmark Unit Cost = 55532x-0.7026

2005/06
R2 = 0.7174
5,000
Unit Cost £/m2
4,000 Benchmark Curve

based on 0203 &
0304 data
3,000
Target (-15.5%)
2,000
1,000
Unit Cost fixed at £374 /m2 after 1000m2 (includes 15.5% efficiency reduction)
0
0 500 1000 1500 2000 2500 3000
Volume m2 (Deck Area)
Figure 5 Civil Unit Costs Benchmark

The rates in the SBMT are exclusive of complexity factors, i.e. for a site which
requires a particularly long haul road at greater expense than for an average site,
a manual adjustment would have to be made.
Use of the curves has evolved into a straightforward calculator. All that is
required is the appropriate asset, work type and volume. The calculator then
displays unit cost and total cost. The calculator has different indices to reflect
regional market variations and to remove annual project management costs for
estimating purposes
In 2006 the Cost Analysis Framework (CAF) was introduced. This is a national
all-asset cost collection database with greater depths of detail. However, since
CAF does not include data before 2006, the current Civils protocol is to export
CAF data into SBMT to maintain population levels. Work is underway with the
development of the CAF to increase further the number of categories to allow
transparency of unit costs at solution level e.g. embankment repair – re-grade,
soil nails, netting etc.
1.6.2 Replacement type
Where replacement of any asset is necessary this would be selected on the basis
of the least whole life cost solution that would meet the performance requirements
of the route. Civil engineering replacements are largely bespoke and a best value
solution from currently available technology would be selected.
A key factor in this approach is that civil engineering assets provide the
foundation to track and other railway equipment structures. In some cases a
replacement option offering better support and dynamic response will significantly
improve the long term reliability of these assets in service. The effect of
interaction with other assets in this way has to be considered and best value
solutions cannot be determined in isolation. The same considerations are taken
into account in carrying out maintenance work.
Page 212 of 470

Replacement bridge decks are normally well proven types, designed and
fabricated for the loading and dimensional requirements of the site. Any improved
modification to their design is fed back for future use, resulting in a process of
continuous improvement that has produced the modern robust and economic
bridge decks currently specified.
1.7 Asset performance indication
The medium to long term asset performance can be established from the
structures condition monitoring index (SCMI) and the earthworks condition rating.
Civil engineering assets in general have slow deterioration profiles, so reliable
short term performance indicators need careful definition. To date the key
performance indicator has been related to service disruption e.g. the imposition of
temporary speed restrictions (TSRs). For earthworks this still remains a valid
measure and allows overall asset performance to be correlated with particular
weather conditions in any one year.
For bridges, the incidents of TSRs have fallen to a very low level and whilst the
severity index will now be additionally reported their effectiveness as a measure
of asset performance is limited. It has been proposed to concentrate on the
precursors to TSR’s utilising the number of additional examinations as a key
performance indicator. This is an accurate measure of the volume of structures
being examined because of suspected or known defects and will highlight the
need to prioritise and address these before TSRs become necessary.
The possible constraints on our asset management policies for civil engineering
assets are:
• the availability of possessions and their duration,
• supply of materials and labour, particularly during the construction period
for London 2012
• availability of funding
In applying the determination of the Access Charges Review 2003, which sought
to allow policy B to be adopted for all civil engineering assets, it was necessary to
restrict funding by applying a mix of Policy B and Policy C. Our strategy is to
continue with this approach into the fourth control period
The work volumes (and therefore the spend levels) that result from following the
policies in this document are considered to be deliverable.
In contrast with some other assets, long term planning for civil engineering assets
is not based on replacement after a given period of time since most structural
assets remain in use from their original construction and can be maintained in a
suitable condition without wholesale replacement.
Our forecasts for maintenance and replacement work to civil engineering assets
are therefore based on the output of our Civil Engineering Cost and Strategy
Evaluation (CECASE) model which supersedes SACP. The exception to this is
tunnels and major structures, which are small asset groups that have been
evaluated deterministically.
Page 213 of 470

In all cases the forecasts are based on existing traffic levels and make no
allowance for traffic growth.
Our forecasts for examination workload are based on the frequency of the
examinations we currently carry out, which varies between the different types of
asset.
1.10 Long term implications

The intention of the civil engineering policies is to maintain the average condition
level of our assets across the network.
However, as a result of funding constraint described earlier the volume of work
carried out will deliver this condition level but not at the optimum long term whole
life cost.
1.11 Compliance with Network asset management policy
The policy for the management of civil engineering assets complies with Network
Rail’s asset management policy.
1.12 Critical assets
position where all key aspects of our structures management regimes are fact-
based (i.e. based upon quantitative supporting evidence, where feasible, and
subject to rigorous analysis). As this represents an extensive exercise we have
prioritised our actions based upon CP4 expenditure forecasts and the safety or
performance impact of premature asset failure. For structures these “critical
assets” cover underbridges (masonry, metal) and earthworks.
Figure 6 Critical Assets within Civils (Structures)

Asset Asset type Activity
Examination
Masonry
Examination lead maintenance
Underbridges
Examination
Metal
Examination
Earthworks All
2 Underbridges
2.1 Underbridges Asset policies
Our maintenance and renewal policies for underbridges are the same as our
general structures policies
2.2 Brief description of the purpose of underbridges
The purpose of an underbridge is to carry rail traffic across a geographic feature

or obstruction such as a road, river, valley, estuary, railway etc.
Page 214 of 470

There are approximately 28000 underbridges on the Network Rail system. As

some bridges have more than one span, this equates to 41274 spans.
Figure 7 Population of underbridges

Type Number of Spans Average Age, years
Brick 20570
Masonry 1056 150
Stone 3696
Concrete 3422 30
Steel 7018
110
Wrought Iron 3440
Other 2072
Total 41274
.2.4 Degradation, failure modes, consequential risks

The principal measure of the fitness for purpose of an underbridge is its Route
Availability (RA) rating, for which it is desirable that every component of the
structure has a rating equal to or in excess of the published RA rating for the
route.
The table below summarises the degradation characteristics that apply to

underbridges, their impact and predictability and possible mitigation measures
Figure 8 Business risk for Underbridges

Occurrence Degradation and Impact Predictability Possible
key driver mitigation
measures
Regular Corrosion Standard visual /
detailed
Ground
examination cycle.
movement/shrinkage
Freeze thaw/ thermal
Cycle Monitoring /
Occasional Groundwater Failure to special
support examination
Chloride induced track with regime
corrosion (salt spray) associated,
Surface water run-off speed Minor maintenance
Low
restrictions, items prioritised for
Mining or other
weight extent/severity for
subsidence
restrictions minor works plan.
Vegetation and train
Scour delays Major maintenance
Design/latent defects proposals for
inclusion in future
Increased loading business plans
and scheme
Rare Animal Infestation development work.
These factors result in corrosion of metallic structures and components, perishing

of mortar, loose brickwork, exfoliation of brickwork, masonry, concrete, and
erosion of foundation conditions. Each of these defects leads to a loss of strength
or integrity which requires action for restoration or prevention of further loss.
Some defects may combine to initiate an early failure mode; others may leave the
structure vulnerable to the effects of an extreme weather or loading event which
may precipitate failure.
Page 215 of 470


2.5.1 Examination and mitigation regime
Whilst the deterioration profile of populations of bridges can be reliably
determined probabilistically as modelled in CECASE; the occurrence of significant
deterioration in individual bridges is much harder to predict. Hence in common
with most other bridge owners we operate an examination regime with associated
examination driven maintenance. The examination periods are as specified in
Network Rail company standards and closely reflect widely accepted national and
international practice in preventing significant defects remaining undetected, prior
to the occurrence of failure.
The current management regime comprises a detailed tactile examination carried
out on each underbridge at six year intervals, with a detailed condition report
prepared covering each element of the structure. Visual examination is carried
out every twelve months to verify that there are no significant changes occurring.
In addition the responsible engineer can specify a regime of additional
examinations to monitor any defects pending corrective maintenance.
The parameters in the detailed condition report are combined to produce an

overall condition index, on a scale of 0 to 100, using algorithms contained in the
Structures Condition Marking Index (SCMI) tool. The SCMI score is weighted to
take account of critical structural components. An example of the condition of a
sample of 20624 bridges is shown below. The sample includes both underbridges
and overbridges and shows the relationship between SCMI score and the good,
fair and poor categories used for bridge condition in the past.
Examinations are evaluated with respect to the relevant Civil Engineering policies
for any corrective maintenance appropriate to that underbridge. This can be of a
minor works nature or a proposal for a major maintenance item for inclusion in
future business plans.
SCMI DISTRIBUTION - 20624 BRIDGES
5000
4500 Good
4000 Fair
Poor
No of Structures
3500
3000
2500
2000
1500
1000
500
0
0 10 20 30 40 50 60 70 80 90 100
SCMI Score
Figure 9, Indicative condition of civils assets
Page 216 of 470

As part of the policy improvement plan, we have been working on the

development of risk based examination frequencies rather than fixed interval. This
work is 70% complete, and is scheduled for completion in early 2008. Any
changes to the existing examination regime will be implemented during CP4. The
examination regime detailed above is therefore currently being reviewed, with the
object of developing frequencies that more equally proportion business risk in
relation to structure type and deterioration characteristics.
The hypothesis is that examining all structures at the same fixed intervals cannot
equalise risk or be an efficient use resources. This is because different structure
types have different levels of redundancy and rates of deterioration. They ideally
therefore require differing examination input to assure the same continuing level
of structural reliability.
Fixed examination intervals have been used until now because we, along with
most other bridge owners, have not had systems in place to enable the
complexity of a risk based approach to be reliably carried out.
The advent and development of systems such as the Civils Asset Register &
Reporting system (CARRS) will allow targeted examinations to be scheduled and
carried out for individual or specific categories of structures. This will more
equally proportion the risk and optimise the resources required.
2.5.2 Examination led maintenance and key cost drivers
The site detailed examination condition report and condition index are reviewed to
prepare and prioritise forward annual intervention plans and also schedule any
immediate day to day maintenance requirements.
To develop CECASE an extensive study of maintenance intervention data was

carried out to establish the key cost drivers for the models. 24 were identified with
the rest accounting for less than 0.5% by element count and SCMI condition
weighting.
The details are shown in figure 8 below.
Figure 10 Examination Led Maintenance for Underbridges: Cost Drivers

Element Groups Element Percentage of
Count
Masonry internal support Piers/Trestles 3.0%
Padstone Cills 1.4%
Masonry end support Wing Wall 12.7%
Abutment 8.1%
Padstone Cills 5.2%
Concrete end support Wing Wall 0.6%
Abutment 0.5%
Masonry deck Face ring voussoirs 7.3%
Barrel arch 4.2%
Decking/Deck Plate/Deck Slab/Jack Arch 0.9%
Walls Parapets 6.6%
Parapets 1.0%
Spandrel Wall 7.2%
Beams Longitudinal main Beam Inner 13.8%
Longitudinal main Beam Exposed 5.6%
Parapets 1.1%
Decking Decking/Deck Plate/Deck Slab/Jack Arch 1.6%
Decking/Deck Plate/Deck Slab/Jack Arch 5.3%
Ancillary components Bearings 2.3%
Page 217 of 470

Bracing 1.6%
Beams Transverse Beam/Girder inner 1.5%
Parapets 1.2%
Transverse Beam/Girder exposed 1.0%
Longitudinal Secondary Element exposed 0.6%
All other elements account for less than 0.5% of number (count) of elements and
less than 0.5% of total SCMI weighting
There is currently no fixed interval maintenance applied to underbridges.
2.6 Replacement
Replacement criteria for underbridges are as described in 1.5.1 and 1.5.2

The performance indicators are as described in section 1.6
There are no particular constraints or deliverability issues for underbridges.

Our forecasts for underbridge maintenance and replacement are based on the
output of CECASE. This is a sophisticated programme simulation that utilises a
dynamic Markov chain model to determine deterioration and maintenance
intervention cycles for large populations of structures.
To work effectively CECASE requires a good knowledge of current asset

condition and a large number of specific studies of assets to determine the
deterioration and maintenance intervention probabilities. For CP4 extensive data
were available on strength and condition.
CECASE was necessary for the large populations of structures. For example
bridges where there are 41000 on the Network. Small populations of assets such
as tunnels and major structures were modelled by deterministic methods.
Our forecasts for examination assume that underbridges are, in line with our
current practice, examined every year and given a detailed examination every six
years. Note this is currently under review as described in 2.5.2.
The long term concerns for underbridges given current traffic levels relate to metal
bridges only. If these structures are maintained to policy C in the long term there
will be an unsustainable volume of replacement work occurring in approximately
50 years that would prevent the reliable operation of large parts of the network. To
prevent this we intend to maintain the majority of metal underbridges to policy B.
The population of masonry underbridges behaves differently and can continue to

be maintained without any major penalties. The exception to this is if high axle
load traffic growth occurs. Masonry arches are sensitive to the levels of deflection
caused by loading and the difference between the levels of load that can be
carried continuously and that which causes cumulative damage, resulting in rapid
serviceability failure is small.
Page 218 of 470


The policy for the management of underbridges complies with Network Rail’s
2.12 References
• The Civil Engineering Cost and Strategy Evaluation (CECASE) phase
one and two: Functional specification for the modelling process
• An Asset Specific Approach to Monitoring Civil Engineering Assets:
project in progress for the development of risk based examination
intervals.
3 Overbridges
3.1 Overbridges Asset policies
Our maintenance and renewals policies for overbridges are the same as our
general structures policies
3.2 Brief description of the purpose of overbridges
The purpose of an overbridge is to carry another service (roadway, footway,

bridleway, public utility etc) over the railway. This asset group includes public
highways as well as accommodation and occupation bridges.
All public road carrying bridges are being assessed as part of a nation-wide
government funded project (Bridgeguard 3) to check their capacity to carry 40
tonne vehicles in compliance with EU Directive 96/53, which took effect from 1st
January 1999
There are approximately 9,300 overbridges which are owned and maintained by
Network Rail. Some bridges have more than one span, giving a total of 13,727
spans.
Figure 11 Populations for Overbridges

Type Number of Spans Average Age, years
Brick 4,441
Masonry 416 150
Stone 1,223
Concrete 2,669 40
Steel 2,127
110
Wrought Iron 1,046
Other 1,805
Total 13,727
Page 219 of 470

Figure 12 Number of overbridges (Bridgeguard 3) with Network Rail liability

Criteria Number of bridges
Assessed to date 5049
Remaining number to be assessed 508
Estimate of number to be strengthened 834
Estimate of number to be replaced 209
The principal measure of the fitness for purpose of an overbridge is the avoidance
of risk from unexpected failure of any element which would result in reduced
operational performance while the defect is put right.

overbridges, their impact and predictability and possible mitigation measures
Figure 13 Business risk for Overbridges

Occurrenc Degradation and Impact Predic Possible
e key driver tability mitigation
measures
Regular Chloride induced Eventually action has Standard visual /
corrosion to be taken to reduce detailed
Freeze thaw/ the risk of failure of examination cycle.
thermal Cycle the overbridge, and
Ground this is done by either Monitoring /
movement/shrinkag repairing the defect special
e or: examination
Vegetation regime
Occasional Mining or other • imposing weight
subsidence restrictions on Minor
road traffic maintenance items
Design/latent
defects • imposing other prioritised for
Low
restrictions on extent/severity for
Increased loading
road traffic minor works plan.
Rare Geological (narrow lanes,
Conditions banning types of Major
Animal Infestation traffic) maintenance
• installing proposals for
Surface water run-
temporary inclusion in future
off
supports (where business plans
the track layout and scheme
Groundwater permits) development work.
Where highway bridges do not meet the obligations of Network Rail and/or the
highway authority there is a risk of the structure failing either partially or fully
through being overloaded. This is an unacceptable risk to the public using either
the highway or the railway. Unlike underbridges it is not generally possible to
restore structural safety factors for overbridges by imposing temporary speed
restrictions.
Page 220 of 470


3.5.1 Examination and mitigation regime
The examination and mitigation regime for overbridges is the same as detailed for
underbridges in section 2.5.1. with respect to civil engineering policies the
examinations are evaluated for the effects of the sources of degradation as listed
in Figure 11. It should be noted that chloride induced corrosion from road salts is
more prevalent in overbridges as salt is directly applied to the road surface;
whereas underbridges only suffer this indirectly from traffic spray. Chloride levels
have been increasing in these structures since road salting commenced in the
1960’s.
As with underbridges examination frequencies are also currently under review. An

overall SCMI condition index is produced from each detailed examination
Bridges that are within the Bridgeguard 3 remit are structurally assessed for ability
to carry 40 tonne vehicles
Bridges that fall short of this strength level are checked for meeting Network Rail’s
minimum liability for load capacity and where necessary Interim mitigation
measures are provided to address any capacity deficiencies.
When strengthening or replacement is required the costs are apportioned

between Network Rail and highway authority to an agreed formula in accordance
with each parties respective liability for load capacity.
3.5.2 Examination led maintenance
prepare a bespoke annual intervention plan, taking consideration of the factors
listed in section 1.3.
There is currently no fixed interval maintenance applied to overbridges.
3.6 Replacement
The policy for the replacement criteria of overbridges is the same as our general
civil engineering policies. As for other civil engineering assets, replacement is
only considered as a last resort.
For Bridgeguard 3, bridge replacement is selected only when this has a lower
whole life cost than strengthening or when the highway authority requires and is
prepared to finance an enhanced structure dimension or load capacity.
Performance indicators are largely as described for underbridges except that

overbridges do not directly support track. The move to special examinations as a
key performance indicator will provide more visibility of the performance of
overbridges than was previously reported.
There are no particular constraints or deliverability issues for overbridges.

Page 221 of 470

Our forecasts for overbridge maintenance and replacement are based on the
output of CECASE and include those bridges within the BG3 programme.
Our forecasts for examination assume that overbridges are, in line with our
current practice.
Our forecasts for Bridgeguard 3 works are based on the current programme for
the work with the number of bridges needing strengthening or replacement
estimated from the number assessed based on past experience.
There are no particular long term implications for overbridges. Completion of the
Bridgeguard 3 programme will result in public highway bridges all having the
required capacity, with those which have been strengthened or replaced also
achieving a “good” overall condition rating.
The policy for the management of overbridges complies with Network Rail’s asset
management policy.
3.12 References
No applicable references
4 Earthworks
Earthworks is a generic group which includes embankments, rock and soil
cuttings, retaining walls and culverts.
4.1 Earthworks Asset policies

Our maintenance policies for earthworks is the same as our general structures
policies with the addition of the following
Figure 14 Examination and Maintenance Policy Statements for

Earthworks
Number Policy
Civil-11 Each embankment shall be allocated a condition on a poor
Civil-12 Each cutting shall be allocated a condition on a poor
Civil-13 Each retaining wall shall be allocated a condition on a good/fair/poor
rating.
Civil-14 Each culvert shall be allocated a condition on a good/fair/poor rating.
Civil-15 Each culvert shall be maintained in a condition consistent with Route
Availability and such that it’s hydraulic capacity is adequate.
Civil-16 Earthworks shall be repaired not replaced
Our renewal policies for earthworks are the same as our general civil engineering
policies.
Page 222 of 470

4.2 Brief description of the purpose of earthworks
The purpose of
• an embankment is to provide a stable support to the track and associated
lineside equipments to carry rail traffic across low lying ground, a flood
plain or provide approach embankment to a bridge across an obstruction
such as a road, river, valley, estuary, railway etc.
• a rock or soil cutting is to carry rail traffic through hilly topography at an
acceptable level and track gradient.
• a retaining wall is to provide support to ground adjacent the railway to
minimise land-take. Retaining walls can also provide support to the track.
• a culvert is to enable a watercourse to cross under the railway, normally
through an embankment. Culverts are defined as structures spanning
between 450mm and 1800mm, while larger spans are defined as bridges.
Culverts acting as pedestrian subways and cattle creeps, even when they
are within this definition, are treated as underbridges.
Figure 15 Populations for Earthworks

Type Number of Units Units Average Age,
years
Embankments 9300 Km 150
Rock cuttings 1600 Km 150
Soil cuttings 6400 Km 150
Retaining walls 17,000 Km 150
Culverts 23,000 Spans 150
The principal measure of the fitness for purpose of an earthwork is the avoidance
of risk from unexpected failure of any element which would result in reduced
operational performance while the defect is put right.

earthworks, their impact and predictability and possible mitigation measures
Figure 16 Business risk for Earthworks (Embankments)

Occurrence Degradation Impact Predictability Possible
and key mitigation
driver measures
Regular Rainfall Embankment slips Medium Regime of
(either rotational or examinations
Geological
translational) are leading to bespoke
Conditions
the most common plans for
Vegetation mode of failure examination lead
Animal followed by damage maintenance. The
Infestation to the toe of an results of
Increased embankment by examination can
loading river scour. lead to additional
Occasional Groundwater examination
instrumentation
Surface Serviceability failure being installed, in
water run-off of embankments, turn leading to
Mining which results in preventative
Activity
Page 223 of 470
Freeze Thaw poor track maintenance.

Cycle geometry, also Replacement not
Design/latent occurs due to an option
defects flooding,
Scour desiccation of clay
cored
embankments in dry
summers or due to
animal burrowing.
Both slips and
serviceability
failures can lead to
speeds restrictions
and ultimately to an
unacceptable risk of
derailment
Figure 17 Business risk for Earthworks (rock cuttings)

and key driver mitigation
measures
Regular Groundwater Regime of
examinations
Geological
leading to
Conditions
bespoke plans
Freeze Thaw for
Cycle examination
Occasional Rainfall lead
Surface water maintenance.
Potential for
run-off Replacement
derailment due to Medium
Mining Activity not an option
obstruction of track.
Vegetation
Design/latent
defects
Animal
Infestation
Rare Scour
Rates of failure of rock cuttings depend on geology, slope angle, degree of frost
action, vegetation and maintenance history.
Figure 18 Business risk for Earthworks (soil cuttings)

measures
Regular Rainfall Potential for Medium Regime of
derailment due to examinations
Groundwater obstruction of track. leading to
Surface water bespoke plans
run-off for
Geological examination
Conditions lead
Vegetation maintenance.
Replacement
Animal not an option
Infestation
Page 224 of 470
Figure 18 Business risk for Earthworks (soil cuttings)

measures
Occasional Mining Activity
Freeze Thaw
Cycle
Scour
Design/latent
defects
Records show that rotational and translational cutting slips are the most common
mode of failure followed by washout due to surface water run-off from adjacent
land. However, soil cuttings also deteriorate due to weathering effects. Rates of
failure of cuttings depend on geology, slope angle, maintenance history of
drainage, vegetation, animal burrowing and extreme weather effects.
Where rock or soil cuttings are considered to be unstable it is possible to reduce
risk levels by imposing speed restrictions on train services.
Figure 19 Business risk for Earthworks (retaining walls)

measures
Regular Freeze Thaw Regime of
Cycle examinations
Vegetation leading to
bespoke plans
Occasional Rainfall for
Groundwater examination
lead
Surface water maintenance.
run-off Replacement
Rare Geological Potential for
not an option
Conditions derailment due to Medium
Mining Activity obstruction of track.
Animal
Infestation
Scour
Design/latent
defects
Increased
loading
These factors result in perishing of mortar, loose brickwork, exfoliation of

brickwork, masonry, concrete, and consequent increase of water ingress and
accelerated deterioration.
Figure 20 Business risk for Earthworks (culverts)

measures
Regular Freeze Thaw Flooding of track Regime of
Low
Cycle leading to train examinations
Page 225 of 470

Vegetation
Occasional Rainfall
Groundwater
Surface water
run-off
Rare Geological
Conditions
Mining Activity
Animal
Infestation
Scour
Design/latent
defects
Increased
loading
Historically culverts have been managed on the basis of the risk to their load
carrying capacity and the avoidance of structural failure. They are additionally
susceptible to the risk of catastrophic damage by wash-out in extreme weather
conditions, and sometimes increase the risk of embankment failure due to
inadequate hydraulic performance. However, complete structural failure of
culverts is a rare occurrence – it is more likely for a culvert to become blocked by
silt or water-borne debris.

The failure methods of earthworks can lead to either an almost immediate failure
or some situation where failure is anticipated at some time in the future.
The mitigation regime for earthworks is therefore in two sections

• routine examination, with bespoke examination led maintenance
appropriate to that type of earthwork, taking into account the relevant
policy (A, B or C).
• supplementary examination, triggered by routine examination, typically
using monitoring of instrumentation, which leads to preventative
maintenance to prevent actual failure. Note that as this maintenance is
initiated by examination, it is regarded as examination led maintenance
rather than fixed interval maintenance.
For embankments, rock cuttings and soil cuttings:

• the examinations consider the asset condition against serviceability criteria
of the earthwork, the asset condition against ultimate failure of the
earthwork and historical changes in the asset condition
• the examination reports classify the asset as being in poor, marginal or
serviceable condition, from which assessment the period until the next
examination is determined.
• replacement is not an option due to extreme operational impact.
For retaining walls and culverts (being brick built or similar) the examinations are
based on the equivalent structure, i.e. six yearly detailed examinations with
annual visual examination.
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Flooding causes risk of scour and piping failure (washout of embankment material
from around the culvert), which may be catastrophic. Special examination
measures are introduced where unexpected flooding introduces an additional risk.
These may vary from occasional to full-time surveillance, extending to full
underwater examination where it has been considered necessary to close the line
due to uncertainty of the track support from either the structure or surrounding
embankment.
4.5.2 Examination
Examination of earthworks is carried out at a condition based frequency of annual

examination for poor condition earthworks, 5 yearly for marginal condition
earthworks and 10 yearly for serviceable condition earthworks is in line with good
industry practice as detailed in CIRIA Report C591 Infrastructure Cuttings –
Condition Appraisal and Remedial Treatment and CIRIA Report C592
Infrastructure Embankments - Condition Appraisal and Remedial Treatment.
CECASE model predicts failure rate for application of different Policies.
Figure 21 Examination options for Earthworks

Type of Activity
Earthwork
Embankments Visual examination based on embankment condition (including
associated drainage condition), every year for poor condition
embankments, every 5 years for marginal condition embankments
and every 10 years for serviceable condition embankments.
Rock cuttings and Visual examination based on cutting condition (and condition of
soil cuttings associated drainage for soil cuttings), every year for poor condition
cuttings, every 5 years for marginal condition cuttings and every 10
years for serviceable condition cuttings
Retaining walls Annual visual examination
and culverts Six yearly detailed examination
These frequencies are also currently under review.
Figure 22 Examination led maintenance for Earthworks

Type of Activity
Earthwork
Embankments Typical repair solutions to an embankment slip are to regrade a soil
cutting slope with a granular dressing and a gabion toe wall for
shallow translational slips, sheet or bored piling retaining structures or
soil nailing for rotational failures.
Rock cuttings Typical repair solutions to a rock cutting where rock fall is a concern
are to regularly scale the weathered rock material and where
necessary to net the slope or install a rock-catch fence to prevent rock
reaching the track.
Soil cuttings Typical repair solutions to a soil cutting slip are to regrade the soil
cutting slope using a granular dressing and a gabion toe wall for
shallow translational slips and sheet or bored piling retaining
structures or soil nailing for rotational failures.
Page 227 of 470
Retaining walls Typical repair to a culvert is repair of headwall, cleaning out and
and culverts repointing of brickwork and repair to a retaining wall is repointing of
brickwork.
There is currently no fixed interval maintenance applied to earthworks. It is

however proposed to instigate cyclical drainage maintenance and scaling of rock
slopes at fixed intervals in order to improve reliability.
4.6 Replacement
Replacement of earthworks is not usually a feasible option.

The criteria by which we judge the success of these policies are
• That actual unit costs, supplied as feedback from site work, match up with
those used in the calculation of whole life costs, and which the policies are
based on
• That overall containment of any degradation of performance, or increase
in performance, as measured by train delay minutes, is achieved
• The measured Asset Stewardship Index is either held constant or
improved.
There are no particular constraints or deliverability issues for earthworks.

See Section 1.8 for earthwork forecast method for maintenance, repair and
replacement using CECASE.
Our forecasts of examination workload are based on the following frequencies:

• poor condition cuttings examined once a year
• marginal condition cuttings examined every five years
• serviceable condition cuttings examined every ten years
Our forecasts for examination and examination lead maintenance assume that
retaining walls are, in line with our current practice, examined every year and
given a detailed examination every six years.
Our forecasts for examination and examination lead maintenance assume that
culverts are, in line with our current practice, examined every year and given a
detailed examination every six years.
There are no particular long term implications for earthworks.
Page 228 of 470

The policy for the management of earthworks complies with Network Rail’s asset
management policy.
4.12 References
• CIRIA Report C591 Infrastructure Cuttings – Condition Appraisal and
Remedial Treatment
• CIRIA Report C592 Infrastructure Embankments - Condition Appraisal
and Remedial Treatment.
• Functional Specification for CECASE Software
5 Tunnels
5.1 Tunnels Asset policies
Our maintenance policies for tunnels are the same as our general structures
policies with the addition of the following:
Figure 23 Examination and Maintenance Policy Statements for Tunnels
Policy Policy Statement
Number
Civil-17 The condition of each tunnel shall be ranked using good/fair/poor ratings
Civil-18 Tunnel maintenance work shall be specified on the assumption that
replacement of a tunnel is not affordable and that each tunnel must remain
in a fit for purpose condition for an indefinite period.
Our renewal policies for tunnels are the same as our general civil engineering
policies.
5.2 Brief description of the purpose of tunnels
The purpose of a tunnel is to allow the passage of services through or under a

land feature such as high topographic relief, or a river, where the formation of
alternative structures such as cuttings or bridges would have been undesirable on
economic or technical grounds.
There are approximately 628 operational tunnels that are owned by Network Rail.
Figure 24 Populations for Tunnels

Type Number of Units Units Average Age, years
Lined 327 Km aggregate length 150
Unlined 8.4 Km aggregate length 150
Open shafts 453 Quantity 150
The table below summarises the degradation characteristics that apply to tunnels,
their impact and predictability and possible mitigation measures
Page 229 of 470

Figure 25 Business risk for Tunnels

measures
Regular Groundwater Regime of
examinations
Geological The principal hazard
leading to
Conditions to the operating
bespoke plans
Freeze Thaw railway is that of
for
Cycle material failure
Low examination
Design/latent leading to partial
lead
defects lining failure/collapse.
maintenance.
Occasional Increased Replacement
loading not an option
Rare Mining Activity
The most common mode of failure in tunnels is progressively deteriorating lining

materials as a result of freeze/thaw actions, high levels of water ingress,
progressive increased loading from interaction with the surrounding geology and
degradation of exposed rock faces in the unlined tunnels. Infilled construction
shafts that are no longer visible, termed “hidden shafts” can cause instability to
the tunnel and surface land above.
Unlike underbridges it is not generally possible to restore structural safety factors

for tunnels by imposing temporary speed restrictions.

The mitigation regime for tunnels comprises routine examination, with bespoke
examination lead corrective maintenance appropriate to that asset. Replacement
is not an economic option.
5.5.2 Examination
The aggressive geological settings of many tunnels results in faster deterioration

than that seen in other structures. In addition any defects in the lining of tunnels
are not easily visible other than during a well lit close examination; as a result the
examinations are carried out more frequently. As tunnel linings are linear assets it
is possible to employ vehicle mounted laser scanning technology to augment
visual examination.
Figure 26 Examination options for Tunnels

Type of Tunnel Activity
Lined tunnels (non risk assessed) Detailed examination every year
Lined tunnels (risk assessed, see note 1) Detailed examination every two years
Tunnels subject to rapid change in Detailed examination according to the
condition or circumstances (see note 2) severity of the defects causing the change.
Shafts Detailed examination every six years
Notes
1 the risk assessment considers:
• the current tunnel condition and the predicted rate of deterioration of the
tunnel
• the frequency of reactive maintenance activities and
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• the mode of rail operations within the tunnel.
At the moment there are 63 tunnels subjected to additional examinations pending

remediation works.
The site detailed examination condition report and condition rating are reviewed to
prepare an annual intervention plan, taking consideration of the factors listed in
section 1.3.
Figure 27 Examination led maintenance for Tunnels

Asset Activity
All tunnels and Bespoke annual intervention plan to keep each tunnel fit for purpose
shafts indefinitely

There is no appropriate fixed interval maintenance approach for tunnels
5.6 Replacement
Total replacement of an entire tunnel is considered not to be cost effective.

based on
improved.

There are no particular constraints or deliverability issues for tunnels.
Our forecasts for tunnel maintenance are based on bottom-up intervention plans
produced for our complete tunnel population.
There are no particular long term implications for tunnels.
The policy for the management of tunnels complies with Network Rail’s asset
management policy.
5.12 References
Page 231 of 470

6 Footbridges
6.1 Footbridges Asset policies
Our maintenance policies for footbridges are the same as our general civil
engineering policies with the following additions:
Figure 28 Examination and Maintenance Policy Statements for

Footbridges
Number
Civil-19 The condition of each footbridge shall be ranked using
good/fair/poor ratings
Our renewal policies for footbridges are the same as our general civil engineering
policies.
6.2 Brief description of the purpose of footbridges
The purpose of a footbridge is to carry pedestrians over the railway. The

structures in this group are mainly for public use and do not include footbridges at
stations which may have restricted use.
Figure 29 Populations for Footbridges

Description Type Number of Units Average
Age, years
Footbridges Various 3,200* 100
* Includes footbridges at stations
The principal measure of the fitness for purpose of a footbridge is the avoidance
of risk from unexpected failure of any element which would result in failure to
meet our statutory obligations to users and potentially affect train services until
the defect can be repaired.
With some exceptions foot bridges are light steel or concrete structures.
Corrosion and timber decay are the main degradation drivers. Many foot bridges
are salted in winter and this accelerates corrosion in both steel and concrete
structures as a result of chloride penetration. In addition the atmosphere slowly
neutralises the alkalinity of concrete causing the near surface reinforcement to
corrode and split the thin concrete sections. Circa 1930’s footbridges are
especially vulnerable in this respect.
Many existing footbridges are timber decked with originally durable tropical hard
wood. This material is now more difficult to source from sustainable supplies and
inferior quality timber is less durable in use. FRP replacement decking is starting
to be used as a durable replacement where appropriate but this material is still a
costly alternative to timber.

footbridges, their impact and predictability and possible mitigation measures
Page 232 of 470
Figure 30 Business risk for Footbridges

measures
Regular chloride Regime of
induced examinations
corrosion from Both steel and leading to
salting concrete footbridges bespoke plans
Timber decay suffer from corrosion for examination
accelerated by the lead
Occasional Surface water application of maintenance.
run-off chlorides from winter Replacement is
Freeze Thaw salting. Thin concrete an option when
Cycle sections also suffer continued
Vegetation corrosion as a result maintenance
of carbonation Low becomes un-
Rare Groundwater
caused by economic
Geological atmospheric effects.
Conditions Decay of timber
Mining Activity decking is also an
issue. Hard wood is
Animal more durable and
Infestation FRP replacement
Design/latent now being
defects increasingly used
Increased
loading

The mitigation regime for footbridges comprises routine examination, with

bespoke examination lead corrective maintenance appropriate to that asset.
Replacement may be attractive when continued maintenance is shown to be
uneconomic.
6.5.2 Examination
Figure 31 Examination options for Footbridges

Type of Footbridge Activity
All Annual visual examination
Six yearly detailed examination
The site detailed examination condition report and condition rating are reviewed to
Figure 32 Examination led maintenance for Footbridges

Asset Activity
All Bespoke annual intervention plan to keep each
footbridge fit for purpose
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There is currently no fixed interval maintenance applied to footbridges
6.6 Replacement
6.6.1 Criteria
Footbridges are often light structures some of which can be complex and costly to
repair in comparison with a new factory produced replacement. Unlike other types
of structures replacement can be the economic option
There is no policy on replacement type though standard footbridge designs are in

course of development.

based on
• That the measured Asset Stewardship Index is either held constant or
improved.
There are no particular constraints or deliverability issues for footbridges.

Our forecasts for footbridge maintenance and renewal are based on the output of
CECASE.
Our forecasts for examination assume that footbridges are, in line with our current
practice, given a visual examination annually and a detailed examination at six
year intervals.
In the long term many footbridges will require replacement as they are very light
structures that are often not economic to repair. Light concrete panel footbridges
in particular have a finite life due to carbonation; beyond which the steel
reinforcement cannot be prevented from corroding. Adequate repair of these
structures is not possible and they will need replacing though in this case
replacement will be the lowest whole life cost solution
The policy for the management of footbridges complies with Network Rail’s asset
management policy.
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6.12 References
7 Major structures
7.1 Major Structures Asset policies
Our maintenance policies for major structures are the same as our general civil
engineering policies with the following additions:
Figure 33 Examination and Maintenance Policy Statements for Major

Structures
Number
Civil-20 Each major structure shall be allocated a Condition Marking
Index from 0 to 100 to reflect the condition found on detailed
examination.
Civil-21 A maintenance manual shall be produced for each major
structure.
Civil-22 As far as it is economic to do so major structures shall be
maintained so that the need for complete replacement is avoided.
Our renewal policies for major structures are the same as our general civil
engineering policies.
7.2 Brief description of the purpose of Major Structures
The purpose of a major structure (which is typically an underbridge) is to carry rail

traffic across a substantial geographic feature or obstruction such as a river,
valley, estuary, etc. Major structures are defined as a special group identified by
the extreme cost of replacement.
Although the definition is flexible, there are around 300 structures which could be
considered as major structures.
The principal measure of the fitness for purpose of a major structure is its Route
Availability (RA) rating, for which it is desirable that every component of the
structure has a rating equal to or in excess of the published RA rating for the
route.
Major structures have the same degradation drivers as underbridges, as set out in
section 2.4.
Complete structural failure of major structures is extremely rare. The only

example of a failure in recent times is the River Ness viaduct which failed in
February 1989 due to river scour. However major structures, like all
underbridges, do deteriorate, and therefore develop defects. Not only is the cost
of replacement extremely high if they do need replacement but, as major
Page 235 of 470

structures tend to be at strategic locations, the disruption caused by restrictions is

also high.

The mitigation regime for major structures comprises routine examination, with
bespoke examination lead corrective maintenance appropriate to that asset.
Replacement may be attractive when continued maintenance is shown to be
uneconomic.
7.5.2 Examination
Major structures are examined in the same way as underbridges:
Figure 34 Examination options for Major Structures

Type of Major Structure Activity
All Annual visual examination
Six yearly detailed examination
As for underbridges the examination reports are used to determine the immediate
maintenance requirement. The long-term maintenance requirements for major
structures have been set out in the draft document called ‘Major Structures
Maintenance Strategy’ produced in April 2006. The strategy sets out a
development programme for twenty six major structures which includes the
preparation of a bespoke maintenance plan for each structure. Each strategy will
recognise the unique characteristics of the structure and demonstrate how whole-
life benefits will be gained from its application.
The aim for major structures is, as far as it is economic to do so, to keep them in a
suitable condition so that the need for complete replacement is avoided.
Figure 35 Examination led maintenance for Major Structures

Asset Activity
All Bespoke annual intervention plan to keep each major structure fit for
purpose

There is currently no fixed interval maintenance applied to major structures
7.6 Replacement
7.6.1 Criteria
Replacement of major structures is not usually feasible or economic and

maintaining rail traffic on most routes would require the construction of a new
structure on a parallel alignment.
Page 236 of 470


If such a structure were ever replaced, excepting any heritage issues, a
replacement specification would be for a modern economic design customised for
the location.

based on
• That overall performance of the structure is maintained or improved in
whole life cost terms.
improved.
There are no particular constraints or deliverability issues for major structures.

Our forecasts are based on the draft document ‘Major Structures Maintenance
Strategy’ produced in April 2006. This document sets out a long term view of the
major maintenance needs which have been specifically evaluated for each
structure.
There are no particular long term implications for major structures.
The policy for the management of major structures complies with Network Rail’s
7.12 References
8 Coastal and estuarine defences

8.1 Coastal and estuarine defences Asset policies
Our maintenance policies for coastal and estuarine defences are the same as our
general civil engineering policies with the following additions:
Figure 36 Examination and Maintenance Policy Statements for Coastal
and Estuarine defences
Number
Civil-23 The condition of each coastal and estuarine defence shall be
ranked using good/fair/poor ratings
Page 237 of 470

Our renewal policies for coastal and estuarine defences are the same as our
general civil engineering policies.
8.2 Brief description of the purpose of coastal and estuarine

defences
The purpose of a coastal defence is to support and/or protect the railway from the
effects of the sea (flooding, scour and erosion, overtopping waves etc). Estuarine
defences perform a similar function in river estuaries.
There are approximately 300 coastal and estuarine defences on the Network Rail
system, amounting to 150 miles of defended railway.
Figure 37 Populations for Coastal and estuarine defences

Description Type Number of Units Average
Age, years
Coastal and N/A 300 150
estuarine defence
Coastal and estuarine defences suffer the most aggressive environment of all the
civil engineering assets. They are often large structures and are a significant
maintenance liability. The degradation and failure modes of coastal defences
depend on the interaction between several factors, the first of which is the
underlying geology of the coastline and its overall stability in the face of coastal
erosion. The severity of the effect further depends on the direction of the
prevailing weather and the wave height as a function of the overall exposure of
the coast.
Within navigable estuaries or channels wash from passing vessels also causes
scour to structures. In addition all marine environments are highly corrosive for
any ferrous based structures or components.
Figure 38 Business risk for Coastal and estuarine defences

Occurrence Degradation and key Impact Predictability Possible
driver mitigation
measures
Regular Scour Coastal Low Regime of
erosion can examinations
Coastal erosion
be severe leading to
Geological Conditions and is bespoke plans
dependent on for
Weather the geology examination
Salt water corrosion of the coast lead
and the maintenance.
Occasional Groundwater exposure of Replacement
Vegetation the coast to is an option
prevailing when
Design/latent defects weather, continued
wave fetch maintenance
Rainfall
and the becomes un-
Page 238 of 470
Surface water run-off aggressive economic

salt water
Rare Mining Activity
corrosion of
Increased loading any ferrous
metal such as
Freeze Thaw Cycle sheet piles in
Animal Infestation the sea
defences

The mitigation regime for coastal and estuarine defences comprises routine
examination, with bespoke examination led corrective maintenance appropriate to
that asset. Replacement may be viable when continued maintenance is shown to
be uneconomic.
8.5.2 Examination
As a result of the risk of storm or flooding damage to many coastal and estuarine
defences, examinations are carried out more frequently than for most other civil
engineering assets with most defences being examined every year.
Where a defence is believed to be particularly at risk it is subjected to more

frequent special examinations, and additional examination of defences may also
take place when storms have occurred.
A report is produced after each examination and the defence assessed as being
in good, fair or poor condition.
Figure 39 Examination led maintenance for Coastal and estuarine

defences
Asset Activity
All Bespoke annual intervention plan to keep each
defence fit for purpose
There is currently no fixed interval maintenance applied to coastal and estuarine

defences
8.6 Replacement
8.6.1 Criteria and specification
As for other civil engineering assets, replacement is only considered as a last

resort. However coastal erosion mechanisms are now much better understood
and effective measures to mitigate the effects mean that the replacement
alternative can sometimes be cheaper and more effective than the repair option.
A suitable example is the use of rock armour optimised for size and shape so that
it remains locked in position under storm conditions and effectively breaks up the
waves dissipating their energy. Such a solution can be cheaper than repairing a
concrete sea wall and significantly reduces the magnitude of the forces from wave
action.
Page 239 of 470


based on
• Intervals between maintenance interventions: poorly designed and
constructed sea defences are short lived and maintenance frequency is a
key indicator of performance.
improved.
There are no particular constraints or deliverability issues for coastal and

estuarine defences.
Our forecasts for defence maintenance and renewal do not allow for any extra
work that may be needed as a result of the effects of climate change.
Our forecasts for examination assume that defences are, in line with our current
practice, given a detailed examination every year.
While the intention of this policy is provide a constant asset condition in overall
terms across the network, it does not allow for the effects of climate change.
Climate change is predicted to bring increased storm severity and a significant
sea level rise over the life of the defence. In the long term there is an increasing
probability that existing individual assets become compromised both in terms of
degradation rate and design adequacy.
The policy for the management of coastal and estuarine defences complies with
Network Rail’s asset management policy.
8.12 References
• Coastal and Estuarine Defence Management Strategies, Good
practice guide, Mouchel Parkman report, client Network Rail.
• Responding to Risks from Climate Change in the Coastal Zones,
Good practice guide, European Union LIFE Environment Programme,
Centre for Coastal environment, Isle of Wight Council, Sept 2006.
Page 240 of 470

Part 8: Operational Property
Page 241 of 470

Civils (Operational Property) policy
Document control
File name
Location
Status Issue 1
Author Civil Engineering Team
Name Signature Date
Jerry England
Director of Civil
Engineering
Gareth Jenkins
Head of Business
Engineering
Andrew
McNaughton
Chief Engineer

Page 242 of 470

1 Introduction
The purpose of this document is to summarise the key asset policies that have
been developed for the management of our Operational Property assets.
The value to the industry of effective asset management of Network Rail’s

Operational Property is that we have optimised performance of the assets leading
to a reduction in delays, less reactive expenditure and the safe running of trains
all at an optimum whole life cost.
The portfolio represents one of the most complex in the United Kingdom not
simply in terms of size, functionality and constructional complexity but also in
terms of the operational and commercial environment. The nature of assets at
stations is diverse and their management requires an approach that is sensitive to
that diversity. Some assets, such as mechanical and electrical (M&E) equipment,
are such that condition degradation leads to a point of complete operational
failure – others, such as platform surfaces and car parks are physically more
robust and less sensitive to operational failure through degradation. Stations
themselves vary immensely in age and patronage; all these features inform our
approach to maintenance and renewal policy.
In CP4 we will be building on the policy of previous years and augmenting the
regimes with a more defined Planned Preventative Maintenance regime. By
carrying out small repetitive ‘care’ activities we can prevent the requirement for
renewals.
Policy recommendations will be supportive of a non-deteriorating condition asset

base at portfolio level but differential application by type of element and station
category facilitates effective maintenance and renewal (M&R) activity from (i) a
long term cost perspective and (ii) sensitivity to passenger usage and commercial
importance.
The Network Rail optimal application of the policies to individual assets for the
CP4 submission is, based upon consideration of asset characteristics and the
criticality of those assets to broader business objectives.
Assets will be renewed when it is considered more economic, in whole life cost
terms, than the continued maintenance needed to meet the business requirement.
This would represent a relatively large increase in activity levels on our
operational property portfolio, the immediate transfer to these regimes at the
commencement of CP4 would be difficult to deliver and is likely result in a short
term increase in the unit cost of this work.
Subject to the constraints in the early years, we intend to phase in these regimes
over the next control period, enabling us to ensure the work is delivered at an
efficient cost with minimal unnecessary disruption.
Operational property assets provide the built environment in which many of

Network Rail operational activities are undertaken and consist of the following
principal property types:
Page 243 of 470

Non-franchised stations
The 17 Non-franchised stations are large complex stations operated by Network

Rail and largely situated in the heart of city centres. They represent some of the
busiest and most complex stations on the rail network. The majority of these
stations are also of significant historical, architectural and engineering importance,
many carrying listed status.
Franchised stations
There are approximately 2,500 franchised stations and these are leased to train
operating companies. Network Rail retains obligations as landlord for the
maintenance and renewal to these assets under the Station Access Conditions.
These stations range from major stations of the same scale and complexity as the
managed stations to small rural halts. The stations are divided into six categories
from A to F.
Figure 1 Station Categories and Population

Station Station No per Station Category Definitions
Category category type
A – National 10 These are the most important stations, providing a
hub stations gateway to the rail network from a significant
population centre and also acting as a very important
interchange location between different long distance
services and/or local services
B – Regional 68 Regional hub stations are usually large stations
hub stations providing a gateway to the network from a large
population centre, usually served by more than one
TOC with a mix of local, regional and long distance
train services. There is likely to be significant
interchange between services, some of which may
terminate at these stations.
C – important 255 Important feeder stations may be served by more than
feeder one TOC, and are usually served by some long
stations distance services.
D – medium 313 Medium staffed stations are usually served by
staffed regional and local services
stations
E – small 655 Small staffed stations will usually only have one
staffed member of staff in attendance and may be staffed for
stations only part of the day.
F – small un- 1192 Small un-staffed stations are defined as being
staffed permanently un-staffed.
stations
Light Maintenance Depots (LMDs)
Light maintenance depots are leased to Depot Facility Owners to provide facilities
for the servicing, maintenance and repair of rail vehicles. They can be divided
into four distinct categories:
Page 244 of 470

Figure 2 Population of Light Maintenance Depots

Function Facilities Small Medium Large
A Multifunctional/heavy Large overhead crane facilities, 1 6 28
engineering jacks, full pitted roads, carriage
washing, fuel points, (some
with wheel lathe facilities)
B Day to day Small overhead cranes, jacks, 3 3 4
component change some pitted roads, carriage
washing
C Covered Covered berthing, watering, 5 6 1
cleaning/minor carriage washing.
maintenance
D Open Open berthing, watering and 22 11 1
cleaning/berthing some with carriage washing.
and watering
Lineside buildings (Critical and non-critical / manned and unmanned)
The estate includes approximately 7,000 Lineside buildings that serve a multitude
of purposes but may be divided into two generic categories; critical and non-
critical.
Critical lineside buildings are those that fulfil an operational function in relation to
railway in that they house equipment or personnel essential to the operation of the
railway. These assets include, amongst others, integrated electrical control
centres, relay rooms, signal boxes and substations.
Non-critical assets are those that indirectly support the operation of the railway
but may be very important never the less. These include assets such as stores,
P-way huts and cabins.
Figure 3 Population of Lineside Buildings

Type of Building Number
Crossing Hut/Cabin 599
IECC 5
P-way cabin 1471
Relay room 1304
Signal Box 1033
Signal Centre 22
Substation 556
Switch Room 50
Track Paralleling Hut 295
Track Section Cabin 127
Other Unoccupied Lineside 1192
Other Occupied Lineside 145
Maintenance Delivery Units (MDUs) and National Delivery Service (NDS)

depots
MDU buildings and NDS depots provide the accommodation for our maintenance
teams and people working at the depots. These include a diverse range of
facilities in type, size and condition, according to the work carried out from each
location. The provision of appropriate conditions for our people is an important
requirement for the continuing development of the in-house maintenance
Page 245 of 470

capability and the efficient delivery of essential maintenance and renewal

supplies.
3. Asset Policy Statements
Network Rail’s existing policy which it has employed through CP2 and CP3 was
issued in 2000 and aims to maintain each asset in the condition required for safe
and efficient operational use, at the most affordable cost.
Whilst the high level aim is absolutely correct the policy mechanisms haven’t been
flexible enough to meet the differing requirements of each of the asset portfolio
types as well as they might. The existing policy uses a prioritisation system that is
a fairly standard set of property portfolio priorities but not designed specifically for
the stations portfolio and lacks the sensitivity to properly differentiate asset
management and business priorities.
As part of our Asset Policy Development Programme we have developed the
following suite of policies which aims to enable a non-deteriorating asset condition
at portfolio level and features differential policy approaches by type of element
and category:-
• Policy A – asset management encompassing the renewal of complete
assets which deliver greater functionality and business value
• Policy B – asset management maintaining current levels of
functionality and business value
• Policy C – asset management representing the minimum level of
intervention to efficiently maintain health and safety and operability in
the short-term.
The following tables set out a more detailed understanding of the policies:
Policy A Where renewal of complete assets such as platforms, roofs and buildings
are planned, then renewals which deliver greater functionality and business
value are to be the default.
Where Policy A applies to the renewal of a complete asset, i.e. Platform,
Roof or Building, careful evaluation and planning of intervention to optimise
the value of renewal in terms of both (i) most economic lifetime plan for
each asset and (ii) greater functionality and business value.
For example if a platform is to be renewed in its entirety then a like for like
renewal is not encouraged as the renewal should take into account future
requirements, i.e. length of trains, new platform design, layout and
regauging. Other drivers such as business enhancements shall be
considered e.g. platform lengthening
Policy B Policy B is decision-making in line with property industry ‘best practice’ for
asset management. Interventions on an asset are to be timed to optimum
effect and are carried out on a comprehensive basis to maximise longevity
of individual assets – triggered by optimum asset life
Policy B is designed to keep the assets at current levels of functionality but
would not be expected to address the longer term strategic vision issues.
Policy C Policy C is asset stewardship decision-making in line with minimum
acceptable level of Maintenance and Renewal, to efficiently maintain safe
and efficient operational use.
The aim is to undertake work on a restrictive basis to keep expenditure to
lowest possible level, whilst maintaining compliance with statutory,
contractual, health and safety (H&S) and duty of care responsibilities.
Page 246 of 470

The application of the above policies in terms of the maintenance and

renewal activities will be in accordance with the following general asset
policy statements:
Figure 4 Policy Statements for Operational Property

Number Policy
Ops Prop-1 Each operational property asset shall be identified as being managed
Ops Prop-2 Examination of operational property assets shall be carried out at regular
intervals, selected to achieve the optimum balance between cost and risk,
and the condition of each asset inspected shall be recorded
Ops Prop-3 Examination results shall be used to develop a bespoke plan for each
Ops Prop-4 The selection of the maintenance work to be carried out shall take into
consideration:
• asset condition
requirements
Ops Prop-5 Replacement work shall take into account the same considerations as
listed under Ops Prop-4
Ops Prop-6 The condition of each station and light maintenance depot shall be
assessed and given a numerical condition rating.
Ops Prop-7 New, substantially altered or replacement stations that are not subject to
Listed Building status shall adopt a modular approach to the design, detail
procurement and implementation of station elements.
The above policies will enable optimised asset management. It will facilitate
effective maintenance and renewal activity from a long term cost perspective and
sensitivity to passenger usage and commercial importance.
The optimal application of these polices to individual assets has been determined,
based upon consideration of asset characteristics and the criticality of those
assets to broader business objectives. For example:
• for stations we have six categories, category A are network hubs (e.g.
Paddington) whilst category F are small unmanned stations. The
assets on a category A station would be maintained to a mixture of
policy A and B: for category F stations the maintenance regime would
be predominately policy C;
• LMDs would predominately be maintained to policy B, reflecting their
importance to the delivery of reliable train services;
• lineside buildings classed as critical (e.g. IECCs, relays rooms) would
be managed to a mixture of policy A and B with others predominately
managed to policy C; and
• MDU and NDS depots would generally managed to policy B, with
policy C applied on a by exception basis.
These are summarised in the matrices below;
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Figure 5 Policy Application for Station Category

Station Category
Asset Type A B C D E F
Figure 6 Policy Application for Depot category

Depot Category
Asset Type A B C D
Roof & roof drainage A B B C
Electrical circuits B B B B
Car parks, roads B B B C
Facilities & accommodation A B B C
Figure 7 Policy Application for Lineside Buildings

Type of Lineside Building
Component
Crossing hut/cabin
Track Paralleling
Handsignalman
Ground Frame
Track Section
P-way cabin
Relay room
Substation
Signal Box
Fog Hut
IECC
Roof & roof drainage C C A C A A A A B C C
Electrical circuits A A A C A A A A B C C
Car parks, roads C C C C B B B B B C C
Facilities & accommodation C C C C B B B B B C C
As the implementation of these policies would represent a relatively large

increase in activity levels on our operational property portfolio, the immediate
transfer to these regimes at the commencement of CP4 would be difficult to
deliver and is likely result in a short term increase in the unit cost of this work. As
a consequence, we intend to phase in these regimes over the next control period,
enabling us to ensure the work is delivered at an efficient cost with minimal
unnecessary disruption.
Page 248 of 470

Civils (Operational Property) policy justification
Document control
File name
Location
Status Issue 1
Author Civil Engineering team
Name Signature Date
Jerry England
Director, Civil
Engineering
Gareth Jenkins
Head of Business
Engineering
Andrew
McNaughton
Chief Engineer
Page 249 of 470

1 General
1.1 Introduction
The operational property policy sets out the inspection, maintenance and renewal
policy statements that are in place to deliver the required network and route
outputs. Operational property assets are designed, constructed, inspected,
maintained and replaced in accordance with the policy.
underpin these policy decisions, in particular, to provide quantitative evidence to
support the principal cost drivers. Issues addressed include:
• an assessment of the risk to business outputs as a result of asset degradation

or failure
• the determination of the optimum balance between inspection, maintenance
and renewal
• an assessment of the long-term implications of this policy (in terms of impact
on business outputs and cost)
1.2 Policy Statements
As part of our Asset Policy Development Programme we have developed the

following suite of policies which aims to enable a non-deteriorating asset condition
at portfolio level and features differential policy approaches by type of element
and category:-
• Policy A – asset management encompassing the renewal of complete assets

which deliver greater functionality and business value
• Policy B – asset management maintaining current levels of functionality and
business value
• Policy C – asset management representing the minimum level of intervention
to efficiently maintain health and safety and operability in the short-term.
The following tables set out a more detailed understanding of the policies:
Figure 1 Understanding of Policies,

Policy A Where renewal of complete assets such as platforms, roofs and buildings
are planned, then renewals which deliver greater functionality and business
value are to be the default.
Where Policy A applies to the renewal of a complete asset, i.e. Platform,

Roof or Building, careful evaluation and planning of intervention to optimise
the value of renewal in terms of both (i) most economic lifetime plan for
each asset and (ii) greater functionality and business value.
For example if a platform is to be renewed in its entirety then a like for like
renewal is not encouraged as the renewal should take into account future
requirements, i.e. length of trains, new platform design, layout and
regauging. Other drivers such as business enhancements shall be
considered e.g. platform lengthening
Page 250 of 470

Policy B Policy B is decision-making in line with property industry ‘best practice’ for
asset management. Interventions on an asset are to be timed to optimum
effect and are carried out on a comprehensive basis to maximise longevity
of individual assets – triggered by optimum asset life
Policy B is designed to keep the assets at current levels of functionality but

would not be expected to address the longer term strategic vision issues.
Policy C Policy C is asset stewardship decision-making in line with minimum
acceptable level of Maintenance and Renewal, to efficiently maintain safe
and efficient operational use.
The aim is to undertake work on a restrictive basis to keep expenditure to

lowest possible level, whilst maintaining compliance with statutory,
contractual, health and safety (H&S) and duty of care responsibilities.
The application of the above policies in terms of the maintenance and renewal
activities will be in accordance with the following general asset policy statements:
Figure 2 Policies for Operational Property

Ops Prop-1 Each operational property asset shall be identified as being managed
Ops Prop-2 Examination of operational property assets shall be carried out at regular
intervals, selected to achieve the optimum balance between cost and
risk, and the condition of each asset inspected shall be recorded
Ops Prop-3 Examination results shall be used to develop a bespoke plan for each
Ops Prop-4 The selection of the maintenance work to be carried out shall take into
consideration:
• asset condition
requirements
Ops Prop-5 Replacement work shall take into account the same considerations as
listed under Ops Prop-4
Ops Prop-6 The condition of each station and light maintenance depot shall be
assessed and given a numerical condition rating.
Ops Prop-7 New, substantially altered or replacement stations that are not subject to
Listed Building status shall adopt a modular approach to the design,
detail procurement and implementation of station elements.
The optimal application of these polices to individual assets has been determined,
based upon consideration of asset characteristics and the criticality of those
assets to broader business objectives. For example:
• for stations we have six categories, category A are network hubs (e.g.
Paddington) whilst category F are small unmanned stations. The assets on a
category A station would be maintained to a mixture of policy A and B: for
category F stations the maintenance regime would be predominately policy C;
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• LMDs would predominately be maintained to policy B, reflecting their

importance to the delivery of reliable train services;
• lineside buildings classed as critical (e.g. IECCs, relays rooms) would be
managed to a mixture of policy A and B with others predominately managed to
policy C; and
• MDU and NDS depots would generally managed to policy B, with policy C
applied on a by exception basis.
The longer term Operational Property asset management approach is aimed at

enabling Network Rail to deliver the challenges set out in the Department of
Transports, “Delivering a Sustainable Railway”. Some of the key areas of
development work that will be undertaken during the remainder of CP3 and
continue into CP4 include:
• Work in partnership with key stakeholders across the company and externally
to ensure their business requirements are met in future policy development
• Continue policy development work under our Asset Policy Development
Programme – this will feature the exploration of opportunities to optimise asset
management of operational property across the industry and to develop more
cost effective and appropriate solutions for the future
• Undertake research into the application of differential policy application across
operational property assets to improve understanding of asset performance
and asset degradation
• Benchmarking Network Rail policy and practice against property industry and
railway industry policy and practice both in the UK and elsewhere
• Undertake further development of standardisation and modularisation and the
part they should play in both maintenance and renewals and enhancement
activity. This will extend to the standardisation of designs, the standardisation
of components, fixtures & fittings and to modular components, buildings and
structures across the portfolio approaches by type of element and category.
1.3 Brief Description of the Purpose of Operational Property

• Non Franchised stations

• Franchised stations
• Light Maintenance Depots (LMDs)
• Lineside buildings (Critical and non-critical / manned and unmanned)
• Maintenance Delivery Units (MDUs) and National Delivery Service (NDS)
depots
Appendix A gives a brief summary of the each of the property types.
The portfolio represents one of the largest and most complex in the United
Kingdom not simply in terms of size, functionality and constructional complexity
but also in terms of the operational and commercial environment. The nature of
assets at stations is diverse and their management requires an approach that is
sensitive to that diversity. Some assets, such as Mechanical & Electrical
equipment, are such that condition degradation leads to a point of complete
operational failure – others, such as platform surfaces and car parks are
Page 252 of 470
physically more robust and less sensitive to operational failure through

degradation. Stations themselves vary in age, constructional complexity and
patronage; all these features inform our approach to M&R policy.
1.4 Policy Research
To support Network Rail’s cost submission, the following external research has
been undertaken with:
• Building Research Establishment (BRE). They have informed our
understanding of asset degradation and the intervention regimes to enable
optimised asset management. The scope of the remit was NR’s key cost
driver assets at franchised stations i.e. platforms, roofs and roof drainage and
footbridges
• Franklin & Andrews (F&A). They have provided unit cost information based on
market rates.
The finding from the work is summarised in this report under the relevant section.
These are discussed in more detail in the relevant section but as a brief outline
are as follows:
• The failure of station assets can cause train delays, passenger delays and
inconvenience and could ultimately create a risk to the safety of
passengers.
• Failure of depot assets can cause operational delays by impacting on train

movements, depot staff work patterns can be disrupted and personnel
inconvenienced and safety issues come to the fore.
• Failure of lineside buildings can cause staff inconvenience which in

extreme cases can lead to staff management issues and operational
problems in the form of train delays, as failing assets such as roofs can
impact on critical equipment
• Increased time spent managing the potential risk of enforcement orders

and prosecution from legislative bodies, or placing our customers “at risk”
where works arising from cyclical inspections remain undone.
1.6 Risk management

We manage the risk of failure by maintaining each asset in the condition required
for safe and efficient operational use, at the most affordable cost, which requires
• An inspection and maintenance regime that is based on safety, commercial

risk, anticipated failure modes and identification of work needed so that, as
far as possible, it can be completed in a planned way.
• A replacement regime which uses a set of condition based replacement

criteria, derived from experience, which enables us to balance the cost of
renewal with the loss of output as a result of the failure
If necessary the frequency of the inspection and examination regime to individual

assets can be increased if circumstances warrant it. One example would be
Page 253 of 470
where the emerging rates of deterioration of a defect is such that failure of a

building element is likely before the next examination would normally take place.
The maintenance response to the results of the inspection and examination

process is varied according to the policy determined for the individual asset.
All inspection and maintenance work is based on maintaining current levels of
functionality and business value.
1.6.1 Inspection and Maintenance criteria and type
The key elements of the inspection and maintenance regime are:

• inspections to identify any immediate or short term actions required
• inspections by supervisors to review condition, trends, proposals for
renewal work, and check the quality and effectiveness of inspection,
maintenance and renewal regimes
• inspection driven maintenance to address issues resulting from asset
inspection
• fixed interval (preventive) maintenance regimes to address monitored and
• the definition of criteria that identify when the asset should be repaired or
replaced
As the assets and their circumstances vary the maintenance proposed is tailored
to provide the most cost-effective response. The maintenance planned will take
account of
• asset condition
• the life cycle cost of each viable alternative (including cost of possessions
and track outages)
requirements.

Operational Property assets may need to be replaced because either they are no
longer capable of meeting the demands placed on them or because they are no
longer economic to keep in service. The majority are replaced due to their
condition, as identified during inspection, fixed interval maintenance, inspection
driven maintenance and initiated via the Property Action Line (PAL).
If during inspection, fixed interval and inspection driven maintenance a higher
than normal level of overhaul is needed to restore the asset to satisfactory
condition then replacement shall be considered.
Generally we aim to identify assets as needing replacement sufficiently early to
plan their efficient replacement and make the arrangements for any possessions
needed before their performance or condition has degraded to an unacceptable
level.
Where replacement of any asset is necessary this is selected on the basis of:
• asset condition
Page 254 of 470
• the life cycle cost of each viable alternative (including cost of possessions
and track outages)
requirements.
1.7 Critical assets

position where all key aspects of our management regimes are fact-based (i.e.
based upon quantitative supporting evidence and subject to rigorous analysis).
As this represents an extensive exercise we have prioritised our actions based
upon CP4 expenditure forecasts and the safety or performance impact of
premature asset failure. For Operational Property these “critical assets” cover
platforms, footbridges and roofs and roof drainage.
Figure 3 Critical Assets

Asset Activity
Inspection
Platforms (Managed and
Fixed Interval Maintenance
Franchised)
Renewals
Inspection
Roofs and Drainage (Managed and
Franchised)
Renewals
Footbridges (Franchised) Inspection
Renewals
2 Franchised Stations
The inspection, maintenance and renewal policy statements for franchised
stations are the same as the general policy statements for operational property.
2.2 Brief Description of the Purpose of Franchised Stations
There are approximately 2,500 franchised stations which serve the key
passenger/train interface across the network. These are leased to train operating
companies. Network Rail retains obligations as landlord for the maintenance and
renewal to these assets under the Station Access Conditions. These stations
range from major stations of the same scale and complexity as the non-franchised
stations to small rural halts.
2.3 Asset Types and Population Details

The stations are divided into six categories from A to F, detailed in Appendix A
Figure 4 Quantity of Franchised Station by Category

Station Category Quantity Example
A – National Hub 10 London Marylebone, Crewe
B – Regional Hub 68 Brighton, Carlisle
Page 255 of 470
C – Important Feeder 255 Dartford, Chester

D – Medium, staffed 313 St Albans, Gourock
E – Small, staffed 655 Hackney Central, Easterhouse
F – Small, unstaffed 1192 Kilmarnock, Liverpool James St
The recommended Policy application for franchised stations is
Figure 5 Recommended Policy application for Franchised Stations

Station Category
Asset Type A B C D E F
The approach behind this is to concentrate expenditure at those assets that

receive more usage. Each category A station (not including non-franchised
stations) on average carries over 6 million passengers a year whereas each
category F station on average carries around 60 thousand passengers. The
above matrix allows tailoring of the policy approach to suit business need of each
asset type.
2.4 Degradation, Failure Modes and Consequential Risks
Figure 6 Business risk for Franchised Stations

Asset Occurrence Degradation Impact Predictability Possible
rate
Platforms Regular General wear Damage to Medium Patch
and tear platform repair
caused by surfaces
passenger use
of station
Exposure to Damage to Medium Patch
weather platform repair
including surfaces
driving rain
Occasional Train related, Accelerated Low Cleaning
i.e. brake dust, wear and surfaces
de-icing fluids, tear
traction sand,
vibration
Rare Geological Damage to Low Repair
conditions building building
structure structure
and rectify
underlying
issue
Roofs and Regular Exposure to Damage to Low Patch
Roof weather equipment repair
Drainage including and
driving rain discomfort to
passengers
Occasional Train related, Accelerated Low Cleaning
Page 256 of 470


rate
vibration tear
Footbridg Regular General wear Damage to Medium Patch
e and tear floor repair
caused by surfaces
passenger use
of station
weather footbridge repair
including
driving rain
Train related, Accelerated Low Clean
de-icing fluids, tear
vibration
Vandalism Damage to Low Repair to
all assets footbridge
conditions structure footbridge
structure
and rectify
underlying
issue
Lifts and Regular General wear Damage to Medium Routine
escalators and tear equipment maintenan
caused by ce
passenger use
of station
Rare Vandalism Damage to Low Repair
all assets
Electrical Regular Environment-al Shorting Low Repair
factors i.e.
temperature
Car parks Regular General wear Damage to Medium Patch
and and tear surfaces repair
access caused by
roads passenger use
Exposure to Discomfort Medium Patch
weather to repair
including passengers
driving rain
Surface water Damage to Medium Drain
run off surfaces clearance
Rare Geological Damage to Low Remediate
conditions surface repair
Facilities Regular General wear Damage to Medium Patch
and and tear cause floor repair
accommo by passenger surfaces
-dation use of station
Vandalism Damage to Low Repair
all assets
2.5 Managing Degradation Risk
Page 257 of 470

Degradation to elements that make up franchised stations is defined as being of

medium and low predictability. Reactive items of work are captured through both
the Property Action Line and routine inspections. The Property Action Line is used
by TOCs to notify Network Rail of defects that need rectification. Our routine
inspections identify defects which will be prioritised as part of the workbank,
depending on the severity of the risk. As we improve our understanding of our
portfolio, the longer term expectation will be an increase in the proportion of fixed
interval maintenance whilst reactive maintenance reduces. This is consistent with
recommendation from BRE.
Most of our key cost driving assets are structurally robust and in most instances
will exceed its theoretical asset life by continuing maintenance and repair.
Therefore, replacement of whole assets will only be considered when continued
maintenance becomes un-economic or when it is part of an overall scheme
development which delivers broader business and industry benefits. Component
level renewals will be on risk based prioritisation of workbanks.
2.5.2 Inspection
Our inspection regime for franchised stations is shown below
Figure 7 Inspection regime for Franchised Stations

Asset Activity
Platforms Visual inspection every year
Operational Property inspection every five years
Structural examination every six years
Structural assessment every eighteen years
Roofs and drainage Visual inspection every year
Footbridge Visual inspection every year
Car parks and access road Visual inspection every year
Facilities and accommodation Visual inspection every year
Electrical Annual visual inspection on circuitry
Annual inspection for fire alarms, emergency lighting etc.
Three yearly inspection of electrical systems to lifts
Inspection and testing regime every five years
Lifts and escalators Six monthly ‘fit for purpose’ check
Annual Inspection on safety devices
Five yearly inspection of drives and safety gear
Ten yearly inspection/load test
The above inspection frequencies follow property management best practice in

preventing significant defects remaining undetected, prior to the occurrence of
failure and have been codified into our current suite of standards or, as in the
case of electrical testing, statute.
The Visual Inspections are carried out every twelve months to verify that there are
no significant changes to the assets occurring. Costs vary from around £400 for a
category F station (one platform no buildings) to circa £2,600 for a category A
Page 258 of 470

station (over 10 platforms). Best practice studies into the understanding of defect
growth show that a more frequent inspection than annual is not considered cost
effective for built assets. However, consideration of the work arising from these
inspections has led us to the view that extending this inspection frequency beyond
annual is inappropriate because:
• Rate of defect growth is such that a trip hazard may reach an

unacceptable level if the inspection interval was increased;
• the cost of repair would increase significantly if a defect was left
unattended for, as an example, up to 2 years if inspections were biennial;
• the downstream liability of not catching and repairing a defect in time can
be large, for example not fixing leaking roofs can lead to damage to the
building structure and equipment within the building.
• Possible reputational impact with customers and passengers if defects
were allowed to develop over an extended period
• If faults are left too long and result in failure or loss of functionality the
mechanisms under the Station Access Conditions would permit the TOCS
to claim under the abatement regime or to utilise self help remedies.
The Operational Property Inspections are carried out every five years in line with
building maintenance best practice. This inspection is a full inspection of the
building fabric.
The Structural examinations are a detailed tactile examination carried out on each
structural element of the asset at six year intervals
The Structural assessments are a desktop exercise carried out every eighteen
years to ensure that large structural assets such as train shed roofs are still fit for
purpose.
Outputs from the surveys are studied to ensure that we have the correct
frequency of inspection. Studies will be carried out into merging the Operational
Property Inspections and the Structures Examination contract to develop
synergies. Preliminary work needs to be carried out to ensure that merging the
two inspection streams is feasible in terms of competence and risk management.
The Structures assessment regime will also be reviewed to confirm optimal levels
of activity to manage risks.
2.5.3 Inspection Led Maintenance
The inspection reports will identify defects which will be prioritised as part of the
workbank, depending on the severity of the risk.
In the future and where appropriate inspection led reactive maintenance will be
minimised in preference to fixed interval maintenance. Annual visual inspections
will identify defects over and above reactive works initiated through the Property
Action Line which will be prioritised as part of the workbank.
Page 259 of 470

Figure 8 Typical Inspection led maintenance activities for Franchised

Stations
Asset Activity
Platforms Replacement of Repair to loose coping stones
coping stones
Wall Repointing Repointing small areas
Removal of Reinstatement of surface
tripping hazards
Roofs and Roof repair Small patch repair to roof covering
Drainage
Footbridges Stair repairs Repair to nosings
Decking repairs Reinstatement of surface to remove tripping
hazards
Lifts & Repairs Replacement of damaged panels
escalators
Electrical Lighting repair Replacement of luminaires
Car Parks Removal of Reinstatement of surface
tripping hazards
Facilities & Wall repair Small patch repair to internal walls
accommodation Wall Repointing Repointing small areas
The typical cost of small reactive type activities ranges from around £100 –
£2,000. The activities range in complexity from small patch repairs in a dry
internal environment to having to work within possession regimes.
Removal of tripping hazards, depending on the surface, location and size, ranges
from approx. £250 for 2m² on a platform to £2,000 for £25m² on a car park . The
difference in unit rate illustrates the different safety regimes and access
availability between working on the railway and in a ‘high street environment’.
The costs of repairing roofs can range from around £600 for repairing 4m² of a
tiled or slated roof to £2,000 for repairing a similar area of a glazed train shed
roof.
2.5.4 Fixed Interval Maintenance
Figure 9 Typical Fixed Interval maintenance for Franchised Stations

Asset Activity Description Frequency
Platforms Structural Repair activities such as Once every 15 years
repair re-bolting, re-nailing and
replacing rubber bearings
to suspended platforms
Roofs and Gutter and Removal of any potential Annual
Drainage drainage blockages from gutters
clearance and down pipes
Painting Painting to timber fascias Once every 10 years
and steel or iron support
Footbridges Painting Painting structural Once every 15 years
element of footbridges
Painting Painting to decking Once every 10 years
Lifts & Maintenance General maintenance Annual
Escalators
Electrical There are no fixed interval maintenance activities for electrical items
Car Parks Gutter and Gulley rodding to clear Annual
drainage blockages
Page 260 of 470


clearance
Facilities & There are no fixed interval maintenance activities for facilities and
accommodation accommodation undertaken by Network Rail
The fixed interval defined maintenance is based on optimal building maintenance
best practice, the intervention schedules have been reviewed and supported by
the Building Research Establishment.
Typical cost of a new footbridge is circa £700,000 with an expected life of 60

years if no life extension work is carried out. Painting costs are typically £35,000
and if carried out every 10/15 years enable us to achieve an extended asset life
Gutter and drainage costs are typically £20,000 per annum for a type A station to
£2,000 per annum for a type F station. Invariably these activities rectify problems
that if left unchecked could result in expensive damage and reputational
problems.
Repointing, resealing of movement joints, repairing defective covering, removal of

tripping hazards and other general maintenance activities typically cost £25,000
per annum for a type A station to £3,000 per annum for a type F station. As with
the roof maintenance these activities rectify problems that if left unchecked could
result in expensive structural damage and operational problems.
2.6 Replacement
2.6.1 Criteria
Complete replacement is considered as a last resort in most instances, with

maintenance generally being the most cost-effective and sustainable approach.
Replacement would be chosen for operational property assets only where the
policy applicable to the asset required it and it was cheaper, in whole life cost
terms, than the maintenance required to maintain the asset fit for safe and
efficient operational use.
For example when renewing a platform surface the decision would be taken on a
number of factors, the remaining life will be assessed as part of the annual visual
inspections, the number of repairs that has been carried out over the past few
years and accessibility will all be taken into consideration.
2.6.2 Replacement Specification
The replacement type will be a like for like replacement or modern equivalent form
unless an improvement in specification and design can support an industry best
practice service life (Policy B) but with less frequent maintenance interventions.
The company is creating a suite of design guides for platforms, footbridges,
canopies etc. that are pre-approved designs that demonstrate minimum whole life
cost.
Figure 10 Replacement Type for Franchised Stations

Asset Activity Specification
Platforms Resurfacing The material choice for surfacing is based on the
least whole life cost solution that would meet the
performance requirements of the asset and the
asset policy application
Wall renewal The material choice for wall renewal is based on
Page 261 of 470
the least whole life cost solution that would meet

the performance requirements of the asset and the
Entire renewal Modular platform system from the company design
guides where ever possible
Roofs and Train shed Bespoke design based on minimal whole life cost
Drainage refurbishment
Canopy renewal Canopy to be renewed to company design guide
recommendations
Roof renewal Bespoke design based on minimal whole life cost
Footbridges Renewal of Footbridge from the company design guide
complete asset
Stair replacement Footbridge element from the company design
guide
Lifts & Lift replacement Generic design based on minimal whole life cost
escalators
Electrical Electrical renewal Replacement system to meet current standards
Car Parks Car Park renewal Car park to be renewed to company design guide
recommendations
Facilities & External wall The material choice for wall renewal is based on
accommodation renewal the least whole life cost solution that would meet
2.7 Asset Performance Indicators
A Station Stewardship Index (SSM) has been developed and replaces the Station
Condition index (M17). The SSM is based on the following high level principles:
• Each asset listed is associated directly with Asset Stewardship, by

responsibility.
• It is aligned with the Station Code
• It is aligned with Operational Property Asset Policy
• Individual assets effectively weighted to reflect relative importance
• Individually stations effectively weighted to reflect relative importance.
The surveys are non intrusive and include the following assets where present at
each location, these are then aggregated to create a score for each location.
Figure 11 Inspected assets for Station Stewardship Measure

Element Example
1 Structures at/below ground level Subways
2 Structures (external) Retaining walls
3 Structures (internal) Internal load bearing walls
4 High level: roofs and canopies Roof and canopy supports
5 Ancillary items Cycle racking
6 Station surroundings Car parks
7 Access and control Lift installations
8 Railway infrastructure Driver only operated equipment
9 Services – utility supply Gas, water etc.
10 Services – lighting Lighting
11 Services – drainage, sanitation and Above ground water drainage
plumbing
12 Systems – building plant Electrical installations
13 Systems – electricity Fire fighting and alarm systems
14 Systems – customer services Telecoms
Page 262 of 470

The station stewardship measure will enable the monitoring of condition at asset
and element level.
By applying a mix of Policy A, Policy B and Policy C as shown in the table in

section 2.3 the work volumes (and therefore the expenditure levels) that result are
considered to be deliverable.

Forecasts are generally based on the assumption that, on average, assets of a
particular type will have an effective life of a given number of years. The average
life of each type of asset is based on research into industry best practice and
reviewed and supported by BRE.
Forecasts for inspection workload are based on the frequency of the inspections
we plan to carry out, which varies between the different types of asset, and
aligned with historic best practice as codified into company standards,
specifications, technical instructions and procedures.
Inspection and maintenance of each type of asset is covered in the appropriate
section.
Renewals are modelled on age according to figure 12 below, the actual
replacement criteria is based on condition. These assets renewal horizons are the
foundation of the model and are consistent with our general experience but there
maybe specific cases where there is deviation.
Figure 12 Replacement Period for Franchised Stations

Asset Activity Material Nominal
renewal
horizons
Platforms Resurfacing Tarmac Every 25 years
Wall renewal Brick or Block Every 100 years
Entire renewal Modular platform system Every 60 years
(suspended
platforms)
Roofs and Train shed Sheeted or glazed Every 100 years
Canopy renewal Sheet material Every 35 years
Tile or slate Every 70 years
Roof renewal Sheet material Every 35 years
Footbridges Renewal of Steel footbridge Every 60 years
complete asset
Stair replacement Steel staircases Every 60 years
Lifts & Lift replacement New lift Every 25 years
Escalators Escalator New escalator Every 25 years
replacement
Electrical Electrical renewal Rewire of asset Every 50 years
Car Parks Car Park renewal Tarmac surface and associated Every 30 years
drainage
Facilities & External wall Brickwork Every 80 years
accommodation renewal
Page 263 of 470

2.10 Longer- term Implications

Our intention is to maintain a non deteriorating state across the operational
property portfolio
Policy recommendations defined are supportive of a non-deteriorating condition
asset base at portfolio level but differential application by type of element and
station category facilitates effective M&R activity from (i) a long term cost
perspective and (ii) sensitivity to passenger usage and commercial importance.
2.11 Compliance with Network Rail Asset Management Policy

The policy for the management of franchised station assets complies with
2.12 References
• Asset deterioration profiling of key cost driving assets, 7 September 2007.
prepared by Building Research Establishment (BRE)
• NR maintenance Unit Cost Schedule Final Report & Narrative July 19 2007,
prepared by Franklin & Andrews
3 Non Franchised Stations

The inspection and maintenance and renewal policy statements for non-
franchised stations are the same as the general policy statements for operation
property
3.2 Brief Description of the Purpose of Managed Stations

The policy categorisation is the same as for category A franchised stations.
The population details are summarised in Appendix A
Figure 13 Business risk for Non franchised Stations

and key of defect or mitigatio
driver deterioration n
rate measures
Platforms Regular General Damage to Medium Patch
wear and platform repair
tear caused surfaces
Page 264 of 470

rate measures
by
passenger
use of
station
weather platform repair
including surfaces
driving rain
Occasional Train Accelerated Low Cleaning
related, i.e. wear and surfaces
brake dust, tear
de-icing
fluids,
traction
sand,
vibration
conditions building building
structure structure
and rectify
underlying
issue
passengers
brake dust, tear
vibration
Footbridges Regular General Damage to Medium Patch
wear and floor repair
tear caused surfaces
by
passenger
use of
station
weather footbridge repair
including
driving rain
Train Accelerated Low Clean
brake dust, tear
de-icing
fluids,
vibration
Vandalism Damage to Low Repair to
all assets footbridge
conditions structure footbridge
structure
and rectify
underlying
issue
Lifts and Regular General Damage to Medium Routine
Page 265 of 470

rate measures
escalators wear and equipment maintenan
tear caused ce
by
passenger
use of
station
Rare Vandalism Damage to Low Repair
all assets
Electrical Regular Environment Shorting Low Repair
-al factors
i.e.
temperature
Car parks Regular General Damage to Medium Patch
and access wear and surfaces repair
roads tear cause
by
passenger
use
Exposure to Discomfort Medium Patch
weather to repair
including passengers
driving rain
Surface Damage to Medium Drain
water run off surfaces clearance
Rare Geological Damage to Low Remediat
conditions surface e / repair
Facilities Regular General Damage to Medium Patch
and wear and floor repair
accommoda tear caused surfaces
tion by
passenger
use of
station
all assets
Degradation to elements that make up non-franchised stations is defined as being

of medium and low predictability. Reactive items of work are captured through
both the Property Action Line and routine inspections. The Property Action Line is
used by Station staff to notify defects that need rectification. Our routine
inspections identify defects which will be prioritised as part of the workbank,
depending on the severity of the risk. As we improve our understanding of our
portfolio, the longer term expectation will be an increase in the proportion of fixed
interval maintenance whilst reactive maintenance reduces. This is consistent with
recommendation from BRE.
Page 266 of 470


level renewals will be risk based prioritisation of workbanks.
3.5.2 Inspection
Figure 14 Inspection regime for Non-franchised Stations

Asset Activity
Platforms Visual inspection every year
Footbridge Visual inspection every year
Annual inspection for fire alarms, emergency lighting
etc.
Three yearly inspection of electrical systems to lifts
Lifts and escalators Six monthly ‘fit for purpose’ check
Annual Inspection on safety devices
Five yearly inspection of drives and safety gear
Ten yearly inspection/load test

no significant changes to the assets occurring. Best practice studies into the
understanding of defect growth show that a more frequent inspection than annual
is not considered cost effective for built assets. However, consideration of the
work arising from these inspections has led us to the view that extending this
inspection frequency beyond annual is inappropriate because:
• Possible reputational impact with customers and passengers if defects
mechanisms under the Station Access Conditions would permit the TOCS
to claim under the abatement regime or to utilise self help remedies.
Page 267 of 470

building fabric.
purpose.
In the future and where appropriate inspection led and reactive maintenance will
be minimised in preference to fixed interval maintenance. As we improve our
understanding of our portfolio, the longer term expectation will be to increase the
proportion of fixed interval maintenance activities. Annual visual inspections will
identify defects over and above reactive works initiated through the Property
Action Line which will be prioritised as part of the workbank.
Figure 15 Typical Inspection Led maintenance for Non-franchised

Stations
Asset Activity
Platforms Replacement of Repair to loose coping stones
coping stones
Wall Repointing Repointing small areas
Removal of Reinstatement of surface
tripping hazards
Drainage
Footbridges Stair repairs Repair to nosings
Decking repairs Reinstatement of surface to remove tripping
hazards
Lifts & Panel repair Repair to damaged panels
escalators
tripping hazards
Typical costs for inspection led maintenance of non franchised stations are given
in section 2.5.3
Page 268 of 470

Figure 16 Typical Fixed Interval maintenance for Non-franchised

Stations
Platforms Structural Repair activities such as Once every 15 years
repair re-bolting, re-nailing and
replacing rubber bearings
to suspended platforms
Painting Painting to timber fascia’s Once every 10 years
Footbridges Painting Painting structural Once every 15 years
element of footbridges
Painting Painting to decking Once every 10 years
Lifts & Maintenance General maintenance Annual
Escalators
drainage blockages
clearance
Facilities & Painting Painting internal surfaces Annual
accommodation Drainage Drainage clearance to Annual
clearance ensure blockages don’t
occur

best practice, the intervention schedules for critical assets have been reviewed
and supported by the Building Research Establishment. Application of the
regimes will be subject to the final ORR determination
Typical costs for fixed interval maintenance of non franchised stations are given in
section 2.5.4
3.6 Replacement
3.6.1 Criteria
For example when renewing a platform surface the decision would be taken on a
Page 269 of 470

cost.
Figure 17 Replacement Type for Non-franchised Stations

Platforms Resurfacing The material choice for surfacing is based on the
least whole life cost solution that would meet the
performance requirements of the asset and the
Wall renewal The material choice for wall renewal is based on
the least whole life cost solution that would meet
Entire renewal Modular platform system from the company design
guides where ever possible
Roofs and Train shed Bespoke design based on minimal whole life cost
Canopy renewal Canopy to be renewed to company design guide
recommendations
Footbridges Renewal of Footbridge from the company design guide
complete asset
Stair Footbridge element from the company design guide
replacement
Lifts & Lift replacement Generic design based on minimal whole life cost
escalators
Electrical Electrical Replacement system to meet current standards
renewal
recommendations

The non franchised stations are included in the Station Stewardship Measure as
detailed in section 2.7.
By applying a mix of Policy A and Policy B as shown in the table in section 2.3 the
work volumes (and therefore the spend levels) that result are considered to be
deliverable.

reviewed and supported by BRE.
Page 270 of 470

section
replacement criteria is based on condition. These assets renewal are the
Figure 18 Replacement Period for Non-franchised Stations

renewal
horizons
Platforms Resurfacing Tarmac Every 25 years
Wall renewal Brick or Block Every 100 years
Entire renewal Modular platform system Every 60 years
(suspended
platforms)
Roofs and Train shed Sheeted or glazed Every 100 years
Footbridges Renewal of Steel footbridge Every 60 years
complete asset
Stair replacement Steel staircases Every 60 years
Lifts & Lift replacement New lift Every 25 years
Escalators Escalator New escalator Every 25 years
replacement
drainage

property portfolio
asset base which facilitates effective M&R activity from (i) a long term cost
The policy for the management of non-franchised station assets complies with
3.12 References
These are the same as for franchised stations
Page 271 of 470

4 Light Maintenance Depots

The inspection and maintenance and renewal policy statements for light
maintenance depots are the same as the general policy statements for operation
property
4.2 Brief Description of the Purpose of Light Maintenance Depots
for the servicing, maintenance and repair of rail vehicles.
The recommended Policy application for Light Maintenance depots is
Figure 19 Recommended policy selection for Light Maintenance Depots

Asset Type Depot Category
A B C D
Roof & roof drainage A B B C
Electrical circuits B B B B
Car parks, roads B B B C
Facilities & accommodation A B B C
As with franchised stations the approach behind this is to concentrate expenditure

at those assets that have higher usage.
Figure 20 Business risk for Light Maintenance Depots

rate
driving rain discomfort
to
occupiers /
users
Occasional Train related, Accelerate Low Cleaning
i.e. brake dust, d wear and surfaces
vibration tear
Electrical Regular Environmental Shorting Low Repair
factors i.e.
temperature
Use of wrong Shortens Low Install
containment life correct
system containmen
t
Page 272 of 470

Poor Shortens Low Replace

monitoring of life coolant
HV coolant
Car parks Regular General wear Damage to Medium Patch
and and tear cause surfaces repair
access by occupants
roads Exposure to Discomfort Medium Patch
weather to repair
including occupiers /
driving rain users
Surface water Damage to Medium Drain
run off surfaces clearance
Rare Geological Damage to Low Remediatio
conditions surface n / repair
Facilities Regular General wear Damage to Medium Patch
and and tear cause floor repair
accommo by occupants surfaces
dation Vandalism Damage to Low Repair
all assets
Degradation to elements that make up light maintenance depots is defined as

being of medium and low predictability. Reactive items of work are captured
through both the Property Action Line and routine inspections. The Property
Action Line is used by Depot Facility Owners (DFO) to notify Network Rail of
defects that need rectification. Our routine inspections identify defects which will
be prioritised as part of the workbank, depending on the severity of the risk. As we
improve our understanding of our portfolio, the longer term expectation will be an
increase in the proportion of fixed interval maintenance whilst reactive
maintenance reduces.
level renewals will be risk based prioritisation of workbanks.
4.5.2 Inspection
Our inspection regime for Light maintenance depots is shown below
Figure 21 Inspection regime for Light Maintenance Depots

Asset Activity
Page 273 of 470


etc.

no significant changes to the assets occurring. Costs vary according to the size
and complexity of the depot, on average they are around £400 a depot. Best
practice studies into the understanding of defect growth show that a more
frequent inspection than annual is not considered cost effective for built assets.
However, consideration of the work arising from these inspections has led us to
the view that extending this inspection frequency beyond annual is inappropriate
because:
• Possible reputation impact with customers and occupants/users if defects
mechanisms under the Depot Access Conditions would permit the DFO to
claim under the abatement regime or to utilise self help remedies.
building fabric. The costs vary from around £15,000 for a category D depot to
£45,000 for a complex category A depot.
structural element of the asset at six year intervals, these cost, on average,
around £2,500 per depot.
years to ensure that large structural assets such as depot shed roofs are still fit for
purpose, these cost, on average, around £6,500 per depot.
synergies. Preliminary work will be carried out within CP3 to ensure that merging
the two inspection streams is feasible in terms of competence and risk
management.
Page 274 of 470

be minimised in preference to fixed interval maintenance. Annual visual
inspections will identify defects over and above reactive works initiated through
the Property Action Line which will be prioritised as part of the workbank.
Figure 22 Typical Inspection Led maintenance for Light Maintenance

depots
Asset Activity
Drainage
tripping hazards
The typical cost of small reactive type activities at Light Maintenance Depots
ranges from around £200 – £1,500. As with all Operational Property assets the
activities range in complexity from small patch repairs in a dry internal
environment to having to work within regimes that allow the building to carry out
its day to day function.
Repairs to individual lighting columns at LMDs are around £1,400. The repair
involves replacement of the column head and luminaires.
The costs of repairing roofs can range from around £560 for repairing 4m² of a
tiled or slated roof to £850 for repairing a similar area of sheeted depot roof. The
difference in price reflects the difference in materials and access requirements.
Figure 23 Typical Fixed Interval maintenance for Light Maintenance

Depots
drainage blockages
clearance
accommodation accommodation

Typical cost of a new category A depot shed roof is circa £4,500,000 with an
expected life of 100 years, if no life extension work is carried out. Annual
maintenance activities such as gutter and drainage clearance at approx. £1,000
Page 275 of 470

will rectify problems that if left unchecked could result in expensive damage and
reputational problems.
4.6 Replacement
4.6.1 Criteria

For example when renewing a building roof the decision would be taken on a
practice service life but with less frequent maintenance interventions. The
company is creating a suite of design guides for platforms, footbridges, canopies
etc. that are pre-approved designs that demonstrate minimum whole life cost.
Figure 24 Replacement Type for Light Maintenance Depots

Roofs and Depot shed Bespoke design based on minimal whole life cost
Electrical Electrical Replacement system to meet current standards
renewal
recommendations
As with the station condition measure, the purpose of the LMD condition index is
to provide an overall measure of condition of Network Rail’s LMDs. Currently, the
index assesses condition in two stages:
• each depot is assigned a condition rating of 1-5 based on a simple
average of condition scores for each of 11 individual assets - condition
rating 1 reflecting excellent condition;
• the national condition index is then calculated as a simple average of each
individual depot score.
Page 276 of 470

Element
1 Track
2 External Lighting
3 Shore Supplies
4 Fuelling
5 Carriage Washer
6 Wheel Lathe
7 Gantry Crane
8 Shed Doors
9 Internal Lighting
10 Superstructure
11 Facilities & Accommodation
The intention is to revise the LMD measure in the same way as the SCI with the
development of a LMD Stewardship Measure – it is envisaged this will be
undertaken in the next year for implementation in CP4. As with stations the
stewardship measure will enable the monitoring of condition at asset and element
level.

life of each type of asset is based on industry best practice.
section
Figure 25 Replacement Period for Light Maintenance Depots

renewal
horizons
Roofs and Depot shed Sheeted or glazed Every 100 years
drainage
Page 277 of 470
property portfolio
asset base at portfolio level but differential application by type of element and
station category facilitates effective M&R activity from (i) a long term cost
The policy for the management of light maintenance depot assets complies with
4.12 References
• NR maintenance Unit Cost Schedule Final Report & Narrative July 19
2007, prepared by Franklin & Andrews
5 Lineside Buildings
The inspection, maintenance and renewal policy statements for lineside buildings
are the same as the general policy statements for operation property
5.2 Brief Description of the Purpose of Lineside Buildings
critical.
• Critical lineside buildings are those that fulfil an operational function in
relation to railway in that they house equipment or personnel essential to
the operation of the railway. These assets include, amongst others,
integrated electrical control centres, relay rooms, signal boxes and
substations.
• Non-critical assets are those that indirectly support the operation of the
railway but still have an important role to play. These include assets such
as stores, P-way huts and cabins.
The recommended policy application for Lineside buildings is,
Page 278 of 470

Figure 26 Recommended Policy Selection for Lineside Buildings

Type
Crossing hut/cabin
Track Paralleling
Handsignalman
Lineside
Ground Frame
Track Section
Buildings
P-way cabin
Relay room
Substation
Signal Box
Fog Hut
IECC
Roof & roof C C A C A A A A B C C
drainage
Electrical A A A C A A A A B C C
circuits
Car parks, C C C C B B B B B C C
roads
Facilities & C C C C B B B B B C C
accommodation
The rationale behind this is to concentrate expenditure at those assets that are
more critical to the running of the network than others.
Figure 27 Business risk for Lineside Buildings

rate
Roofs Regular Exposure to Damage to Low Patch repair
and Roof weather equipment
occupiers /
users
brake dust, tear
vibration
al factors i.e.
temperature
Use of Shortens life Low Install
wrong correct
containment containment
system
Car parks Regular General Damage to Medium Patch repair
and wear and surfaces
access tear caused
roads by occupier
use
Exposure to Discomfort Medium Patch repair
weather to occupiers
Page 279 of 470

including / users
driving rain
Rare Geological Damage to Low Remediation
conditions surface / repair
Facilities Regular General Damage to Medium Patch repair
and wear and floor
accommo tear caused surfaces
dation by occupier
use
all assets
Degradation to elements that make up the lineside estate is defined as being of

medium and low predictability. Reactive items of work are captured through
inspections. Our routine inspections identify defects which will be prioritised as
part of the workbank, depending on the severity of the risk. As we improve our
understanding of our portfolio, the longer term expectation will be an increase in
the proportion of fixed interval maintenance whilst reactive maintenance reduces.
5.5.2 Inspection
Our inspection regime for lineside buildings is shown below
Figure 28 Inspection regime for Lineside Buildings

Asset Activity
etc.

Page 280 of 470

no significant changes to the assets occurring. Depending on the size of the asset
the costs vary between approximately £500 and £2,500. Rate of defect growth is
such that a trip hazard may reach an unacceptable level if the inspection interval
was increased and the cost of repair would increase significantly if a defect was
left unattended for, as an example, up to 2 years if inspections were biennial. The
downstream liability of not catching and repairing a defect in time can be large, for
example not fixing leaking roofs can lead to damage to the building structure and
equipment within the building.
building fabric.
years to ensure that large structural assets such as roofs are still fit for purpose.
Within the Lineside portfolio there are only a handful of locations where structural
assessments are required
identify defects which will be prioritised as part of the workbank.
Figure 29 Typical Inspection Led maintenance for Lineside Buildings

Asset Activity
Drainage
tripping hazards
The typical cost of small reactive type activities at Lineside Buildings ranges from
around £200 – £300. Due to the nature of the estate the majority of the activities
are small in nature.
Page 281 of 470

The cost of repairing roofs can range from around £200 - £300 for repairing 4m²
of a lineside building roof.
Figure 30 Typical Fixed Interval Maintenance for Lineside Buildings

drainage blockages
clearance
accommodation accommodation

The annual cost of clearing gutters and downpipes is approx. £250 per building.
5.6 Replacement
5.6.1 Criteria

cost.
Figure 31 Replacement Type for Lineside Buildings

Asset Activity
Roofs and Roof renewal Bespoke design based on minimal whole life cost
Drainage
recommendations
Page 282 of 470

There are no asset performance indicators for the Lineside portfolio. Once the
data has been captured in the Operational Property Inspections we will be able to
create an appropriate measure. This is programmed for CP4.


reviewed by BRE.
aligned with Company Standards, Specifications Technical Instructions and
Procedures
section
Figure 32 Replacement Periods for Lineside Buildings

Asset Activity Material Nominal renewal
horizons
Roofs and Roof renewal Tile or slate Every 35 years
Drainage Sheet material Every 70 years
Car Parks Car Park renewal Tarmac surface and Every 30 years
associated drainage
The intention of this policy is to maintain a non deteriorating state across the
operational property portfolio
Page 283 of 470

category facilitates effective M&R activity from (i) a long term cost perspective and
(ii) sensitivity to passenger usage and commercial importance.
The policy for the management of lineside buildings complies with Network Rail’s
5.12 References
• NR maintenance Unit Cost Schedule Final Report & Narrative July 19
2007, prepared by Franklin & Andrews
6 Maintenance Delivery Units (MDU) and National

Delivery Service (NDS) depots
The inspection, maintenance and renewal policy statements for MDU and NDS
depot buildings are the same as the general policy statements for operation
property
6.2 Brief Description of the Purpose of Maintenance Delivery Units

(MDU) and National Delivery Service (NDS) depots
The term Maintenance Delivery Unit (MDU) is a generic term applied to the
accommodation occupied by maintenance staff associated with the day-to-day
maintenance of all aspects of the operational Railway. They embrace a wide
variety of buildings ranging from temporary “portacabin” type buildings or groups
of buildings to very substantial structures similar in nature to Light Maintenance
Depots.
National Delivery Service (NDS) assets are limited to a number of sites where
materials required to renewals and maintenance activity are stored, usually in
significant quantities.

The portfolio includes a diverse range of facilities in type, size and condition,
according to the work carried out from each location. The provision of appropriate
conditions in which to accommodate Maintenance personnel has been an
important requirement for the continuing development of the in-house
maintenance capability and the efficient delivery of essential maintenance and
renewal supplies.
Appendix 1 contains asset information
Figure 33 Business risk for MDUs & NDS

rate
Page 284 of 470


rate
Roofs Regular Exposure to Damage to Low Patch repair
and Roof weather equipment
occupants or
users
brake dust, tear
vibration
al factors i.e.
temperature
Use of Shortens life Low Install
wrong correct
containment containment
system
Car parks Regular General Damage to Medium Patch repair
and wear and surfaces
access tear cause
roads by
occupants or
users use
Exposure to Discomfort Medium Patch repair
weather to occupants
including or users
driving rain
Rare Geological Damage to Low Remediation
conditions surface / Repair
Facilities Regular General Damage to Medium Patch repair
and wear and floor
accommo tear cause surfaces
dation by
occupants or
users use of
station
all assets
Degradation to elements that make up the MDU and NDS estate is defined as
being of medium and low predictability. Reactive items of work are captured
through inspections. Our routine inspections identify defects which will be
prioritised as part of the workbank, depending on the severity of the risk. As we
improve our understanding of our portfolio, the longer term expectation will be an
increase in the proportion of fixed interval maintenance whilst reactive
maintenance reduces.
Page 285 of 470

6.5.2 Inspection
Our inspection regime for MDUs and NDS is shown below
Figure 34 Inspection regime for MDUs and NDS

Asset Activity
etc.

no significant changes to the assets occurring. Rate of defect growth is such that
a trip hazard may reach an unacceptable level if the inspection interval was
increased and the cost of repair would increase significantly if a defect was left
unattended for, as an example, up to 2 years if inspections were biennial. The
downstream liability of not catching and repairing a defect in time can be large, for
example not fixing leaking roofs can lead to damage to the building structure and
equipment within the building.
building fabric.
purpose.
Page 286 of 470

identify defects which will be prioritised as part of the workbank.
Figure 35 Typical Inspection Led maintenance for MDUs and NDS

Asset Activity
Drainage
tripping hazards
Figure 36 Typical Fixed Interval maintenance for MDUs and NDS

drainage blockages
clearance

6.6 Replacement
6.6.1 Criteria
Page 287 of 470

For example when renewing a roof the decision would be taken on a number of
factors, the remaining life will be assessed as part of the annual visual
cost.
Figure 37 Replacement Type for MDUs and NDS

Asset Activity
Roofs and Roof renewal Bespoke design based on minimal whole life cost
Drainage
recommendations
There are no asset performance indicators for this portfolio. Once the data has
been captured in the Operational Property Inspections we will be able to create an
appropriate measure. This is programmed for CP4.
The policy application approach for this part of the portfolio aligns with the broader
estate.
Detailed location specific modelling is not practicable for this estate due to the
rationalisation programme.
life of each type of asset is based on research into industry best practice.
Procedures
section
Page 288 of 470

Figure 38 Replacement Criteria for MDUs and NDS

renewal
horizons
Roofs and Roof renewal Tile or slate Every 35 years
Drainage Sheet material Every 70 years
drainage
The intention of this policy is to maintain a non deteriorating state across the
operational property portfolio
category facilitates effective M&R activity from (i) a long term cost perspective and
(ii) sensitivity to passenger usage and commercial importance.
The policy for the management of MDU and NDS depots complies with Network
Rail’s asset management policy.
Page 289 of 470

APPENDIX A
Overview of Operational Property Asset Portfolio

• Franchised stations
There are approximately 2,500 franchised stations and these are leased to train
operating companies. Network Rail retains obligations as landlord for the
maintenance and renewal to these assets under the Station Access Conditions.
These stations range from major stations of the same scale and complexity as the
managed stations to small rural halts. The stations are divided into six categories
from A to F.
Station Station No Station Category Definitions

Category per category
type
A – National 10 These are the most important stations, providing
hub stations a gateway to the rail network from a significant
population centre and also acting as a very
important interchange location between different
long distance services and/or local services
B – Regional 68 Regional hub stations are usually large stations
hub stations providing a gateway to the network from a large
population centre, usually served by more than
one TOC with a mix of local, regional and long
distance train services. There is likely to be
significant interchange between services, some
of which may terminate at these stations.
C – 255 Important feeder stations may be served by more
important than one TOC, and are usually served by some
feeder long distance services.
stations
D – medium 313 Medium staffed stations are usually served by
staffed regional and local services
stations
E – small 655 Small staffed stations will usually only have one
staffed member of staff in attendance and may be
stations staffed for only part of the day.
F – small un- 1192 Small un-staffed stations are defined as being
staffed permanently un-staffed.
stations
• Non-franchised stations
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These stations in London are London Bridge, Waterloo, Victoria, Kings Cross,
Liverpool Street, Euston, Paddington, Fenchurch Street, Charing Cross and
Cannon Street whilst those outside London are Glasgow Central, Manchester
Piccadilly, Birmingham New Street, Edinburgh Waverley, Leeds City, Liverpool
Lime Street and Gatwick Airport
• Light Maintenance Depots (LMDs)

for the servicing, maintenance and repair of rail vehicles. They can be divided
into four distinct categories:
Type Function Facilities Small Medium Large
A Multifunctional/heavy Large overhead crane 1 6 28
engineering facilities, jacks, full
pitted roads, carriage
washing, fuel points,
(some with wheel lathe
facilities)
B Day to day Small overhead cranes, 3 3 4
component change jacks, some pitted
roads, carriage
washing
C Covered Covered berthing, 5 6 1
cleaning/minor watering, carriage
maintenance washing.
D Open Open berthing, 22 11 1
cleaning/berthing watering and some with
and watering carriage washing.
• Lineside buildings (Critical and non-critical / manned and

unmanned)
critical.
Critical lineside buildings are those that fulfil an operational function in relation to
railway in that they house equipment or personnel essential to the operation of the
railway. These assets include, amongst others, integrated electrical control
centres, relay rooms, signal boxes and substations.
Non-critical assets are those that indirectly support the operation of the railway
but may be very important never the less. These include assets such as stores,
P-way huts and cabins.
Lineside type Number

Crossing Hut/Cabin 599
IECC 5
P-way cabin 1471
Relay room 1304
Signal Box 1033
Signal Centre 22
Substation 556
Switch Room 50
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Track Paralleling Hut 295

Track Section Cabin 127
Other Unoccupied Lineside 1192
Other Occupied Lineside 145
• Maintenance Delivery Units (MDUs) and National Delivery Service

(NDS) depots
The term Maintenance Delivery Unit (MDU) is a generic term applied to the
accommodation occupied by maintenance staff associated with the day-to-day
maintenance of all aspects of the operational Railway. They embrace a wide
variety of buildings ranging from temporary “portacabin” type buildings or groups
of buildings to very substantial structures similar in nature to Light Maintenance
Depots.
Territory Number
London North East 69
London North West 110
Scotland 56
South Eastern 129
Western 76
National Delivery Service (NDS) assets are limited to a number of sites where
materials required to renewals and maintenance activity are stored, usually in
significant quantities.
They both include a diverse range of facilities in type, size and condition,
according to the work carried out from each location. The provision of appropriate
conditions in which to accommodate Maintenance personnel has been an
important requirement for the continuing development of the in-house
maintenance capability and the efficient delivery of essential maintenance and
renewal supplies.
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Part 9: Telecoms
Page 293 of 470

Telecoms policy
Document control
File name
Location
Status Issue 1
Author Telecoms Engineering Team
Name Signature Date
Steve Hailes
Head of Telecoms
Engineering
Gareth Jenkins
Head of Business
Engineering
Andrew
McNaughton
Chief Engineer

Network Rail 40 Melton Street, London NW1 2EE
Page 294 of 470

1 Introduction
1.1 This asset management policy for telecoms assets has been written to
demonstrate how these assets will be managed to meet the requirements
of Network Rail’s corporate objectives and the Network Rail asset
management policy.
1.2 There are no specific outputs with defined key performance indicators
identified for telecoms assets. However, they provide the communications
links between both people and equipment that are essential to the efficient
operation of the railway, and so good performance of telecoms assets
supports both the achievement of train performance and punctuality
targets and the achievement of cost efficiency targets.
1.3 Among the essential operational equipment supported are:

• lineside to signaller communication
• driver to signaller and control radio
• telephone concentrators
• driver only operation (DOO) CCTV
• level crossing telephone systems
• voice recorders
• cable and transmission systems
• customer information systems
1.4 Our Telecom policy supports the delivery of the defined capability (and
capacity) for each route. Where changes to the existing capability of the
network are required, we will need to have clarity on the availability of funding,
recognising that our renewals plans are prepared on the basis of maintaining
existing capability. Where a RUS or other strategic analysis has not yet been
completed for a route our plans will be targeted with maintaining the current
capability of the route together with any agreed amendments.
1.5 The renewal of Telecom assets provides a more limited opportunity to improve
overall route value than, say, the renewal of track or signalling assets. We will,
however, pursue opportunities to enhance the value of a route where
proposed asset renewal plans provide us with the opportunity to do so, in
particular by improving customer information and surveillance CCTV systems
where we are responsible for provision. The introduction of GSM-R may
provide the opportunities to work DOO (P).
Page 295 of 470

Stations
Fibre Optic Cable

Customer Information
Systems
Public Address Systems
NTP NTP
Clocks
Abbreviations
FTN Fixed Telecoms Network

Other systems GSM-R Global System for Mobile - Railway
GSM-R Mobile LDT Long Distance Terminal
Driver Only Operation CCTV Core Switching Centre
NTP Network Terminating Point
Level Crossing CCTV bearer PETS Public Emergency Telephone System
Operational Switched Network SCADA Supervisory Control And Data Acquisition
Telephony SSI Solid State Interlocking
Voice Recorders
FTN Core
Node
Signal box or signalling centre NTP NTP
Telecoms Engineering Control
FTN Access
Signaller's Node
Telephone Telephone NTP
Concentrator
NTP
GSM-R Node
In cab LDT
Radio system driver radio SSI
and Telephone
Cable Distribution Frame
Signal post
telephone
Level crossing
PETS systems
SCADA
Lineside Copper Cable
Sub-station
2.1 The telecoms network is shown schematically in the diagram above. It

comprises four main elements:
• bearer network
• radio networks
• fixed lineside systems
• station information and surveillance systems
2.14 There are some common factors that apply to all four of these elements.
Over the last few years there has been considerable consolidation and
realignment amongst both telecoms equipment suppliers and operators.
The dominant global trend within telecommunications is for migration of
traditional separate data and voice telecommunications networks towards
a single converged platform. Converged networks potentially offer
increased flexibility, reduced costs and improved performance for the
customer, but will result in shorter usable equipment lifecycles. Our
service providers are moving to full convergence using Internet
Protocol/Multi Protocol Label Switched (IP/MPLS) based service provision
within the next few years –BT is well underway with their initiatives in this
area.
As a result, to take advantage of the lower prices and improved
performance that new generations of equipment are making possible, we
have to adopted the convergence approach and accept the shorter
equipment lifecycles that go with it.
The convergence strategy now forms part of our long term transmission
and bearer network policy..
2.15 Bearer network

The bearer network comprises transmission systems, optical fibre cables,
main copper cables and cable route. It provides circuits and services for
signalling and electrification control systems, train radio systems, lineside
communications, level crossing CCTV and customer information systems.
It also provides for the needs of general Network Rail information
Page 296 of 470
management and business telephony. A major renewal of this network has

begun in CP3 and will be complete in CP4
2.16 Radio networks

We operate four radio networks (three analogue and one digital)
comprising base stations, antenna systems and control equipment. The
analogue systems support the National Radio Network (NRN), Cab
Secure Radio (CSR) and Radio Electronic Token Block (RETB). A new
digital radio network based on GSM mobile telephony technology (GSM-
R) is currently being rolled out and during CP4 the three analogue
systems will be decommissioned.
2.17 Fixed lineside systems

Fixed lineside systems include:
• telephone concentrator systems and telephones located on the
lineside and at signal posts to allow train drivers to contact
signallers
• telephone links from level crossings
• CCTV systems used for Driver Only Operation trains
• voice recordings for recording safety critical communications
2.18 Station information and surveillance systems (SISS)

SISS consist of customer information systems, public address systems
and clocks provided on station platforms and concourse areas as well as
CCTV systems provided to monitor public safety and capture video
images for security purposes.

The number or volume of assets in each category, and where appropriate
sub-categories, is given in the following table. The data used to compile
this table is currently being re-evaluated:
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Figure 1 Asset Populations

Large concentrators, greater PABX 142
than 32 lines Non-PABX 82
Small signal box Non-PABX 598
concentrators – up to 32
lines
Lineside telephones Central battery 23830
associated with Selective 2535
concentrators
Others 3306
Driver Only Operation CCTV 304 stations
Public level crossing Whiteley 348 level crossings
systems Hixon 7 level crossings
Voice recorders 471 sites
Operational PABX MD110 7
Electrification voice facilities 12 ECRs
Telecoms route and cables Cable route 13500 km
Cable – copper 14500 km
Cable - fibre 1000 km

Transmission – FTN Transmission 119 Core Nodes
1861 co-located GSM-

R / FTN sites
398 FTN Only access

sites
Cable (copper and fibre) Copper - 4000 km
Fibre – 14,000 km
Radio GSM-R (installed by start 2 Core Switches
of CP4)
1271 Base stations
NRN systems 21
ORN systems 21
CSR systems 51
RETB 4 systems
IVRS (using GSM-R currently 5 schemes
infrastructure)
Customer information Monitors, displays, CIS 4496
systems control racks, PC’s.
Public address systems Speakers, amplifiers, PA 26,219
control racks,
microphones, PC’s
Clocks Analogue 916
Digital
Heritage
Page 298 of 470

CCTV Cameras, monitors, 2161
VCR’s, multiplex
equipment
Misc Inductive loops, help 346
phones, security assets
Help Points Help Points 174
3 Policy Statements
Figure 2 Policy Statements for Telecoms Assets

Telecoms-1 Telecoms assets shall be inspected and maintained to ensure that
they deliver the required performance and functionality at lowest
whole life cost
Telecoms-2 Telecoms assets shall be replaced when necessary to ensure that
they deliver the required performance and capability at lowest
whole life cost. Assets shall be replaced when:
• the risk of failure has become unacceptable

• the equipment can no longer be maintained to deliver the
required performance and capability
• the equipment is obsolete
• continued maintenance (including support costs) would
cost more than replacement
Telecoms-3 Industry standard commercial off-the-shelf products shall be used

where appropriate
Telecoms-4 The future communications requirements of the relevant route
shall be taken into account in determining the most appropriate
replacement equipment
Telecoms-5 The bearer network and associated system performance shall,
where facilities exist, be monitored using a central network control
to ensure that maintenance and faulting responses meet the
performance required by the business
Telecoms-6 Renewals of the bearer network shall be designed to provide the
resilience and availability appropriate for business needs, taking
account of changes to the future capacity needs of each route
where these have been agreed.
Telecoms-7 New and refurbished cable routes shall be constructed of lowest
whole life cost materials and shall consider current and future
capacity requirements where cost effective
Telecoms-8 The proximity of transmission nodes and client system
requirements shall be taken into account when specifying cable
capacity and capability
Telecoms-9 Radio coverage and associated radio system performance shall
be monitored
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Telecoms-10 The extant NRN/ORN, CSR and RETB networks shall be

inspected, maintained and life extended to provide effective
service until they are able to be replaced by the national GSM-R
network.
Telecoms-11 A national GSM-R radio system shall be provided to replace the
existing legacy radio systems and shall provide secure
communication for drivers, signallers and trackside workers
Telecoms-12 Prior to full GSM-R deployment, emergency communications
schemes shall be provided where determined by risk assessment
as being necessary to complement axle counter schemes
Page 300 of 470

Telecoms policy justification
Document control
File name
Location
Status Issue 1
Author Telecoms Engineering Team
Name Signature Date
Steve Hailes
Head of Telecoms
Engineering
Gareth Jenkins
Head of Business
Engineering
Andrew
McNaughton
Chief Engineer

Page 301 of 470

1 Telecoms – General
The Network Rail asset management policy for telecoms assets sets out our
asset management policies for those assets. The purpose of this document is to
record the information and assumptions that underpin those policy decisions, in
particular, to provide quantitative evidence to support the principal cost drivers.
Policy statements
The policy statements in this section apply to all telecoms assets except where
specific exceptions are identified.
Figure 1 Telecoms – general policy statements

Telecoms-1 Telecoms assets shall be inspected and maintained to ensure that
they deliver the required performance and functionality at lowest
whole-life cost
Telecoms-2 Telecoms assets shall be replaced when necessary to ensure that they
deliver the required performance and capability at lowest whole-life
cost. Assets shall be replaced when:
• the risk of failure has become unacceptable

• the equipment can no longer be maintained to deliver the
required performance and capability
• the equipment is obsolete
• continued maintenance (including support costs) would cost
more than replacement
Telecoms-3 Industry standard commercial off-the-shelf products shall be used

where appropriate
Telecoms-4 The future communications requirements of the relevant route shall be
taken into account in determining the most appropriate replacement
equipment
1.1 Brief description of the purpose of the assets
Network Rail’s telecoms assets comprise of four main categories:
1.1.1 Bearer Network
The bearer network comprises cable route, optical fibre and copper
cables, and transmission systems. The bearer network provides circuits
and services for voice, data, signalling and electrification control systems,
train radio systems, lineside communications, level crossing CCTV and
customer information systems. It also provides for the needs of general
Network Rail information management and business telephony.
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1.1.2 Radio network
Network Rail operates four radio networks (three analogue and one digital)
comprising base stations, antenna systems and control equipment. The
analogue systems support the National Radio Network (NRN), which for
policy purposes is regarded as including the Overlay Radio Network
(ORN), Cab Secure Radio (CSR) and Radio Electronic Token Block
(RETB).
The new digital radio network is based on GSM mobile telephony
technology (GSM-R). An Interim Voice Radio System (IVRS) is in
operation in axle counter areas on the West Coast Main Line, Dorset
Coast, North Erewash, Coventry and Portsmouth signalling areas in
advance of full GSM-R deployment. The deployment of IVRS in these
areas is to mitigate the loss of functionality of the track circuit-operating
clip under emergency conditions.
The GSM-R system is Network Rail’s national railway radio system to
support secure voice and data communications over the whole railway
network. During 2007 and 2008, GSM-R will undergo an operational trial in
the Strathclyde area. At an appropriate time IVRS will be upgraded to the
same functionality as GSM-R.
1.1.3 Lineside systems

Operational voice communication is provided between signallers and
drivers using telephone concentrator systems and telephones located on
the lineside and at signal locations. Fixed lineside systems also include
the communications needs at level crossings and other operational critical
locations.
Network Rail also own and operate operational PABX telephone systems
to provide extension trunk dialling facilities for operational purposes.
Unlike the PABX’s deployed for general business purposes, these PABX’s
switch calls and voice traffic at critical locations such as Electrical Control
Rooms, Signal Boxes, Integrated Control Centres and Emergency
Platform Telephones.
Network Rail also provides voice and voice-recording facilities in
Integrated Control Centres, Electrical Control Rooms and the majority of
Signalling Control Centres and Signal Boxes to provide a record of all
safety critical voice communications.
Driver-Only-Operation (DOO) train services use Network Rail operational
cameras, monitors and mirrors located on station platforms.
1.1.4 SISS (Station Information & Surveillance Systems)

SISS, formerly known as Retail Telecoms, describes the asset family that
consists of customer information systems (CIS), public address (PA)
systems, station clocks and operational closed circuit television (CCTV)
systems for security and crowd control purposes.
This asset group is becoming more prominent as our stakeholders and
customers require more information within the station environment
coupled with the heightened security.
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1.2 Failure modes and risks (all asset types)

Modern telecommunications assets and systems are generally very reliable as a
consequence of in-built resilience. Whilst there are scenarios and instances
whereby these systems fail or degrade over time, the inherent resilience seldom
results in a loss of service. Typical causes of failure / degradation are:
• mechanical damage
• ageing components
• routine use
• the result of third party intervention
• vandalism
• exposure to dust and dirt
• corrosion and oxidation – in particular terminations, joints and external
cabinets
• gradual deterioration (which can be accelerated by environmental factors)
of components (hard drives, touch screens, handsets, etc)
In addition to the degradation scenarios listed above, Telecoms equipment has a
relatively short life cycle when compared to some other types of railway
infrastructure such as track. This obsolescence is driven by changes in
technology and industry trends. Typically, Telecoms technologies (hardware and
software) are supported by the manufacturer for around 10 years.
The degradation or failure of these telecommunications systems has the potential
to impact on the safety and performance of the railway network. Typically these
failures can result in:
• Failure of level crossing telephone systems increase the safety risk to
the public and can cause train delays due to the cautioning of trains.
• Failure of cable and transmission systems carrying signalling and
operational control circuits. This scenario often leads to severe
operational disruption including the potential to import risk on to the
network. Heavy delays impact both financially on Network Rail and
harm the reputation of the industry.
• Failure of Driver Only Operation (DOO) CCTV systems could increase
the risk to passenger safety and cause operational difficulties for train
operating companies.
• Failure of voice recorders in signal boxes and electrical control rooms
would prevent the recovery of operational voice communications
crucial to incident or accident inquiries. Whilst this does not impact
directly on the operational performance of the rail network, these
assets are critical to the safe systems and management processes
deployed across the industry.
Failure of SISS assets can result in severe disruption within the station
environment. Passengers rely on effective information displays and audible
announcements in order to make their journeys. SISS assets often form part of
the station emergency plans whereby PA announcements and on-screen
information provides a key element of crowd control. Other than SISS assets,
Telecoms assets are not differentiated by route as with other key parts of the
railway infrastructure. The Telecoms system is viewed as a ‘global system’
providing end-to-end connectivity and communications for operational and
business applications. There are systems and assets that have the ability to
cause more operational impact than others. In these instances, the maintenance
and reactive repair regime is enhanced to ensure that their availability is
maximised.
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1.3 Mitigation Regime (all asset types)

We manage the risk of failure and subsequent loss of system functionality by both
designing our telecoms networks to reduce the impact of isolated failures (e.g.
diverse routing) and by having maintenance regimes that are designed to keep
the assets in working order at lowest whole life cost. Telecoms systems within the
railway environment are designed to ensure that the critical applications that they
carry (signalling controls, electrical supervisory circuits, alarms and critical voice
applications); achieve very high levels of integrity and resilience.
Depending on the Telecoms assets being maintained, we monitor its condition by
either carrying out physical on-site inspections or monitoring its performance
remotely or a mixture of both. This combined approach enables Network Rail to
respond very quickly to service affecting failures whilst confirming the actual
condition of the assets at frequency based intervals.
There are some scenarios whereby regular planned maintenance activities are
inappropriate and a more tailored regime is required. Depending on the age,
condition and performance of the asset, Network Rail is required to invoke
alternative maintenance and support arrangements to ensure that the assets are
performing to their optimum level.
1.4 Type of inspection and maintenance (all asset types)

The maintenance response to the results of the inspection and examination
process varies according to the type of asset, but with the aim of delivering the
required performance at lowest whole life cost. Network Rail has successfully
developed a combination of frequency based inspection and maintenance
regimes coupled with processes to enable a more reactive approach to be taken.
1.5 Replacement criteria (all asset types)

The aim when deciding whether or not to replace telecoms equipment is to meet
the required functionality and performance requirements whilst maintaining lowest
lifecycle cost. Assets will therefore be replaced at the end of their economic
working life when one or more of the following criteria are reached:
• Unacceptable safety and/or operational risk associated with the
system / asset
• Unacceptable levels of faults and failures (beyond the normal MTBF /
failure trend for such assets) all of which result in operational
disruption and a reduction in performance
• Systems become obsolete or are deemed unsupportable by the
manufacturer. In addition, Network Rail cannot source sufficient spare
components from any recovery programme.
• Maintenance costs have become excessive compared to life cycle
costs of renewal.
• Third party support costs, particularly in relation to software support
increases above acceptable levels.
Our telecoms asset renewal policy is to replace life expired assets in modern
equivalent form to maintain the safety and performance of the network in a steady
state condition to support the operational and business needs of the railway.
Long-term planning of telecom asset renewals over a 10-year period is carried out
by the Territory Telecoms Engineers based on the expected life of the existing
assets. The first 3 years of the 10-year plan are continuously reviewed and
validated on a rolling basis.
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Prior to the introduction of the Decision Support Tool (DST), experience showed
that a review and validation process based purely on expert judgement did not
provide a consistent assessment of asset renewal decisions between asset types,
schemes or territory.
To improve the process, the DST for telecom asset renewals was developed
which provides a common approach nationally.
The DST uses a series of asset specific assessment questions developed
specifically for the tool e.g. asset and environmental conditions, maintainability
and impact to the business of failure. The output of these questions are then used
to assess the status of the telecoms asset and to determine if the initial renewal
date, based on the telecoms policy, is appropriate. The standardisation of the
renewals decision making process using the tool has also allowed the comparison
of the renewals across all the territories as the renewals assessment and
prioritisation can be compared between territories.
The DST has been trialled and embedded into the current renewals process and
has been validated against the current business planning process. The design of
the tool also provides an indication of the age of the assets and thus enables
planning of the asset inspections used to support the renewals process.
1.6 Replacement type (all asset types)

When assessing the most appropriate replacement types for telecomm assets,
three main options are considered:
• replace with modern equivalent
• replace like-for-like
• develop new product
The option selected is based upon minimum whole life costs.
1.7 Constraints and deliverability (all asset types)

Our submission is based on maintaining our assets using proven equipment.
However, the telecoms market is truly globalised and as a result, Network Rail
has little influence on the market. This policy has been constrained by the need, if
we wish to take advantage of the prices and performance available from using
commercial off-the-shelf equipment, to follow the direction of the global market.
Two principal areas will have an impact in the near future; firstly, the move
towards convergence around IP based technology and the reduction of
commercial lifecycles for telecoms equipment as they become more PC based.
As a result of this shift in technology, Network Rail has developed a technical
strategy designed to not only harness the capabilities of the new FTN
infrastructure but to enhance it (FTNe – see section 2) in order to deliver a wide
range of IP applications across the business.
Secondly, the demand for skilled telecoms labour for the BT 21st Century
Network programme and telecoms work associated with enhancement schemes
such as London 2012 will result in a skills shortage. This shortage will not only
lead to an increase in costs, it could have the potential to delay the roll-out of
these emerging strategies / policies. Notwithstanding these risks, we believe that
our policy is deliverable.
1.8 Planning assumptions (All Asset Types)

Planned renewal dates use asset lives based upon a combination of
manufacturers’ recommended lives and our capability to support the product.
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Network Rail Telecoms has developed a decision support tool (DST) that
combines planned renewal information and qualitative condition assessment data
in order to confirm whether or not an asset is at the end of its useful life and
efficiently plan its future renewal date. The DST is now playing a pivotal role in
developing accurate renewals plans based on ‘need’ rather than relying on
generic baseline assumptions.
Inspection and maintenance volumes are appropriate to the asset type and risk.
Our inspection forecasts are based on our current frequency of inspection and
maintenance. These frequencies are regularly reviewed by Engineering using
feedback from the Maintenance and Territory business units.
1.9 Asset Performance Indicators (All Asset Types)

Network Rail has developed a periodic report which covers the effect of telecoms
asset failures on the critical area of our business of train delay. This report takes
the raw data from TRUST (Train Running System TOPS) and is analysed from an
engineering perspective to correct any anomalies. The data is then further
analysed to determine overall delays incurred against the various telecoms
assets.
The failure of any telecoms assets which has had an impact on the safe operation
of the railway is captured and reviewed through the SRTF (Safety Related
Telecoms Failure) process. This process rates the severity of impact and includes
a separate review of the failure actions taken, its fundamental cause and any
lessons transferable to other similar assets on the network.
Repeat failures of assets are investigated within Infrastructure Maintenance.
Maintainability of our assets in terms of third level (manufacturers’ support) and
spares holding are reviewed between our Infrastructure Maintenance and
Telecoms Engineering teams and key outputs are fed into our renewal proposals.
This includes issues arising due to obsolescence. Maintenance Specifications are
also jointly reviewed by these teams.
1.10 Long term implications (All Asset Types)

These policies will generally maintain the performance and integrity of the
Telecoms infrastructure at current levels. As previously stated within this
document, the technology surrounding telecoms engineering is global in nature.
Network Rail cannot influence the speed nor the content of these changes.
New technology will mean shorter lifecycles and this will impact upon our renewal
cycles going forward into future control periods. It is inappropriate at this stage to
try and accurately model how these technology changes will impact on our
policies and indeed our funding submissions.
A number of developmental work-streams are being undertaken within Telecoms
Engineering in relation to new and emerging technologies. In particular, it is the
field of IP enabled telecommunications and converged networks that will have
most impact on Network Rails’ telecommunication infrastructure.
1.11 Compliance with Network Rail asset management policy (All

Asset Types)
The policy for the management of telecoms assets complies with Network Rail’s
asset management policy
1.12 Critical assets

position where, wherever possible, all key aspects of our telecoms asset
Page 307 of 470
management regimes are fact-based (i.e. based upon quantitative supporting

evidence and subject to rigorous analysis). As this represents an extensive
exercise we have prioritised our actions based upon CP4 expenditure forecasts
and the safety or performance impact of premature asset.
Whilst Network Rail’s Telecoms infrastructure provides a vital part of the
operational railway, for purposes of prioritising our actions for the CP4
submission, none have been classified as critical.
2 Bearer Network
Policy Statements
Our maintenance and replacement policies for the bearer network are the same
as our general telecoms policies with the following additions.
Figure 2 Maintenance and replacement policy statements – Bearer Network

Telecoms-5 The bearer network and associated system performance shall, where facilities exist,
be monitored using a central network control to ensure that quality of service (QoS),
network optimisation, maintenance and faulting responses meet the performance
required by the industry / business.
Telecoms-6 Renewals of the bearer network shall be designed to provide the resilience and
availability appropriate for business needs, taking account of changes to the future
capacity needs of each route where these have been agreed
Telecoms-7 New and refurbished cable routes shall be constructed of lowest whole life cost
materials and shall consider current and future capacity requirements where cost
effective
Telecoms-8 The proximity of transmission nodes, and client system requirements shall be taken
into account when specifying cable capacity and capability
2.1 Brief description of the purpose of Bearer Network

The bearer network provides circuits and services for voice, data, signalling and
electrification control systems, train radio systems, lineside communications, level
crossing CCTV and customer information systems. It also provides for the needs
of general Network Rail information management and business telephony.
The bearer network comprises of cable route, optical fibre and copper cables, and
telecommunication transmission systems.
Cable route is a generic term for a number of systems that provide physical
protection for the lineside telecoms and signalling cabling infrastructure. It can
consist of either plastic or concrete troughs or ducts that can be partially or fully
buried or suspended alongside the trackside, tunnels or platforms. The most
common form of cable route consists of ground level concrete troughing. The
trough sections are laid together into sectional lengths. These routes protect the
majority of the cables associated with the operational railway – power, signalling
and telecommunications.
Renewal of cable routes can include the complete replacement of the route or in
some instances isolated sections of the route are replaced and/or refurbished
depending on the overall condition.
Network Rail has carried out an extensive trial (400 - 500 km) of the use of sub-
duct for the protection of fibre optic cables. Network Rail has concluded that this
product is not suitable for deployment elsewhere on the network and will consider
its early renewal particularly where synergies with cable route renewals occur.
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Telecommunications cables provide a physical connection that enables the

transmission of voice and data between items of telecommunications or signalling
equipment. Two principal types of cable are used – copper and optical fibre.
Copper cables are generally used to transmit low bandwidth signals (audio
frequencies to several Mbit/s) from terminating equipment to larger
concentrators/access nodes. Fibre cables are used for high bandwidth signals,
usually between access nodes and core nodes or to link core nodes.
As previously stated, the majority of operational cables are contained within the
primary cable routes. There are however exceptions to this policy whereby more
cost effective methods of cable system management have been considered. The
introduction of the Super-Armoured Cable (SAC) for rural routes has negated the
need for any cable route. The SAC is laid directly on top of the ballast / earth and
is fastened down at regular intervals using steel ties. Network Rail will continue to
monitor the performance of the SAC and assess its suitability for other parts of the
network.
Transmission systems enable the transportation of telecommunication signals
directly onto the physical transmission media. Additionally, they allow the efficient
multiplexing and conditioning of lower order signals into higher order form,
minimising the amount of physical connections between traffic nodes. The
presentation to the transmission medium is in a form that is suitable for efficient
and assured propagation for that particular medium. Network Rail operates a
variety and varied vintage of systems, ranging from obsolete Frequency Division
Multiplex (FDM) and Pulse Code Modulation (PCM) trunk systems to a modern
Synchronous Digital Hierarchy (SDH) add/drop multiplexers (ADM) on the Fixed
Telecoms Network (FTN).
Network Rail’s operational and business communications will migrate to the FTN
and FTNe respectively. Current migration scope for FTN does not cover all other
circuits currently carried on the legacy bearer networks. These are typically
circuits that serve other rail users such as TOC’s e.g. station telephones. For
these circuits to continue operating, parts of the legacy bearer network will need
to be kept operational. Following the future migration of these services and the
implementation of the FTNe, there will be opportunities to de-commission and
recover elements of the legacy bearer network.
Some signalling renewals projects have inter-dependences on the availability of
FTN/GSM-R infrastructure to provide a number of services. FTN enables a
number of TDM based services to be delivered to support the renewed system
requirements and where an axle counter solution is delivered in lieu of track circuit
solutions, prior to the completion of the GSM-R network, requires the
implementation of an interim voice radio system (IVRS) to replace the functionality
of the TCOC (Track Circuit Operating Clip) which enables direct communication
between the driver and signaller in the event of an emergency.
Modern transmission systems are designed to a high availability figure, often
exceeding 99.999% total uptime. They are designed to detect component or
subsystem failure and switch to a spare with minimum interruption to the service.
As well as protection, switching the event will trigger an alarm that will be
monitored by a central Operations Control. Alarms are also generated for poor or
degraded performance that allows failure to be anticipated and then mitigated.
Network Rail buys commercially available systems that are globally available to
the wider telecommunications industry and are built to International Standards
(e.g. ITU, ETSI).
Page 309 of 470

The new Fixed Telecommunications Network (FTN) is a renewal of the existing

bearer networks and will comprise 23 high speed transmission rings, connected
through 14,000 km of optical fibre cable with 2,200 trackside equipment cabinets
and 4,000 km of new copper distribution cable. It will provide the backbone for our
existing and future growth communication requirements. It will support our
operational, voice and data needs, and provide a resilient communication path
between the GSM-R radio base stations and control equipment. The management
control of FTN is located at Stoke TEC (Telecoms Engineering Centre) and it is
this facility that will monitor (remote alarms and condition monitoring) the bearer
network.
In order to carry IP (internet protocol) based services for IT, business and future
industry-wide applications, Network Rail has recognised the need to enhance the
FTN with an IP core, aggregation and access layers. This will be known as FTNe.
The concept behind FTNe is to maximise the value of the existing FTN
infrastructure whilst creating a national IP backbone. This will be achieved by the
addition of Ethernet routers and switches in existing FTN equipment locations.
This is similar to the BT21CN initiative, and IP networks installed in other railway
administrations, and infrastructure owners such as the Highways Agency. Where
the existing SDH capacity is insufficient for the predicted IP requirements, the
capacity of the FTN fibres can be expanded by the use of Coarse Wavelength
Divisional Multiplexing (CWDM) and FTN STM1 access rings can be upgraded to
STM4. In addition to the enhancement work associated with FTNe, additional
cables and connectivity shall be rolled-out to additional Network Rail locations.
The additional FTNe reach at these locations shall enable high-speed
connections to the Network Rail IP enabled communication network from which a
wide array of operational and business applications can be run.
Figure 3 Telecoms bearer network – asset types and population details

Telecoms route and cables Cable route 13,500 km

Cable – copper 14,500 km
Cable - fibre 1,000 km
Transmission – FTN Transmission 119 Core Nodes
1861 Co-located GSM-R/FTN sites
398 FTN only access sites
Cable (copper) 4000 km

Cable (fibre) 14,000 km
During CP3, several of the legacy transmission systems were life-extended due to
delays in the FTN programme.

Detailed below is a table detailing the inter-relationship of failures and how
Network Rail manages the risk, in terms of consequence and mitigating
measures.
Figure 4 Business risk – bearer network

Asset Degradation and Risk Predictability Possible mitigation
deterioration
rate
Page 310 of 470

Asset Degradation and Risk Predictability Possible mitigation

deterioration
rate
Telecoms Mechanical damage Increased Low Fixed interval
route and caused by accidental instances of inspection
cables – third party contact, cable failure supplemented by fault
cable route theft and vandalism due to reduction rectification (find and
leading to network in protection fix)
disruption.
Telecoms Mechanical damage Loss of major Low Self monitoring of fibre
route and caused by accidental operational optic circuits and the
cables – third party damage, control circuits / network being
optical fibre vandalism, theft, systems designed to include
cable deficient cable route (Signalling, diversity of signal
leading to major Electrification routing or, as a
network disruption and safety minimum, to fail safe.
critical comms)
Telecoms Mechanical damage Loss of Low Copper cables are
route and caused by accidental operational monitored by the user
cables – third party damage, control circuits / equipment connected
copper theft, vandalism systems to them,
cable deficient cable route (Signalling, supplemented by fault
leading to network Electrification rectification (find and
disruption and safety fix).
critical comms)
Transmission Electro-mechanical Loss of Time based, Self monitoring of
– All assets failure caused by operational predictable on hardware, and the
other than environmental factors control circuits / age and network being
cable and age, leading to systems condition designed to include
potential loss of (Signalling, assessment diversity of signal
telecommunications Electrification routing or, as a
and signalling and safety minimum, to fail safe,
systems and network critical comms) supplemented by fault
disruption. rectification (find and
fix).
Transmission Electro-mechanical Increase of risk Time based, Monitored by the end
- Level failure caused by to public and predictable on user (signaller)
Crossing environmental the operational age and
CCTV factors, and age, railway. condition
leading to potential assessment
loss of visual images
at the Level Crossing.

Our chosen asset management regime has been developed from a combination
of historical best practice and manufacturers recommendations / guidelines. To
further support this approach, telecoms faults and failures are recorded year-on-
year and these trends help support the chosen inspection and maintenance
regimes.
Assets that perform outside expected parameters are identified through
performance trend analysis. Telecoms Maintenance collect and disseminate this
asset performance data which is then reviewed by Telecoms Engineering to
confirm the effectiveness of our engineering and management policies.
The degradation characteristics of the Telecoms Bearer Network are such that
regular routine inspections and maintenance activities have little impact upon
asset condition and performance. As a consequence Network Rail has pursued a
Page 311 of 470

mixed strategy of ‘find and fix’ activities combined with modern remote monitoring
techniques in order to best support the asset population.
The development of the telecoms DST has provided Network Rail the opportunity
to quantify the actual on-site condition of the assets more accurately and compare
the outputs of the DST model with the planned renewal dates.
As previously stated, Telecoms do not differentiate their assets according to route
type (primary and key L&SE, other L&SE and Secondary). As a general rule, the
more critical the route, the greater the likelihood of major transmission and cabling
infrastructure being deployed (infrastructure to serve ICC’s, major signalling
centres and operational hubs). In these areas, Telecoms Engineering’s design
policies mandate the need for appropriate system diversity and redundancy.
2.4.2 Inspection
Figure 5 describes the assets that we inspect, the different inspection regimes
and their frequencies and provides justification for the adopted regime.
Figure 5 Inspection regimes – Bearer Network

Asset type Activity
Primary Other L&SE Rural and Effects of this option
and key and freight
L&SE Secondary only
Telecoms Inspections carried out yearly on foot Gives good understanding of
route and asset condition, but costs
cables – excessive for an asset that
cable route generally only degrades slowly
Inspections made by observation from Accepted. Gives a balance
train cabs plus five yearly between giving assurance that
Assessments carried out on foot asset is in reasonable condition
without incurring excessive cost
Five yearly inspection carried out on Gives no opportunity to identify
foot possible major damage between
five yearly inspections
Telecoms No Inspection. Although this does not give
route and assurance as to the condition of
cables – the cable, Network Management
optical fibre systems enable remote
cable monitoring of the assets to
confirm functionality.
Half Life Inspection (15 years) coupled Accepted. This inspection
with an inspection at 2 years prior to provides a level of assurance
end of nominal life that the cable will continue to
provide the necessary level of
performance and functionality.
Telecoms No Inspection Although this does not give
route and assurance as to the condition of
cables – the cable, Network Management
copper cable systems enable remote
monitoring of some assets to
confirm functionality.
Page 312 of 470


with an inspection at 2 years prior to provides a level of assurance
end of nominal life that the cable will continue to
Also provides the opportunity to
consider whether life extension
works such as renewing joints /
terminations would give a value
for money alternative.
In AC electrification areas, electrical Immunisation tests assure that

immunisation tests will be required electromagnetic interference
every 6 months (EMI) parameters are met thus
ensuring optimum equipment
performance and safety to
personnel
Increased Inspection frequencies No evidence that the frequency
of the increased inspections will
expose faults any earlier other
than identifying cables being at
risk of failure
No inspection Does not give assurance that
transmission equipment is in
acceptable physical condition
Transmission
- all Half Life Inspection (5 years) coupled Accepted. Five year inspection
with an inspection at 2 years prior to identifies equipment that is likely
end of nominal life to need replacement before
reaching end of nominal life.
Two year inspection is to check
that the planned renewal date is
still valid. Planned work is
amended as necessary
Transmission No inspection Does not give assurance that
- FTN & transmission equipment is in
FTNe acceptable physical condition
with an inspection at 2 years prior to regime provides a level of
end of nominal life assurance that the FTN
transmission equipment will
continue to provide the
necessary level of performance
and functionality
Transmission No Inspection Does not give assurance that
- legacy transmission equipment is in
with an inspection at 2 years prior to regime provides a level of
end of nominal life assurance that the transmission
equipment will continue to
performance and functionality
Level No Inspection Does not give assurance that
crossing transmission equipment is in
Page 313 of 470

CCTV Half Life Inspection (5 years) coupled Accepted. This inspection

transmission with an inspection at 2 years prior to regime provides a level of
end of nominal life assurance that the transmission
equipment will continue to
performance and functionality
The options marked as “Accepted” are our chosen options.

For the purposes of clarity the following terms have been used in the tables
below:
• Inspection = asset condition assessment
• Maintenance = planned maintenance and fault rectification activities
Figure 6 Inspection led maintenance – Bearer Network

Asset type Activity Effects of this option
Primary Other L&SE Rural and
and key and freight only
L&SE Secondary
Telecoms From the outputs of the inspection regime Accepted. This inspection
route and (yearly cab rides and 5 yearly detailed lead approach provides the
cables – inspections), a small amount of restoration most effective regime when
cable route work is usually undertaken. managing cable route
assets.
Telecoms No routine maintenance carried out at the Accepted. There is no
route and time of inspection. Defects repaired as requirement for periodic
cables – required. maintenance of cable route
optical fibre as there is no degradation
cable mechanism that
maintenance can prevent
Telecoms No routine maintenance carried out at the Accepted. There is no
route and time of inspection. Defects repaired as requirement for periodic
cables – required. maintenance of cable route
copper cable as there is no degradation
mechanism that
maintenance can prevent

Figure 7 describes the assets that we inspect, the different fixed interval
maintenance regimes and their frequencies and provides justification for the
adopted regime.
Figure 7 Fixed interval maintenance – Bearer Network

Asset type Activity
Primary Other Rural
and key L&SE and and Effects of this option
L&SE Secondary freight
only
Transmission No planned maintenance, attend Does not give assurance that
- all on failure transmission equipment is in
acceptable physical condition or
functional
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Equipment Racks 12 monthly, Accepted. This maintenance

digital line systems 6 monthly regime provides a level of assurance
that the transmission equipment will
continue to provide the necessary
level of performance and
functionality.
Transmission No planned maintenance, attend Whilst modern transmission
- FTN & on failure equipment does not require routine
FTNe maintenance, associated batteries
and air conditioning units require
maintenance.
6 monthly site visits plus Accepted. Maintenance activities
monitoring from Stoke Telecoms focussed on power supplies,
Engineering Centre batteries, UPS and air conditioning
units.
Transmission No Maintenance - attend on Does not give assurance that
- legacy failure only, plus system transmission equipment is in
performance surveillance by acceptable physical condition or
remote alarm monitoring where functional.
already installed
Maintenance – planned Accepted. This maintenance
maintenance based upon regime provides a level of assurance
manufacturers’ recommendations that the transmission equipment will
and Network Rail best practice. continue to provide the necessary
functionality
Level No Maintenance - attend on Does not give assurance that
crossing failure only transmission equipment is in
CCTV acceptable physical condition or
transmission functional
Maintenance - planned Accepted. This maintenance
maintenance – based upon regime provides a level of assurance
manufacturers’ recommendations that the transmission equipment will
and Network Rail best practice continue to provide the necessary
functionality
2.5 Replacement
2.5.1 Criteria
Telecoms assets and systems are replaced when they have either come to the
end of their economic life or where they cannot be supported. The table below
details the periodicity for expected life / replacement of the bearer network.
Under certain conditions, it is possible for Telecoms systems to remain in service
beyond their expected life-cycle. The development and subsequent roll-out of the
DST (Decision Support Tool) allows Telecoms Engineering to accurately assess
the age, condition, functionality and supportability of the assets. As the DST
becomes more widely used, it will enable Engineering to establish more
accurately the replacement criteria of the Telecoms infrastructure.
Figure 8 Replacement criteria – Bearer Network

Asset type Action Primary and Other L&SE and Rural and freight
key L&SE Secondary only
cable route Replace 25 years from last major refurbishment
optical fibre Replace 30 years
cable
copper Replace 25 years
Page 315 of 470

cable
transmission Replace 10 years. Transmission equipment is inspected five and two
years before it reaches the end of its nominal life, and the
potential renewal date amended to reflect the condition of the
equipment as found during these inspections.

The general telecoms policy is to use industry standard equipment as far as
possible where it applies to the bearer network. The international telecoms
equipment market is so complex, and products develop so quickly, that the use of
bespoke Network Rail solutions for the bearer network would result in an elevated
purchase price coupled with increased whole-life costs.
Figure 9 Replacement type – Bearer Network

Asset Activity
type Effects of this option
Primary Other Rural and
and key L&SE and freight
L&SE Secondary only
Telecoms Do not replace life-expired route – Leaves cables exposed to damage,
route and normal cables leading to increased failures.
cables – Replace with concrete cable troughing Accepted. Protects cables. Lower
Cable (except where route is raised or whole life cost as troughing has long
route supported by structures) life and is resistant to damage.
Alternative forms of route are likely
to be more appropriate where the
route is raised or supported by
structures.
Plastic cable duct Although subject to further trials,
current Network Rail policy is that
plastic duct should not be used as
whole life costs would be increased.
Telecoms Replace cable with like-for-like Does not allow for growth
route and capacity requirements. Installing additional
cables – capacity later is expensive.
fibre Replace with size of replacement Accepted. Providing additional
cables cable determined by the proximity of capacity at the time of renewal is
transmission nodes and the service cheaper than installing additional
types required in the area and taking cables later
account of the need of the network to
provide resilience.
Telecoms Replace cable with like-for-like Does not take into account changing
route and capacity nature of telecommunications
cables – infrastructure – less copper and
copper wireless technologies.
cables Replace with size of replacement Accepted for circuit distribution
cable determined by the proximity of from transmission nodes to remote
transmission nodes and the service circuits. The capacity needs of
types required in the area and taking these circuits are lower. Also wire
account of the need of the network to size is reduced giving lower amount
provide resilience. of copper per metre.
Page 316 of 470


There are a number of issues that will impact on this policy. Firstly, the rapid
technological shift towards converged voice and data IP based networks means
that Network Rail cannot assume that it will be deploying “today’s equipment
tomorrow”. This rapid change not only reduces the commercial lifecycles for
telecoms equipment, it requires specialist competences to manage, operate and
maintain it as demand for such services rises exponentially within the
organisation.
Secondly, the demand for skilled telecoms labour for the BT 21st Century
Network programme and telecoms work associated with enhancement schemes
such as London 2012 will result in a skills shortage. This shortage will not only
lead to an increase in costs, it could have the potential to delay the roll-out of
these emerging strategies / policies.
The cost of copper cable should also not be overlooked. The price of raw copper
and the affordability of these policies will need to be kept under review as prices
change. Network Rail is also reviewing wireless and copper replacement
technologies (see section 4) and their impact on our existing policies.
Notwithstanding these risks, we believe that our policy is deliverable.

Age is used as a proxy for condition based risk of failure in planning the renewal
of bearer network components. For planning purposes we use the nominal lives
described in the replacement criteria section.
Figure 10 Planning assumptions – Bearer Network

Asset type Activity Asset management regime How modelled in ICM
Cable route Inspection Inspections made by As per Asset
observation from train cabs Management Regime
plus five yearly Assessments
carried out on foot
Inspection lead Inspections made by As per Asset
maintenance observation from train cabs Management Regime
plus five yearly Assessments
carried out on foot
Replacement 25 years from last major 25 years from last
refurbishment major refurbishment
Optical fibre Inspection Half Life Inspection (15 As per Asset
cable years) coupled with an Management Regime
inspection at 2 years prior to
end of nominal life
Inspection lead None None
maintenance
Replacement 30 years 30 years
Copper cable Inspection Half Life Inspection (12 As per Asset
years) coupled with an Management Regime
inspection at 2 years prior to
end of nominal life. In AC
electrification areas, electrical
immunisation tests will be
required every 6 months.
Page 317 of 470

maintenance

Transmission Inspection Half Life Inspection (5 years) As per Asset
- all coupled with an inspection at Management Regime
2 years prior to end of
nominal life.
Fixed interval Equipment Racks 12 As per Asset
maintenance monthly, digital line systems Management Regime
6 monthly
– FTN and coupled with an inspection at Management Regime
FTNe 2 years prior to end of
nominal life.
Fixed interval 6 monthly site visits plus As per Asset
maintenance monitoring from Stoke Management Regime
Telecoms Engineering
Centre
Replacement 10 years* 10 years*
– legacy coupled with an inspection at Management Regime
2 years prior to end of
nominal life.
Fixed interval Maintenance based upon As per Asset
maintenance manufacturers’ Management Regime
recommendations and
Network Rail best practice.
Level Inspection Half Life Inspection (5 years) As per Asset
crossing coupled with an inspection at Management Regime
CCTV 2 years prior to end of
transmission nominal life.
Fixed interval Maintenance based upon As per Asset
maintenance manufacturers’ Management Regime
recommendations and
Network Rail best practice
* Due to the uncertainty surrounding the type of FTNe / IP equipment that will be deployed, it may be
the case that a nominal life of 10 years is too long.

By following these policies, our bearer network will be maintained at current
reliability and performance levels. It will also have the capability to deal with
routine growth of communications traffic, but not necessarily to handle specific
major increases in communications traffic, which will require additional funding to
enhance the current network beyond its current design. This element of future
growth is being addressed within the enhancement project known as FTNe.
By continuing to deploy industry standard equipment the renewal frequencies of
our transmission equipment will in future be driven by the life cycles of this
equipment and their inherent technologies.
Page 318 of 470


The policy for the management of telecoms assets complies with Network Rail’s
asset management policy
3 Radio Network
Policy Statements
Our maintenance and replacement policies for the radio network are the same as
our general telecoms policy with the following additions:
Figure 11 Maintenance and replacement policies for the radio network

Telecoms-9 Radio coverage and associated radio system performance shall be
monitored
Telecoms-10 The existing NRN/ORN, CSR and RETB networks shall be inspected,
maintained and life extended to provide effective service until they are
able to be replaced by the national GSM-R network
Telecoms-11 A national GSM-R radio system shall be provided to replace the existing
legacy radio systems and shall provide secure communication for drivers,
signallers and trackside workers
Telecoms-12 Prior to full GSM-R deployment, emergency communications schemes
shall be provided where determined by risk assessment as being
necessary to complement axle counter schemes
3.1 Brief description of the purpose of the radio network

Network Rail operates four radio networks (three analogue and one digital)
comprising base stations, antenna systems and control equipment. The analogue
systems support the National Radio Network (NRN), which for policy purposes is
regarded as including the Overlay Radio Network (ORN), Cab Secure Radio
(CSR) and Radio Electronic Token Block (RETB). The new digital radio network
is based on GSM mobile telephony technology (GSM-R). An Interim Voice Radio
System (IVRS) is in operation in axle counter areas on the West Coast Main Line,
Dorset Coast, Portsmouth, North Erewash and Coventry signalling areas in
advance of full GSM-R deployment to mitigate the loss of functionality of the track
circuit-operating clip under emergency conditions. The requirement for this in
future schemes will be determined by risk assessment.
The NRN and ORN provide coverage throughout the railway network (except in
tunnels and deep cuttings) for trackside mobile communications. The ORN offers
facilities for emergency communication between the train drivers and Network
Rail route control offices. CSR provides secure communication between
signallers and drivers in London and the South East, as well as other, driver only
operated train areas. RETB provides data communication for signalling token
block exchange (as well as voice communication). There are no plans to enhance
either NRN/ORN/CSR or RETB.
The GSM-R system is Network Rail’s national railway radio system to support
secure voice and data communications over the whole railway network. The
management control of GSM-R is located at Stoke TEC (Telecoms Engineering
Centre). During late 2007/early 2008, GSM-R will undergo an operational trial in
the Strathclyde area. At an appropriate time IVRS will be upgraded to the same
functionality as GSM-R.
Page 319 of 470

Figure 12 Asset types and population details - Radio Network

Radio GSM-R 2 Core Switches
1271 Base stations

NRN/ORN/CSR 21 NRN systems
21 ORN systems
51 CSR systems
RETB 4 systems
IVRS (using GSM-R WCML, Dorset Coast, Portsmouth,
infrastructure) North Erewash, Coventry
During CP3, the CSR, NRN/ORN and RETB assets were life-extended due to
delays in the GSM-R programme.

The radio systems deployed across the rail network perform a critical role within
the operational railway and are therefore a key part of the telecommunications
infrastructure. Due to their significance, the radio systems have been designed to
ensure high levels of network reliability (including coverage) and system
availability.
Equipment failure is usually at a sub assembly or module level, rather than at a
total system level. Careful design and installation of the overall system minimises
the likelihood of single points of failure. There is always the residual risk of a
catastrophic or freak failure and the likelihood can be minimised by good design,
careful site selection, good installation practice, and equipment husbandry.
The principal risk for the analogue systems (and to a lesser extent GSM-R) is
obsolescence of equipment. These systems are carefully managed to ensure that
they remain supportable.
Equipment deterioration is mainly confined to antenna and feeder systems that
can be vulnerable to environmental affects (water ingress, thermal cycling,
exposure to UV light, storm damage, etc). Differing levels of controls are applied
to reduce the risk of the loss of radio communications. The NRN network was
originally provided as a general-purpose communication channel, and as a result
was not designed with a high degree of network availability. The CSR and RETB
networks were deployed to support safety critical requirements (implications of
DOO and signalling on rural lines, respectively) and are designed for higher
availability.
Figure 13 Business risk - Radio systems
Asset Degradation Impact Predictability Possible mitigation
and key driver of defect or measures
deterioration
rate
Control Electro- Total outage / Low System design (dual
Rack mechanical system failure processing and
(complete failure caused that will result in redundancy),
failure) by significant train coupled with a
environmental delays and robust maintenance
Page 320 of 470

factors and age, operational regime.

leading to loss of disruption of the
radio network network.
and operational
disruption.
Control Electro- Partial system Low System design (dual
Rack mechanical failures can result processing and
(partial failure caused in the loss of local redundancy),
failure) by functionality. This coupled with a
environmental can result in robust maintenance
factors and age, localised train regime.
leading to delays and
potential loss of operational
radio network disruption
and operational
disruption.
Power / Electro- Total outage / Low System design
UPS mechanical system failure (secure power
(complete failure caused that will result in supplies) coupled
failure) by significant train with a robust
environmental delays and maintenance regime
factors and age, operational
leading to disruption of the
potential loss of network.
radio network
and operational
disruption.
Power / Electro- Partial system Low System design
UPS ( mechanical failures can result (secure power
partial failure caused in the loss of local supplies) coupled
failure) by functionality. This with a robust
environmental can result in maintenance regime
factors and age, localised train
leading to delays and
potential loss of operational
radio network disruption.
and operational
disruption.
Masts Structural failure Partial loss of Low System design
caused by poor coverage and (areas of radio
and/or changing potential coverage overlap)
ground introduction of where significant
conditions radio black-spots. delays could occur.
resulting in This can result in
partial loss of localised train
radio coverage delays and/or
and operational operational
disruption. disruption.
Base Electro- Partial loss of Low System design
station(s) mechanical coverage and (areas of radio
(complete failure caused potential coverage overlap)
failure) by introduction of where significant
environmental radio black-spots. delays could occur.
factors and age, This can result in
leading to partial localised train
loss of radio delays and/or
network and operational
operational disruption.
disruption.
Base Electro- Partial loss (to a Low System design
station(s) mechanical lesser extent), of (areas of radio
Page 321 of 470

UPS ( failure caused coverage and coverage overlap)

partial by potential where significant
failure) environmental introduction of delays could occur.
factors and age, radio black-spots.
leading to partial This can result in
loss of radio localised train
network and delays and/or
operational operational
Landlines Mechanical Partial loss of Low Landlines are
(complete failure caused coverage and continually
failure) by potential monitored for
environmental introduction of functionality
factors, 3rd party radio black-spots.
damage and This can result in
age, leading to localised train
partial loss of delays and/or
radio network operational
and operational disruption.
disruption.
Landlines Mechanical Partial loss (to a Low Landlines are
(partial failure caused lesser extent), of continually
failure) by coverage and monitored for
environmental potential functionality
factors, 3rd party introduction of
damage and radio black-spots.
age, leading to This can result in
partial loss of localised train
radio network delays and/or
and operational operational
Cab Electro- Loss of driver Low Operational
Radio mechanical radio comms procedures apply
Units failure caused (TOC control)
by
environmental
factors, 3rd party
damage and
age, leading to
operational
disruption.
Portable Electro- Loss of radio Low Operational
Radio mechanical comms procedures apply
Units failure caused (TOC control)
by
environmental
factors, 3rd party
damage and
age, leading to
operational
disruption.

The risks identified in figure 13 are mitigated by a comprehensive regime of
inspection and maintenance, which is designed to operate the radio systems at
the lowest whole life cost.
Since degradation is generally difficult to predict, we operate an inspection based
regime combined with modern remote monitoring techniques in order to best
Page 322 of 470
support the asset population. For the purposes of clarity the following terms have
been used in the tables below:
3.4.2 Inspection
Our inspection regime for the existing, legacy, radio systems provides two main
indicators:
• Indication of the need for inspection lead maintenance or fault finding
• Indication of the actual condition of the equipment which is used to verify
its projected life span and hence to confirm its planned renewal date.
Once installed and commissioned, the GSM-R radio system shall be inspected
and maintained to ensure that the defined functionality and performance is
delivered at the lowest whole-life cost.
Figure 14 Inspection regimes for Radio Network

Asset type Activity Primary and Other L&SE Rural and
key L&SE and freight only
Secondary
Radio – physical No Inspection Does not give assurance that radio equipment is
inspection in acceptable physical condition
Half Life Accepted. This inspection regime provides a
Inspection (7 level of assurance that the transmission
years) coupled equipment will continue to provide the necessary
with an level of performance and functionality.
inspection at 2
years prior to
end of nominal
life
Masts – Physical No Inspection Does not give assurance that the structure is in
inspection acceptable physical condition
Detailed Accepted. This inspection regime provides a
(CSR/ORN/NRN) inspection every level of assurance that the masts will continue to
six years. provide the necessary level of performance and
functionality.
Masts – Physical No inspection Does not give assurance that the structure is in
inspection acceptable physical condition.
(GSM-R) GSM-R masts Accepted. This inspection regime provides a

require a detailed level of assurance that the masts will continue to
structural provide the necessary level of performance and
inspection every functionality.
two years.
Radio – No check No assurance that radio coverage or adherence

coverage check to license condition is adequate
Page 323 of 470

Coverage Check Accepted. This checking regime provides a level

-50% a year for of assurance that the radio system continues to
CSR, 25% a year provide the necessary level of performance and
for RETB and functionality and adherence to license conditions.
NRN/ORN
The method for

undertaking
GSM-R coverage
checks is under
review
Checks at more No evidence that the extra cost is justified by
frequent intervals extra benefits
(under review for
GSM-R)
Figure 15 Inspection lead maintenance for Radio Network

Asset type Activities Considered Effects of this option
Primary Other Rural
and key L&SE and and
only
ORN/NRN/CSR Network Rail currently has no Accepted. The existing
inspection lead maintenance frequency based inspection and
IVRS
policies for the Radio Network maintenance regime is adequate
GSM-R to maintain both performance
and condition of the radio
network.
Figure 16 Fixed Interval Maintenance for Radio Network

Asset type Activity Primary and Other Rural and
key L&SE L&SE and freight only
Secondary
Radio – No Maintenance Does not give assurance that radio equipment
physical is in acceptable physical condition or
inspection functional.
Maintenance - planned Accepted. This maintenance regime
maintenance: based provides a level of assurance that the radio
upon manufacturers’ equipment will continue to provide the
recommendations and necessary level of performance and
Network Rail best functionality.
practice
Radio - No Maintenance Does not give assurance that radio equipment
maintenance is in acceptable physical condition or
functional.
Maintenance Regime - Accepted. Equipment maintained consistent
Specific maintenance with manufacturers’ specifications. Complies
regimes apply for the with warranty requirements
various parts of the radio
system
Page 324 of 470

3.5 Replacement
3.5.1 Criteria
Like many other telecoms assets the replacement of the radio networks is
predominantly driven not by asset condition or performance but by external
factors such as obsolescence, increasing maintenance costs and consequences
of changes to European wide radio spectrum management policies. Additionally,
the software and hardware will require regular upgrades in order to keep within
manufacturer support arrangements.
The only renewals that will be carried out on the analogue radio systems are
those that are vital to extend their life until GSM-R coverage is available over their
area. These system refreshes have been largely undertaken during CP3.
The only new radio networks to be commissioned will be those needed where risk
assessments show that additional emergency communication provision is
required e.g. – IVRS. It is envisaged that IVRS will be eventually uplifted to full
GSM-R functionality.
Figure 17 Replacement criteria for Radio Network

Asset Action Primary and Other L&SE Rural and freight only
type key L&SE and
Secondary
ORN Replace Life extension works only. These systems shall become
obsolete on completion of the GSM-R programme
NRN
CSR
GSM-R Replace Regular firmware and software upgrades in order to keep the
network patch-current with manufacturers recommendations
Masts Replace 30 Years
All existing radio systems will be replaced by GSM-R, which is the European
standard railway radio communications system. For the limited amount of
husbandry required to facilitate life extension of the analogue radio networks there
are a number of options:
Figure 18 Replacement type for Radio Network

Asset type Activity Primary Other Rural
only
RETB/CSR/NRN/ORN Complete replacement Wasted expenditure, as system will
of system like for like only have short life. Difficult to
achieve, as some components are
no longer manufactured
Replacement and life Accepted. Enables continued
extension only of operation of older radio system at
sufficient components lowest cost
to maintain service
levels
Page 325 of 470

Replace by accelerated Difficult to achieve as GSM-R

GSM-R installation deployment is dictated by the GSM-
R/FTN programme, which has its
own set of priorities
Interim Emergency Install only where risk Accepted. Minimises costs while
communications (e.g. assessment meeting safety requirements
IVRS) demonstrates it is
needed for operation of
axle counter signalling
schemes
The phasing out of the analogue radio systems will only occur with the complete
deployment of GSM-R. Whilst life extension works have been carried out during
CP3, Network Rail are confident that the GSM-R programme will be completed
prior to any further system refreshes being required.
The GSM-R system is now being rolled out as the new national radio system to
replace all of the existing systems and will enable 100% coverage of the railway
network.
In the current period, the rollout will consist of the following phases:
• phase C – completion of CSR replacement
• phase L – replacement of NRN on secondary routes
• phase R – replacement of NRN on RETB routes
In addition, every 5 years starting in 2009 Network Rail have assumed that it will
be necessary to upgrade the Nortel MSC firmware and software to allow system
interoperability and to keep within manufacturer and EIRENE (European
information researchers network which lays down the basic principles of
responsible research and information provision) specifications.
Forecasts for the inspection and maintenance of GSM-R are based on the mobile
communications industry experience of extensive GSM network operation and the
manufacturers’ recommendations.
During the development of the CP3 funding determination, the roll-out of GSM-R
on freight only branch lines was de-scoped from the project. Following
discussions with industry stakeholders, it has been agreed to re-introduce this
element within the CP4 delivery.
In the long term these policies will deliver a single digital national railway radio
system that complies with European standards and specifications, while
maintaining current service levels while the new system is being installed.
The policies for the management of the radio network comply with Network Rail’s
Page 326 of 470

4 Lineside Systems
Policy Statements
Our maintenance and replacement policies for lineside systems are the same as
our general telecoms policies.
4.1 Brief description of the purpose of lineside systems
Lineside systems comprise of a number of different asset types. Typically this
asset group comprises of operational voice communication systems for purposes
of train control and operational safety.
Telecommunications assets that enable signallers and drivers to communicate at
signal locations and other strategic points on the network. Fixed lineside systems
also include the communications needs at level crossings and other voice
services such as ETD (Extension Trunk Dialling) applications for operational
purposes.
Network Rail also provides voice and voice-recording facilities in Integrated
Control Centres, Electrical Control Rooms and the majority of Signalling Control
Centres and Signal Boxes to provide a record of all safety critical voice
communications. These voice recorders are connected to Network Rail’s
operational PABX (Private Automatic Branching Exchanges), which form a key
part of the operational network.
DOO train services use Network Rail operational CCTV systems and mirrors at
stations.
Figure 19 Lineside Systems – asset types and population details

Large concentrators, PABX 142
greater than 32 lines
Non-PABX 82
Small signal box Non-PABX 598
concentrators – up to 32
lines
Lineside telephones Central battery 23830
associated with
Selective 2535
concentrators
Others 3306
Driver Only Operation 304 stations
CCTV
Public level crossing Whiteley 348 level crossings
systems
Hixon 7 level crossings
Voice recorders 471 sites
Electrification voice 12 ECRs
facilities
Operational PABX’s MD110 7
Page 327 of 470

Figure 20 Business risk for Lineside Systems

and key driver of defect or mitigation
deterioration measures
rate
Large Hardware and Potential loss of Low A combination
concentrators, firmware failures lineside of find-and-fix
greater than caused by communication techniques
32 lines – environmental system. Impact coupled with
PABX/ factors and age. to the alternative
Electrification operational communication
voice facilities railway – can paths supported
result in by Operational
disruption and Management
impact on the Procedures.
safe operation of
the railway.
Large Hardware Potential loss of Low A combination
concentrators, (electro lineside of find-and-fix
greater than mechanical) communication techniques
32 lines – non failures caused system. Impact coupled with
PABX and by to the alternative
small signal environmental operational communication
box factors and age. railway – can paths supported
concentrators result in by Operational
– up to 32 disruption and Management
lines impact on the Procedures.
safe operation of
the railway.
Lineside Lineside Loss of trackside Low Operational
telephones telephones are telephony can Management
associated exposed to a result in Procedures are
with broad range of localised complied with
concentrators environmental disruption and when trackside
hazards coupled impact on the telephones are
with vandalism safe operation of not available. In
and misuse the railway. areas of
vandalism,
appropriate
telephone
instruments are
installed.
Driver Only DOO CCTV Loss of DOO Low Operational
Operation infrastructure is CCTV Management
CCTV exposed to a equipment can Procedures are
broad range of result in complied with
environmental localised when DOO
hazards coupled disruption and CCTV is not
with vandalism impact on the available. In
coupled with safe operation of areas of
hardware and the railway. vandalism,
software failures appropriate anti-
caused by vandalism
environmental measures are
factors and age. introduced.
Public level Public Level Loss of Low Operational
crossing Crossing telephony Management
systems are services at Level Procedures are
Page 328 of 470


rate
systems exposed to a Crossings can complied with
broad range of result in when Level
environmental localised Crossing
hazards coupled disruption and telephones are
with vandalism impact on the not available. In
and misuse safe operation of areas of
coupled with the railway. vandalism,
hardware and appropriate
software failures telephone
caused by instruments are
environmental installed.
factors and age.
Voice Hardware and Loss of evidence Low Operational
recorders firmware failures (recordings of Management
caused by operational Procedures are
environmental conversations) in place to
factors and age. that can impact ensure the
on investigations continued
/ control functionality of
procedures. the equipment
together with a
planned
maintenance
regime based
upon
manufacturers’
recommendatio
ns. The new
national voice
recorder project
rollout with
provide remote
interrogation
through the IM
portal.
Operational Hardware and Potential loss of Low A combination
PABX’s firmware failures lineside and of find-and-fix
caused by control room techniques
environmental communication coupled with
factors and age. system. Impact alternative
to the communication
operational paths supported
railway – can by Operational
result in Management
disruption and Procedures.
impact on the
safe operation of
the railway.

The risks identified in figure 20 are mitigated by a comprehensive inspection and
maintenance regime coupled with remote condition monitoring technologies,
which is designed to operate lineside systems at the lowest whole life cost.
Page 329 of 470

Since degradation is generally difficult to predict, Network Rail operate a

frequency based regime combined with modern remote monitoring techniques to
best support the asset population.
Fixed lineside systems are inspected and maintained to ensure that the defined
functionality and performance are delivered at the lowest whole-life cost.
For the purposes of clarity the following terms have been used in the tables
below:
4.4.2 Inspection
Figure 21 Inspection regimes for Lineside Systems

Asset type Activity Primary and Other L&SE Rural and
key L&SE and freight only
Secondary
Large No Inspections Does not give assurance that the fixed lineside
concentrators, equipment is in acceptable physical condition.
greater than Half Life Inspection Accepted. This inspection regime provides a
32 lines – (5 years) coupled level of assurance that the fixed lineside systems
PABX/ with an inspection at will continue to provide the necessary level of
Electrification 2 years prior to end performance and functionality.
voice facilities of nominal life
Large No Inspections Does not give assurance that the fixed lineside
concentrators, equipment is in acceptable physical condition.
greater than Half Life Inspection Accepted. This inspection regime provides a
32 lines – non (5 years) coupled level of assurance that the fixed lineside systems
PABX and with an inspection at will continue to provide the necessary level of
small signal 2 years prior to end performance and functionality.
box of nominal life
concentrators
– up to 32
lines
Lineside No Inspection Accepted. Network Rail relies on the regular
telephones end-users and maintainers report any
associated deficiencies noticed whilst undertaking planned
with maintenance.
concentrators
Operational Half Life Inspection Accepted. This inspection regime provides a
PABX (5 years) coupled level of assurance that the fixed lineside systems
with an inspection at will continue to provide the necessary level of
2 years prior to end performance and functionality.
of nominal life
Driver Only No Inspection Does not give assurance that the fixed lineside
Operation equipment is in acceptable physical condition.
CCTV Half Life Inspection Accepted. This inspection regime provides a
(5 years) coupled level of assurance that the DOO CCTV systems
with an inspection at will continue to provide the necessary level of
2 years prior to end performance and functionality.
of nominal life
Public level No Inspection Does not give assurance that the fixed lineside
crossing equipment is in acceptable physical condition.
systems Half Life Inspection Accepted. This inspection regime provides a
(5 years) coupled level of assurance that the Level Crossing
with an inspection at systems will continue to provide the necessary
2 years prior to end level of performance and functionality.
of nominal life
Page 330 of 470

Voice No Inspection Does not give assurance that the fixed lineside
recorders equipment is in acceptable physical condition.
Half Life Inspection Accepted. This inspection regime provides a
(3 years) coupled level of assurance that the Voice Recording
with an inspection at systems will continue to provide the necessary
2 years prior to end level of performance and functionality.
of nominal life
Figure 22 Inspection led maintenance – Lineside Systems

Asset Activity Effects of this option
type
and key L&SE and freight
L&SE Secondary only
Lineside Telecoms Engineering currently do not The existing frequency based
Systems have a policy of inspection lead inspection and maintenance
maintenance. regime coupled with remote
monitoring mitigates the need to
perform inspection lead
maintenance.
Figure 23 Fixed Interval Maintenance for Lineside Systems

Asset type Activity Primary and Other Rural and
key L&SE L&SE and freight only
Secondary
Large No Maintenance Does not give assurance that the fixed
concentrators, lineside systems are in acceptable physical
greater than 32 condition or functional
lines – PABX/ Planned Maintenance Accepted. This maintenance regime
Electrification Regime – In accordance provides a level of assurance that the fixed
voice facilities with manufacturers’ lineside systems will continue to provide the
recommendations and necessary level of performance and
Network Rail best functionality.
practice.
Large No Maintenance Does not give assurance that the fixed
concentrators, lineside systems are in acceptable physical
greater than 32 condition or functional
lines – non Planned Maintenance Accepted. This maintenance regime
PABX and Regime – In accordance provides a level of assurance that the fixed
small signal with manufacturers’ lineside systems will continue to provide the
box recommendations and necessary level of performance and
concentrators Network Rail best functionality.
– up to 32 lines practice.
Lineside No Maintenance Does not give assurance that the fixed
telephones lineside systems are in acceptable physical
associated with condition or functional
concentrators Planned Maintenance Accepted. This maintenance regime
Regime – Quarterly provides a level of assurance that the fixed
maintenance visits for lineside systems will continue to provide the
fixed lineside telephony necessary level of performance and
supported by a more functionality.
Page 331 of 470
robust annual visit per

asset per year.
Driver Only No Maintenance Does not give assurance that the DOO
Operation CCTV systems are in acceptable physical
CCTV condition or functional
Planned Maintenance Accepted. This maintenance regime
Regime – CRT based provides a level of assurance that the DOO
systems are maintained CCTV systems will continue to provide the
4 weekly, TFT based necessary level of performance and
systems are maintained functionality.
13 weekly.
Public level No Maintenance Does not give assurance that the Level
crossing Crossing systems are in acceptable
systems physical condition or functional
Planned Maintenance Accepted. This maintenance regime
Regime - Quarterly provides a level of assurance that the Level
maintenance visit for Crossing systems will continue to provide
fixed lineside telephony the necessary level of performance and
supported by a more functionality.
robust annual visit per
asset per year.
Operational No Maintenance Does not give assurance that the Level
PABX Crossing systems are in acceptable
physical condition or functional
3 monthly preventative Accepted. This maintenance regime
maintenance regimes provides a level of assurance that the
broadly in line with Operational PABX will continue to provide
manufacturers’ the necessary level of performance and
recommendations. functionality.
Voice No Maintenance Does not give assurance that the Voice
recorders Recording systems are in acceptable
physical condition or functional
Maintenance – planned Accepted. This maintenance regime
maintenance Regime – provides a level of assurance that the Voice
In accordance with Recording systems will continue to provide
manufacturers’ the necessary level of performance and
recommendations and functionality.
Network Rail best
practice.
4.5 Replacement
4.5.1 Criteria
Nominal lives have been assigned to the components of the lineside system,
based on manufacturers’ recommendations and our own experience.
Concentrators, DOO CCTV, public level crossing systems, voice recorders, and
electrification voice facilities are inspected five (three for those assets that have 7
year lives) and two years before they reach the end of their nominal life, and the
actual renewal date amended to reflect the condition of the equipment as found
during these inspections.
The renewal of DOO platform systems (cameras/monitors and mirrors) will in

future be specified as either mirrors or cameras. Experience from recent renewals
schemes has highlighted problems when combining both solutions on a single
platform.
In the event of Network Rail forecasting policy changes in this area during CP4,
(i.e. reduction / removal of SPT’s), assets may well undergo life-extension work as
Page 332 of 470
opposed to complete renewal. This approach will ensure that Network Rail
realises the necessary efficiencies associated with this change to existing policy.
Figure 24 Replacement criteria for Lineside Systems

Asset type Activity Primary Other Rural and
and key L&SE and freight only
L&SE Secondary
Signal Box Replace every 10 years Accepted
concentrators, based on obsolescence
public level
crossing
systems, lineside
telephones,
electrification
voice facilities
Driver only Replace every 10 years Accepted
operation CCTV based on obsolescence
Voice recorders Replace every 7 years Accepted
based on obsolescence
Operational Replace every 10 years Accepted
PABX based on obsolescence
The general telecoms policy to use commercial off-the-shelf equipment as far as

possible applies to lineside systems. The international telecoms equipment
market is so large, and products develop so quickly, that the use of bespoke
Network Rail solutions for lineside systems would lead to higher initial costs and
problems of spares supply. However, due to certain functional and ergonomic
requirements there is an element of bespoke equipment used within Network Rail
– e.g. STS concentrators.
Figure 25 Replacement type for Lineside Systems

only
All lineside systems Replace in line with Accepted. Delivers required
other than lineside general telecoms performance at minimum whole life
telephones and tail asset management cost
cables policy
Lineside telephones Lineside telephones Accepted. When damaged or in
and tail cables and tail cables shall be poor condition it is cheaper to
replaced when faults replace telephone instruments and
or routine inspections tail cables than to attempt to repair
indicate that they are them, Recovered instruments will be
no longer in a repaired where cost effective.
condition to provide
reliable
communications
Page 333 of 470


There are a number of issues that will impact on this policy. Firstly, the rapid
technological shift towards converged voice and data IP based networks means
that Network Rail cannot assume that it will be deploying “today’s equipment
tomorrow”. This rapid change not only reduces the commercial lifecycles for
telecoms equipment, it requires specialist competences to manage, operate and
maintain it as demand for such services rises exponentially within the
organisation.
Secondly, the future possibility of policy changes surrounding the deployment of
lineside telephony, particularly SPT’s, has the potential to impact on CP4 and
CP5. The potential for large-scale reductions in the telephone asset population
will impact not only on the associated copper infrastructure it will act as driver for
change to the Signal Box environment.
Impacting further on these policies is the high demand for skilled Engineers in this
area. Major Telecoms programmes such as BT’s 21st Century Network
programme and London 2012 will result in a significant skills shortage. This
shortage will not only lead to an increase in costs, it could have the potential to
delay the roll-out of these emerging strategies / policies.
Notwithstanding these risks, we believe that our policy is deliverable.

The future of lineside telephony is likely to change with the introduction of GSM-R.
A report commissioned by the RSSB is evaluating the safety and operational
issues associated with removing SPT’s once the national GSM-R system is fully
operational and proven.
If this policy shift becomes a reality and, in addition to the reduction / removal of
lineside telephony, Network Rail envisages that the “Signal Box Concentrator”
equipment will no longer need to be a bespoke solution as it is today. Network
Rail shall therefore seek to use commercially available voice solutions as is the
policy for business telephony solutions.
Whilst this potential change in policy is likely to have a significant impact during
CP5 and beyond, it is not expected to have a significant operational or financial
impact during CP4 largely due to the GSM-R programme only being completed by
2012/13. Network Rail shall however continue to engage with the relevant
stakeholders and ensure the relevant engineering policies embrace any changes
of this nature.
By following these policies our lineside systems will be maintained at current
reliability and performance levels. Due to the dynamic nature of the telecoms
equipment market and the reducing equipment life cycle of available equipment, it
is envisaged that the life-cycle of our lineside equipment will be driven by the rest
of the telecoms industry.
Additionally, the conclusions from the RSSB report in relation to the future of fixed
line telephony on the lineside could have a major impact to this asset group. As
GSM-R is programmed to be complete by 2013, it may be the case that the
phased removal of lineside fixed line telephony could commence as early as
2014.
The policies for the management of lineside systems comply with Network Rail’s
Page 334 of 470
5 Station Information & Surveillance Systems (SISS)

The ownership and management of SISS assets on franchised stations has been
an issue since rail privatisation. The current industry model splits maintenance
and repair responsibilities between SFO (station facility operator) and asset owner
respectively.
Network Rail owns a significant portion of the existing asset population with the
TOC’s, and in some instances, external funders (PTE’s) owning the remainder of
assets / systems.
Advances in technology coupled with TOC franchise commitments have seen an
exponential rise in the deployment of SISS assets across the network. In many
cases, these TOC lead schemes have enhanced existing Network Rail owned
installations by incrementing the amount of CIS displays, PA speakers and CCTV
equipment resulting in future ownership, maintenance and renewal responsibilities
becoming unclear.
For purposes of the CP4 submission, Network Rail has submitted policies and
cost profiles for those SISS assets transferred in from Railtrack and those
recognised as owned by Network Rail. A cost model has been developed for
Network Rail to deliver all SISS renewals – these include historical TOC funded
enhancements and deployments of appropriate SISS technologies at those
stations that currently have little or no customer information facilities. The outputs
of this model are seen as options for future consideration.
Policy statements
Our maintenance and replacement policies for Station Information & Surveillance
Systems are the same as our general telecoms policies.
5.1 Brief description of the purpose of SISS systems

Station Information and Surveillance Systems (formally known as Retail
Telecoms) generally consist of customer information systems (CIS), public
address (PA) and clocks provided within the station environment. The primary
purpose of this asset group is to provide the travelling public with train running
and general information about their journeys.
In addition to the station information aspects, CCTV (closed circuit television) has
been included to address the surveillance needs in and around the station for the
protection of both passengers and staff. Within Network Rail’s Managed Stations,
CCTV systems were installed in response to the Department for Transport
TRANSEC (Transport Security & Contingencies Directorate) policy.
There are also significant quantities of car park CCTV across the network. These
assets are generally owned and maintained by the SFO although Network Rail
recognises that it does have ownership and renewal responsibility for a small
number of these assets due to legacy reasons.
Stations with sub-surface platforms also use Network Rail operational CCTV
systems for security and crowd control purposes which are often combined with
station fire evacuation systems. These systems are also captured within this asset
group.
Page 335 of 470

Figure 26 SISS – asset types and population details

Description Main sub-division Quantity / Equiv Units
CIS Monitors, Displays, CIS Control 4496
Racks, PC’s
PA Speakers, Amplifiers, PA Control 26,219
Racks, Microphones, PC’s
Clocks Clocks 916

CCTV Cameras, Monitors, VCR’s, 2161
Multiplex Equipment
MISC Inductive Loops, Help Phones, 346
Security
Help Points Help Points 174
Figure 27 Business risk for SISS

rate
Station Hardware and Reduced public Low System design is
Information firmware awareness of used to address
Systems failure caused either timetabled many of these
by train movements failure modes.
(CIS, PA, environmental or security /
Clocks) factors and safety Anti vandal
age. There are announcements measures are also
also employed.
occurrences of Management
vandalism procedures on
within the stations are also
station areas used for
that impact passenger safety /
upon these evacuation
systems.
Surveillance Hardware and Reduced Low System design is
Systems firmware operator / used to address
failure caused station many of these
(CCTV) by management failure modes.
environmental awareness of
factors and passengers and Anti vandal
age. There are general security measures are also
also issues. employed.
occurrences of Management
vandalism procedures on
within the stations are also
station areas used to ensure a
that impact safe environment
upon these is maintained.
systems.
Page 336 of 470


As stated in the introduction, the asset management regimes supporting these
assets varies from franchise to franchise. Where agreement has been reached
resulting in Network Rail being responsible for both repair and maintenance
responsibilities, then Network Rail standards and policies apply. Where it has
been agreed that the SFO (Station Facility Operator) shall have repair and
maintenance responsibilities, Network Rail seek to ensure that an appropriate
asset management regime is in place. For the purposes of this document, the
inspection and maintenance regimes described shall be those of Network Rail.
The risks identified in figure 27 are generally mitigated by a comprehensive
regime of inspection and maintenance, which is designed to operate these
systems at their lowest whole life cost. Since degradation is generally difficult to
predict, Network Rail operate a planned inspection based regime to best support
the asset population.
The use of COTS (Commercially Available Off The Shelf) products and systems
often results in a reduced asset life. Typically these are assets such as PC’s and
network hardware. In these instances, Network Rail repair and replace such
assets under the day-to-day maintenance and support arrangements. The
nominal 10 year life spans address system life which encompasses all assets
within that system; cables, routes, displays, control hardware, spares and
software support.
In addition to the technology upgrades that occur during the life of the assets,
advances in remote monitoring are enabling Network Rail and its stakeholders to
efficiently monitor the condition and performance of the assets.
5.4.2 Inspection
Figure 28 Inspection regimes for SISS Assets

Asset type Activity Primary and Other L&SE and Rural and
key L&SE Secondary freight only
Station No Inspection Does not give assurance that the SISS assets are in
Information acceptable physical condition.
and
Surveillance
Systems Half Life Accepted. This inspection regime provides a level of
Inspection (5 assurance that the SISS assets will continue to
(CIS, PA, years) coupled provide the necessary level of performance and
Clocks, CCTV) with an functionality.
inspection at 2
years prior to
end of nominal
life
Page 337 of 470

Figure 29 Inspection lead maintenance for SISS Assets

Asset type Activity Primary Other L&SE and Rural and
and key Secondary freight only
L&SE
Station
Information
and Fault repairs arising Telecoms do not have a policy of inspection lead
Surveillance from regular maintenance. Any defect or deficiency observed
Systems inspection and during inspection shall be raised as a fault and
status monitoring dealt with accordingly.
(CIS, PA,
Clocks,
CCTV)
Figure 30 Fixed interval maintenance – SISS Assets

Asset Activity
type
and key L&SE and freight Effects of this option
L&SE Secondary only
SISS - No planned maintenance, attend on Does not give assurance that
failure transmission equipment is in
CIS acceptable physical condition or
Systems functional
Three monthly planned maintenance Accepted. This maintenance regime
tasks for CIS displays (LED, TFT, provides a level of assurance that the
LCD, CRT) SISS equipment will continue to
Three monthly planned maintenance

tasks for CIS Control Equipment
SISS - No planned maintenance, attend on Does not give assurance that
PA acceptable physical condition or
Systems functional
Twelve monthly planned Accepted. This maintenance regime
maintenance task for PA system provides a level of assurance that the
SISS equipment will continue to
Six monthly planned maintenance provide the necessary level of
task for recorded announcement performance and functionality.
equipment
Three monthly planned maintenance

task for PC based control equipment
SISS – No planned maintenance, attend on Does not give assurance that
Clocks acceptable physical condition or
functional
Three monthly planned maintenance Accepted. This maintenance regime
tasks for Clocks provides a level of assurance that the
Page 338 of 470

SISS – No planned maintenance, attend on Does not give assurance that

CCTV acceptable physical condition or
functional
Six monthly planned maintenance Accepted. This maintenance regime
visit for external cameras. provides a level of assurance that the
Three monthly for CCTV control provide the necessary level of
equipment and video recording performance and functionality.
5.5 Replacement
5.5.1 Criteria
Age is used as a proxy for condition in planning the renewal of SISS assets.
Figure 31 Replacement criteria – SISS Assets

Asset Action Primary and key Other L&SE and Rural and freight only
type L&SE Secondary
CIS Replace 10 years
PA Replace 10 years
Clocks Replace 10 years
CCTV Replace 10 years
The use of COTS (Commercially Available Off The Shelf) products and systems
often results in a reduced asset life. Typically these are assets such as PC’s and
network hardware. In these instances, Network Rail repair and replace such
assets under the day-to-day maintenance and support arrangements. The
nominal 10 year life spans address system life which encompasses all assets
within that system; cables, routes, displays, control hardware, spares and
software support.
Customer Information Systems, Public Address systems, Station Clocks and
Surveillance CCTV are inspected at five years and two years before they reach
the end of their nominal life. This information is processed using the DST and the
subsequent outputs are then acted on.
Figure 32 Replacement type for SISS

only
Station Information and Do not provide Fails to meet customers’ and
Surveillance Systems replacement stakeholder needs.
(CIS, PA, Clocks, CCTV) Replace with COTS Accepted. Provides compatible
systems that are systems that comply with the
approved for use on the relevant regulations.
network and comply with
the latest industry
standards
Page 339 of 470


Network Rail believes the current policy in place is effective in maintaining a
steady-state condition across the SISS assets currently owned by Network Rail.
Performance data during CP3 has indicated that current inspection and
maintenance regimes are effective. Additionally, the introduction of the DST and
improved asset data will enable Network Rail to more accurately monitor these
assets and plan their renewal at the optimum time.

Due to the standardised nature and commercial availability of SISS assets,
Network Rail is confident that the current inspection and maintenance regimes
coupled with the anticipated nominal life spans is appropriate for this asset group.
There are however examples where external legislation, for example DDA
(Disability Discrimination Act) that can impact not only on Network Rail’s product
and system choice, it can impact on the wider technology and policy issues. For
the purposes of the CP4 submission, Network Rail is assuming that the current
systems and technologies will be continued to be deployed throughout CP4.
Figure 33 Planning assumptions
Asset type Activity Asset management How modelled in ICM
regime
Station Inspection As per fixed interval As per Asset
Information maintenance regimes Management Regime
Systems Inspection lead None None
maintenance
(CIS, PA, Replacement 10 years from last major 10 years from last
Clocks) refurbishment major refurbishment
Surveillance Inspection As per fixed interval As per Asset
Systems maintenance regimes Management Regime
(CCTV) maintenance
Replacement 10 years from last major 10 years from last
refurbishment major refurbishment

There is strong demand within the industry for an increased deployment of SISS
assets particularly within lower category stations (E&F). The combined national
asset population is increasing at fairly significant levels largely due to TOC
franchise obligations and additional enhancement funding from PTE’s. Whilst
Network Rail welcomes the increased interest and additional funding for SISS
assets, debate is needed within the industry to ensure that the industry moves
forward in a coherent and efficient way to prevent a future divide in asset
responsibilities. It is essential that Network Rail continue to take the lead in this
area particularly in respect to overall system requirements.
The policies for the management of SISS systems comply with Network Rail’s
Page 340 of 470

Part 10: Electrification and Plant
Page 341 of 470

Electrification and Plant policy
Document control
File name
Location
Status Issue 1
Author Electrification and Plant Engineering team
Name Signature Date
Kevin Lydford
Head of E&P
Engineering
Gareth Jenkins
Head of Business
Engineering
Andrew
McNaughton
Chief Engineer

Page 342 of 470

1 Introduction
This asset management policy for electrification and plant assets has been written
to demonstrate how these assets will be managed to meet the requirements of
Network Rail’s corporate objectives and the Network Rail asset management
policy.
The defined outputs for electrification and plant assets are:

• to achieve 28% improvement in performance by the end of control
period 4 compared to 2006/07, as measured by the number of
incidents caused by failures of overhead lines or conductor rails that
result in train performance delays in excess of 500 minutes
• to ensure that signalling power supply failures that result in train
performance delays are managed to support the achievement of our
train reliability targets (70 failures over 500 delay minutes in CP4)
• to improve the remaining life of electrification distribution assets
• to maintain existing capability (and capacity) except where changes
are initiated by modified by network requirements
We will pursue opportunities to enhance the value of a route where proposed

As part of our whole life cost evaluation we consider the likely change in operating
environment resulting from climate change and how this may impact upon the
performance of the asset.

2.1 Approximately 40% of the rail network is electrified and 60% of all rail
traffic is electric powered. Three distinct electrification types are employed:
25kV AC overhead electrification (64%), 660/750V DC conductor rail
electrification (36%) and 1500V DC overhead electrification (<1%).
2.2 The main electrification and plant assets are:

• Overhead Line Equipment (OLE)
• High Voltage (HV) switchgear
• Grid supply points
• Cables
• Transformers (power and booster)
• DC Low Voltage (LV) switchgear
• Transformer rectifiers
• Conductor rail
• Supervisory control and data acquisition (SCADA) systems
• Point heater power supplies
• Signalling power supplies
• Non traction High Voltage distribution systems
Page 343 of 470

• Major plant installations (e.g. moving bridges or pumping

installations)
• Portfolio of small plant installations
2.3 Overhead line equipment
Overhead line equipment (OLE) can be described as the arrangement of

wires suspended over the railway line for supplying electricity to electric
trains. Its main purpose is to enable safe and reliable transfer of electric
current to a roof mounted pantograph, which makes sliding contact with
the contact wire.
2.4 High Voltage switchgear
The supply of electrical traction power to DC electrification systems is

derived from the utility supply systems at typically 33 kV 3-phase AC. HV
switchgear is used to control incoming and outgoing connections to each
substation and the local transformer rectifier.
25kV overhead line electrification uses single phase HV switchgear to

section the OLE.
2.5 Grid supply points
The supply of electrical traction power to the electrification systems is

derived from the utility supply systems or the National Grid at typically 33
kV 3-phase AC for DC electrification and 25kV AC for classic AC
electrification.
2.6 Cables
High voltage cables are used as the transmission medium for power
between
supply points and loads. Different cable types are used dependent upon
the application.
Low voltage cables are used for DC electrification and for earthing and
bonding.
2.7 Transformers (power and booster)
Power transformers are used to change the distribution voltages within the
network to levels appropriate for the supply of electric traction or auxiliary
loads.
Booster transformers are used to improve the effectiveness of the traction
return current path.
2.8 DC Low Voltage switchgear
DC LV switchgear is used on DC electrified lines to distribute power to the

conductor rail. DC LV switchgear is also used at locations between
substations known as Track Paralleling Huts to parallel supplies from
adjacent substations which then provide increased voltage to trains and
improved fault protection. This switchgear typically operates at 750V DC.
Page 344 of 470

2.9 Transformer rectifiers
The supply of electrical traction power to third rail DC systems is derived

from the utility supply systems at typically 33 kV 3-phase AC. This supply
must be transformed to a lower voltage using a transformer and rectified to
DC using a multi-phase rectifier. Since these two components work
together and are often built as one module, they are conventionally treated
as a set. Typically these transform from 33kV AC to 750V 12 pulse DC.
2.10 Conductor rail
The main purpose of the DC conductor rail is to enable safe and efficient
transfer of electric current to a train mounted collector shoe which makes
sliding contact with the top surface of the conductor rail.
2.11 SCADA
The supervisory control and data acquisition (SCADA) system remotely

controls electrical distribution equipment within substations and other
locations from an electrical control room.
2.12 Points heating
Electric and gas heating of switches and crossings is provided to ensure

their correct operation during the winter months.
2.13 Signalling power supplies
High integrity power supplies are provided for signal control centres and
trackside signalling equipment.
2.14 Non traction High Voltage distribution systems
High Voltage (greater than 1000V AC) distribution systems form part of the
power distribution to major installations such as stations and depots,
connecting the local utility supply to Network Rail electrical loads.
2.15 Major plant installations
Major plant installations such as pumping systems and moving bridges are
provided to support operations.
2.16 Portfolio of small plant installations
A portfolio of small plant installations such as lighting and tunnel

ventilation is also provided to support operations.
The number or volume of assets in a range of categories is given in the

following table:
Page 345 of 470


Overhead Line Equipment 25kV 7813 Single Track Km
1500V 38 Single Track Km
HV single phase switchgear Oil filled indoor 595
for 25 kV AC traction Vacuum indoor 828
supplies SMOS 302
Two pole for 106
autotransformer
connection
HV three phase switchgear Oil filled indoor 511
for DC traction supplies Oil filled outdoor 306
SF6/GIS 525
Vacuum 353
Cables (AC and DC) DC electrification HV 1811 Km
cables
Transformer/Rectifier 570
DC LV Switchgear 4149
DC conductor rail 4386 Single Track Km
Point heating 16479
25kV Switchgear/HV SCADA Remote 1050
Switchgear (3 phase) - terminal units
Electrification
Signalling supply point PSPs 4097
3 Policy Statements
Figure 2 Policy Statements for E&P assets

E&P-1 Assets shall be subject to appropriate inspection and
maintenance regimes designed to provide the required level of
service at minimum whole life cost or within affordability
constraints.
E&P-2 Assets shall be replaced with the least whole life cost solution
that will meet the performance requirements for the relevant
route or within affordability constraints.
Overhead line equipment (OLE)
E&P-3 New constructions of OLE shall be subjected to a sampled
initial inspection regime after 1 year in service. Where
necessary, provision shall be made for primary creep
adjustments and rectification of defects during the first three
years of service life.
E&P-4 All OLE components shall be inspected at regular intervals
which depend on their design and usage.
E&P-5 Asset condition shall be periodically assessed using data
collated via the routine maintenance regime.
E&P-6 Asset performance shall be periodically assessed using
incident/investigation reports collated via the routine
maintenance regime
E&P-7 Emerging design weaknesses/defects in OLE
components/designs shall be removed, by means of ‘campaign
changes’ or route specific initiatives to determine the defined
Page 346 of 470
outputs
E&P-8 All existing justified campaign changes shall be implemented
by the end of control period 4.
E&P-9 Major renewals of the structures, foundations, wiring,
components and contact wire shall be made after a service life
of typically 80 to 140 years.
E&P-10 Contact wire shall be programmed for renewal, when its factor
of safety reduces to below 2.0 and must not remain in service
below 1.5.
E&P-11 Cadmium Copper (CuCd) contact wire requiring renewal shall
be replaced with Copper tin (CuSn).
Copper silver (CuAg) can be justified in areas subjected to

high electrical loading and copper magnesium in areas of very
heavy traffic density.
E&P-12 Porcelain insulators that have an impact on safety or
performance shall be replaced on renewal/refurbishment with
polymeric alternatives.
E&P-13 OLE system design shall minimise the use of bi-metallic
interfaces in electrical connections.
E&P-14 Cross contact assemblies shall not be used on new OLE
systems designed for use at speeds exceeding 100mph.
E&P-15 Carrier wire type neutral sections shall be used on new OLE
systems designed for use at speeds exceeding 125mph.
E&P-16 Changing climatic conditions shall be taken into account in
new equipment designs.
E&P-17 Conductor materials known to exhibit low rates of mechanical
creep shall be used in new OLE systems where maintenance
access is limited.
E&P-18 Anti-fall balance weights shall be used in new OLE system
designs or where tensioning devices are renewed.
High voltage switchgear
E&P-19 No oil filled HV Switchgear to existing designs shall be in
service for more than 60 years
E&P-20 Oil filled switchgear shall be replaced with air or gas insulated
switchgear located indoors. The switchgear shall use vacuum
interrupters.
E&P-21 Vacuum interrupters shall be replaced between the age of 33
and 37 years.
E&P-22 SMOS switchgear shall be refurbished, or replaced, between
the age of 15 and 20 years, like-for-like, with modern
equivalent.
E&P-23 SMOS switchgear shall be replaced with indoor air or gas
insulated switchgear after three like for like renewals. This is to
align with the renewal of the supporting structures. The
switchgear shall use vacuum interrupters.
E&P-24 SF6/GIS/Vacuum switchgear shall be refurbished after 25
years service, with replacements depending on condition,
within the existing building. The switchgear shall use vacuum
interrupters. At the next replacement, the building shall be
replaced with modern equivalent.
HV cables
E&P-25 If an oil leak occurs on oil-filled cable due to the condition of a
cable, then the cable shall be repaired and planned for renewal
E&P-26 Oil filled cables and other three phase power cables shall be
Page 347 of 470
replaced with XLPE type

E&P-27 Pilot and auxiliary cables shall be replaced with solid
polyethylene insulated multicore cables with the corresponding
number of cores
E&P-28 Where economical cable routes shall be refurbished and
reused
E&P-29 No oil filled cable shall have a service life greater than 60
years
DC LV cables
E&P-30 DC cable shall be renewed at the age of 35 years
E&P-31 Where economical cable routes shall be refurbished and
reused
Booster transformers
E&P-32 Booster transformer shall be renewed at the age of 35 years.
E&P-33 Booster transformers shall be replaced with oil filled structure
mounted transformers.
Transformer/rectifiers
E&P-34 No transformer to existing designs shall have a service life
greater than 60 years
E&P-35 Oil filled transformers shall be replaced with oil filled multi-
phase transformers located outside, with the associated
rectifiers located indoors. The set shall be arranged to give 12
pulse rectification.
E&P-36 Sub-surface (indoor) transformers shall be replaced with dry
type multi-phase transformers with the associated rectifiers
located indoors. The set shall be arranged to give 12 pulse
rectification.
Protection relays
E&P-37 Protection relays shall be replaced with modern electronic,
microprocessor controlled relays.
E&P-38 Protection relays shall be replaced typically at 25 years and
then when switchgear is renewed
Conductor rail
E&P-39 Conductor rail, including support insulators, shall be renewed
when rail resistance has increased to unacceptable levels.
E&P-40 On renewal, frequently used rail-mounted track feeder hook
switches shall be replaced with track isolating switches located
in ‘Green Zone’ wherever reasonably practicable.
E&P-41 GRP support insulators shall be used in preference to
porcelain in wet/polluted/tunnel environments and elsewhere
when cost effective.
E&P-42 Steel shall remain the preferred material for conductor rails in
areas of heavy traffic
E&P-43 Aluminium/steel composite (ASC) conductor rail shall only be
used in areas of light traffic where it is the most appropriate
solution
E&P-44 Top contact DC conductor rail shall not be used for new green
field electrification schemes, except to extend existing DC
conductor rail networks.
E&P-45 Bare conductor ‘trolley wires’ shall not be used in depots.
SCADA
E&P-46 SCADA master stations shall be subject to a regime of regular
inspection and maintenance, with remote diagnostic checks
carried out between inspections
E&P-47 Remote terminal units shall have routine planned inspections
Page 348 of 470
but not planned maintenance since each is equipped with self

diagnostics and fault reporting
E&P-48 SCADA servers shall be replaced after 15 years service life
E&P-49 Remote terminal units shall be replaced after 20 years service
life or when additional remote terminal unit functionality is
deemed necessary
E&P-50 The SCADA architecture and protocols shall be “open” for
compatibility between different suppliers systems and shall
provide sufficient capacity to allow expansion.
Points heating
E&P-51 Points heating shall be inspected at the start and during the
annual heating season
E&P-52 Strip heaters shall be replaced like-for-like with modern
equivalent
E&P-53 Pad/Cartridge points heating shall be renewed with strip
heaters.
E&P-54 Gas point heating shall be renewed with electric strips when
this is the lowest whole life cost solution
Signalling power supplies
E&P-55 All signalling power supply equipment shall be replaced to
meet either the new loads presented by major re-signalling
work or to ensure that performance is not restricted by the
asset condition
E&P-56 Traction derived signalling supply points shall be used in
electrified areas when this is the lowest whole life cost solution
E&P-57 All components of a signalling power supply system shall be
replaced with like-for-like (modern equivalent) subject to their
need
E&P-58 LV cables shall be replaced with commercial off the shelf
products
HV distribution systems
E&P-59 Non-traction HV systems shall be replaced when their
condition falls below acceptable limits. The service life of 60
years shall not be exceeded.
E&P-60 Oil filled switchgear shall be prioritised for replacement over
non oil filled switchgear.
E&P-61 Non traction HV switchgear shall be replaced with modern
equivalent extensible switchgear, using either SF6 or vacuum
as the arc interruption medium
E&P-62 HV cables shall be replaced by XLPE cables
E&P-63 Distribution transformers shall be replaced like for like with a
modern equivalent
E&P-64 Oil filled transformers shall only be replaced by dry type
transformers where it can be justified on environmental
grounds
E&P-65 At the time of replacement, system loading shall be considered
to determine whether a low voltage solution may have the
lowest life cycle cost.
Page 349 of 470

Electrification and Plant policy justification
Document control
File name
Location
Status Issue 1
Author Electrification and Plant Engineering team
Name Signature Date
Kevin Lydford
Head of
Electrification and
Plant Engineering
Gareth Jenkins
Head of Business
Engineering
Andrew
McNaughton
Chief Engineer

Page 350 of 470

1 General
1.1 Introduction
The E&P asset policy sets out the inspection, maintenance and renewal policy
statements that are in place to deliver the required network and route outputs.
E&P assets are designed, constructed, inspected, maintained and replaced in
accordance with the policy.
underpin these policy decisions, in particular, to provide quantitative evidence to
support the principal cost drivers. Issues addressed include:
• the determination of the optimum balance between inspection,
The following policy statements apply to all electrification and plant assets except
where specific exceptions are identified.
Figure 1 E&P – General policy statements

E&P-1 Assets shall be subject to appropriate inspection and maintenance regimes
designed to provide the required level of service at minimum whole life cost or
within affordability constraints.
E&P-2 Assets shall be replaced with the least whole life cost solution that will meet the
performance requirements for the relevant route or within affordability constraints.
1.4 Brief description of the purpose of the E&P Assets
Electrification and plant assets provide the electrical power needed to operate the
railway system, supplying both the electricity needed for the operation of electric
trains and that needed for signalling and domestic purposes.
Electrification and plant assets comprise:

• Overhead Line Equipment (OLE)
• High Voltage (HV) switchgear
• Grid supply points
• AC Cables (Traction and non-traction)
• DC cables (DC traction)
• Booster transformers
• Auto transformers
• Harmonic dampers
• DC Low Voltage (LV) switchgear
• Transformer rectifiers
• Power System Protection relays
• Conductor rail and electric traction equipment (ETE)
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• Supervisory control and data acquisition (SCADA) systems for AC and DC

electrification
• Point heater power supplies
• Signalling power supplies (HV and LV)
• Non traction High Voltage (HV) distribution systems
• Major plant installations (e.g. moving bridges or tunnel pumping
installations)
• Portfolio of small plant installations (compressed air systems
Electrification and plant assets generally last for decades and, once initial post-
installation failures have passed, have slow deterioration rates. Many assets
associated with the provision of power to electric trains have been in existence
since the time of initial railway electrification.
1.5 Failure modes and risks
The failure modes of electrification and plant assets vary according to the type of
asset, and are therefore described in each section. However, there are some
failure modes that are common to most electrification and plant assets:
• mechanical failure as a result of wear of moving components
• mechanical failure as a result of corrosion
• failure of the electrical insulation caused as a result of degradation
• damage due to severe weather conditions such as wind and gales, ice
accretion, lightning etc
• failures as a result of poor quality of design and construction
Failures of electrification and plant assets can cause a loss of electrical power
resulting in:
• delay and cancellation of trains (electric and non-electric)
• loss of control of signalling and points systems, leading to delay and
cancellation of all types of trains
• loss of points heating, leading to delay and cancellation of trains in winter
• loss of ancillary systems such as customer information systems and
surveillance CCTV
• increased cost of remedial work (extra inspections or examinations)
• failure to meet regulatory targets for asset condition and performance
(ASI)
• reduced route capability (e.g. Temporary Speed Restrictions), and failure
to meet train service contractual commitments
• Risk of electric shock, burns and death from contact with exposed live
electrical equipment
• Explosion and catastrophic failure of oil-filled electrical distribution assets
(switchgear and transformers), following disruptive fault resulting in
damage/injury to people or property
• in extreme cases, route closure
Where it is cost effective to do so, these risks are mitigated by providing a degree
of redundancy in the system design, which allows services to be maintained even
with the failure of one component. However, if this situation is allowed to exist for
an extended period it can put a greater load on adjacent assets accelerating their
degradation.
Page 352 of 470

1.7 Risk management

• An E&P asset inspection and maintenance regime based on safety and
commercial risk, deterioration rates, anticipated failure modes and
identification of work needed so that, as far as possible, it can be carried
out in a planned and efficient way
• An E&P asset replacement regime which uses a set of condition based
replacement criteria, which enables us to balance the cost of
maintenance and renewal with the business impact as a result of failure
• Technical investigations to identify and understand root cause of specific
E&P failures
1.7.1 Inspection and maintenance criteria and type
The key elements of the inspection and maintenance regime are:

• inspections by linesmen and fitters to identify any immediate or short term
actions required
• inspections by engineers and supervisors to review condition, trends, work
sufficiency, proposals for renewal work, and check the quality and
effectiveness of inspection, maintenance and renewal regimes
• inspection driven maintenance to address issues resulting from asset
inspection
• fixed interval (preventive) maintenance regimes to address monitored and
• wherever possible, the definition of criteria that identify when the asset
should be repaired or replaced
The inspection frequencies have been chosen to balance the cost of these
inspections with the cost to the business of asset degradation that would lead to
service disruption.
Electrification and plant assets are replaced when the risk of failure becomes
unacceptable in terms of safety, performance, economic or reputation impact. The
majority are replaced due to their condition, as identified during inspection, fixed
interval and inspection driven maintenance.
.
If during inspection, fixed interval and inspection driven maintenance a higher
than normal level of overhaul is needed to restore the asset to satisfactory
condition then replacement shall be considered.
Generally we aim to identify assets as needing replacement sufficiently early that

there is time to plan their efficient replacement and make the arrangements for
any possessions needed before their performance or condition has degraded to
an unacceptable level.
Where replacement of any asset is necessary this is selected on the basis of the
least whole life cost solution that will meet the performance requirements for the
relevant route.
Renewal criteria are defined for each route type, in the following sections,
together with the specification for replacement assets.
Page 353 of 470

life of each type of asset is based on our experience of how long the assets last in
practice before their performance deteriorates to an unacceptable level or the risk
of failure becomes too great.
Procedures
The selection of the policy for electrification and plant assets is based on lowest
whole life costs and has not, in general, been constrained. Any specific
constraints are identified in the section relating to specific assets.
The work volumes (and therefore the spend levels) that result from following the
policies in this document are considered to be deliverable.
1.10 Critical assets and robustness of justifications

position where key aspects of our E&P management regimes are, where
appropriate, supported by better justifications. As this represents an extensive
exercise we have prioritised our actions based upon CP4 expenditure forecasts
and the safety or performance impact of premature asset failure. For E&P these
“critical assets” cover overhead line equipment.
Figure 2 Key cost drivers for critical assets

Asset Sub Asset Intervention
Overhead Line OLE wire run Non Intrusive Inspection
Equipment for Traction
Supply Intrusive Inspection
Defect Management inc Rapid

Response
Contact wire renewal
Campaign changes
OLE structure Inspection (Civils responsibility)
Structure refurbishment/painting
Sectioning devices Routine cleaning & overhaul
All key interventions on E&P critical assets are now supported by appropriate
justification.
Page 354 of 470

The intention of this policy is to maintain the average condition level across the
network of our electrification and plant assets to support Network outputs through
CP4
2 Overhead Line Equipment

2.1 OLE asset policies
Our maintenance policies for OLE are the same as our general electrification and
plant policies with the addition that:
Figure 3 Inspection and Maintenance Policies for OLE

Policy OLECategory (for definition please see Figure 7)
Number
Category 1 Category 2 Category 3
E&P-3 New constructions of OLE shall be subjected to a sampled initial inspection
regime after 1 year in service. Where necessary, provision shall be made for
primary creep adjustments and rectification of defects during the first three
years of service life.
E&P-4 All OLE components shall be inspected at regular intervals which depend on
their design and usage.
E&P-5 Asset condition shall be periodically assessed using data collated via the
routine maintenance regime.
E&P-6 Asset performance shall be periodically assessed using incident/investigation
reports collated via the routine maintenance regime
Our renewal policies for OLE are the same as our general electrification and plant
policies with the following additions:
Figure 4 Replacement Policy Statements for OLE

Policy Category 1 Category 2 Category 3
Number
E&P-7 Emerging design weaknesses/defects in OLE components/designs shall be
removed, by means of ‘campaign changes’ or route specific initiatives to determine
the define outputs.
E&P-8 All existing justified campaign changes shall be implemented by the end of control
period 4.
E&P-9 Major renewals of the structures, foundations, wiring, components and contact wire
shall be made after a service life of typically 80 to 140 years.
E&P-10 Contact wire shall be programmed for renewal, when its factor of safety reduces to
below 2.0 and must not remain in service below 1.5.
E&P-11 Cadmium Copper (CuCd) contact wire requiring renewal shall be replaced with
Copper tin (CuSn).
Copper silver (CuAg) can be justified in areas subjected to high electrical loading
and copper magnesium in areas of very heavy traffic density.
E&P-12 Porcelain insulators that have an impact safety or performance shall be replaced on
renewal/refurbishment with polymeric alternatives.
E&P-13 OLE system design shall minimise the use of bi-metallic interfaces in electrical
connections.
E&P-14 Cross contact assemblies shall not be used on new OLE systems designed for use
Page 355 of 470

at speeds exceeding 100mph.

E&P-15 Carrier wire type neutral sections shall be used on new OLE systems designed for
use at speeds exceeding 125mph.
E&P-16 Changing climatic conditions shall be taken into account in new equipment designs.
E&P-17 Conductor materials known to exhibit low rates of mechanical creep shall be used in
new OLE systems where maintenance access is limited.
E&P-18 Anti-fall balance weights shall be used in new OLE system designs or where
tensioning devices are renewed.
2.2 Brief description of the purpose of OLE

Overhead line equipment (OLE) can be described as the arrangement of wires
suspended over the railway line for supplying electricity to electric trains.
Its main purpose is to enable safe and reliable transfer of electric current to a roof
mounted pantograph, which makes sliding contact with the contact wire.
Overhead Line Equipment comprises the following sub systems:
• Supporting structures (foundations and steelwork)

• Small part steelwork (SPS)
• Support and registration assemblies (cantilever frames, registration arms,
u/b arms, insulators, knuckles and associated fittings)
• Wiring (catenary, auxiliary catenary, contact wire, droppers tensioning
devices and associated fittings)
• Sectioning and phase separation devices (Neutral sections and Section
Insulators)
• Other conductors (Return Conductors, Earth Wires, bare feeds, support
insulators and associated fittings)
• Across track components (insulators and fittings)
• Along track components (potential equalizing jumpers)
• Switching (Motorised and manual isolators)
• Earthing and bonding
Figure 5 Population of OLE by Voltage

Overhead Line Equipment 25kV AC 8018 Single Track Km
1500V DC 38 Single Track Km
As described in section 1.5, asset degradation is a result of the passage of

electric train services and environmental factors (wind, rain, temperature
extremes, ice and snow). The table below summarises these degradation
characteristics, their impact and predictability, and possible mitigation measures.
Page 356 of 470

Figure 6 Business risk for OLE

Asset Degradation and key Impact Predictability Possible
driver of defect or mitigation
rate
Contact and wear of the contact These High Cannot be
catenary wire caused by the factors lead repaired wholesale
wire passage of electric to a so mitigation must
trains leading to degradation be replacement at
mechanical failure of the OLE end of predicted
wear of individual which can Low life. Can replace
component parts of the cause smaller sections
contact wire supporting significant during lifetime
mechanism leading to train delays.
mechanical failure See also
Support and ageing of the electrical section 1.6 Low Replacement of
registration insulation causing individual
electrical failure insulation as a
result of inspection
or automatic trip of
circuit
Structures corrosion of supporting Low Repair of
structures leading to individual structure
loss of strength and as a result of
ultimately collapse inspection
All damage due to severe Low Design of system
components weather conditions to allow for climatic
such as wind and conditions. Use of
gales, ice accretion etc up to the minute
weather reports to
reduce impact of
severe weather.
poor quality of design High Assessment of
and construction design
leading to mechanical competency of
or electrical failure OLE consultants
Inappropriate and regime of
modifications leading infant mortality
to mechanical or checks after first
electrical failure year in service

For all OLE components other than the long term wearing out of contact wire,
degradation rate is complex and not easily predictable, hence we operate an
inspection led maintenance regime. Our understanding of the cause and impact
of this degradation allows us to optimise these inspection regimes and carry out
the most effective remedial action to prevent premature failure of the asset. For
contact wire and catenary wire, repair and maintenance, other than small scale,
localised replacement, is not possible, hence total renewal by wire run/tension
length is the only option.
We manage these risks by a programme of inspection and maintenance that
minimises the whole-life cost of managing these assets and ensures that
components are identified for replacement with sufficient lead time to minimise the
risk of complete asset failure.
Page 357 of 470

The main purpose for OLE inspection and maintenance is to preserve system
safety as required by the Electricity at Work regulations 1989 and to support the
delivery of the specified route reliability and availability targets aligned with the
ASI. This is achieved by a cyclic regime of inspection/maintenance tasks and
prioritised defect removal.
Inspection activities comprise:
• non-intrusive inspection/test from track level.
• high level intrusive inspection under possession and isolation.
• dynamic recording of OLE current collection quality using on train
instrumentation
Maintenance activities comprise:
• prioritisation and removal of defects (Inspection lead maintenance)
• fixed interval maintenance tasks on discrete items.
• Rapid response to asset failures and failure rectification
• Asset condition assessment and reporting in accordance with
NR/WI/ELP/27237, Module NR OLE B13
Inspection and fixed interval maintenance frequencies are evaluated using a
process of cost versus risk optimisation which takes into account factors such as:
• System design
• wear factors/time to failure
• failure modes and effects
• cost and performance impact of intervention tasks such as rapid response
and repair time
• Engineering Access
In addition, new OLE construction shall be subjected to a sampled initial
inspection regime after 1 year in service. This maintenance inspection normally
exposes construction delivery errors which will lead to premature failure.
Rectification work is then planned accordingly.
Each electrified line is assigned a category based on usage and line speed and
the full list of maintenance activities, including frequencies and by category, are
documented within NR/SP/ELP/21087 Specification of maintenance frequency
and defect prioritisation of 25kV overhead line electrification equipment and have
been justified from comprehensive studies based from E&P MACRO Roll-out
Project report Ref W010-222-EG-REP-005006 E&P MACRO Frequency
Summary Document Version 1, July 2005.
Figure 7 OLE category (current) definition

Category Explanation
1 Pantograph passages > 150 per day and linespeed > 115 mph
2 Pantograph passages between 50 and 150 per day and linespeed <
115 mph or pantograph passages <50 per day and linespeed between
75 and 115 mph
3 Pantograph passages < 50 day and linespeed < 75 mph
There are 3 main classifications of renewal:

1) campaign changes
2) contact wire renewal
3) full system renewal including wiring, support and registration foundations
and structures
Page 358 of 470

As further information on OLE asset condition becomes available through the

maintenance inspection regime, the predictability of forecasting rates degradation
will improve hence the balance between inspection led and fixed interval
2.5.2 Inspection
safety or performance risk on the route. Inspection frequencies are
commensurate with the OLE category.
The table below shows current most significant OLE inspection frequencies.
There is a large variation at present which we are in the process of standardising
through revision of NR/SP/ELP/21087 Specification of maintenance frequency
and defect prioritisation of 25kV overhead line electrification.
Justification to implement standard frequencies dependent on line category and
OLE type has been obtained via a full study of ‘failure modes and effects’ and
cost versus risk optimisation which is documented in E&P MACRO Roll-out
Project Ref W010-222-EG-REP-005006 E&P MACRO Frequency Summary
Document – Version 1, July 2005.
Figure 8 Most Significant Inspection Frequencies for OLE

Activity Frequency
Sampled initial failure After one year of service running.
check
Non intrusive ground level Every 4 to 13 weeks dependent on OLE type and category
inspection
Non intrusive ground level Annual
inspection (manager or
supervisor)
Inspection (cab patrol) Every 1 to 2 weeks (seasonal)
Inspection (dynamic Every 6 months to 2 years dependent on OLE category
recording, Mentor)
Non intrusive asset 4% of asset assessed annually
condition assessment
Inspection analysis Every 3 to 65 years dependent on OLE category
(Contact/catenary wire
geometry)
High level intrusive Every 3 to 65 years dependent on OLE category
inspection
Inspection of OLE structures by Maintenance is included above and condition

rating is undertaken in accordance with NR/WI/ELP/27237 Module NR OLE B06,
and this is supplemented by feedback from the Structures Engineer
The majority of OLE maintenance work is driven by routine inspection, dealing
with defects which, if left, would impact on the performance or safety of the line.
Page 359 of 470

Figure 9 Fixed interval Painting for OLE

Asset Activity
OLE structure Subject to condition assessment, the paint, or
other protective coating, on the structures
supporting OLE is maintained by patch painting
when the structures reach 40 and 60 years
In areas identified which suffer from particular
corrosion problems specific asset management
regimes will be applied
Foundation cap repair
Safety inspection of OLE structures is carried out by Maintenance as part of the

normal inspection regime.
Safety condition assessment of structures is carried out by the Director, Civil
Engineering
Policy for painting and protective treatments of all structures (including OLE) is
owned by the Director, Civil Engineering. The type of protective treatment applied
to OLE structures depends on the structure type, local pollution levels, and rate of
corrosion (which is a function of local geography). It has been established that
corrosion of hot-dipped galvanised structural steelwork is particularly sensitive to
the presence of Sulphur Dioxide in the atmosphere, or exposure to salt spray next
to coast.
In general, those OLE structures installed before 1968 employed welded angle, or
welded rod construction, and those installed post 1968 employed Universal
Column (UC) and Double Channel (DC) structural steel sections, and the painting
and protective coating regime needs to be adapted to suit.
2.6 Replacement
2.6.1 Criteria
Renewal of OLE assets will normally follow a life cycle model as shown below.
OLE system designs installed in the UK are separated into 4 generic families:
1) Pre 1953
2) Pre 1968
3) Post 1968
4) UK1 (WCML)
Because each type of OLE system has slightly different failure modes, each
family follows a different lifecycle model with different timescale parameters
applied to the various renewal activities. These timescale parameters are further
affected by the level of asset usage and hence for each family there is a separate
life cycle model for each category of operation (Cat1, Cat2 or Cat3). Therefore
there are 12 specific variants of the lifecycle model applied in total. The life cycle
reflects the outcome of the business case analysis of each of the campaign
changes
Key campaign changes have been identified and prioritised for delivery by the end
of CP4 (Campaign Change programme No 1)
Page 360 of 470

Typical OLE life cycle
Complete renew al
Contact including
w ire renew al structures
and campaign 2
Campaign 1
To be completed
w ithin 5 years Emerging
Emerging
Early campaign
campaign
w ork changes
changes
0 10 20 30 40 50 60 70 80 90 100
Current age Years since installation
Figure 10 Typical Life Cycle for OLE (Pre 1953, ex DC design family)
Usage Phased Activity From Year To Year
Light Initial work 0 3
(Category 3) Campaign 1 Within 5 years by 2013/14
Contact Wire renewal N/A N/A
Campaign 2 80 90
Full Renewal 135 140
Medium Initial work 0 3
Contact Wire renewal 85 90
Campaign 2 110 115
Heavy Initial work 0 3
Campaign 2 60 65
Figure 11 Typical Life Cycle for OLE (Pre 1968, eg Mk1 design family)
Usage Phased activity From year To year
Campaign 2 85 95

Campaign 2 75 80

Page 361 of 470
Campaign 2 55 60
Figure 12 Typical Life Cycle for OLE (Post 1968, eg Mk 3 design family)
Usage Phased Activity From Year To Year
(Category 3) Campaign 1 Within 5 years By 2013/14
Campaign 2 75 85

Campaign 2 80 85

Campaign 2 60 65
Full Renewal 85 90
Campaign Changes
Each individual ‘campaign change’ item represents a component part of the
system or inherent design flaw proven to lead to premature failure thereby
causing unacceptable operating delays. There are currently 70 approved
‘campaign changes’ which are equipment type and route specific as premature
failure trends can be quite different for each generic design of OLE and
operational environment. Individual ‘campaign changes’ can be grouped together
and implemented as a specific project package or alternatively delivered via the
routine maintenance regime.
Before each campaign change is approved, the following steps are taken:
• asset failure history and impact of failures on train delay is assessed
• a cost benefit analysis is undertaken to determine most appropriate
course of action
• where warranted a campaign change programme is developed
As part of the asset management policy improvement plan, it was identified that
the robustness of justifications for OLE renewals relating to campaign changes
needed to be improved
Campaign changes are defined as specific initiatives which will be delivered as a
managed renewal programme outwith normal maintenance defect removal
activities. The list of campaign changes is included in Appendix A
A series of work shops were held with key stakeholders from Engineering &
Maintenance to review the existing list of campaign changes. The workshops
identified the costs and benefits of implementing each of the 70 campaign
changes using a Network Rail approved business case methodology
i. Costs – total cost to implement each campaign change (design,
construction, testing, commissioning & hand back)
ii. Benefits – including maintenance efficiency, renewals efficiency,
performance, reputation and safety benefits
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iii. Identifying those campaign changes where the business case for
implementation is robust
The cost benefit analysis (reference 4) identified that there were business benefits
in completing 26 of the campaign changes as early as possible and the ICM has
been updated to reflect delivery by the end of CP4. The updated policy has been
route differentiated using the OLE Categories (1, 2, & 3) and other campaign
changes with no business case have been deleted from our immediate plans.
Due to the acceleration of campaign changes, the revised policy has resulted in
increase of electrification expenditure over CP4 of £48m (06/07 prices, post
efficiency).The savings associated with these 26 changes are estimated as £37m
(NPV over the next 20 years) which includes a reduction per annum of 19
incidents and 26000 train delay minutes.
The assumptions used in the analysis are
• Unit costs for campaign change activities have been validated by
Infrastructure Investment in accordance with ICM
• The Business Case assumes a Discount Rate of 6.5% which is in accordance
with Investment Regulations (IR01 and IR02)
• Only those campaign changes showing a positive NPV within 20 years have
been included in the policy
• Schedule 8 costs have been estimated based on OLE category and criticality
• Campaign changes will be delivered by Infrastructure Investment rather than
Maintenance
Contact wire renewal

As the mechanical factor of safety reduces, there is an increase in risk that the
contact wire will break under normal operating tension. The rate of loss of cross
sectional area is dependent on OLE equipment design, line speed, traction
current and number of pantograph passages. To minimise the risk of failure the
contact wire shall be planned for renewal when the loss of cross sectional area
reduces its factor of safety to the value of 2.0 and no contact wire should be
allowed to remain in service if its factor of safety reduces to below 1.5. This
represents a minimum requirement to accommodate variations in tension due to
friction and work activities
Contact wire may be renewed prematurely where cost effective in cases where
disruptive possession access is required to deliver other campaign change work
concurrently and to minimise the need for future disruptive access within the
whole lifecycle of the OLE.
The criteria for replacement of contact wire ranges between at 33% and 50%
wear depending on OLE type based on reduction in cross-section. This has been
researched using measured wear data and peer review of railway electro
technical standards (Euro norms), produced and published by CENELEC and
British Standards Institute. The analysis of wear data has shown that, based on
current wear data, the remaining life of all contact wires can be extended by 10
years with an estimated saving £25m in present value.
Full system renewal
The dominant driver for major re-electrification renewals (steelwork, foundations,
wiring and other components) is the condition of main steelwork and foundations.
Based on our experience and benchmarking with an UK electricity supply utility,
steel structures are predicted to have a service life of between 80 and 140 years
under normal conditions, dependent on equipment type and environmental
conditions, and subject to a managed painting and protective coating regime.
Page 363 of 470

Complete structure renewal may also coincide with the requirement to renew
contact wire for a second time. The affect of DC corrosion needs to be considered
on a case by case basis and appropriate design mitigations applied.
Condition data and current experience show that corrosion and erosion to main
structural steelwork will lead to a reduction in factor of safety and increase risk of
steelwork failures.
We do not enhance existing fixed termination (FT) equipment by conversion to
auto tensioned (AT) when contact wire is due for renewal as this requires a
completely revised system design, additional structures and significant disruptive
possession access for installation. For full system renewal, AT will be specified.
OLE will be procured against relevant European and Network Rail specifications
• TSI Energy (for notified Major Projects on Interoperable Routes)
• Network Rail Overhead Line Master Index (OLEMI) or other specified
system and basic design
• Relevant Euro norms (BS EN 50119, BS EN 50149)
Taking into account

• Nature and extent of refurbishment and replacement (minor works or
major works)
• Route classification (TENS route) – Category I, II or III
• Line speed and speed ranges
• Type of electric stock and configuration (e.g. EMU 4 car, 8 car)
• Type of pantograph and train configuration
• Pantograph passages (pantographs/day)
• Route geography (stations, over bridges and tunnels)
• Track access agreement (Rules of Route Possessions)
• RAM target for Route (wind, rain, pollution, temperature extremes)

The performance of the asset is monitored each period using >500 minute delay
incidents as a measure. This is used as part of the suite of Asset Stewardship
Indicators (ORR Asset Reporting Measure M11)
We monitor and report OLE asset condition through Ellipse using an appropriate
and representative annual sample of tension lengths (ORR Asset Reporting
Measure M15). The current process provides 4% coverage of the OLE assets
each year. The objective is to provide coverage of 50% of the OLE assets each
year, so that the asset condition for each tension length will be updated every 2
years
We monitor the quantity and type of defects in the OLE system identified by
Maintenance through routine inspection using Ellipse, supported by train borne
geometry measurements from NMT and MENTOR.
We monitor the costs for key renewals elements and benchmark against the unit
cost baseline for CP4 to test and re validate and update our baseline whole life
cost assumptions as required within the constraints of affordability

The campaign change programme is front end loaded (there is a backlog), over
the current and next control periods and the effect of this has now been input to
ICMv2.
Page 364 of 470

The main deliverability constraints for OLE are

• track access, mitigated by longer planning horizons and programme to
achieve faster AC electrical isolation
• suppliers resources and competency, mitigated by Contracts and
Procurement building sustainable relationships with suppliers (design and
build).
For planning purposes, in order to align with a realistic deliverability strategy, the
forecasts for OLE renewals for each route section are based on the application of
the following life cycles:
Early Campaign changes A Contact wire renewal Campaign changes B Full renewal
Family Type Start End Start End Start End Start End Start End
Mark1 Cat 1 0 3 55 60 55 60 100 105
Mark1 Cat 2 0 3 75 80 75 80 135 140
Mark1 Cat 3 0 3 85 95 135 140
EX DC Cat 1 0 3 60 65 60 65 100 105
EX DC Cat 2 0 3 85 90 110 115 135 140
EX DC Cat 3 0 3 80 90 135 140
Within 5 years
Mark3 Cat 1 0 3 60 65 60 65 85 90
Mark3 Cat 2 0 3 80 85 80 85 115 120
Mark3 Cat 3 0 3 75 85 115 120
UK1 Cat 1 0 3 38 43 65 75 100 105
UK1 Cat 2 0 3 75 80 75 80 135 140
UK1 Cat 3 0 3 85 95 135 140
Figure 13, Planning Assumptions
Our inspection and maintenance forecasts are based on the inspection

frequencies described in the maintenance section.
The Policy supports steady state asset condition and performance through CP4,
based on the performance and emerging outturn for CP3 (ASII).

The maintenance and renewal policy for overhead line equipment complies with
the Network Rail asset management policy and all electrification and plant general
policies.
2.12 References
1. Network Rail Specification NR/SP/ELP/21087 Specification of

maintenance frequency and defect prioritisation of 25kV overhead line
electrification equipment, Issue 2, October 2005
2. E&P MACRO Roll-out Project Ref W010-222-EG-REP-005006 E&P
MACRO Frequency Summary Document - Version 1, July 2005.
3. “Analysis of Contact Wire Wear”, Network Rail report by Bryan, Hervy,
Wiles, September 2007,
4. ”OLE Campaign Changes Business Case Model” – Version 1, Network
Rail report by Hervy, Wiles, august 2007
5. “Justification for painting regime for OLE structures” Network Rail
report by N Snell, September 2007
Page 365 of 470

3 HV Switchgear
3.1 HV Switchgear asset policies
Our maintenance policies for HV switchgear are the same as our general
electrification and plant policies.
Our renewal policies for HV Switchgear are the same as our general electrification
and plant policies with the following additions:
Figure 14 Replacement Policy Statements for HV Switchgear

Policy Number All route types
E&P-19 No oil filled HV Switchgear to existing designs shall be in service for more than
60 years
E&P-20 Oil filled switchgear shall be replaced with air or gas insulated switchgear
located indoors. The switchgear shall use vacuum interrupters.
E&P-21 Vacuum interrupters shall be replaced between the age of 33 and 37 years.
E&P-22 SMOS switchgear shall be refurbished, or replaced, between the age of 15 and
20 years, like-for-like, with modern equivalent.
E&P-23 SMOS switchgear shall be replaced with indoor air or gas insulated switchgear
after three like for like renewals. This is to align with the renewal of the
supporting structures. The switchgear shall use vacuum interrupters.
E&P-24 SF6/GIS/Vacuum switchgear shall be refurbished after 25 years service, with
replacements depending on condition, within the existing building. The
switchgear shall use vacuum interrupters. At the next replacement, the
building shall be replaced with modern equivalent.
3.2 Brief description of the purpose of HV Switchgear

The supply of electrical traction power to the electrification systems is derived
from the utility supply systems at typically 33 kV 3-phase AC for DC electrification
and 25kV single phase AC for classic AC electrification. In the former, HV
switchgear is used to control incoming and outgoing connections to each
substation and the local transformer rectifier. In the latter, HV switchgear is used
to distribute supplies to contact systems and to create sectioning points along the
track. The switchgear can be mounted on structures at high level, enclosed in a
compound or located in various types of buildings (brick, mild steel modules,
stainless steel modules).
There are variations in the maintenance and renewal criteria between different
types of switchgear.
HV switchgear can be oil filled (indoor and outdoor), air/gas insulated vacuum
(indoor), or gas filled (indoor and structure mounted outdoor), the majority being
indoor oil filled. Structure Mounted Outdoor Switchgear is abbreviated to SMOS,
Gas Insulated Switchgear to GIS and Sulphur Hexafluoride referred to as SF6.
Figure 15 Population of HV Switchgear

HV single phase switchgear for Oil filled indoor 595
25 kV AC traction supplies Vacuum indoor 828
SMOS 302
Two pole for 106
Page 366 of 470
autotransformer
connection
HV three phase switchgear for Oil filled indoor 511
DC traction supplies (known as Oil filled outdoor 306
HVDC switchgear) SF6/GIS 525
Vacuum 353
25kV switchgear
160
140 Vacuum
SMOS
120
SF6/GIS
Oil Filled Outdoor
100
Oil Filled Indoor
80
60
40
20
0
1958
1960
1962
1964
1966
1972
1975
1978
1980
1982
1984
1986
1988
1990
1992
1994
1996
1998
2000
2002
2004
DC electrification - HV sw itchgear
400
Vacuum
350
SF6/GIS
Oil Filled Outdoor
300
Oil Filled Indoor
250
200
150
100
50
0
50
53
56
59
62
65
68
71
74
77
80
83
86
89
92
95
98
01
04
19
19
19
19
19
19
19
19
19
19
19
19
19
19
19
19
19
20
20
Page 367 of 470

Note: The number shown for 1955 includes some assets installed during the few
years before and after
The table below summarises the degradation characteristics that apply to HV

switchgear, their impact and predictability, and possible mitigation measures.
Figure 18 Business risk for HV Switchgear

rate
All HV Purchasing Premature failure or High Routine review
Switchgear specification operational restriction of specification
unsuitable for of switchgear which, used against
purpose depending on the operational
network design, can requirements,
lead to safety concerns modifications to
and train delays switchgear or
replacement as
need be
Faulty Low Routine
manufacturing inspection
Faulty Low leading to
installation inspection driven
Inadequate Low maintenance
maintenance and/or
replacement of
asset.
Decay and Restriction on use of High Fixed interval
deterioration switchgear which, maintenance
due to ageing depending on network and replacement
and wear, design, can lead to when
including train delays maintenance no
count of longer economic
operations of
switchgear
Operating High
environment,
including,
rain, pollution,
lightning, wind
& gale
Additional Accelerated High Planned
stress caused deterioration additional
by failure of maintenance
adjacent
equipment
There is a limited ability to extend the point at which the asset should be renewed
by varying the maintenance regime
Failure of HV switchgear may cause disruption to the electrical system which
may, in turn, cause a disruption to train services.
Page 368 of 470


HV switchgear is inspected and maintained to ensure that its defined outputs are
delivered at the lowest overall cost, consistent with safety and required
performance.
3.5.2 Inspection
The table below shows the most significant HV Switchgear inspection frequencies
Figure 19 Most Significant Inspection Frequencies for HV Switchgear

Equipment Type Activity
Single Phase Minimum Oil switchgear. Routine inspection every 3 months
Single Phase Bulk Oil switchgear. (requirement in building inspections) to check
Three Phase Oil switchgear. the assets are not exposed to unauthorised
Single Phase Vacuum switchgear. access.
Single Phase SMOS switchgear.
Three Phase Vacuum/SF6 switchgear.

In addition to the planned (routine) maintenance, inspection lead (reactive)
maintenance may be required, for example following a lightning strike. In general
terms failed HV switchgear will be repaired if spares are available and it is
economic to repair. Otherwise it will be replaced.
Our inspection led maintenance is described below
Figure 20 Inspection led maintenance for HV Switchgear (all route types)
Asset Activity
HV Switchgear Removal of defects found during inspection
Replace insulating oil in oil filled switchgear
Figure 21 Fixed interval maintenance for HV Switchgear

HV switchgear Activity Application to Route Types
Type
Single Phase Full overhaul at the first Accepted for all route types as being in line
Minimum Oil of one year or 20 fault with manufacturers’ recommendations and
switchgear. operations our experience
Oil replaced at first of Accepted for all route types as being in line
one year or 20 fault with manufacturers’ recommendations and
operations our experience. Oil replacement is the most
economic method which increases availability
and provides the required performance.
Single Phase Full overhaul at first of Accepted for all route types as being in line
Bulk Oil 2 years or 30 fault with manufacturers’ recommendations and
switchgear. operations which our experience
includes oil sampling
and dielectric strength
test of oil
Oil replaced when Accepted for all route types as being in line
condition is with manufacturers’ recommendations and
unacceptable our experience. Oil replacement is the most
economic method which increases availability
Page 369 of 470
and provides the required performance.

Three Phase Major overhaul every 2 Accepted for all route types as being in line
Oil switchgear. years which includes oil with manufacturers’ recommendations and
sampling and dielectric our experience
strength test of oil
Full overhaul every 4 Accepted for all route types as being in line
years with manufacturers’ recommendations and
our experience
Oil replaced when Accepted for all route types as being in line
condition is with manufacturers’ recommendations and
unacceptable (also our experience. Oil replacement is the most
appears in inspection economic method which increases availability
lead maintenance) and provides the required performance.
Single Phase Enhanced routine Accepted as being in line with
Vacuum inspection and minor manufacturers’ recommendations and our
switchgear. overhaul every year experience
Full overhaul every 2 Accepted as being in line with
years manufacturers’ recommendations and our
experience
Single Phase Enhanced routine Accepted as being in line with
SMOS inspection and minor manufacturers’ recommendations and our
switchgear. overhaul every year experience
experience
Three Phase Enhanced routine Accepted as being in line with
Vacuum/SF6 inspection and minor manufacturers’ recommendations and our
switchgear. overhaul every 2 years experience
experience
3.6 Replacement
3.6.1 Criteria
Figure 22 Replacement criteria for HV Switchgear (all route types)

Asset Criteria Applied
HV Switchgear Obsolescence regarding provision of spare parts
Obsolescence regarding changes in legislation, standards etc
Whole life cost of maintaining to requirements for anticipated

remaining lifespan exceeds whole life cost of replacing
switchgear
Age exceeding 60 years
Experience has shown that the rate of deterioration of component condition
accelerates after approximately 60 years. As it is difficult to monitor the condition
of these components, we do not allow HV switchgear to operate beyond 60 years.
The technology of HV switchgear that is 45 to 55 years old is radically different

from modern technology since oil is no longer used as the interrupting medium.
Today’s technology uses vacuum interrupters with gas or air insulation. This is the
Page 370 of 470

type we specify based on our experience with this type of equipment as well as its
ready availability from suppliers.
Figure 23 Replacement Specification for HV Switchgear

HV Switchgear Type Replacement Specification Application
Oil filled switchgear. Replace with indoor modern Accepted for all route
equivalent vacuum in gas or air types because of extensive
experience (more than 30
years) of safe and reliable
operation requiring minimal
amount of maintenance.
SF6/GIS switchgear Refurbish/Replace once at age Accepted for all route
of 25 years with modern types because this is a cost
equivalent using existing effective way to extend the
building life of whole site where the
building still has half life.
Replace whole site with indoor Accepted for all route
switchgear after one types because this is a cost
refurbishment/renewal of effective way to manage all
switchgear the assets on site.
SMOS Refurbish/Replace between 15 Accepted for all route
and 20 years with modern types because this is a cost
equivalent using existing effective way to extend the
structures life of whole site.
switchgear after 3 types because this is a cost
refurbishments/renewals of effective way to manage all
Vacuum switchgear (Air Refurbish/Replace once at age Accepted for all route
Insulated switchgear) of between 33 and 37 years types because this is a cost
with modern equivalent using effective way to extend the
existing building life of whole site where
building still has half life.
switchgear after one types because this is a cost
refurbishment/renewal of effective way to manage all

Asset performance will be monitored through Asset Reporting Manual, M13 (AC
Traction Substation Condition) and M14 (DC Traction Substation Condition).
There are no particular constraints or deliverability issues for HV switchgear.
Forecasts for HV Switchgear are based on the assumption that assets will be
replaced according to the table below.
Figure 24 Planning assumptions for the replacement of HV Switchgear

Refurbishment Number
Ave Full Renewal
Asset Type Pop 1 2 3
age
Start End Start End Start End Start End
AC Oil Filled 595 44 44 50
Page 371 of 470
Indoor
AC SF6/GIS 106 6 20 25 25 50
AC SMOS 302 11 15 20 30 40 45 6 60 80
AC Vacuum 828 23 33 37 0 45 50
DC Oil Filled 511 50 55 60
Indoor
DC Oil Filled 306 32 36 41
Outdoor
DC SF6/GIS 525 7 20 25 45 50
DC Vacuum 353 19 30 35 45 50
Inspection and maintenance forecasts are based on the inspection frequencies

described in the maintenance section.

The long term implication of our policy for HV switchgear is covered in section
1.11.

The maintenance and replacement policy for HV switchgear complies with the
Network Rail asset management policy and all electrification and plant general
policies.
3.12 References
HSG230 Keeping electrical switchgear safe (HSE publication)
4 Grid supply points
4.1 Grid supply points asset policies
Since the equipment at grid supply points is owned and maintained by the
electricity supplier, we do not have separate policies, other than our general
electrification and plant policies for maintenance and replacement.
The maintenance and renewal policies for grid supplies are consistent with the
general electrification and plant policies.
4.2 Brief description of the purpose of Grid supply points

The supply of electrical traction power to the electrification systems are derived
from the utility supply systems at typically 33 kV 3-phase ac for DC electrification
and 25kVac for classic AC electrification. These supplies provide bulk energy to
us.
The grid supplies are managed by our suppliers in accordance with the Grid or
Distribution Code, with Network Rail being treated like any other customer even
when we are the sole user of the supply. The suppliers are regulated by OFGEM.

There are 112 intakes.
Figure 25 Population of Grid Supply Points

25 kV Grid supplies 80
66/33/22/11kV Grid supplies 32
Page 372 of 470

The table below summarises the degradation characteristics that apply to grid
supply points, their impact and predictability, and possible mitigation measures.
Figure 26 Business risk for Grid Supply Points

Asset Degradation Impact Predictability of Possible mitigation
and key defect or measures
driver deterioration
rate
Grid First circuit Disruption to train Low Designing redundancy into
supply outage services on our distribution system that
point (Decay and electrically feeds from the grid supply
deterioration powered routes point.
due to Accepting that some train
ageing and delays are inevitable.
wear) Routine liaison with
electricity supplier to agree
outages for maintenance
and renewals
Second Severe disruption More redundancy for rear
circuit to trains services event which is not value for
outage for extended money
period

Grid supplies are inspected and maintained by our suppliers, under the terms of
the Connection Agreements we have with them.
4.5.2 Inspection
Inspection of grid supply points is controlled by the electricity supplier.
Inspection lead maintenance of grid supply points is controlled by the electricity

supplier.
Fixed interval maintenance of grid supply points is controlled by the electricity
supplier.
4.6 Replacement
4.6.1 Criteria
Replacement decisions for grid supplies are made by the relevant electricity
organisation, in consultation with Network Rail. However, it is Network Rail’s
responsibility, under the Connection Agreements, to provide the funding for the
renewals. Where a renewal is identified, we consider the most appropriate
specification for the renewal.
Page 373 of 470

Replacement specifications for grid supplies are specified by the relevant

electricity organisation, in consultation with Network Rail.

Asset performance will be monitored through Asset Reporting Manual, M13 and
M14.
There are no particular constraints or deliverability issues for Grid supplies.

Forecasts for expenditure on grid supplies are based on information provided by
the electricity suppliers, however we use a 45 year life for planning purposes.
The long term implication of our policy is covered in section 1.11.
The maintenance and replacement policy for grid supplies complies with the
policies to the extent that they are applicable to an asset not under our direct
control.
4.12 References
Not applicable
5 HV Cables
5.1 HV cables asset policies
Our maintenance policies for HV cables are the same as our general
Our replacement policy for HV cables is the same as our general electrification
and plant policy with the following additions
Figure 27 Replacement Policy Statements for HV cables

Policy Policy Statement for Policy Statement for Policy Statement for
Number Primary and Key L&SE Secondary and Other Rural and Freight Only
routes L&SE routes routes
E&P-25 If an oil leak occurs on oil-filled cable due to the condition of a cable, then the cable
shall be repaired and planned for renewal
E&P-26 Oil filled cables and other three phase power cables shall be replaced with XLPE type
E&P-27 Pilot and auxiliary cables shall be replaced with solid polyethylene insulated multicore
cables with the corresponding number of cores
E&P-28 Where economical cable routes shall be refurbished and reused
E&P-29 No oil filled cable shall have a service life greater than 60 years
:5.2 Brief description of the purpose of HV cables

from the utility supply systems at typically 33 kV 3-phase ac for DC electrification.
Page 374 of 470

These supplies are distributed to track side substations/switching stations by high

voltage cables generally laid in surface concrete trough routes along the track
side. These cables are sectioned and electrically protected by high voltage
switchgear and unit protection relays in substations/switching stations. Unit
protection measures currents going in at one end of the cable and what is coming
out at the other end of the cable, compares and if there is a difference it assumes
a fault in the cable and provides an open command to the circuit breakers. Unit
protection relays between adjacent substations are interconnected by multicore
pilot cable which is laid along side the high voltage cable in the same cable route.
There are variations in the maintenance and renewal criteria between different
types of high voltage cables.
The majority of these cables are oil-filled cables.
Figure 28 Population of HV cables

Description Main sub-division Quantity (km)
HV Cables Oil filled 1811
The table below summarises the degradation characteristics that apply to HV

cables, their impact and predictability, and possible mitigation measures.
Figure 29 Business risk for HV cables

Asset Degradation and Impact Predictability Possible
key driver of defect or mitigation
rate
HV cables Purchasing Premature failure High Routine review
specification of insulation of specification
unsuitable for leading to circuit used against
purpose outage and train operational
delays requirements,
replacement as
need be
Faulty Low Routine
Faulty installation Low leading to
Inadequate Low inspection
maintenance driven
maintenance
Decay and High Fixed interval
deterioration due maintenance
to ageing and
wear
Operating High
environment,
including, rain,
pollution,
lightning, (on
sealing bushings)
Leakage of Low Automatic alarm
insulating oil (oil for low oil
filled cables only) pressure,
followed by
Page 375 of 470


rate
pumping
operation for
small quantities
of oil.
Pollution caused by Low Automatic alarm
leakage of for low oil
insulating oil pressure,
pumping not
carried out if
threat of
pollution exists
Additional stress Accelerated High (when Planned
caused by failure deterioration adjacent additional
of adjacent equipment maintenance
equipment has failed)
(to minimise the likelihood of subsequent failure) by varying the maintenance
regime.
Failure of a HV cable may cause a disruption to the electrical system which may
in turn cause disruption to train services.

HV cables and associated route are inspected and maintained to ensure that their
Dry type cables cannot be repaired wholesale but, following inspection or trip on
fault, can be repaired in small sections. Oil filled cables are treated as dry type
with the exception that oil leakage may cause early replacement on pollution
grounds.
5.5.2 Inspection
The table below shows the inspection frequencies for HV cables
Figure 30 Inspection Frequencies for HV cables

Equipment Type Activity All route types
HV cable oil filled. Continuous monitoring of oil Accepted as being the
pressure via pressure alarm established way of
system with connection to SCADA monitoring cable oil
system pressure
Examine and test hydraulic Accepted as being in line
system every 6 months with manufacturers’
Examine cable, associated recommendations and our
equipment and cable route every experience
year
Test each low oil pressure alarm
mercury switch 6 monthly
Test each low oil pressure alarm
micro switch 12 monthly
HV Cable, cross-linked Examine cable, associated
Page 376 of 470
polyethylene (XLPE) or equipment and cable route every

paper insulated lead year
covered (PILC)
Figure 31 Inspection led maintenance for HV cables (all route types)

Asset Activity
HV cables Removal of defects found during inspection
Top up insulating oil in oil filled cables
We follow the maintenance proposed by the original manufacturers,

supplemented where appropriate by our service experience. More detail is given
in our specification NR/SP/ELP/27239.
Maintenance on HV cables is reactive and is depended on periodic inspections
and testing.
5.6 Replacement
5.6.1 Criteria
From experience we have identified the age and condition factors that enable us
to balance cost of renewal with loss of output as a result of failure:
Figure 32 Replacement criteria for HV cables (all cables and route types)
HV cables Obsolescence regarding provision of spare parts
Regular sheath/joint failure resulting in oil leaks and cost

of oil filled cable joints
Corrosion, especially of the steel tanks of the oil filled
cables or its support structure
Whole life cost of maintaining to requirements for
anticipated remaining lifespan exceeds whole life cost of
replacing cable
Experience has also shown that the rate of deterioration of component condition
of these components, we do not allow a HV cable to operate beyond 60 years.
Figure 33 Replacement Specification for HV cables

HV Cable Type Replacement Application
Specification
Oil filled HV cable Replace with modern Accepted because of extensive
equivalent XLPE cable experience of safe and reliable
operation requiring minimal
Page 377 of 470

amount of maintenance.
XLPE HV cable Replace with modern Accepted because of extensive
XLPE cable experience (more than 30 years)
of safe and reliable operation
requiring minimal amount of
maintenance
Paper Insulated Lead Replace with modern Accepted because of extensive
sheathed HV cable XLPE cable experience of safe and reliable
(PILC) operation requiring minimal
amount of maintenance and
competitively made.
The technology of HV cables that are 45 to 55 years old is radically different from
modern technology since oil is no longer used as the insulating and cooling
medium. Today’s technology uses Cross Linked Polyethylene (XLPE) as the
insulating medium. This is the type we specify based on our experience with this
type of equipment as well as its availability.

M14.

There are no particular constraints or deliverability issues for HV cables.
The age profile shows that there is a need to replace a large number of oil filled
HV cables in DC electrified areas due to peak installation rates during middle and
late 1950s early 1960s with planned renewals in the years 2000 to 2015 now
underway.
Forecasts for HV cables are based on the assumption that assets will be replaced
between the age of 55 and 60 years.

The maintenance and replacement policy for HV cables complies with the
policies.
5.12 References
None applicable
6 DC LV Cables
6.1 DC LV cables asset policies
Our maintenance policies for DC LV cables are the same as our general
Page 378 of 470

Our replacement policy for DC LV cables is the same as our general electrification
and plant policy with the following additions:
Figure 34 Replacement Policy Statements for DC LV cables

Policy Number Policy Statement for Policy Statement for Policy Statement for
Primary and Key Secondary and Other Rural and Freight Only
L&SE routes L&SE routes routes
E&P-30 DC cable shall be renewed at the age of 35 years
E&P-31 Where economical cable routes shall be refurbished and reused
6.2 Brief description of the purpose of DC LV cables
DC LV switchgear is connected to the contact system by use of DC LV cables and

traction return current is returned to rectifier by DC LV cables connected to all
traction return rails (via impedance bonds in track circuited areas and directly in
non track circuited areas) and rectifier. Also at specified intervals traction return
rails are cross bonded to improve the reliability of the traction return path and to
lower touch and accessible voltages to acceptable levels. Where sections of
traction return rail are used to provide single rail track circuits, that section is
reinforced with the use of DC cables. The contact rail (conductor rail) has gaps to
allow for thermal expansion and contraction as well as at level crossings and
switches and crossings. DC LV cable is used at these gaps to provide electrical
continuity as well as alternate feeding facility.
The majority of DC LV cables are rubber insulated multi strand aluminium

conductor cable.
Figure 35 Population of DC LV cables

Description Main sub-division Quantity (km)
DC LV Cables Contact (Conductor) rail, 1462 km
positive cables
Traction return rail 2924 km
negative cables
Total 4386 km
The table below summarises the degradation characteristics that apply to DC LV

cables, their impact and predictability, and possible mitigation measures.
Figure 36 Business risk for DC LV cables

rate
DC LV Purchasing Premature failure of High Routine review
cables specification insulation leading to of specification
unsuitable for circuit outage and train used against
purpose delays operational
requirements,
replacement as
need be
Page 379 of 470

Faulty Low Routine

installation inspection
Inadequate Low driven
maintenance maintenance
Decay and High System design
deterioration to include
due to ageing alternative
and wear supplies
Operating High
environment, Replace when
including, condition falls
rain, pollution, below
lightning, (on acceptable
sealing levels
bushings)
Third party Damage to cable Provision of
damage, normally requiring mechanical
leading to isolation. Depending on protection (split
water ingress system design this can ducting etc)
and insulation lead to train delays
failure
Additional Accelerated High (when Planned
stress caused deterioration adjacent additional
by failure of equipment maintenance
adjacent has failed)
equipment
Failure of a DC cable, especially at terminus stations, may cause a disruption to
the electrical system which may cause disruption to train services.
DC cables and associated connections are inspected and maintained to ensure
that their defined outputs are delivered at the lowest overall cost, consistent with
safety and required performance.
6.5.2 Inspection
The table below shows the inspection frequencies for DC LV cables
Figure 37 Inspection Frequencies for DC LV cables

All DC LV cables Examine cable, associated Accepted as being in line
equipment and cable route every with manufacturers’
year recommendations and our
experience
Figure 38 Inspection led maintenance for DC LV cables (all route types)

Asset Activity
DC LV cables Removal of defects found during inspection
Page 380 of 470


Maintenance on DC cables is reactive and is dependant on periodic inspections.
6.6 Replacement
6.6.1 Criteria
Figure 39 Replacement criteria for DC LV cables (all cable and route

types)
DC LV cables Obsolescence regarding provision of spare parts
Degradation through age (average life 35 years plus or

minus five years)
of these components, we do not allow a DC LV cable to operate beyond 35 years.
Figure 40 Replacement Specification for DC LV cables

Asset Type Replacement Specification Application
DC LV cable Replace with modern equivalent Accepted because of
aluminium cable extensive experience of
safe and reliable operation
requiring minimal amount
of maintenance.

Asset performance will be monitored through Asset Reporting Manual, M14.
There are no particular constraints or deliverability issues for DC LV cables.

DC cables are planned for renewal using a steady state forecasting methodology
and a life of 35 years.
Page 381 of 470

The maintenance and replacement policy for DC LV cables complies with the
policies.
6.12 References
None applicable
7 Booster transformers
7.1 Booster transformers asset policies
Our maintenance policies for booster transformers are the same as our general
Our replacement policy for booster transformers is the same as our general
electrification and plant policy with the following additions:
Figure 41 Replacement Policy Statements for Booster Transformers

Policy Statement for
Policy Number Policy Statement Policy Statement for Rural
Secondary and Other
for Primary and and Freight Only routes
L&SE routes
Key L&SE routes
E&P-32 Booster transformer shall be renewed at the age of 35 years.
E&P-33 Booster transformers shall be replaced with oil filled structure mounted
transformers.
7.2 Brief description of the purpose of Booster Transformers

and 25kVac for classic AC electrification. These supplies are distributed and
sectioned using high voltage switchgear and contact systems along the track.
Booster transformers (BTs) are employed in classic 25kV electrified routes only
and are normally mounted on OLE structures at approximately 3km intervals.
Traction return conductor which is also mounted on OLE structures at a high level
will be connected to traction return rails at mid points between two booster
transformers. At feeder stations the traction return conductors are connected to
the traction return bar which in turn is connected to the return conductor of the
incoming traction supplies. The role of the booster transformer is to magnetically
couple traction feed and return currents and hence extract traction return current
from traction return rails and put it in traction return conductors to reduce
electromagnetic interference to lineside cables.
All booster transformers are all oil filled one to one current transformers.
There is no difference in maintenance and renewal criteria between different
vintages of booster transformers.
Figure 42 Population of Booster Transformers

Booster Transformer Structure mounted 2266
Ground mounted 9
Page 382 of 470
The table below summarises the degradation characteristics that apply to booster
transformers, their impact and predictability, and possible mitigation measures.
Figure 43 Business risk for Booster Transformers

rate
Booster Purchasing Premature failure Low Design to allow
transformers specification which, depending services to be
unsuitable for on the network maintained with
purpose design, can lead to one or more
Faulty harmonic Low booster
manufacturing interference to transformer out of
Faulty communication Low action in same
installation and signalling electrical section
Inadequate systems and train Low
maintenance delays Routine inspection
leading to
inspection driven
maintenance
Maintaining
sufficient stock of
spare units
Decay and High Design to allow
deterioration services to be
due to ageing maintained with
and wear and one or more
duty history booster
Operating High transformer out of
environment, action in same
including, electrical section
rain, pollution,
lightning, wind Routine inspection
& gale leading to
inspection lead
maintenance if
needed
Fixed interval
maintenance
Maintaining
sufficient stock of
spare units
Additional Accelerated High (when Planned additional
stress caused deterioration adjacent maintenance
by failure of equipment
adjacent has failed) Maintaining
equipment sufficient stock of
spare units
Page 383 of 470


Booster transformers are inspected and maintained to ensure that their defined
7.5.2 Inspection
The table below shows the inspection frequencies for booster transformers
Figure 44 Inspection Frequencies for Booster Transformers

Structure and ground Routine inspection every 6 Accepted as this is the minimum
mounted, oil insulated, months period based on our experience.
booster transformer. Oil sampling every 4 years Accepted as being in line with
manufacturers’ recommendations
and our experience. Oil sampling
and analysis is the most useful
way of predicting remaining asset
life.

In addition to the planned (routine) maintenance, inspection lead (reactive)
maintenance may be required, for example following a lightning strike. In general
terms failed booster transformers will be repaired if spares are available and it is
economic to repair, otherwise it will be replaced.
Figure 45 Inspection led maintenance for Booster Transformers (all
route types)
Asset Activity
Booster transformers Removal of defects found during inspection

Figure 46 Fixed interval maintenance for Booster Transformers

Asset Type Activity Application to Route Types
Structure and Full overhaul every 4 years Accepted as being in line with
ground manufacturers’ recommendations and
mounted, oil our experience
insulated,
booster
transformer.
7.6 Replacement
7.6.1 Criteria
From experience we have identified the factors that enable us to balance cost of
renewal with loss of output as a result of failure:
Page 384 of 470

Figure 47 Replacement criteria for Booster Transformers (all route

types)
Structure and ground Excessive corrosion, especially of the steel tank of the
mounted, oil insulated, booster transformer and around its floor mountings and
booster transformer. breather fittings
Poor oil condition, especially acidity content,
furfuraldehyde content, moisture content, breakdown
voltage
Age above 35 years
The technology of booster transformers that are 30 to 35 years old is not radically
different from modern technology. Our booster transformers are mainly free
breathing oil cooled types and we have small number of sealed and stainless
steel tank oil cooled types installed to gain experience of alternative types.
Figure 48 Replacement Specification for Booster Transformers

Type of Booster Replacement Specification Application
Transformer
Structure mounted, oil Replace with modern equivalent Accepted because of
insulated, booster being most cost effective
transformer. replacement while
delivering the required
performance.
Ground mounted, oil Replace with structure mounted Accepted because this is
insulated, booster modern equivalent the most cost effective
transformer. method

There are no particular constraints or deliverability issues for booster

transformers.
Forecasts for booster transformers are based on the assumption that assets will
be replaced when they are 35 years old.
The maintenance and replacement policy for booster transformers complies with
the Network Rail asset management policy and all electrification and plant general
policies.
Page 385 of 470
7.12 References
None applicable
8 DC Low Voltage (LV) switchgear

8.1 DC Low Voltage (LV) switchgear asset policies
Our maintenance policies for DC LV switchgear are the same as our general
Our renewal policies for DC LV Switchgear are the same as our general
electrification and plant policies with the following additions:
8.2 Brief description of the purpose of DC LV Switchgear
The supply of electrical traction power to third-rail DC electrification systems is

from the utility supply at 33, 22, or 11kV 3-phase AC. Power is distributed to
substation/switching stations using high voltage switchgear and cables in
concrete troughs usually located at the side of the track.
At substations, which are spaced approximately 6km apart, power is transformed

and converted to DC by transformer/rectifier sets and then distributed to the
conductor rail using DC low voltage (DC LV) switchgear. Some substations will
contain more than one transformer/rectifier set to allow outages of equipment for
maintenance and renewal purposes without affecting train services.
DC LV switchgear is also used at locations between substations known as Track

Paralleling Huts to parallel supplies from adjacent substations which then provide
increased voltage to trains and improved fault protection.
Older substations and Track Paralleling Huts are often brick built, while modern
ones are usually modular steel units.
DC switchgear uses air insulated construction.
Figure 49 Population of DC LV Switchgear

DC LV DC LV Switchgear with asbestos arc chutes 2666
Switchgear DC LV Switchgear with non-asbestos arc 1483
chutes.
Page 386 of 470

DC LV Switchgear
1000
900
800
700
600
500
400
300
200
100
0
52
55
58
61
64
67
70
73
76
79
82
85
88
91
94
97
00
03
50
19
19
19
19
19
19
19
19
19
19
19
19
19
19
19
19
20
20
19
e
pr
The table below summarises the degradation characteristics that apply to DC LV

switchgear, their impact and predictability, and possible mitigation measures.
Figure 50 Business risk for DC LV Switchgear

rate
DC LV Purchasing Premature failure High Routine review of
Switchgear specification or operational specification used
unsuitable for restriction of against operational
purpose switchgear which, requirements,
depending on the modifications to
network design, switchgear or
can lead to safety replacement as
concerns and need be
Faulty train delays Low Routine inspection
manufacturing leading to
Faulty Low inspection driven
installation maintenance
Inadequate Low
maintenance
Decay and Restriction on use High Fixed interval
deterioration due of switchgear maintenance and
to ageing and which, depending replace when
wear, including on network maintenance no
count of design, can lead longer economic
operations of to train delays
switchgear, fault
Page 387 of 470
level (especially
rate of rise of
current) and
type of arc
control
Operating High
environment,
including, rain,
pollution,
lightning, wind &
gale
Additional stress Accelerated High (when Planned additional
caused by deterioration adjacent maintenance
failure of equipment has
adjacent failed)
equipment
by varying the maintenance regime

DC switchgear is inspected and maintained to ensure that its defined outputs are
delivered at the lowest overall cost, consistent with safety and required
performance.
8.5.2 Inspection
The table below shows the most significant HV Switchgear inspection frequencies
Figure 51 Inspection Frequencies for DC LV Switchgear

DC switchgear. Routine inspection every 3 Accepted as this is part of the
months three monthly security inspection.
Checking calibration and close Accepted as being in line with
up inspection every year manufacturers’ recommendations
and our experience

In addition to the routine maintenance, inspection lead maintenance may be
required, for example following a close up inspection. In general terms failed DC
switchgear will be repaired if spares are available and is economic to repair.
Otherwise it will be replaced.
Figure 52 Inspection led maintenance for DC LV Switchgear (all route
types)
Asset Activity
DC LV Switchgear Removal of defects found during inspection
Fixed interval maintenance
Figure 53 Fixed interval maintenance for DC LV Switchgear

HV switchgear Activity Application to Route Types
Type
Page 388 of 470

DC LV Full overhaul every 2 years Accepted as being in line with

Switchgear manufacturers’ recommendations and
our experience
Full overhaul every 4 years for Accepted as being in line with
specific models manufacturers’ recommendations and
our experience
8.6 Replacement
8.6.1 Criteria
Figure 54 Replacement criteria for DC LV Switchgear (all switchgear and

route types)
DC LV Switchgear Obsolescence regarding provision of spare parts
Obsolescence regarding changes in legislation, standards etc
Whole life cost of maintaining to requirements for anticipated

remaining lifespan exceeds whole life cost of replacing switchgear
of these components, we do not allow DC switchgear to operate beyond 60 years.

The technology of DC LV switchgear that is 45 to 55 years old is radically different
from modern technology. Today’s technology uses non-toxic materials and cold
cathode arc chutes. This is the type we specify based on our experience with this
type of equipment as well as its ready availability from suppliers.
Figure 55 Replacement Specification for DC LV Switchgear

DC LV Replacement Specification Application
Switchgear
Type
All DC LV Replace with modern Accepted because of extensive
switchgear. electromechanical equivalent experience of safe and reliable
employing cold cathode arc operation requiring minimal amount
chutes of maintenance.
Replace with modern Accepted only when outage
electromechanical equivalent conditions will permit the removal
employing cold cathode arc of the switchgear and its
chutes using existing buildings replacement in the same building.
Replace with modern Accepted where network outage
electromechanical equivalent limitations require that switchgear
employing cold cathode arc can only be out of commission for
chutes using new modular the shortest possible time
buildings
Replace with modern Accepted only where existing
electromechanical equivalent buildings have insufficient room for
employing cold cathode arc larger housings
chutes in narrow housings
Page 389 of 470

The technology of the DC switchgear from 45 years ago is radically different from
modern technology. Today there are much improved techniques for arc control
during clearance.

There are no particular constraints or deliverability issues for DC switchgear

assets.
Forecasts for DC switchgear are based on the assumption that assets will be
replaced when they are 55 to 60 years old.
The maintenance and replacement policy for DC switchgear complies with the
policies.
8.12 References
None applicable
9 Transformer/rectifiers
9.1 Transformer/rectifier asset policies
Our maintenance policies for transformer/rectifiers are the same as our general
Our renewal policy for transformer/rectifiers is the same as the general

Figure 56 Replacement Policy Statements for Transformer/rectifiers

Policy Policy Statement for Policy Statement for Policy Statement
Number Primary and Key Secondary and Other for Rural and
L&SE routes L&SE routes Freight Only
routes
E&P-34 No transformer to existing designs shall have a service life greater than
60 years
E&P-35 Oil filled transformers shall be replaced with oil filled multi-phase
transformers located outside, with the associated rectifiers located
indoors. The set shall be arranged to give 12 pulse rectification.
E&P-36 Sub-surface (indoor) transformers shall be replaced with dry type multi-
phase transformers with the associated rectifiers located indoors. The
set shall be arranged to give 12 pulse rectification.
Page 390 of 470
9.2 Brief description of the purpose of Transformer/rectifiers
The supply of electrical traction power to third rail DC systems is derived from the
utility supply systems at typically 33 kV 3-phase AC. This supply must be
transformed to a lower voltage using a transformer and rectified to DC using a
multi-phase rectifier. Since these two components work together and are often
built as one module, they are conventionally treated as a set.
Transformer/rectifiers are installed as part of the traction supply system in the
London and South East, Sunderland and Liverpool areas and there are no
variations in the maintenance or renewal criteria between or within these areas.
Transformers are either oil filled (outdoor) or dry type (indoor air cooled), the
majority being oil filled.
Figure 57 Population of Transformer/rectifiers

Transformer/rectifier Transformer (traction) 570
Rectifier 570
Transformer Rectifier
300
250
200
150
100
50
0
50
53
56
59
62
65
68
71
74
77
80
83
86
89
92
95
98
01
04
19
19
19
19
19
19
19
19
19
19
19
19
19
19
19
19
19
20
20
Page 391 of 470


transformer/rectifiers, their impact and predictability, and possible mitigation
measures.
Figure 58 Business risk for Transformer/rectifiers

rate
DC LV Purchasing Premature failure High Routine review
Switchgear specification which, depending on of specification
unsuitable for the network design, used against
purpose can lead to safety operational
concerns and train requirements,
Faulty delays Low Routine
installation inspection driven
Inadequate Low maintenance
maintenance
Decay and Premature failure High Fixed interval
deterioration which, depending on maintenance
due to ageing the network design, and replacement
and wear can lead to safety when
Operating concerns and train High maintenance no
environment, delays longer economic
including,
rain, pollution,
lightning, wind
& gale
Additional Accelerated High (when Planned
stress caused deterioration adjacent additional
by failure of equipment maintenance
adjacent has failed)
equipment
(to minimise the likelihood of subsequent failure) by varying the maintenance
regime.
The output of the transformer/rectifier is the 750 V DC (in some areas this may be
1500 V DC) that is used for traction supplies. Failure of a transformer/rectifier
would cause a disruption to the electrical system which could cause disruption to
train services.

Transformer/rectifiers are inspected and maintained to ensure that their defined
9.5.2 Inspection
The table below shows the inspection frequencies for transformer/rectifiers
Figure 59 Inspection Frequencies for Transformer/rectifiers

Page 392 of 470
Outdoor, oil insulated, Routine inspection every Accepted as this is part of the
transformer coupled to 3 months three monthly security
indoor, air cooled rectifier inspection.
and Indoor, air insulated,
transformer coupled to
indoor, air cooled rectifier.
Outdoor, oil insulated, Oil sampling every 4 Accepted as being in line with
transformer coupled to years manufacturers’
indoor, air cooled rectifier. recommendations and our
experience. Oil sampling and
analysis is the most useful way
of predicting remaining asset
life.

required, for example following lightning strike or inspection. In general terms a
failed rectifier will need to be replaced, although individual diodes can sometimes
be replaced depending on the nature of the failure and the availability of spares.
Figure 60 Inspection led maintenance for Transformer/rectifiers (all route
types)
Asset Activity
All types of transformer/rectifiers Removal of defects found during inspection
Figure 61 Fixed interval maintenance for Transformer/rectifiers

Asset Activity Application to Route Types
Outdoor, oil Full overhaul every 2 years Accepted as being in line with
insulated, manufacturers’ recommendations
transformer coupled and our experience
to indoor, air cooled
rectifier.
9.6 Replacement
9.6.1 Criteria
Figure 62 Replacement criteria for Transformer/rectifiers (all route

types)
All types of Obsolescence regarding provision of spare parts
transformer/rectifiers
Obsolescence regarding changes in legislation,
standards etc
anticipated remaining lifespan exceeds whole life cost
of replacing transformer/rectifier (especially corrosion
Page 393 of 470

and oil condition)

of these components, we do not allow a transformer to operate beyond 60 years.
Figure 63 Replacement Specification for Transformer/rectifiers

Asset Type Replacement Application
Specification
Outdoor, oil insulated, Replace with modern Accepted because of need to
transformer coupled to equivalent oil filled move to 12 pulse rectification.
indoor, air cooled transformer with 12 pulse Oil filled designs, needing no
rectifier. rectifier building, are the most economic
option. (12 pulse rectification
will provide an improved quality
of supply)
Indoor, air cooled, Replace with modern Accepted because of need to
transformer and indoor, equivalent (12 pulse), using move to 12 pulse rectification
air cooled, rectifier. existing building where and oil filled designs.
(Requirement for sub- possible
surface substations)
The technology of transformers that are 40 to 50 years old is not radically different
from modern technology. Our transformers include both oil cooled types and air
cooled types.
The technology of modern rectifier design is little different from that of 40 to 50

years ago, except 12 pulse rectification is now used instead of 6 pulse. This
influences the design, and cost, of the transformer.

There are no particular constraints or deliverability issues for

transformer/rectifiers.
Forecasts for transformer/rectifiers are based on the assumption that assets will
be replaced when they are 55 to 60 years old.
The long term implication of our policy is covered in section 1.11., noting that the
move towards replacing the remaining 6 pulse rectification with 12 pulse
rectification will improve the quality of supply (harmonics) and will therefore
improve the longevity of connected motor loads, including rolling stock traction
motors.
Page 394 of 470

The maintenance and replacement policy for transformer/rectifiers complies with

the Network Rail Asset Management Policy and all electrification and plant
general policies.
9.12 References
None applicable
10 Protection relays
10.1 Protection relays asset policies
Our maintenance policies for protection relays are the same as our general
Our renewal policy for protection relays is the same as our general electrification
Figure 64 Replacement Policy Statements for Protection relays

routes
E&P-37 Protection relays shall be replaced with modern electronic,
microprocessor controlled relays.
E&P-38 Protection relays shall be replaced typically at 25 years and then when
switchgear is renewed
10.2 Brief description of the purpose of protection relays

and 25kVac for classic AC electrification. These supplies are distributed and
sectioned using high voltage switchgear and contact systems along the track.
Protection relays are employed with switchgear to monitor loads and give signals
to trip switchgear in the event of an overload or a fault on the line protected.
Modern relays are electronic and are microprocessor controlled which provides
versatility with the desired protective characteristics which caters more for train
regenerative braking.
There are two version of protection relays, electro-mechanical and electronic, and
each type has different maintenance requirements.
Figure 65 Population of protection relays

Protection Relay Various types 10578

protection relays, their impact and predictability, and possible mitigation
measures.
Page 395 of 470
Figure 66 Business risk for protection relays

rate
Protection Purchasing Failure of a protection High Routine review
relays specification relay to operate when of specification
unsuitable for required usually calls used against
purpose up second stage operational
protection which requirements,
Faulty extends the outage with Low Inspection of
manufacturing associated train delays modern
Faulty installation in the second outage Low electronic relays
Inadequate zone. Operation when Low is via self
maintenance not required creates an monitoring and
unnecessary outage alarm.
Decay and with associated train High Fixed interval
deterioration due to delays maintenance
ageing and wear
Operating High
environment,
including, rain,
pollution, lightning,
wind & gale

Protection relays are inspected and maintained to ensure that their defined
10.5.2 Inspection
The table below shows the inspection frequencies for transformer/rectifiers
Figure 67 Inspection Frequencies for protection relays

Electro-mechanical. Routine inspection every 3 Accepted as this is part of
months the three monthly building
security inspection
Electronic Routine inspection every 3 Accepted as this is part of
months the three monthly building
security inspection
It is described in more detail in the specification NR/SP/ELP/27239.


failed protection relay will need to be replaced, although individual electronic
cards can sometimes be replaced depending on the nature of the failure and the
availability of spares.
Page 396 of 470

Figure 68 Inspection led maintenance for protection relays

Asset Activity
All protection relays Removal of defects found during inspection
Figure 69 Fixed interval maintenance for protection relays

Electro-mechanical. Full overhaul every 2 years Accepted as being in line with
Electronic Full overhaul every 4 years
and our experience
10.6 Replacement
10.6.1 Criteria
Figure 70 Replacement criteria for protection relays (all route types)

All types of protection relay Obsolescence regarding provision of spare parts
Obsolescence regarding changes in use of a route
(regenerative braking, change of rolling stock
characteristics)
anticipated remaining lifespan exceeds whole life cost of
replacing protection relay
of these components, and due to obsolescence, we do not allow a protection
relay to operate beyond 25 years.
Figure 71 Replacement Specification for protection relays

Electro-mechanical. Replace like for like with Accepted because this is a
modern (electronic) equivalent. cost effective way to deliver
Electronic Replace like for like with business needs and
modern equivalent. competitively offered by
manufacturers (COTS)
The technology of protection relays that are 15 to 25 years old is radically different
from modern technology since every protection relay now has a microprocessor
controlling the functionality, giving it versatile characteristics and the ability to
keep records, gather raw and processed data, communicate to a remote terminal
and facilitate train regenerative braking. This is the type we specify based on our
experience with this type of equipment as well as their ready availability.
Page 397 of 470


M14.
There are no particular constraints or deliverability issues for protection relays.

Forecasts are based on the assumption that protection relays are renewed when
they are 25 years old.
The maintenance and replacement policy for protection relays complies with the
policies.
10.12 References
None applicable
11 DC Conductor rail
11.1 DC Conductor rail asset policies
Our maintenance policies for DC conductor rail are the same as our general
Our renewal policies for DC conductor rail are the same as the general
Figure 72 Replacement Policy Statements for Conductor Rail

Number Primary and Key L&SE Secondary and Other Rural and Freight
routes L&SE routes Only routes
E&P-39 Conductor rail, including support insulators, shall be renewed when rail resistance
has increased to unacceptable levels.
E&P-40 On renewal, frequently used rail-mounted track feeder hook switches shall be
replaced with track isolating switches located in ‘Green Zone’ wherever reasonably
practicable.
E&P-41 GRP support insulators shall be used in preference to porcelain in
wet/polluted/tunnel environments and elsewhere when cost effective.
E&P-42 Steel shall remain the preferred material for conductor rails in areas of heavy traffic
E&P-43 Aluminium/steel composite (ASC) conductor rail shall only be used in areas of light
traffic where it is the most appropriate solution
E&P-44 Top contact DC conductor rail shall not be used for new green field electrification
schemes, except to extend existing DC conductor rail networks.
E&P-45 Bare conductor ‘trolley wires’ shall not be used in depots.
Page 398 of 470

11.2 Brief description of the purpose of conductor rail
The design of the DC electrification system originates from the 1930s.
The main purpose of the DC conductor rail is to enable the safe and reliable
transfer of electric current to a train mounted collector shoe which makes sliding
contact with the top surface of the conductor rail.
Figure 73 Population of conductor rail

Conductor rail Various types by 4847 Single Track Km
weight (lb/yard)

protection relays, their impact and predictability, and possible mitigation
measures.
Figure 74 Business risk for conductor rail

rate
DC passage of mechanical failure due High Replacement of
conductor electric trains to wear of the conductor rail
rail conductor rail when worn to
electrical electrical erosion maximum limit
arcing on
conductor rail
surface
passage of Risk of electrical
electric trains protection failing to
causing operate correctly,
reduced leading to train delays,
cross section possible safety risk,
of rail extended outage and
plant damage
Electrical Decay and Electrical fault, causing Low Programme of
support deterioration train delays inspection and
insulators due to inspection lead
environment, maintenance
ageing and
wear
Negative Decay and Interference with Low Programme of
bonding deterioration telecoms and signalling inspection and
connecting due to circuits inspection lead
leads environment, maintenance
ageing and
wear
All Damage to Damage to rolling Low Programme of
components rolling stock stock collector shoe inspection and
collector shoe inspection lead
maintenance
Page 399 of 470


Conductor rail and associated components are inspected and maintained to
ensure that their defined outputs are delivered at the lowest overall cost,
consistent with safety and required performance.
The main purpose for conductor rail maintenance is to preserve system safety, as
required by Electricity at Work regulations 1989, and system reliability. This is
achieved by a cyclic regime of inspection tasks and prioritised defect removal.
As failure modes are relatively simple and component makeup of conductor rail
has not altered significantly since initial installation, inspection frequencies today
remain largely unchanged from those implemented by British Rail some decades
ago.
Maintenance of DC conductor rail is achieved by a combination of inspection,

inspection lead maintenance and fixed interval maintenance which can be
grouped as follows:
• Inspection activities
• Non intrusive inspection
• Intrusive inspection/measurement
• Inspection lead maintenance (prioritisation and elimination of defects)
• Fixed interval maintenance tasks on discrete items
11.5.2 Inspection
Inspection activities include inspection via foot patrol, thermal imaging and
manual gauging of conductor rail profile and wear. These tasks are undertaken
primarily to check for damage and deterioration of component parts due to
general wear, exposure to environmental pollution and by third party intervention
such as vandalism, track movement or foreign objects. An indication of dynamic
performance is also achieved by observation of any arcing between the conductor
rail and passing electric trains. Negative bonding equipment is inspected every
six months and conductor rails every year.
The table below shows the inspection frequencies for conductor rail
Figure 75 Inspection Frequencies for conductor rail

Conductor rail and Visual Inspection Every 6 to 12 months
associated positive Intrusive gauging
electric track Every 1 to 10 years
equipment
Negative traction Visual inspection Every 6 months
cables and bonding
Positive and negative Thermal imaging As required
equipment
Figure 76 Inspection led maintenance for conductor rail (all route types)
Asset Activity
DC Conductor rail, positive Removal of defects found during inspection
and negative equipment
Page 400 of 470
11.6 Replacement
11.6.1 Criteria
Figure 77 Replacement criteria for conductor rail (all route types) (al
Conductor rail Replacement at 25% average mechanical wear for
electrical protection purposes, exceptionally 33%
localised wear for mechanical stability
Support insulators Condition assessment
Positive electric track
equipment including
hookswitches
Negative bonding equipment
Replacement of the conductor rail due to electrical resistance parameters will

nearly always precede the replacement due to the risk of mechanical failure.
The nominal life for DC conductor rail is predominantly influenced by usage. Loss
of cross sectional area due to rail wear is the renewals driver. If the average loss
of cross sectional area exceeds 25% within an individual electrical section, then
there is a risk that the increased rail resistance will prevent safe operation of
electrical protection relays during fault conditions.
A 33% loss of cross sectional area at any point in the system represents wear of
the entire rail head and a risk of mechanical instability.
Figure 78 Replacement Specification for conductor rail

Conductor rail for normal Steel 150lb/yd Accepted since this is the
or heavy traffic operating traditional material type
conditions with known proven life
cycle and wear qualities
Conductor rail for light Aluminium/stainless steel Accepted since this has
traffic operating composite lower cost, lightweight, is
conditions easier to install and has
lower resistance

Asset performance will be monitored through Asset Reporting Manual, M16
There are no particular constraints or deliverability issues for DC conductor rail.

Forecasts for replacement of conductor rail are based on the assumption that 5%
of the conductor rail will need replacing in CP4.
Page 401 of 470


The maintenance and replacement policy for DC conductor rail complies with the
policies.
11.12 References
None applicable
12 Supervisory control and data acquisition (SCADA)

systems
12.1 SCADA asset policies
Our maintenance policies for SCADA are the same as our general electrification
Figure 79 Inspection and Maintenance Policy Statements for SCADA

routes
E&P-46 SCADA master stations shall be subject to a regime of regular inspection
and maintenance, with remote diagnostic checks carried out between
inspections
E&P-47 Remote terminal units shall have routine planned inspections but not
planned maintenance since each is equipped with self diagnostics and
fault reporting
Our renewal policies for SCADA is the same as the general electrification and
plant policy with the following additions:
Figure 80 Replacement Policy Statements for SCADA

routes
E&P-48 SCADA servers shall be replaced after 15 years service life
E&P-49 Remote terminal units shall be replaced after 20 years service life or
when additional remote terminal unit functionality is deemed necessary
E&P-50 The SCADA architecture and protocols shall be “open” for compatibility
between different suppliers systems and shall provide sufficient capacity
to allow expansion.
Page 402 of 470

12.2 Brief description of the purpose of SCADA
Network Rail’s supervisory control and data acquisition (SCADA) system is

designed to remotely monitor and control electrical distribution equipment within
substations and other locations from an electrical control room. The major
economic advantage of a SCADA system is based on manpower savings
associated with staff not having to attend at substations for switching operations
along with the associated speed of restoration of traction supplies following faults.
Additionally SCADA systems provide the ability to switch the electricity off
immediately in the event of an emergency isolation request. Network Rail’s
SCADA systems also provide real time information on the performance of the
electrification network. A further advantage is that switching operations can be
carried out without personnel adjacent to the switchgear, therefore reducing
safety risks.
A SCADA system comprises three elements, a master station, a
data/communications network and remote terminal units (RTUs). The master
station is usually located at the electrical control room and consists of a dual
redundant server system. The data/communication network is between the
master station and the RTUs and the RTUs are located with the equipment to be
controlled at the remote location. Depending on the available RTU capacity one
RTU can control one substation’s plant items (switchgear, transformer, alarm,
remote switches etc). Digital outputs control a piece of equipment whilst digital
inputs receive status indications from the equipment. Analogue inputs record
analogue inputs such as load currents and system voltages. One master station
can control a large number of RTUs.
The data/communication channel between the master station and the RTU is
treated as a telecoms asset.
Figure 81 Population of SCADA

25kV Switchgear/HV SCADA Master stations 13
Switchgear (3 phase) – SCADA Remote 1048
Electrification terminal units
The table below summarises the degradation characteristics that apply to SCADA
systems, their impact and predictability, and possible mitigation measures.
Figure 82 Business risk for SCADA

rate
SCADA Purchasing These factors can High Routine review
system specification result in a general of specification
unsuitable for decline of the SCADA used against
purpose system especially operational
failures of hardware, requirements,
Faulty software and Low Inspection of
manufacturing secondary wiring in the modern SCADA
Faulty traction substation. Low is via self
installation These can combine to monitoring and
Page 403 of 470
Inadequate cause: Low alarm.

maintenance
Decay and • failure to operate High Fixed interval
deterioration switchgear when maintenance
due to ageing required leading to
and wear increased train
Operating delays High
environment
• failure to provide
accurate data on
network
performance


• an inspection and maintenance regime that minimises the whole-life cost
of managing the asset and ensures that units are identified for
replacement with sufficient lead time to minimise the likelihood of complete
asset failure
• the replacement of obsolete equipment to take advantage of new facilities
available at reduced cost
12.5.2 Inspection
The table below shows the inspection frequencies for SCADA equipment
Figure 83 Inspection Frequencies for SCADA

Master stations Inspect every 6 months with Accepted as this keeps the
intermediate monitoring by electronic SCADA systems in
remote diagnostic checks. satisfactory operating condition
and allows preventative
maintenance to be carried out
before an item fails.
RTUs Routine inspection at intervals Accepted This identifies
no greater than 4 months obvious faults that have or are
developing within the RTU.
SCADA master stations and RTUs will normally be maintained according to one
or more of the following factors:
• passage of time
• failure to meet acceptable specification
• need identified for condition monitoring

required, for example following inspection. In general terms a failed SCADA
asset will need to be replaced, although individual electronic cards can sometimes
be replaced depending on the nature of the failure and the availability of spares.

Page 404 of 470
Figure 84 Inspection led maintenance for SCADA

Asset Activity All Route Types
All SCADA Removal of Accepted for all route types
equipment defects found
during inspection
Figure 85 Fixed interval maintenance for SCADA

Master Every 6 months with Accepted as this keeps the electronic
stations intermediate monitoring by SCADA systems in satisfactory operating
remote diagnostic checks. condition and allows preventative
Maintenance is carried out by maintenance to be carried out before an
the SCADA system supplier, item fails.
comprising fan/filter cleaning,
checking of circuit boards,
hard drives and environment.
RTUs No planned maintenance, self Accepted since these devices are robust
reporting of most faults and are fitted with internal fault alarm and
remote diagnostics. Effects of failure are
only significant if remote switching
operations are prevented because of the
failure.
12.6 Replacement
12.6.1 Criteria
SCADA assets will normally be replaced when one or more of the following
replacement criteria are reached:
Figure 86 Replacement criteria for SCADA

Asset Criteria Applied All route types
All SCADA Obsolescence regarding provision of Yes
equipment spare parts
Obsolescence regarding updated Yes
software which cannot be operated
on the existing asset.
Whole life cost of maintaining to Yes
requirements for anticipated
remaining lifespan exceeds whole life
cost of replacing protection relay
condition leading to unacceptable Yes

performance
capacity is not sufficient for SCADA Yes
requirements
unacceptable safety/operational risk Yes
associated with the asset
Because of both the modular design of SCADA hardware and its inbuilt system
diagnostics, hardware and software faults do not always reduce SCADA
functionality. We provide a data link to allow the SCADA system provider to
access the master station computers to carry out remote diagnostics and with
Page 405 of 470

spare components readily available fast restoration is probable. If the equipment

is obsolete or life expired then urgent replacement of the asset is required.
Current SCADA systems that are between 10 to 15 years old are experiencing
equipment failures which impact on their operating capability. We manage this by
replacing failed components and programming full replacement of the master
stations after 15 years because of the combination of technology advancement,
obsolescence of equipment and lack of manufacturer support.
RTUs need to be replaced because older RTUs use bespoke protocols which
restrict their capability to communicate with modern open systems and make
changes difficult and expensive. We therefore replace RTUs when they are 20
years old or if operational requirements cannot be currently supported.
Figure 87 Replacement Specification for SCADA

Master stations Fully flexible architecture Accepted as this will permit
progressive expansion, to meet
changing operational needs, at
the minimum costs.
RTUs Increased input/output with Accepted as this meets
serial connection to controlled infrastructure requirements with
units and real time the ability to interface with
measurement of analogue protection relays and fault
values current recorders via local
network (substation
automation), also increases
operational awareness of what
the electrification system is
doing
The flexible architecture is needed to ensure that there is a recognisable upgrade

path for both system software and hardware to provide for expandability and
system function increase. An open protocol is needed to allow us to interface with
modern RTUs from different manufacturers. Similarly, increased input and
outputs (I/O) are needed because new switchgear has greater functionality and
needs more input/output to enable data to be brought back to the electrical control
room. The use of serial connections avoids the need for secondary wiring in the
substation.
The flexible architecture will also make it easier for us to support the future
SCADA needs of the business.

Currently under development

There are no particular constraints or deliverability issues for SCADA systems.
The planning of the replacement of master stations is aligned with the current
plans for the Central Master Station project.
The planning of the replacement of RTUs assumes a life of 20 years
Page 406 of 470


The maintenance and replacement policy for SCADA systems complies with the
policies.
12.12 References
None applicable
3 Points heating
13.1 Points heating asset policies
Our maintenance policies for points heating are the same as our general
electrification and plant policy with the following additions.
Figure 88 Inspection and Maintenance Policy Statements for Points Heating

Number Primary and Key L&SE Secondary and Other for Rural and
routes L&SE routes Freight Only
routes
E&P-51 Points heating shall be inspected at the start and during the annual heating
season
Our renewal policies for points heating is the same as the general electrification
Figure 89 Replacement Policy Statements for Points Heating

Number Primary and Key L&SE Secondary and Other for Rural and
routes L&SE routes Freight Only
routes
E&P-52 Strip heaters shall be replaced like-for-like with modern equivalent
E&P-53 Pad/Cartridge points heating shall be renewed with strip heaters.
E&P-54 Gas point heating shall be renewed with electric strips when this is the lowest
whole life cost solution
13.2 Brief description of the purpose of Points Heating

Point heaters are installed to ensure that switches and moveable crossings and
their associated mechanisms operate satisfactorily during all but the most adverse
weather conditions. The majority of points heating systems are electric in
operation, relying on conduction of heat from an element to the rails. The three
types of electric heater used are pad, cartridge and strip.
Pad heaters are located in the rail chair, cartridge heaters are positioned
horizontally in the jaw-blocks attached to the point stock rail and strip heaters are
attached to the point rails with clips. Strip heaters are the most effective method
for operation and maintenance so are installed as standard.
Page 407 of 470

Electronic controllers use information from temperature and precipitation sensors

to decide when the heating should be switched on. The controller ensures that the
sufficient heat is applied to ensure the operation of the points.
Each points heating installation will usually consist of a trackside cubicle with
switchgear and controller, multiple step down transformers, and then cabling to
the sensors and strips located on the rails.
A minority of points heating is performed with gas through a long burner element
attached to the side of the rail. However this method introduces a considerable
maintenance liability.
Figure 90 Population of Points Heating

Description Quantity
Point heating 16479

The table below summarises the degradation characteristics that apply to point
heaters, their impact and predictability, and possible mitigation measures.
Figure 91 Business risk for Points Heating

rate
Points equipment being Failure of points supervision of
Heating mis-operated, heating can lead to: site staff to
that is ensure that the
accidentally • switches and equipment is
being switched High correctly
moveable crossings
off or wrong becoming frozen and operated
temperature therefore not
settings applied operable, leading to
components train delays.
being damaged • switches and comprehensive
during track moveable crossing inspection and
High
maintenance, not being able to maintenance
track renewal or complete their programme,
by vandals required movement accelerating the
component due to packed snow inspection and
failure due to in the movement maintenance
general ageing area programme
and wear, • right side failure of Low during the
accelerated by signalling track heating season
weather circuits if an electric and carrying out
conditions points heater fails in replacement
extreme weather, such a way as to work and/or
outside of the energise the track annual overhaul
equipments’ circuit. outside the
design Low heating season
parameters risk to staff if electrical
equipment becomes
live
Page 408 of 470



• an inspection and maintenance regime that minimises the whole-life cost
of managing the asset and ensures that units are identified for
replacement with sufficient lead time to minimise the likelihood of complete
asset failure
• the replacement of obsolete equipment to take advantage of new facilities
available at reduced cost

13.5.2 Inspection
The table below shows the inspection frequencies for points heating equipment
Figure 92 Inspection Frequencies for Points Heating

All Types of Routine visual and functional check to Accepted as appropriate
Points Heating identify any developing defects that are to ensure the security of
visible or that may be revealed through the installation and its
operation, every 1 month during correct functioning
heating season.
Routine inspection and functional Accepted as the system
check during switch-on at the start of needs to be switched on
the heating season and during switch- and off at either end of the
off at the end of the heating season heating season.
(Heating season may be six months)
Routine inspection to include testing of Accepted as being the
electrical insulation every 5 years longest duration allowable
to maintain asset condition
and electrical safety

failed protection relay will need to be replaced, although individual electronic
cards can sometimes be replaced depending on the nature of the failure and the
availability of spares.
Figure 93 Inspection led maintenance for Points Heating (all route

types)
Asset Activity
All Types of Points Heating Removal of defects found during inspection
Our fixed interval maintenance is described below
Page 409 of 470

Figure 94 Fixed interval maintenance for Points Heating

All Types of Points Full mechanical Accepted for all route types as being
Heating overhaul every 1 year the minimum maintenance required to
keep the point heater in satisfactory
condition and ensure the integrity of the
signalling system. Invasive testing to
identify any developing defects.
Special Replenishment of Accepted for all route types as the only
requirements for gas bottled supplies of gas alternative for gas type points heating.
type points heating
13.6 Replacement
13.6.1 Criteria
Points heater assets will normally be replaced when one or more of the following
replacement criteria are reached:
Figure 95 Replacement criteria for Points Heating (all route types)

All Types of Points when inspection reveals sufficient damage to justify replacement
Heating (reactive replacement)
during concurrent S&C replacement
when the condition has reached the point where an increased rate
of failure might be expected.
The major criteria used for condition based replacement are the
condition of the cubicles and transformers
.
The technology of point heaters that are currently installed is not radically different
from modern technology with the exception that the control electronics have
developed and that heating strips with different characteristics are available. For
replacement based on asset condition, it is usual for the driving factor to be
corrosion of the trackside cubicles or the condition of the transformer that supplies
each (or group of) heater.
Figure 96 Replacement Specification for Points Heating

Asset Type Replacement Application
Specification
Electric, Pad and Replace with modern Accepted as strip is thermally
Cartridge heaters equivalent (strip) more effective and is easier to
maintain
Electric , Strip heaters Replace like for like Accepted as this is the most
effective system
Gas heaters Replace like for like Accepted only if the cost of
electrical supply makes gas heaters
an economically attractive life cycle
cost option.
Replace with modern Accepted only if the cost of
equivalent (electric strip). electrical supply makes gas heaters
an economically non-attractive life
cycle cost option.
Page 410 of 470


Asset performance will be monitored through annual condition assessments to
level 3 standard NR/WI/ELP/27241
There are no particular constraints or deliverability issues for points heaters.

The planning assumptions used for the current period are
Figure 97 Planning assumptions for point heating

Electric Points Heating Renewal 34 years from renewal
Electric Points Heating Refurbishment 17 years from renewal
Gas Points Heating Renewal 10 years from renewal
The maintenance and replacement policy for points heating complies with the
policies.
13.12 References
None applicable
14 Signalling power supplies

14.1 Signalling power supplies asset policies
Our maintenance policies for signalling power supplies are the same as our
general electrification and plant policy.
Our renewal policies for signalling power supplies are the same as the general
Figure 98 Replacement Policy Statements for Signalling Power Supplies

routes
E&P-55 All signalling power supply equipment shall be replaced to meet either
the new loads presented by major re-signalling work or to ensure that
performance is not restricted by the asset condition
E&P-56 Traction derived signalling supply points shall be used in electrified areas
when this is the lowest whole life cost solution
E&P-57 All components of a signalling power supply system shall be replaced
with like-for-like (modern equivalent) subject to their need
E&P-58 LV cables shall be replaced with commercial off the shelf products
Page 411 of 470

14.2 Brief description of the purpose of signalling power supplies
The supply of electricity for trackside signalling equipment originates at the

Principal Supply Point (PSP) and is then distributed to the equipment by long -
10km or more - radial low voltage distribution cable systems to connect with each
load point.
Traction derived supply
Utility Diesel
Supply Generator
Low voltage
Switchgear cable
UPSS
Switchgear Switchgear
Battery
Transformer Transformer
Signalling Signalling
Load Load
Principal Supply Point Load Point Load Point
At the PSP, different sources of electricity are used according to the reliability of
the electrical supplies required at each load point. Sources can include:
• supply from the local electricity utility at low voltage (415/240 volts) or
medium voltage (11 kV). This is termed a normal supply.
• supply derived from the local Network Rail traction supply, for example at
25 kV. This is also termed a normal supply.
• Network Rail owned local generation, for example diesel generation
The number of different sources of electricity provided at each point will depend
on the criticality of the route.
Other equipment at the PSP can be selected from:

• in line uninterruptible power supply system (UPSS) to condition the supply
of electrical power and to provide supply during short or medium term
outages of the normal supply
• LV switchgear and control gear to change over from one supply to another
for non-UPS systems and for load point switchgear
• low voltage cables to connect to load points.
Trackside distribution is typically performed by a two wire 650V system, non-
earthed. This supply loops in and out of trackside apparatus cases from which
supplies are transformed to 110V for use by signalling functional circuits.
Additionally, PSPs will be installed to provide power to major installations such as
area signalling centres.
Page 412 of 470
Figure 99 Population of Signalling Power Supplies

Signalling supply point Utility supply points with 80
UPS
Traction derived supply 30
with UPS
Diesel generator 420
DNO Supply Points Approx 4000
The equipment has been installed at a uniform rate since the 1950’s.

signalling power supplies, their impact and predictability, and possible mitigation
measures.
Figure 100 Business risk for Signalling Power Supplies

rate
Signalling Purchasing Partial or complete High Routine review of
power specification failure of the specification used
supplies unsuitable for signalling power against operational
purpose supply can lead to: requirements,
Faulty Low Inspection regime
manufacturing, • train delays and supported by
installation or cancellation, inspection driven
inadequate especially if maintenance
maintenance manual signalling
Decay and is needed High for local Technical design to
deterioration • Category B generation include redundancy
due to ageing SPADs and UPSS where justified by
and wear, • loss of power to route.
operating an area signalling
environment, centre causing Inspection regime
including, rain, larger scale supported by
pollution, disruption inspection lead
lightning, wind maintenance and
& gale some fixed interval
• danger to staff if
electrical maintenance
equipment Low for all Technical design to
becomes live. other include redundancy
equipment where justified by
route.
Inspection regime
supported by
inspection driven
maintenance
Failure of trackside cables often results in significant delay as a section of the

signalling power supply system will remain isolated until the fault has been
located, disconnected and repaired.
Page 413 of 470


Components within signalling power supplies are inspected and maintained to
ensure that their defined outputs are delivered at the lowest overall cost,
consistent with the safety and required performance.

14.5.2 Inspection
The table below shows the inspection frequencies for signalling power supplies
equipment
Figure 101 Inspection Frequencies for Signalling Power Supplies

Utility supply No inspection Accepted as the utility supply is
the responsibility of the utility
Traction derived Routine inspection every 3 Accepted as this is part of the
supply months three monthly security inspection
Oil sampling every 4 years Accepted as being in line with
and our experience. Oil sampling
and analysis is the most useful
way of predicting remaining asset
life.
Local generation Visual inspection and test Accepted because this gives
operation of generator at three confirmation that the generator is
monthly intervals in full working order
UPSS Visual inspection to check self Accepted as fault codes are
diagnostic fault codes every six manufacturer recommended way
months of identifying remedial action
needed. Battery test will confirm
Test of battery condition every internal battery condition.
twelve months
LV switchgear and Visual inspection every three Accepted as thermography test
controlgear months will detect loose connections within
switchgear
Thermography test every twelve
months
Switchgear and Relay tests Accepted as aligns with other
every five years. system maintenance,
and Electricity at Work Regulations
LV cables Continuous monitoring of Accepted as the optimum method
insulation resistance. of monitoring asset condition
Phase to phase insulation check

every five years
Since each component requires a tailored maintenance regime, the economic

alignment of periodic work may require over or under maintaining certain
components but this may be offset by the costs saved by reducing the number of
visits the maintainer has to make to a particular location.
Page 414 of 470

Maintenance tasks are based upon manufacturers’ recommendations, customer

reliability needs and operational experience. The tasks are set to ensure the
performance of the systems and, given the resource available, minimise the
possibility of failure.
Figure 102 Inspection led maintenance for Signalling Power Supplies

Asset Activity All Route Types
All signalling Remediation of Accepted for all route types
supply point defects found
components during inspection
In summary our maintenance policy for signalling power supplies is the same as
our general electrification and plant policy. It is described in more detail in the
specification NR/SP/ELP/27238.
Our fixed interval maintenance is described below
Figure 103 Fixed interval maintenance for Signalling Power Supplies

Local generation Minor engine overhaul at six Accepted as aligns with
monthly intervals manufacturers’ recommendations
UPSS Full overhaul every seven and Electricity at Work Regulations
years.
14.6 Replacement
14.6.1 Criteria
Signalling power supply assets will normally be replaced when one or more of the
following replacement criteria are reached:
Figure 104 Replacement criteria for Signalling Power Supplies (all route
types)
Utility supply Utility supply is the responsibility of the utility
Traction derived supply Corrosion on tank of 25 kV to low voltage transformer
Transformer oil degradation
Local generation Age of generating set and its total running hours
Component obsolescence
UPSS Component obsolescence
LV switchgear and Component obsolescence
controlgear Corrosion of equipment housings
Load ratings exceeded following increase in load
LV cables Cable insulation below acceptable limits
Cable damaged by third parties
Page 415 of 470

Other than enhanced maintenance there are no techniques available to extend

the life of the equipment.
Figure 105 Replacement Specification for Signalling Power Supplies

Asset Type Replacement Specification Application for all route types
Utility supply Normal reliability supply (like-for- Accepted as being best balance
like) of cost and performance
Traction derived Replacement like-for-like (modern Accepted but note that this may
supply equivalent) with suitable load not be needed with supply system
rating other than radial.
Local Replacement like-for-like (modern Accepted but note that this may
generation equivalent) with suitable load not be needed with supply
rating systems which are automatically
reconfigurable.
UPSS Replacement like-for-like (modern Accepted as the most
equivalent) with suitable load economical way of achieving
rating and battery capacity reliability
LV Switchgear Like-for-like (modern equivalent) Accepted as the optimum choice
and Controlgear with load switches for radial
at PSP and load Like-for-like (modern equivalent) Accepted as the only choice for
point but with automatic load switches switched alternative supply
systems
Like-for-like (modern equivalent) Accepted as the only choice for
but with automatic circuit breakers continuous alternative supply
systems
LV cables Like-for-like (modern equivalent) Accepted in locations where
but commercial off the shelf non rodent and third party damage is
armoured cable not prevalent
Like-for-like (modern equivalent) Accepted as armouring provides
but commercial off the shelf increased protection from rodent
armoured cable and third party damage at
marginal cost increase.
Replacement for signalling power supplies are based on one of:

• a complete upgrade to match new loads presented by major re-signalling
work
• condition of the equipment and the performance that it provides
• premature replacement of traction derived signalling supply points as
driven by an electrification renewal scheme.
The majority of installations are renewed during re-signalling.
The technology of installations that are 20 to 30 years old is not radically different
from modern technology with the exception that the control electronics have
developed hence protection and control systems provide greater functionality at
lower cost.

Signalling power supply failures leading to greater than 500 minutes delay are
monitored under asset performance compliance indicators (see also appendix B)

These policies are optimal to produce the lowest whole life cycle cost. However
the asset lives have been constrained which will create an additional maintenance
Page 416 of 470
commitment during CP4 and a backlog of recovery during subsequent control

periods
The volume of work can be delivered providing the resources are available within
Infrastructure Investment. The majority of the work does not require possessions
and that which does very often only needs a short duration changeover. Mitigation
in the form of enhanced maintenance may be appropriate until electrical safety
cannot be maintained.
Figure 106 Planning Assumptions
Assets Activity Lifespan
Assumptions
Signal Power Cable Renewal 40 years from renewal
Signal Power Transformers Renewal 40 years from renewal
Signal Power FSP Renewal 40 years from renewal
Standby Generator PSP Renewal 40 years from renewal
Standby Generator Refurbishment 15 years from renewal
DNO + UPS PSP Renewal 40 years from renewal
DNO + DG + UPS PSP Renewal 40 years from renewal
DNO + TRACTION UPS PSP Renewal 40 years from renewal
DNO + DNO PSP Renewal 40 years from renewal
DNO + 11kV Traction PSP Renewal 40 years from renewal
Sig Power Changeover panel Renewal 40 years from renewal
Changeover Panel others Renewal 40 years from renewal
Principal UPS Renewal 40 years from renewal
Principal UPS Refurbishment Refurbishment Every 7.5 years
Sig Power - TPWS UPS Renewal Every 8 years
Large UPS ( Signal Power or ECR ) Renewal 30 years from renewal
Standby / Mobile Generator Renewal 30 years from renewal
The maintenance and replacement policy for signalling power supplies complies
with the Network Rail asset management policy and all electrification and plant
general policies.
14.12 References
None applicable
15 Operational HV Distribution System

15.1 Operational HV distribution system asset policies
Our maintenance policies for Operational HV distribution system assets are the
same as our general electrification and plant policy.
Page 417 of 470

Our renewal policies for Operational HV distribution system assets are the same
as the general electrification and plant policy with the following additions:
Figure 107 Replacement Policy Statements for Operational HV Distribution

Number Primary and Key L&SE Secondary and Other Rural and Freight
routes L&SE routes Only routes
E&P-59 Non-traction HV systems shall be replaced when their condition falls below
acceptable limits. The service life of 60 years shall not be exceeded.
E&P-60 Oil filled switchgear shall be prioritised for replacement over non oil filled
switchgear.
E&P-61 Non traction HV switchgear shall be replaced with modern equivalent
extensible switchgear, using either SF6 or vacuum as the arc interruption
medium
E&P-62 HV cables shall be replaced by XLPE cables
E&P-63 Distribution transformers shall be replaced like for like with a modern equivalent
E&P-64 Oil filled transformers shall only be replaced by dry type transformers where it
can be justified on environmental grounds
E&P-65 At the time of replacement, system loading shall be considered to determine
whether a low voltage solution may have the lowest life cycle cost.
15.2 Brief description of the purpose of Operational HV distribution

system
.
High Voltage (greater than 1000V AC) distribution systems form part of the power
distribution to major installations such as stations and depots. They connect to the
local utility supply and distribute electricity from the utility infeed to Network Rail
electrical loads. HV distribution systems are used typically where there is a
concentration of loads that range from 100 kVA to 10 MVA.
Page 418 of 470

Utility
Supply
Metering
C C CB
C
Key
C C
Circuit
C breaker
C C Transformer
Tran
Tran C Tran C Electrical

Load load
Load Load
Busbar
C HV Cable
Tran C
Load
The diagram shows a typical operational HV distribution system which starts at

the connection, with metering, to the utility system. The diagram shows three
distribution substations, each fitted with two circuit breakers, a distribution
transformer and the electrical load. Each distribution substation is connected to
the next using cable. This shows that the principal components are:
• HV circuit breakers
• HV to LV distribution transformers
• HV cables
• Battery chargers and auxiliary equipment (needed to control the circuit
breakers)
In contrast to circuit breakers which control traction load, non-traction HV

distribution circuit breakers see a mainly constant load and hence do not have a
high level of operation.
Figure 108 Population of Operational HV Distribution system

HV switchgear – HV Circuit Breaker 540
electrification/HV switchgear – Battery chargers and Approx 200
fixed plant auxiliary equipment
Enclosures for the HV switchgear are civil engineering (Operational Property)

assets.
Page 419 of 470

The modes of failure of this type of electricity system are:
Figure 109 Business risk for Operational HV Distribution system

rate
HV Supply of Shutdown of Low Design and
Distribution electricity from Network rail site operation of utility
the local utility leading to, at is outside Network
stations, Rail control but we
passenger delay can influence.
and confusion
Provision of
standby
generators as
appropriate
Decay and Shutdown of Low HV network design
deterioration Network Rail site including provision
due to ageing, pending switching of standby
wear, to restore healthy generators
environment sections, leading
etc on to, at stations, Regime of
Network Rail passenger delay inspection lead
switchgear and confusion maintenance
replacement of life
expired assets
Purchasing High Review of
specification purchasing
unsuitable for specifications and
purpose present day
operational needs
Faulty Low Inspection regime
manufacturing, supported by
installation or inspection driven
inadequate maintenance
maintenance,
all
components

Components within an HV distribution system are inspected and maintained to
ensure that the defined outputs are delivered at the lowest overall cost, consistent
with safety and required performance.
15.5.2 Inspection
The table below shows the inspection frequencies for operational HV distribution
systems
Figure 110 Inspection Frequencies for Operational HV Distribution system

Equipment Activity All route types
Page 420 of 470
Type
Sub-station Visual inspection Accepted Based on our own experience, this keeps
Fabric every five years the building systems, including ventilation, in
satisfactory operating condition and allows
preventative maintenance to be carried out before an
item fails.
Cables Accepted Based on our own experience, this keeps
the cable systems in satisfactory operating condition
and allows preventative maintenance to be carried out
before an item fails.
Switchgear Accepted as being in line with manufacturers’
recommendations and our experience
Transformers Accepted This keeps the systems in satisfactory
operating condition and allows preventative
maintenance to be carried out before an item fails.
Battery Accepted This keeps the systems in satisfactory
chargers and operating condition and allows preventative
auxiliary maintenance to be carried out before an item fails.
equipment
Figure 111 Inspection led maintenance for Operational HV Distribution

system (all route types)
Asset Activity
All HV distribution Removal of defects found during inspection
systems assets

Fixed interval maintenance occurs at the same frequency as the equipment
inspections.
Our maintenance regimes are based on the maintenance proposed by the original
manufacturers, supplemented where appropriate by our service experience.
Further details of the inspection and maintenance of HV distribution systems can
be found in the specification NR/SP/ELP/27238.
15.6 Replacement
15.6.1 Criteria
From experience we have identified the condition factors that enable us to
balance cost of renewal with loss of output as a result of failure:
Figure 112 Replacement criteria for Operational HV Distribution system

(all route types)
Sub-station Fabric Operational property to undertake building inspection
Cables age due to finite life of solid insulation and materials
Switchgear age due to finite life of solid insulation and materials
Page 421 of 470

corrosion, especially of the steel tank of the oil filled

switchgear or their support structures
Age greater than 60 years
Transformers age due to finite life of solid insulation and materials
corrosion, especially of the steel tank of the oil filled

transformers or their support structures
All HV distribution Obsolescence regarding provision of spare parts
system assets Obsolescence regarding changes in legislation, standards etc
Figure 113 Replacement Specification for Operational HV Distribution

system
Sub-Station Fabric Purpose constructed building The selection must be carried
Relocatable Equipment out for each installation to
Building (REB) achieve the lowest life cycle cost
Cables Modern Equivalent Accepted as this will provide
the lowest life cycle cost due to
use of modern materials cross-
linked polyethylene (XLPE)
replacing paper insulated lead
covered (PILC) cable and lower
installation costs. Note that
three single core cables can
replace three core cable if
reduced installation costs
produce an economic solution
Switchgear Modern Equivalent Accepted because of increased
safety and maintainability.
Transformers Like-for-like replacement Accepted for most installations
Transformers with non Accepted where fire regulations
flammable insulant enforce non flammable insulant
The technology of installations that are 40 years old is not radically different from
modern technology with the exception that the control electronics have developed
hence protection and control systems provide greater functionality. Modern
installations see greater use of vacuum or Sulphur Hexafluoride (SF6) for
insulation and ring main units rather than fixed pattern switchgear.

Asset stewardship indices to be developed
Please refer to section 14.8

Asset Activity Lifespan
Assumptions
HV Switchgear Oil Renewal 50 years from renewal
HV Switchgear SF6 Renewal 50 years from renewal
HV Switchgear SF6 Refurbishment 25 years from renewal
Page 422 of 470
HV Switchgear Vac Renewal 50 years from renewal

HV Switchgear Vac Refurbishment 30 years from renewal
HV Transformer, Air Natural Renewal 60 years from renewal
HV Transformer, Oil natural Renewal 60 years from renewal
HV Transformer, Synthetic dielectric Renewal 60 years from renewal
HV Cables Renewal 60 years from renewal

The maintenance and replacement policy for HV distribution systems complies

with the Network Rail asset management policy and all electrification and plant
general policies.
15.12 References
HSG230 Keeping electrical switchgear safe (HSE publication)
16 Major Plant Installations and Portfolio of Small Plant

Installations
Included within this section are a number of small categories
Figure 115 Major Plant Installations and Portfolio of smaller plant

Category Description Effect of failure and Risk
Pumping Located where necessary in tunnels Flooding
installations and at drainage sites
Accelerated degradation of
track base
Lighting Tunnel lighting Unable to gain access
Lighting at yards Degraded safety
Degraded security
Features illumination, for example No risk. Loss of utility.
Forth Bridge
LV Power Stations etc Station Closure with major
Distribution service interuption
Plant Other Mechanical ventilation of tunnels to Access restriction
supplement natural ventilation
where needed
Moving bridges Suspension of service or
blockage of waterway.
DC wiring in substations Failure of switchgear to operate
Battery chargers when not replaced when required
with associated switchgear
AC wiring in substations Failure of switchgear to operate
Battery chargers when not replaced when required
with associated switchgear
Dehumidification equipment Increased degradation of
substation plant arising from
excessive humidity
Page 423 of 470

Other minor works Not defined
These items fail in much the same way as the other assets within E&P that is the
condition deteriorates with age.
We manage the risks shown in the table above by routine inspection and
maintenance and replace when their condition prevents their output being
delivered. Where the equipment listed above is directly associated with another
major item of plant then it is inspected and maintained in accordance with the
other item of plant.
Our maintenance regimes are based on the maintenance proposed by the original
manufacturers, supplemented where appropriate by our service experience.
Further details of the inspection and maintenance can be found in the
specification NR/SP/ELP/27238.
In addition to routine maintenance, reactive maintenance may be required, for

example following vandalism or identification of a fault during routine inspection.
Our forecasts for the current period assume

Asset Activity Lifespan
Assumptions
Pumps Renewal 25 years from renewal
Lighting - Tunnel Renewal 35 years from renewal
Lighting - Tunnel Refurbishment 15 years from renewal
Lighting - Walkway Renewal 35 years from renewal
Lighting - Walkway Refurbishment 15 years from renewal
Lighting - Buffer Stop Renewal 15 years from renewal
Lighting - Level Crossing Renewal 35 years from renewal
Lighting - Level Crossing Refurbishment 15 years from renewal
LX - CCTV Winch Renewal 25 years from renewal
Lighting - Bridge Renewal 35 years from renewal
Lighting - Bridge Refurbishment 15 years from renewal
Lighting - Navigation Renewal 35 years from renewal
Lighting - Navigation Refurbishment 15 years from renewal
Hydraulic Buffer Stops Refurbishment 20 years
Small Station Power Distribution Renewal 30 years from renewal
Medium Station Power Distribution Renewal 30 years from renewal
Large Station Power Distribution Renewal 30 years from renewal
Major Station Power Distribution Renewal 30 years from renewal
Depot Power Supply Renewal 30 years from renewal
Lineside Power Supply Renewal 30 years from renewal
Operational Power Supply Renewal 30 years from renewal
Sudbrook Renewal N/A
Moving Bridges Renewal N/A
Air Systems Renewal 20 years from renewal
Fixed Lifting Equipment Renewal 25 years from renewal
Tanking Points Renewal 30 years from renewal
Redundant Structures Renewal N/A
Turntables Renewal 30 years from renewal
Our inspection and maintenance forecasts are based on the inspection

frequencies described in the maintenance section.
Page 424 of 470
There are no particular long term implications.
The maintenance and replacement policy for this equipment complies with the
policies.
Appendix A Campaign Changes for OLE with Positive 20 Year Cost/Benefits
Details of Campaign Change Payback period by OLE category

Cat 1 Cat 2 Cat 3
Replacement of Solid 3/16" copper Very high – Very low – not Very low –
'V' droppers prone to fatigue failure. within 2-3 until total not until total
years rewiring rewiring
Replacement of illegible structure Very high – Very high – Very high –
number plates (various stencilled within 2-3 within 2-3 years within 2-3
types) years years
Replacement of illegible structure Very high – Very high – Very high –
number plates (self adhesive plastic within 2-3 within 2-3 years within 2-3
types) years years
Upgrading of in-span catenary to High – within High – within 5 High – within
contact wire jumpers to minimise 5 years years 5 years
current related dropper / catenary
burning.
Replacement of claw type copper Low – within Low – within 15 Very low –
return conductor support insulators 15 years years not until total
prone to damaging return conductor rewiring
stranding.
Damage to stranded catenary from Low – within Very low – not Very low –
bird initiated short circuits at portal 15 years until total not until total
structure supports. rewiring rewiring
Modification of seized mechanically Very high – Very high – Very low –
independent registration (MIR) hinge within 2-3 within 2-3 years not until total
assemblies. years rewiring
Replacement of bearings in Low – within Low – within 15 Very low –
termination & support pulleys prone 15 years years not until total
to seizure due to insufficient rewiring
clearance.
Rapid wear of aluminium & copper Low – within Low – within 15 Low – within
dropper saddles in AWAC & 15 years years 15 years
19/2.1mm catenary.
Modification of cross - contact bridge Very high – Medium – within Very low –
assemblies prone to loosening / within 2-3 10 years not until total
detachment. years rewiring
Damage to stranded catenary from Low – within Very low – not Very low –
bird initiated short circuits at 15 years until total not until total
overbridges. rewiring rewiring
Modification of Morris Line type Medium – Medium – within Very low –
isolator jaw attachments installed to within 10 10 years not until total
incorrect OLEMI drawing detail prone years rewiring
to current burning.
Replacement of deformed 10.5mm Very high – Very high – Very low –
dia bi-metal connections to AWAC within 2-3 within 2-3 years not until total
catenary prone to failure at friction years rewiring
weld interface.
Replacement of 'CAD Weld' traction Low – within Very low – not Very low –
bond rail connections prone to high 15 years until total not until total
resistance / current burning failure. rewiring rewiring
Replacement of 4mm stainless steel Medium – Very low – not Very low –
solid droppers prone to fatigue within 10 until total not until total
failure. years rewiring rewiring
Page 425 of 470
Replacement of adjustable 'rat trap' Medium – Very low – not Very low –
type dropper assemblies in O/br within 10 until total not until total
approach spans prone to years rewiring rewiring
detachment.
Removal of contact wire splices High – within High – within 5 Very low –
installed next to registration arms or 5 years years not until total
in 1st dropper panels causing hard rewiring
spots.
Damage to stranded AWAC / High – within Very low – not Very low –
catenary conductor from bird short 5 years until total not until total
circuits to return conductor at rewiring rewiring
midpoint anchor and BWA
termination locations.
Replacement of corroded 'steel Very high – Very high – Very high –
stranded' type structure to rail bonds. within 2-3 within 2-3 years within 2-3
years years
General wire creep compensation Medium – Low – within 15 Very low –
work. within 10 years not until total
years rewiring
Replacement of defective Cap & Pin Low – within Very low – not Very low –
Insulators on Midland Suburban 15 years until total not until total
Electrification Route and saline rewiring rewiring
polluted areas of ECML.
Modification of AF Section Insulators High – within High – within 5 Very low –
prone to premature skid failure. 5 years years not until total
rewiring
Modification of AF Neutral Section High – within Medium – within Very low –
Insulators in Mk1 and Mk3B OLE 5 years 10 years not until total
prone to premature skid failure. rewiring
Renew high risk porcelain insulators High – within Low – within 15 Very low –
(Spanwire, tensile and A682) prone 5 years years not until total
to failure due to discing. rewiring
Renew arc damaged registration Very low – not High – within 5 Very low –
arms in Mk3B headspan assemblies. until total years not until total
rewiring rewiring
Renew DEP stalks without end nuts. Very high – Very high – Very high –
within 2-3 within 2-3 years within 2-3
years years
Page 426 of 470

Appendix B, Reference Documentation for Asset Performance Reporting
E&P Asset Asset Asset Asset Supporting Level Clauses

Group Stewardship Condition Performance 3 Engineering in this
Class (>500 minute Standards document
incidents)
Electrification OLE NR/ARM NR/ARM Yes M15 only 7.7
Measure Measure M11
M15 NR/WI/ELP/27237
Electrification Conductor NR/ARM NR/ARM Yes M16 only 11.7
Rail Measure Measure M12
M16
Electrification AC Traction NR/ARM N/A Yes M13 3.7, 4.7,
substation Measure 5.7, 10.7
M13 NR/WI/ELP/27240
Electrification DC Traction NR/ARM N/A Yes M14 3.7, 4.7,
substation Measure 5.7, 6.7,
M14 NR/WI/ELP/27240 8.7, 9.7,
10.7
Electrification SCADA None N/A None 12.7
Fixed Plant Points Level 3 N/A NR/WI/ELP/27241 13.7
heating Work
Instruction
Fixed Plant Signalling None Specified in None 14.7
power Network Rail
supplies compliance
indicators
(AS7)
Fixed Plant Operational None N/A None 15.7
HV
distribution
Page 427 of 470

Appendix
Network Rail
Business Planning Criteria
October 2007
Page 428 of 470

Contents
Introduction 430
Part 1: Planning criteria 432
Corporate strategy 433
Strategic planning framework 436
Stakeholder and statutory requirements 445
Part 2: Supporting assessment criteria 448
Asset management strategy 449
Economic and financial appraisal 453
Dealing with surpluses and deficits 465
Customer reasonable requirements 467
Integrated risk management process 468
Page 429 of 470

Introduction
An effective and efficient national rail network has a major role to play in supporting
economic growth and in the provision of an integrated, socially inclusive and sustainable
transport system. In addition, the environmental advantage that rail has over other forms
of transport means that rail can help Britain meet its environmental challenges.
For England and Wales, the Government’s ambition for the railway has been clearly
defined; as a sustainable, modern railway that:
• can handle double today’s freight and passenger traffic;
• is even safer, more reliable and more efficient than now;
• can cater for a more diverse, affluent and demanding population; and
• has reduced its own carbon footprint and improved its broader environmental
performance.
For Scotland the focus is on improving economic growth by improving journey times and
connections, improving quality, accessibility and affordability and reducing emissions.
In line with the Railways Act 2005, both Governments have also provided clarity on their
more immediate requirements, with detailed expectations outlined in their High Level
Output Specifications (HLOSs).
Delivering these requirements will be challenging. The rail industry in Britain is a success
story in terms of the increased demand for rail services over the last decade, and this
growth is forecast to continue into the future with perhaps 30% more passenger journeys
over the next decade. However, this success brings with it some major challenges.
Significant passenger and freight growth over recent years has resulted in a network that
is increasingly congested, and at peak times of the day there is no spare capacity on
certain sections of the network. Our stations are also increasingly congested on platforms
and concourses as they handle growing numbers of passengers.
Addressing these issues requires investment; in infrastructure and technology. But our
plans must be flexible. The expected life of rolling stock and of many infrastructure assets
means that some will still be operational in 30 years time. This is well beyond our ability to
forecast accurately the likely demand on any particular part of the network. Technology
changes are also unpredictable, and our plans for their exploitation must reflect this. The
cost of this required infrastructure investment is also a key factor. Although we have
reduced our costs by approximately 30% over the last 5 years, we must do more to reduce
cost and hence encourage investment in the railway.
An effective planning process that reflects the complex and entirely interdependent nature
of the rail industry is essential if these challenges are to be met. It must enable us to
adapt to a variety of plausible future scenarios, delivering incremental solutions in line with
an emerging understanding of the actual demand for rail services. It must also allow us to
improve the alignment between actions to meet our current responsibilities and those
necessary to deliver the required capacity enhancements to the network.
Our aim is to meet these responsibilities in a manner that provides demonstrable value for
money to passenger and freight operators and to the ultimate customers of the railway –
the fare paying passengers, freight users and the taxpayer.
Purpose
The purpose of this document is to set out the planning framework we have put in place to
meet these challenges and to help our employees and industry partners understand:
• the context in which investment and other decisions are made to meet our
obligations;
Page 430 of 470

• the criteria to be applied in making these decisions in accordance with Condition 7

of our network licence (including the priority and timing of maintenance and
renewal works and the parts of the network where this will be carried out);
• where constraints exist (e.g. the availability of funding, access to the network or
resources to carry out the work), how activities should be prioritised and trade-offs
made; and
• how we engage with our stakeholders on the development of these plans and
ultimately improve the value delivered by the rail network.
Scope
The criteria detailed in this document apply to all assets that are owned and managed by
Network Rail that constitute the national rail network. They cover the design, installation,
maintenance and renewal of the individual assets that form the network and the
development and enhancement of the network itself.
This document does not specifically address operational issues. Our operating policies
set out how the services on the route will be delivered safely and reliably, including the
contribution made by the production of a resilient timetable. The Railway Operational
Code (ROC) sets out the arrangements for the day-to-day management and control of the
network and includes both network-wide sections and route sections reflecting the specific
circumstances of the route.
The Business Planning Criteria is the primary document for outlining the principles by
which we deliver our responsibilities and commitments and provides the basis on which
the Strategic Business Plan the next control period has been produced. The criteria may
be reconsidered in light of the periodic review conclusions.
Additional information on the key principles contained in these documents and the context
within which they are used are referenced throughout this document. Some of the content
of these documents has been duplicated here to minimise the need for the reader to
access multiple documents.
This document has been updated from that published in 2006 and will continue to be
developed in the light of further discussion with our stakeholders. To this end users of this
document are invited to send their views and feedback to:
Director, Planning & Regulation
Network Rail
40 Melton Street
London
NW1 2EE
This document is available on the Network Rail website (www.networkrail.co.uk).
Page 431 of 470

Part 1: Planning criteria
Page 432 of 470

1. Corporate strategy
1.1 Our strategy

The early years of Network Rail were about stabilising the company, and although some
challenges remain, this task is now substantially complete. We have now embarked upon
the next phase of our business improvement plan: the establishment of Network Rail as a
world class company, capable of providing the leadership and direction necessary to
develop a healthy, viable railway. Our vision for the industry is one where:
• passengers will rate rail as the best form of transport overall for reliability, safety,
accessibility, convenience and value for money; and
• ‘GB railway’ will be regarded by taxpayers as among the best in the world for
reliability, safety and affordability.
This can only be achieved by understanding what our stakeholders want from us and
excelling in what we deliver and how we work with them to meet their needs. Consultation
with these stakeholders on their requirements and surveying their satisfaction in our
meeting these requirements helps us ensure that our plans remain aligned with those of
our stakeholders. Five key stakeholder groups have been identified:
• passengers and freight users;
• customers (train and freight operators);
• industry stakeholders (including funders, regulators, government, Transport for
London, local authorities and communities);
• suppliers; and
• our people.
Section 3 provides more detail on these stakeholders and our contractual and regulatory
obligations.
Our plans to achieve this vision and to meet the requirements of our stakeholders are
based upon the delivery of a railway that has the following characteristics, with safety
remaining our number one priority:
• highly reliable – delivering high levels of train performance that delight users, are
delivered consistently and are the best possible, given the funding and resources
available;
• seven-day – available to meet user demand seven days every week and where
early morning, late evening and weekend travel is not replaced by bus services;
• whole journey – easy, comfortable and safe to use from the point at which the
decision to travel by train is made, through to the point of departure from the
destination station;
• easily maintained – a railway that is designed and installed using systems and
components that require minimal levels of intervention and that can be easily
maintained and replaced;
• energy efficient and sustainable – a railway that conveys growing numbers of
people and goods, yet consumes low levels of energy and causes minimal damage
to the environment;
• affordable – provides a high level of services and requires a level of funding from
government and users that represents excellent value; and
• improved capacity – a railway that strives to increase network capacity and
capability through the delivery of efficient renewals and enhancements and new
ways of working.
Page 433 of 470

Delivering this ambitious agenda is a major challenge. We need to become the best at
what we do, and our transformation programme is aimed at putting in place the necessary
building blocks by the start of the next control period to achieve this. There are three core
elements to this programme:
• having reliable infrastructure and excellent operations to eliminate predictable
service failures at an affordable price;
• integrated processes that deliver consistently high quality, speed and simplicity;
and
• are delivered by great people within an environment that encourages them to
excel.
1.2 Supporting decision criteria

In a large organisation operating within a complex industry, thousands of decisions are
made every day. Many of these are tactical, concerned with the day to day operation and
maintenance of the railway. Others are more strategic, and may have a material impact
on the future capacity and capability of the railway. All these decisions, however, share
one common theme: an ability to influence the delivery of our vision for the railway. As a
consequence it is important that a robust decision making framework is in place,
particularly with regard to developing the capacity and capability of the network. This
framework helps ensure consistency in the decisions we make and the priorities we apply.
It also provides our stakeholders with clarity on the criteria that underpin our decision
making process.
The framework we operate to achieve this has the following core components:
• we will continue our focus on passenger and workforce safety and strive to
maintain the position where rail travel is one of the safest forms of transport;
• we plan to deliver all existing contractual and regulatory commitments, except
where analysis and consultation demonstrates that better value for the available
funds would be obtained by agreeing changes to the required outputs;
• our future plans for the network will be developed, following consultation, in a
manner that meets the reasonable requirements of our customers, funders and
other key stakeholders. These plans will be sufficiently transparent to enable key
stakeholders to plan their own activities with a reasonable degree of assurance;
• we will continue working with the Office of the Rail Regulator (ORR), the
Department for Transport (DfT), Transport Scotland, Welsh Assembly Government
(WAG), other funders and train operators on the development of a long-term
strategy for the network, primarily via the Route Utilisation Strategy (RUS) process
described in Section 2.2;
• where funding constraints and industry processes allow, we will manage our
business on an optimised whole life, whole railway cost basis. Where funding or
deliverability constraints necessitate a departure from this approach, consideration
will be given to the impact on passengers and freight users and to minimising the
impact on future costs or outputs;
• wherever appropriate key decisions will be supported by modelling tools, the
outputs of which are understood and accepted by our industry partners. The tools
will be supported by fit-for-purpose data;
• we will continue to seek refinements to the regulatory and contractual regime which
(a) incentivise and empower our employees to ‘do the right thing’, (b) provide them
with appropriate levers to enable them to do this, and (c) provide for proportionate
and targeted monitoring enforcement which allows the business to focus on
delivery without excessive intervention;
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• we will continue to enhance the value of the railway by improving the efficient
delivery of our investment in the network. Where possible we will seek to be the
delivery provider of choice, but where appropriate we will establish processes that
facilitate third party delivery and financing of options to help grow the railway; and
• we will work with the rest of the industry to identify ways of reducing energy
consumption and to minimising the environmental impact of rail services.
Imbalances in the cost and revenue streams between various industry partners will
invariably result in initiatives being progressed that may have a disproportionate effect on
another part of the industry. It is important, therefore, that when considering the cost and
benefit analysis of any option to deliver the required outputs, wherever possible the net
industry impact is the key driver of decisions. Where the industry framework presents
obstacles to this we will seek to address these with our industry partners and ORR.
1.3 A systems approach

The delivery of reliable infrastructure and the excellent operation of services on the
network, supported by consistent and effective processes, require a holistic approach to all
aspects of asset and operational management. The systems we are putting in place
address the following dimensions:
• systematic – wherever appropriate we use an objective, evidence based approach
promoting consistent, repeatable and transparent decisions and actions;
• systemic – we consider the network from a system perspective, avoiding the
optimisation of individual assets in isolation;
• risk-based – resources are allocated and priorities set using a common set of risk
assessed management principles (see Section 8);
• optimal – we establish the optimum trade-off between competing factors such as
reliability, cost and risk associated with assets over their lifecycles; and
• sustainable – wherever funding or resource constraints allow we make sure that
the future cost base or capability of the network is not compromised as a result of
the delivery of short-term objectives.
Our strategic planning framework (see Section 2) provides the structured approach to this
challenge, enabling us to assess the requirements of stakeholders, agree the funding
required to meet these requirements, and to put in place delivery plans. This framework is
underpinned by our asset management strategy (see Section 4) which describes how we
address the management of our infrastructure and how we ensure that we are making
optimal use of resources to deliver the required outputs. The application of this policy,
through the use of our Infrastructure Cost Model (ICM) and other modelling tools, is
reflected in the volume and cost forecasts set out in our strategic plans. Further details of
these tools are provided in Section 9.
The implementation of this strategy is supported by detailed investment regulations that
set out the methodology for assessing the value delivered by investment in our
infrastructure. These regulations form an important part of our business planning criteria
and are summarised in Section 5.
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2. Strategic planning framework

DfT and Transport Scotland have published their long terms plans for the railway in
England, Scotland and Wales, identifying some of the future challenges over a 30-year
horizon. In their High Level Output Statements (HLOSs) and accompanying Statements of
Funds Available (SoFAs) they have also set out how much public expenditure they wish to
devote to rail for the next control period (1 April 2009 to 31 March 2014) and specified
what they want the railway to deliver, notably in relation to safety, reliability, accessibility
and capacity.
Delivering these requirements necessitates a robust planning framework that reflects the
complex and interdependent nature of the industry. This is necessary to ensure that:
• the outputs defined in the HLOSs are delivered;
• options to deliver the longer term strategies are understood and are not
compromised by short term expediencies;
• Network Rail has the necessary funds to deliver the outputs expected;
• where Network Rail has to deviate from its initial plan, the mechanism by which it
does so is transparent; and
• that all industry parties understand the planning process and the criteria that are
applied in the development and update of these plans.
The diagram below provides a high level overview of the operation of this framework. The
purpose of each component of this framework is described in the remainder of this section.
Figure 1 Strategic planning framework
Transport strategy
HLOS
RUSs
Strategic Business
Plan
Control Period
Business Plan
Annual business
planning process
0 5 10 15 20
Planning horizon (years)
The determination of the optimum means of delivering the identified network outputs is a
complex and iterative process that requires an understanding of a number of interrelated
issues. As a consequence our business planning processes, and the subsequent
implementation of these plans, is based on an understanding of the capacity, capability
and condition of the infrastructure and the most cost effective means of maintaining or
varying this.
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2.1 Disaggregating the network to optimise planning

Exploiting opportunities on the network to improve the value we provide for our customers,
funders and rail-users requires an understanding of the network at a local level. As a
consequence we have developed two distinct, but complementary, means of
disaggregating the network to provide the basis for this analysis. The geographic scope of
these routes is kept under review to make sure that they remain relevant to our customers
and funders.
Although the type of route (as described below) determines the default asset management
policy that would be applied to a particular part of the route, this may be amended on a ‘by
exception basis’ if considered appropriate as a result of the broader strategic analysis of
the requirements of the route and the expectations of our customers and funders.
2.1.1 Route type
To assist in the identification of appropriate risk-based asset management regimes we
differentiate the network by route type, reflecting the volume and general nature of the
traffic carried, as follows:
• primary and key L&SE routes are intensively used and support high speed traffic.
Passenger revenues are high, as are the compensation payments for train delays;
• other L&SE, all secondary and key freight trunk routes are characterised by
lower line speeds, a broader range of passenger revenue and train delay penalties
and generally a more limited demand for route capability enhancements; and
• rural and other freight routes are typically lower speed routes, lightly used, with
low train service revenues and low train delay penalties, although freight services
on some routes may have high axle weights.
This approach provides an effective means of identifying the differing reliability and
performance requirements of, for example, high intensive routes carrying inter-city traffic
from those with a more infrequent service. It also enables us to determine, for all assets
on the route, the appropriate initial design specification and subsequent inspection,
maintenance and eventual renewal regimes to meet these output requirements.
2.1.2 Strategic routes
Our 26 strategic routes are based upon a disaggregation of the network that reflects,
where possible, the markets of our customers. These planning ‘units’ provide the basis for
our long term planning (see Section 2.2), in conjunction with customers, funders and other
stakeholders. Even at this level of disaggregation of the network the routes are not
homogenous in terms of the railway infrastructure, operations, asset condition and
operational characteristics. In order to support more accurate and granular cost
modelling, and better route planning in general, we have developed a set of around 300
Strategic Route Sections (SRSs). These are contiguous subsections of the strategic
routes which are both meaningful to external stakeholders and are more ‘homogenous’
pieces of infrastructure. All of the pieces of the network within each SRS have the same
route type, and also broadly the same traffic and capability characteristics.
We publish details plans for these 26 routes and as part of the publication of our annual
business plans. We have established regular forums to discuss the development of our
plans for these routes with key internal and external stakeholders.
2.1.3 Benefits delivered
The operation of route-based planning helps us:
• improve the way we plan our business by establishing a framework built around the
required outputs. This could, therefore, involve incremental improvements in some
areas and reductions in other areas, subject to the established industry processes,
rather than automatically maintaining the capability on a like-for-like basis;
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• deliver a clear route specification of the outputs required in order to develop

improved operating and asset management plans to deliver the outputs required;
• facilitate the examination of changes in route outputs where this will deliver
improved value for money for the rail industry and society in general;
• create an environment where investment opportunities are considered in an
efficient, consistent and systematic way (as set out in Section 1.3) and within a
framework that maintains clarity as to the over-arching objectives and strategy for
the network at a route level;
• provide greater transparency of our plans to allow our customers to plan their
businesses more effectively and to improve the dialogue with customers and wider
stakeholders to refine and improve both our customers' and our own plans; and
• create a coherent and transparent link from stakeholder and customer
requirements (including the HLOSs) through to our operating, maintenance,
renewals & enhancement plans.
2.2 Route Utilisation Strategies

2.2.1 Purpose
The UK rail industry is complex in nature and interdependent in operation. In order to
maximise rail’s contribution to Britain’s economic wealth, a common planning framework is
required for all rail industry partners. It is also important that the time period covered by
this framework reflects the various planning horizons of these partners, for example:
• the long life of assets (including rolling stock) and the long lead times for major
infrastructure investment;
• the length of Train Operating Companies’ (TOCs) franchises; and
• Local Authority (LA) and Passenger Transport Executives’ (PTEs) planning
horizons.
The determination of Train Operating Companies’ (TOCs) franchises provides an
illustration of the importance of such a framework. The effective delivery of a TOC
franchise necessitates a clear alignment between the services specified in the franchise
and the capability of the infrastructure to deliver these services.
For the railway whole-industry strategic planning is undertaken through the Route
Utilisation Strategy (RUS) process. The purpose of a RUS is to identify the effective and
efficient use of the capacity available on the route, consistent with funding that is, or is
reasonably likely to become, available during the period covered by the strategy. The
output from these RUSs provides industry funders with realistic recommendations to
deliver their requirements, supported by analysis and logic including:
• costs and benefits associated with each option;
• reasons for rejection of options not recommended; and
• input from widespread stakeholder consultation.
These recommendations are built into a coherent and consistent strategy, prioritised over
time, for the area covered by each RUS. The rail network is being progressively covered
by 17 RUSs, each with a defined geographical area. These are supplemented by a
national Freight RUS and a Network RUS that covers network-wide issues.
2.2.2 Planning horizon
Originally considering issues up to 10 to 12 years into the future, from 2007 RUSs not yet
established will look further ahead: extending the planning horizon to 25 to 30 years in line
with Governments’ planning horizons. To reflect this change, the structure of future RUSs
will also change and will provide three distinct perspectives of a route.
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Today’s railway:
• the existing infrastructure and its capacity and capability;
• what the route is expected to deliver in terms of services and reliability;
• how well the route delivers the expectations placed on it; and
• any committed plans to change the current capacity or capability of the route.
Tomorrow’s railway:
• the requirements in the HLOS for the route;
• our plans to meet these requirements; and
• opportunities identified for further consideration that would enhance the capacity or
capability of the route beyond that defined in the HLOS and would help support the
longer term vision for the route.
The future for the route:
• our investment plans for the route during the next control period and the
consequential changes in capacity and capability; and
• possible future strategies for the further development of the route in future control
periods.
This approach provides clarity for the short to medium term, enabling funders and persons
providing services to railways to plan with a reasonable degree of assurance, and also
allows innovation to meet new market needs and competitive requirements.
2.2.3 Methodology
RUSs are carried out in accordance with the ORR’s RUS Guidelines and Network Rail’s
RUS manual. In summary, the method consists of:
• analysis of current and expected future supply and demand for all rail services in
the defined scope area;
• gap analysis between these;
• identification and analysis of options to address the gaps;
• selection of the best options; and
• development of an appropriate strategy based on these options.
Activity in each RUS is overseen by a Stakeholder Management Group consisting of
funders and industry parties, led by Network Rail. Briefings are held for wider
stakeholders (local government, user groups, etc) at key stages in the process and a Draft
for Consultation is published with (usually) a three-month response period. Options are
assessed on their:
• applicability (i.e. do they address the gap) and deliverability;
• value for money (using government appraisal criteria); and
• affordability (a judgment based on funders’ statements).
The RUS recommendations are delivered through their incorporation in Network Rail’s
Strategic Business Plan and associated Route Plans.
2.3 Strategic Business Plan

2.3.1 Purpose
The Strategic Business Plan (SBP) is Network Rail’s main submission to the periodic
review process, but is subject to further refinement during that process. The objectives of
the plan are to:
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• forecast where we expect to be by the end of the current control period, in terms of
the delivery of the required outputs, the achievement of efficiency targets etc;
• set out a strategy for the industry which delivers the HLOSs;
• meet the reasonable requirements of our customers; and
• to achieve these two objectives in a manner consistent with the long term
strategies for the railway.
A key purpose of the plan is to provide funders with choice and an understanding of the
implications of funding options etc. It is based upon delivering the required outputs on a
minimum whole life, whole system cost basis.
2.3.2 Content
The SBP sets out our plans for operating, maintaining, renewing and developing the
network, providing clarity for the 5 years covered by the HLOS, with high level projections
over a longer period. It details (where appropriate on both a route and network basis):
• expenditure and activity, in summary and by asset;
• outputs – safety, condition, capability, performance trajectory etc;
• assumptions that underpin the production of the plan (including demand
forecasting, forecast changes in the cost of materials etc); and
• supporting evidence – unit costs, activity levels, external benchmarking etc.
Our plan also includes expenditure on the development of enabling initiatives that are not
essential to the delivery of the HLOS but are considered necessary to improve in the long
term the value delivered by the railway (e.g. intelligent infrastructure, remote condition
monitoring, research into climate change).
As it is important that we demonstrate to our funders and industry partners how we are
proposing to achieve the required outputs and what we are doing to improve the value we
deliver to the industry, the SBP also provides details of:
• our asset management and operational strategies and how these underpin the
delivery of the outputs in the next control period;
• our plans to improve the sustainability of the railway and improve rail’s contribution
to the Britain’s targets for sustainability;
• a summary of the efficiencies we expect to have achieved by the end of the current
control period, and plans for the next control period;
• our plans to improve the alignment between the availability of the network and the
demand for rail services, particularly at weekends; and
• how we are exploiting changes in technology to improve the way we manage the
railway, including the use of remote condition monitoring and intelligent
infrastructure.
There may be circumstances where potential supplier or network access constraints would
limit our ability to implement fully the forecast workload resulting from the application of our
asset management policies and the delivery of any required network development
schemes. If this is considered likely we would explore opportunities to reduce this
workload to a deliverable amount.
Initial consideration would be given to the deferral of asset renewals to a later control
period, usually necessitating additional maintenance in the intervening period.
Prioritisation would be given to the deferral of those schemes that have the lowest impact
on whole life costs. However, in addition to the financial impact of the deferral, we would
also take account of:
• any increase in safety risk due to the retention of an asset that would normally
have been replaced;
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• the resultant impact of the deferral on the maintenance workload;

• the likely impact on the delivery of outputs in the forthcoming control period;
• our ability to deliver an increased renewal workload in the subsequent or future
control periods;
• the potential impact on the achievement of efficiency targets;
• the longer term impact of this deferral on asset condition and our ability (and the
time required) to recover to the required condition.
If resource constraints remain we would consider, in consultation with our funders and
partners, the deferral of enhancement activity. In identifying possible schemes
consideration would be given to the impact on passengers and freight users and to
minimising the impact on future costs or outputs.
2.3.3 Scenarios
As part of the periodic review process, Network Rail may also provide options for meeting
the HLOS at a lower cost in the next control period, but with a potentially higher cost in
future periods. A key requirement in our identification of these options is in balancing the
delivery of HLOS requirements with the future cost and capacity/capability of the network.
It is important to note that the complex nature of these plans means that a prescriptive,
step-by-step approach to the identification of an “optimum” cost reduction solution is not
feasible. However, the broad principles (as described below) can be set out and the
process by which individual options are identified must be transparent to industry partners.
Ultimately it is the responsibility of ORR, in consultation with Network Rail and industry
partners, to identify the options it would wish to be explored further. If ORR believes that
the HLOSs cannot be delivered with the funds available to Network Rail it would discuss
this with DfT and Transport Scotland with a view to possible amendments to their HLOSs.
In exploring cost reduction opportunities our first consideration would be to identify those
that would not impact on the delivery of the HLOSs. Options that would be considered
include:
• amendments to existing inspection, maintenance and renewal policies (including
the deferral of renewals), i.e. move to lower initial cost policy, rather than minimum
whole life cost;
• allowing asset condition to deteriorate where there is no immediate impact on
contractual or regulatory outputs;
• deferral of cost reduction initiatives where the payback is in future control periods;
and
• the deferral of enhancement schemes that deliver capability or capacity changes
not directly related to those defined in the HLOSs.
When considering asset policy changes or condition deterioration options, the
consequential issues of impact on maintenance, supply chain issues etc as described
above would need to be considered.
Prioritisation of the selection of initiatives for possible modification or deferral would be on
the basis of minimising the impact on whole life, whole system costs and in not
compromising our ability to meet the longer term capacity and reliability aspirations for the
railway.
If additional cost savings are required it may be necessary to propose the deferral of
investment that is considered essential to the delivery of elements of the HLOSs. Under
these circumstances we would initially examine our investment plans on a route by route
basis, but then consider any opportunities arising from this review in the context of the
overall network. In considering opportunities to defer investment, or any other cost
reduction opportunity, we would review the following for each route:
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• current load factors;

• existing train service reliability;
• station capacity and crowding issues;
• infrastructure renewal plans;
• forecast load growth; and
• HLOS targets, including PPM and maximum average load factors.
Our recommendations on investment deferral would be based on minimising the impact on
passengers and freight users and in minimising the delay and future cost in ultimately
achieving the HLOS targets.
Investment primarily targeted at delivering safety benefits would not generally be
considered for deferral.
2.4 Control Period Business Plan

ORR’s final determination will identify a series of targets, including measures relating to:
network capability, train service performance, serviceability and condition.
The Control Period Business Plan (CPBP) sets out in detail how we will meet these targets
with the funding available. Similar in content to the SBP, it will explain in detail our plans
for operating, maintaining, renewing and developing the network and the outputs that will
be achieved. It provides clarity for the 5 years covered by the periodic review, with high
level projections over a longer period. The plan also provides the primary mechanism for
setting budgets and allocating functional and territory targets to meet the required outputs.
A key component of the CPBP will be our Route Plans, setting out our detailed plans for
each strategic route on the network and providing clarity on how we are delivering the
HLOS, including:
• the timing and scope of our investment proposals;
• any changes in capacity or capability on the route;
• expected changes in train services; and
• train service reliability and relevant output forecasts for the routes.
The plan will identify how the criteria set out for the SBP has been applied to
accommodate any resource or funding constraints. In particular it will address where, for
example, we have moved from minimum whole life cost policies or are not maintaining
current conditions levels etc. The plan will also explain how this will be addressed in
subsequent control periods.
2.4.1 Balanced scorecard
A balanced scorecard approach will be used to monitor a suite of key performance
indicators that is being put in place to assess the achievement of our overall aims and the
delivery of our stakeholder expectations. Using a standard methodology, this will be
based on the measurement of: value, service, process and people. The primary purposes
of the indicators are to:
• enable us to manage the business in line with our business strategy;
• demonstrate satisfaction of stakeholder needs;
• provide a framework for robust decision making that is meaningful throughout the
organisation; and
• help us lead the industry.
Stakeholder satisfaction with our progress in meeting their expectations will be monitored
through regular surveys of their views.
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2.5 Annual business planning process

Our annual business planning process serves a number of key purposes:
• to enable us to monitor the delivery of the required outputs, as defined in ORR’s
final determination;
• to keep our funders informed on the delivery of these targets;
• to facilitate the identification of corrective actions, when necessary, to address any
deviations from this plan;
• to provide sufficient clarity on our plans to allow our stakeholders to plan their own
activities with a reasonable degree of assurance; and
• to update our medium term plans (i.e. up to 10 years) in order to provide a broader
context against which decisions are made and to aid the production of future
strategic business plans.
Revisions to local budgets and the allocation of revised local output targets provides us
with an important lever in bringing these plans back on track, either within the original
target year, or potentially later within the control period.
Where it is believed to be in the interests of our stakeholders we may recommend the
deferment of the achievement of a defined output to a later control period. No action
would be taken without prior discussion with our stakeholders. In addition, there may be
circumstances where our efforts have generated a greater profit than expected during the
periodic review process. Alternatively, we may be forecasting a delay in the achievement
of our efficiency targets. Under either scenario it is important that a transparent
mechanism is in place to determine the most appropriate response. Section 6 sets out
this mechanism.
As our planning processes mature, the linkage between the annual business plan and the
necessary adjustments that are required to be made during its implementation throughout
the year will be improved. This enables the plan to become ‘live’, in that it is amended to
reflect what is happening throughout the year. This will enable any required remedial
action to be taken earlier, facilitating the delivery of the required outputs.
2.5.1 Workbanks
The application of our asset policies identifies the work necessary to deliver the defined
route capacity, capability and reliability – as defined in the RUS. For many items within
the workbank the policies will have identified the point by which ongoing maintenance will
no longer be economic and a renewal should be considered. A risk-based approach is
used to prioritise delivery of the defined work, based upon the following hierarchy:
Our annual work plans, and corresponding budget and resource allocation, are targeted at
delivering the appropriate elements of these workbanks. Other factors considered when
determining the scheduling of a scheme include:
• the cost and benefit impact of deferring the scheme, particularly where reductions
in unit costs are imminent
• the packaging of works to minimise service disruption and network access costs
and to improve delivery efficiency.
Where resource constraints limit our ability to deliver items of work a mitigation plan is
developed to eliminate any safety impact and minimise any impact on the delivery of
contracted services until the work can be rescheduled.
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2.6 Modelling
2.6.1 The infrastructure cost model
Our Infrastructure Cost Model (ICM) is a key enabler in supporting our asset management
framework and improving our strategic planning capability. The model serves a number of
purposes in improving the efficiency of our asset management:
• to provide a focus and an impetus for improved understanding of cost drivers, and
to act as a vehicle where cost relationships can be quantified;
• to provide a single definitive source of information that supports more effective
asset management decision-making and long term forecasting;
• to support the development of effective route planning capability;
• to promote more informed decision making around the timing and prioritisation of
activity between routes; and
• to provide challenge to and context for the territory led short term work banks
included in the business plan.
The ICM is used to estimate the costs of operating, maintaining and renewing the network
for different specifications of usage and capability. It produces forecasts of activities,
expenditure and network output measures over the long-term (up to 40 years), and can
disaggregate these forecasts to segments of the network. In particular, we have
disaggregated our expenditure and income projections between Scotland and England &
Wales in order to understand their respective revenue requirements.
Wherever possible, activity and expenditure is forecast at strategic route section level
based on the specific assets on the route and the level of traffic. The disaggregated
projections are the sum of the relevant route sections. However, not all expenditure is
directly attributable to route sections and some categories of expenditure need to be
allocated to routes using the most relevant metrics. This is particularly the case for
activities which are managed at network level.
Key inputs to the model include detailed asset information (including location, type and
age mapped to a common definition of the network) current and forecast levels of traffic,
unit costs of key activities and assumptions about trends in input prices and efficiency.
The model predicts the level of maintenance and renewal activity associated with the
application of our asset policies, using inputs including estimated asset service lives,
activity frequencies and expected failure rates.
The development of the ICM is a long-term activity and we will continue to work to improve
it.
2.6.2 Long term performance forecasting
Performance trajectories are based on our Long Term Performance Forecasting Model
(LTPF). This model was developed as part of the Network Modelling Framework (NMF)
that was set up by the DfT/ORR and Network Rail. The model links predictions of
changes in the causes and likelihood of delay with changes in traffic levels to produce a
delay and PPM forecast. It is based on extensive research into the complex and
interrelated factors that result in train delays. Relationships considered include:
• primary delay to reactionary delay;
• the propagation of reactionary delay across the network;
• traffic growth and an increase in reactionary delay;
• on Route delay to turnaround delay;
• delay to PPM; and
• delay to average lateness.
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The inputs to the model are delay (by strategic route section, service group and delay
category) and traffic levels (by strategic route section). The model outputs PPM by
passenger service group and delay by operator (including freight operators) and by
strategic route section. Although the model can separate delay caused by Network Rail
from that caused by the operators it does not separate TOC-on-Self and TOC-on-TOC
delays.
3. Stakeholder and statutory requirements

The effective delivery of our corporate responsibilities requires close cooperation with train
operators and other stakeholders. It also highlights the need for a comprehensive
understanding of their expectations, encompassing both contractual and regulatory
obligations, and their aspirations for the development of the network.
3.1 Key stakeholders

Our immediate customers are the passenger and freight train operators. On generic
industry-wide issues, passenger operators are often represented by the Association of
Train Operating Companies (ATOC). However, our own focus also needs to be on our
ultimate customer – passenger and freight users. Our approach is to work closely with
operators to focus jointly on the final users of the railway, which are often represented by
Passenger Focus, London TravelWatch, the Rail Freight Group (RFG) and the Freight
Transport Association (FTA).
The main funders of network outputs are the Department for Transport (DfT) and
Transport Scotland. Other funders include Welsh Assembly Government (WAG),
Transport for London (TfL), the Passenger Transport Executives (PTEs), local and county
councils, the European Union (EU) and third parties. Our many suppliers have a key role
in the quality, cost and reliability of the rail infrastructure and we are working closely with
them to deliver improvements in effectiveness and efficiency.
We are subject to independent economic and safety regulation by the Office of Rail
Regulation (ORR).
Effective stakeholder consultation is essential to the development of our investment plans.
We achieve this via a series of regular bilateral and cross-industry meetings with these
stakeholders. These communication channels are discussed in more detail throughout
this document.
3.2 Contractual and regulatory commitments

Our obligations arise from various commitments that are described below.
3.2.1 Contractual commitments
Our contractual commitments to the passenger and freight train operators and funders are
documented in the track access agreements, the associated Network Code and various
agreements to provide enhancements to the network. The Network Code provides a
common set of rules that apply to all parties to regulated track access contracts. It forms a
set of conditions for access to the network, setting out the protection for, and obligations
of, Network Rail and train operators. Network Rail and train operators are responsible for
the development of the Network Code (subject to regulatory protection by the ORR) to
make sure that it provides an effective basis for their partnership in improving the overall
performance of the railway. We have developed template enhancement contracts that are
intended to simplify arrangements and provide for a reasonable allocation of risk.
3.2.2 Reasonable requirements under Condition 7 of the network licence
Condition 7 of the network licence places a number of requirements on Network Rail in
respect of our stewardship of the network, including its operation, maintenance, renewal,
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improvement, enhancement and development. The purpose of these requirements is that

we carry out these activities in accordance with best practice and in a timely, efficient and
economical manner so as to satisfy the reasonable requirements of persons providing
railway services and funders in respect of the quality and capability of the network. We
are also required to understand and meet the reasonable requirements of train operators,
other providers of services relating to railways and funders. Defining these requirements
includes discussion with train operators about the future capacity, capability and reliability
of the parts of the network on which they run their services. The criteria that need to be
considered when assessing if a requirement is reasonable are set out in Section 7.
The ORR establish the main elements of our reasonable requirements through the
periodic review process, setting out in their final determination series of targets, based
upon measures of network capability, performance, serviceability and condition. The
ORR’s reasonable requirements represent those of the DfT and Transport Scotland, as
reflected in their respective HLOSs. We are required to develop detailed plans consistent
with these reasonable requirements.
3.2.3 Other regulatory requirements
The stewardship requirements arising from condition 7 of the network licence are
underpinned and supplemented by a number of other licence conditions, including:
• Condition 9 (timetabling) – we must plan investment in a timely and efficient
manner to enable reliable timetable information to be provided to passengers
• Condition 10 (non-discrimination) – in carrying out our activities we must not
unduly discriminate between particular persons or between any classes or
descriptions of persons
• Condition 24 (asset register) – this requires us to establish and maintain a register
of relevant assets, including their condition, capability and capacity
• Condition 25 (dependent persons) – the principles and procedures that cover
dealings with potential/actual providers or funders of railway services and facilities
• Condition 26 (disposal of land) – the principles and procedures that cover the
disposal of land
• Condition 28 (Management Incentive Plan) – specifies the matters that Network
Rail must have regard to when developing its Management Incentive Plan,
including the achievement of the purpose of Conditions 7 and 25.
3.2.4 Safety and environmental requirements
We have a duty to make certain that all our activities, including those undertaken to meet
our asset management responsibilities, meet our obligations under health and safety law
to reduce risks so far as is reasonably practicable (SFAIRP). We are also subject to a
number of statutory environmental obligations that affect our stewardship of the network.
3.2.5 European Requirements
European originated legislation is increasingly defining the standards and legislation which
applies to the GB railway network. The 1st and 2nd Railway Packages have been
transposed into British law, and the 3rd Railway Package has been adopted as European
law, subject to formal confirmation during the autumn of 2007. The European Rail Agency
(ERA) has now been set up and is responsible for drafting new Technical Standards of
Interoperability (TSIs) in addition to reviewing existing standards. Although ERA
undertakes cost benefit analysis, these standards may still have cost implications for the
GB railway network. Once these TSIs have been developed there is often a second stage
in the development whereby Euronorms (EN) are produced to define further the outputs of
the standards. The development of these can be crucial to GB as there is no requirement
to carry out any cost benefit analysis during their drafting. Once published TSIs apply to
all new and major upgrades of designated High Speed and Conventional Infrastructure,
i.e. part of the Trans-European Network. In addition, a condition of the European
Commission is that any scheme it contributes to must be built to TSI requirements.
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This position is further complicated by proposals published in December 2006 by the

European Commission to merge the High Speed and Conventional Interoperability
directives into one, whilst at the same time seeking to extend the scope of TSI coverage to
beyond the Trans-European Network (subject to a number of Member State derogations
and exclusions). It is anticipated that an agreement on the final details of the legislation
will be reached between the Brussels political institutions by the end of 2007.
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Part 2: Supporting assessment criteria
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4. Asset management strategy
4.1 Purpose
Running the railway well needs infrastructure that meets our customers’ and funders’
requirements, in terms of safety, capacity, capability, reliability and cost. We aim to
balance work and spend to give value for money to passenger and freight operators
and to the final customers of the railway – fare paying passengers, freight users and
the taxpayer.
This document sets out our strategy for the sustainable management of our
infrastructure assets and acts as a road map, describing our approach to asset
management and our priorities for improvement. It describes:
• the principles behind our strategy;
• our framework for delivering our asset management responsibilities; and
• the core components in the framework.
We believe our processes generally represent good practice. However, some parts
of the framework are not fully developed and we need to improve the links between
different parts of the framework. As a result we have identified a number of
improvement tasks, which will put our approach to asset management on par with the
small number of companies who have already achieved best practice. In delivering
these tasks we will build on the work being undertaken to establish Network Rail as a
world class company.
4.2 Core principles

This asset management strategy is based on a set of core principles that reflect our
objectives and values:
• at each stage during the life of an asset we will aim to make the most of the
network by delivering sustainable route outputs that meet the needs of our
customers and stakeholders;
• our asset investment plans will balance maintenance and renewal work with
the aim of minimising whole life costs for the whole network;
• we will prevent an increase in the risk to passengers, workers and members
of the public from the degradation or failure of infrastructure and will reduce it
where reasonably practicable;
• we will develop technology and methods to support fact based decisions on
maintaining and renewing the infrastructure improving our capability for
predicting and preventing failures;
• when making decisions, whether about our strategy for the network or about
work we are carrying out locally, we will use a risk management process to
identify and reduce threats that could stop us meeting our objectives;
• we develop our asset policies, standards and plans through consensus, to
improve their practicality, to encourage consistency and to help long-term
maintainability; and
• investment plans for the network, and any consequent change in outputs, will
be published and be sufficiently transparent to enable key stakeholders to
plan their own activities with a reasonable degree of assurance.
4.3 Asset management framework

The diagram below, illustrates the framework that we apply to ensure the delivery of
our corporate strategy by the effective and efficient management of our assets.
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The diagram below, illustrates the framework that we apply to oversee and monitor
the efficiency and effectiveness of our asset management activities.
There are three sets of components in the asset management framework:
• a central axis comprising the complete set of asset management decisions,
linking all stages between the high level specification of the requirements of
the railway infrastructure to the delivery of specific work activities;
• a set of enabling systems, tools and processes, which support asset
management decision making and ensure that those responsible for their
implementation have the appropriate competencies and awareness;
• a set of review processes which monitor the effectiveness of the asset
management system through audit, measurement and review and include a
feedback mechanism for further development and continuous improvement.
Figure 2 Strategic planning framework
4.4 Decision components

4.4.1 Route utilisation and output specification
This is concerned with defining the physical outputs that the infrastructure needs to
deliver, e.g. condition, reliability and capability, in order to meet the requirements of
our customers and funders. When these have been defined, it provides targets
against which our major decisions on maintaining, renewing and enhancing our
assets can be taken. We will specify and document these targets for each of our
strategic routes.
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The network is also differentiated by route type (e.g. primary, London & SE
commuter routes), reflecting the volume and nature of the traffic carried. This
approach provides a means of identifying the differing reliability and performance
requirements of, for example, high intensive routes carrying inter-city traffic from
those with a more infrequent service. This allows for asset policies to be
differentiated by the type and nature of traffic carried, facilitating the delivery of the
route specification.
4.4.2 Asset management policies
Policies are in place for each asset type, setting out the asset major decisions on the
work we do to deliver the required network and route outputs for the funding
available. Assets are designed, constructed, inspected, maintained and replaced in
accordance with these policies. We will seek to improve these policies using
methods and tools that support decisions on the frequency and type of the work we
propose to undertake. The approach will be based on a good understanding of the
causes of asset degradation, the impact of this degradation on the delivery of
business outputs and the cost of remedial action.
Each asset policy statement is supported by a methodology to forecast the impact of
the implementation of the policy, addressing the volume of work, the cost of the work
and the impact on route and network outputs. These methodologies form an
important component of our strategic planning tool, the Infrastructure Cost Model.
4.4.3 Engineering standards, specification and guidance
Our high-level policy documents are supported, where appropriate, with standards,
specifications and work instructions. These prescribe specific requirements for the
asset interventions that need to be undertaken to meet the higher level criteria
expressed in the asset policies. We will update these documents when changes are
made to the higher level route specifications and asset policies.
4.4.4 Asset plans
Our workbanks specify the maintenance and renewal activities considered necessary
to deliver our asset management policies. In general, for activities to be carried out
over the next three years, these workbanks need to be based upon a detailed
understanding of the performance of the asset on which the work is to be carried out.
Longer term forecasts are produced by the ICM.
These plans are collated in our annual business plan, which sets out the actions we
are undertaking to deliver the capacity, capability and reliability levels as agreed with
our stakeholders on each strategic route.
4.4.5 Local delivery plans
We prioritise delivery of the work required on the infrastructure, according to the
following hierarchy:
Other factors considered when determining the scheduling of a scheme include:
• the cost and benefit impact of deferring the scheme, particularly where
reductions in unit costs are imminent
• the packaging of work to minimise service disruption and network access
costs and to improve delivery efficiency.
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Where resource constraints limit our ability to deliver items of work a mitigation plan
is developed to eliminate any safety impact and minimise any impact on the delivery
of contracted services until the work can be rescheduled.
4.4.6 Local delivery execution
This stage represents the result of all the preceding strategy and planning stages in
the process, the stage at which physical changes to the infrastructure take place. If
the preceding stages have been effective, the right work will have been prescribed to
be undertaken at the right place and at the right time. The key factors that determine
the quality of delivery execution include competency and culture of our own people
and contractors, the systems for scheduling and recording work and the procedures
associated with the hand back of the asset on completion of work.
4.5 Enabling components

4.5.1 Asset information
Timely, accurate and accessible asset information is required to support all stages of
decision making. A comprehensive set of information is required on, for example,
asset type, location, installation date, utilisation, condition, failures and work records
and plans. We will continue to improve the quality of our asset information. We will
also continue to consolidate our data by removing unnecessary duplication and
provide a single point of access to data held in various systems through user friendly
geographical and reporting interfaces. This will open up our systems to a much
broader range of stakeholder, including our customers and funders.
4.5.2 Decision support tools and methods
Analytical tools and methods support our decisions in a number of key areas, for
example in strategic activity/output forecasting, in work optimisation and in delivery
method selection. They are complementary to engineering and economic
judgement, providing, for example, insight into the collective behaviour of groups of
assets over an extended period. We will develop our tools and methods so that they
are able to support the full range of tactical and strategic decisions for all of the major
asset types.
4.5.3 Risk management
An effective risk management system helps to identify, and, as a result, minimise the
residual uncertainty that can affect the way that Network Rail delivers its asset
management responsibilities. The system is used to identify the reasonably
foreseeable threats to the delivery of the company’s objectives and to develop and
risk controls in a consistent way across a range of potential causes and business
consequences.
4.5.4 Business processes
The asset management system needs to be underpinned by a complete set of
business processes to ensure that decisions from strategy to implementation are
internally consistent and effectively joined up. The processes are the key input to
defining roles and responsibilities, to specifying the requirements for asset
information and decision support tools and to managing the interfaces with other
company systems and processes.
4.5.5 Competency
The effectiveness of the asset management system depends ultimately on the
competence of the people who make and implement the strategic and tactical
decisions on the work to be undertaken on the infrastructure. It is therefore
necessary to identify the competency and skills required to sustain the asset
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management system. This provides a benchmark for assessing gaps in competency

and prioritising training and recruitment.
4.6 Reviewing components

4.6.1 Performance measurement
Assessing the performance of the asset management system requires a broad range
of measures combining leading and lagging indicators. Lead indicators include, for
example, measures on data quality and the competence of staff. Lagging indicators
include measurements on the condition and performance of the assets and their
impact on business objectives. We will review and further develop the current suite
of indicators and improve our ability to assess relative performance (e.g. by the use
of internal and external benchmarking) and the performance of our suppliers.
4.6.2 Audit
The majority of audit requirements on the asset management system are provided for
by the corporate audit programme. The asset management risk framework and the
performance measurement regime will be used to identify key areas for audit
programme and to prioritise additional monitoring activities where appropriate. The
scope of the audit includes physical checks and compliance with processes and
procedures.
4.6.3 Management review
The management review is a mechanism for providing active leadership to the further
development and implementation of the asset management system and for
establishing a culture of continuous improvement. This involves keeping business
objectives under review and prioritising improvements based on an assessment of
the performance outputs from the monitoring process. Much of this work is already
undertaken by established groups and processes e.g. Monthly Business Review
process, Tactical Safety Group. The Asset Management Strategy Steering Group
has a particular role in ensuring the asset management framework is fit for purpose
and that its constituent components are suitably developed and implemented.
5. Economic and financial appraisal

Consideration of a change to a route specification, an amendment to an asset policy
or an individual investment decision requires a robust, objective and transparent
process to assess the value delivered. Our investment regulations set out the
methodology for assessing this value and the sources of data used in the appraisal.
These regulations provide details of the sources of funds available to us for
investment in the network and the rules governing the draw down of these funds.
The approach we have adopted secures consistency and is designed to provide
visibility to our customers and funders of the criteria we have used to determine the
value of an investment or a change in route capacity and capability and therefore the
rationale for our proposed course of action
This section identifies the key principles that are contained within these regulations
and how they are applied, including:
• the sources of funds available to the business and the rules governing the
draw down of these funds;
• the methodology we adopt to assess the eligibility of a scheme, primarily in
terms of value for money; and
• outline details of our authorisation process.
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5.1 Funding for investment schemes

Funding for schemes is dependent upon the type of investment scheme under
consideration. The rules governing the drawdown of these funds are specific to the
fund in question and are discussed in detail below. An investment scheme may have
a number of drivers (e.g. condition-led renewal, capacity/capability enhancement,
third party funded enhancement). For such schemes the rules outlined below apply
to the appropriate component of the overall scheme.
5.1.1 Expenditure allowance
The majority of Network Rail’s investment on the network is funded by our regulatory
expenditure allowance. This allowance is determined through the five-yearly access
charges review that provides funds via track access charges, direct grant, and
agreed adjustments to the RAB, to deliver the network outputs as agreed with the
ORR. There are generally three types of scheme that are eligible for the use of this
fund.
Condition-led maintenance and renewals
These consist of maintenance regimes or individual asset renewal schemes that
result from the application of asset policies and standards.
As the asset policy, the relevant supporting standards and the route specification are
subject to a financial analysis that has to balance a number of issues at both route
and network level, individual cost/benefit analysis of each scheme is not necessary
where:
• the scheme is consistent with the current asset policy and relevant standards;
and
• the capacity/capability provided by the maintained/renewed asset is
consistent with the requirements as set out in the RUS.
However, a financial analysis must be carried out where the following conditions
apply:
• the investment scheme is at variance with the existing asset policy or
standard; or
• the asset policy provides guidance only or identifies a range of options that
can be considered; or
• the scheme is inconsistent with the current output specification or contractual
commitment related to the route.
These schemes are assessed by determining the value delivered against a reference
base-case, as set out in Section 5.2.1. The appraisal period is the life of the asset.
Where an asset does not have a defined life an appraisal period of 25 years is used.
Where an amendment to an existing policy or standard is proposed, the base-case is
the application of the current policy/standard. Where the existing policy allows for a
range of options, the base-case is generally the lowest cost option.
Network enhancements
The criteria governing the draw down of expenditure allowance funds for an
investment initiative associated with a network enhancement are as follows:
• the enhancement scheme was a funded requirement in the final conclusions
following the access charges review; and
• the proposed investment initiative is consistent with the identified strategy and
business case for the scheme as defined at the time of the access charges
review.
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Where these circumstances apply no further cost/benefit appraisal is required.

Where the proposed initiative would imply a material change in the overall scheme
the revised scheme value is determined on the basis of a socio-economic
cost/benefit appraisal, as set out in Section 5.2.2. The base-case against which the
value is compared is the current scheme strategy. Where appropriate, any
substantial changes in the proposed approach in the light of this assessment would
be discussed with ORR and the relevant funder.
Safety and environment improvement
Safety on the railway depends largely on the proper design, construction,
maintenance and operation of the network. Most safety improvements will be
achieved through more effective and efficient development and management of the
network through relevant asset strategies and their underpinning plans. As a
consequence we are not expecting to have identified funding in the next control
period for safety and environment enhancements. However, there are some specific
safety and enhancement improvements included within our plans for the next control
period to meet the required outputs.
5.1.2 Regulatory Asset Base (RAB) adjustments or grant funding
Adjustments to the RAB (or the provision of grants from Government or other public
sector bodies) provide a mechanism for funding investment schemes that were not
funded by the last charges review. Any scheme that is proposing funding for all or
part of the investment via this mechanism must satisfy the ORR criteria that
determine if such an adjustment is appropriate. Although there are some variations
in the criteria, dependent on the size of the scheme (see below), all schemes must
demonstrate that:
• Government support the ongoing financial commitment arising from a RAB
addition;
• the proposed scheme enhances the economic value of the network;
• the expenditure has been efficiently incurred; and
• the outputs specified within the scheme have been delivered.
Where the expenditure does not add to the economic value of our assets we will
explain:
• why the proposed RAB addition represents an efficient whole-industry
solution and why we should fund the scheme; and
• how the proposal will add economic value to the rail network
Schemes may be developed on either an emerging or fixed cost basis. Where the
latter is chosen, the level of contingency is agreed between Network Rail and the
funder and is dependent upon the risks associated with the delivery of the scheme.
For schemes where there is limited interaction with the operational railway or for
schemes costing less than £5 million the contingency will be a maximum of 10 per
cent. For other schemes the contingency will generally not exceed 15 per cent, with
a maximum of 25 per cent in exceptional circumstances.
Major network enhancements
There are circumstances under which the DfT or Transport Scotland may wish
Network Rail to implement a major enhancement scheme that was not funded at the
previous access charges review. A letter of support from the DfT or Transport
Scotland and formal agreement from the ORR is required concerning the provision of
the grant or an agreement in principle to an adjustment to the RAB for Network Rail
to progress the scheme.
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Where the DfT or Transport Scotland decide not to proceed with such a scheme,
Network Rail’s scheme development costs to date will be added to the RAB providing
ORR is content that they have been efficiently incurred.
Network Rail Discretionary Fund
It is important that opportunities are taken to enhance the capacity and capability of
the rail network where this will deliver value for money, delivery resources are
available and it can be delivered efficiently. The Network Rail Discretionary Fund
(NRDF) was established by the DfT, Transport Scotland and ORR to fund schemes
designed and delivered by Network rail. Funding will be via an adjustment to the
RAB. For a scheme to be eligible for this fund, it must meet the following criteria:
• it must provide a business case with a positive net present value as defined
by the Benefit Cost Ratio indicator (as set out in Section 5.2.2). This analysis
uses the socio-economic cost/benefit approach to take account of the
economic impacts that are expected to be delivered by the scheme; and
• the amount to be logged to the RAB for each scheme must not exceed £5
million (without the prior agreement of ORR, and following discussion with
DfT or Transport Scotland). This allows schemes with a total cost in excess
of £5 million to be eligible, where costs in excess of £5 million are funded by
Network Rail or a third party.
The method for determining the scheme cost, used by ORR in its assessment of the
amount that will be logged up to the RAB, is determined as follows:
• for stand-alone schemes, this is the cost at the completion of GRIP stage 5
(including risk and contingency allowances); and
• for enhancements/improvements linked to a renewal scheme the percentage
of the overall project cost which is attributable to the
enhancement/improvement is identified at GRIP stage 3. This percentage
would then be applied to the actual completed project cost in order to
determine the scheme cost.
Where a decision is taken not to proceed with a scheme, Network Rail’s scheme
development costs will be added to the RAB providing they have been efficiently
incurred.
Where the demand on the NRDF is likely to exceed the availability of funds, schemes
are generally prioritised on the basis of their Benefit Cost Ratio.
The fund is not generally intended to support enhancements where the financial
benefits to individual stakeholders, or a group of stakeholders, are sufficient to
warrant them funding the scheme directly. Therefore where the benefits accrue
wholly to a single third party it would generally be funded as a third party scheme.
Similarly, where a scheme would generate sufficient additional income or cost
savings for Network Rail we would progress the scheme using our own funds, as set
out below.
We take a lead role in identifying opportunities to enhance network value, and details
of the schemes we are considering for this fund are set out in our route plans,
published annually as part of our business plan suite of documents. This provides
the opportunity for other stakeholders to comment on and provide input to our plans.
In some cases, however, the greatest value will be obtained from schemes that are
identified at short notice.
We consult with passenger and freight operators, and where appropriate other
stakeholders, on proposed NRDF schemes.
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As the principles under which this fund is to be managed have been agreed with
ORR, prior approval is not required before an individual scheme can be progressed.
However, it is expected that the independent regulatory reporters will assess a
representative sample of schemes to check for compliance with the criteria. As a
consequence we provide ORR with:
• a quarterly summary report, setting out actual and budgeted NRFD
expenditure and showing progress in achieving outputs; and
• at year-end include details of NRDF schemes in our regulatory accounts.
5.1.3 Network Rail’s own funds
There are three categories of schemes that Network Rail may consider investing its
own money in, as defined below:
• schemes designed to increase the capacity/capability of the network that may
in the future result in additional track access or station lease income (for
example the provision of an additional station platform or the conversion of
signals to allow bi-directional operation). They may be stand-alone schemes
or part of a larger condition-led renewal initiative
• investments that can be justified through savings in Schedule 8 performance
payments and investments in assets, plant or equipment that will reduce the
future cost of maintaining or operating the railway
• commercial schemes designed to generate income for the business, e.g. a
retail scheme at a station where the capital outlay will be recovered through
increased rental income from retail units, or capacity/capability schemes that
generate track access revenue from open access operators.
For a scheme to be considered it must provide a positive net present value (see
Section 5.2.1).
Where the payback period for the scheme extends beyond the end of the current
control period and the scheme provides sufficient revenue (or cost reduction) to
cover the associated return on the RAB, ORR have agreed the principle of Network
Rail adding the expenditure to the RAB. Any scheme that generates sufficient
income and/or cost savings in less than 20 years are eligible for inclusion under this
category of scheme. Generally, specific approval from the Government for such a
scheme being added to the RAB is not required as there should be no additional call
on Government funds. We provide details of expenditure and income generated (or
costs saved) for such schemes as part of our annual regulatory accounts.
Outperformance fund
Network Rail has made additional funds available for investing in the network. These
funds are intended to supplement the NRDF (primarily to enhance network capacity)
and will generally be administered along similar lines, i.e. using the whole railway and
socio-economic cost benefit appraisal methodology. However, there are two primary
variations in the administration of these schemes, as follows:
• the £5m per scheme limit will not necessarily be applied; and
• schemes may progress with a lower Benefit Cost Ratio than may be
appropriate for NRDF schemes. Examples of such schemes include: those
that are considered enablers to other schemes, those necessary to attract
additional third party funds, or where there are considerable benefits from the
scheme for which it is difficult to assess the monetary value.
5.1.4 Third party promoted schemes
Third party schemes are those that are promoted by an organisation other than
Network Rail. The scheme may be delivered by Network Rail or directly by the third
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party. Where Network Rail is to deliver the scheme we must be able to deliver it
without compromising our other delivery commitments.
Third party funded schemes
Where a scheme is to be funded by a third-party it is not necessary for that body to
satisfy Network Rail of the value delivered by the scheme. However, the scheme
must be compatible with the existing strategy for the route, as set out in the tests for
‘reasonableness’ in Section 7.
Schemes may be developed on either an emerging or fixed cost basis, generally at
the discretion of the third party. Where the latter is chosen, the level of contingency
is agreed between Network Rail and the funder and will be dependent upon the risks
associated with the delivery of the scheme.
RAB financed small-scale third party promoted schemes
These are schemes that are “self-financing” in that they do not require Government
financial support or otherwise generate liabilities for Government. Network Rail
provides finance to the promoter for construction. The promoter may require
Network Rail to deliver the scheme, or use an alternative delivery mechanism.
Network Rail would receive a RAB addition, with the return on the RAB funded by the
third party through amortised payments. The amortisation charge will be calculated
to allow recovery of all capital and financing costs (based on Network Rail’s allowed
return), any relevant depreciation costs and incremental operational, maintenance
and renewal costs generally for a maximum period of 15 years.
Eligibility is generally limited to schemes costing less than £10 million, although
schemes above this level can be considered on a case by case basis. Unlike
schemes funded by a third party, the scheme promoter must provide a business case
for the scheme. Further details on eligibility are detailed in ORR’s “Policy framework
for investments – update on implementation guidelines” (March 2007).
Accelerated renewals
Where the scheme can be delivered more efficiently by bringing forward renewals
from future years, the third party would pay for the financing cost of the accelerated
renewal. The cost of the renewal would generally be added to the RAB if the renewal
is in a future control period. No adjustment to the RAB will be necessary for
renewals brought forward from within the current control period.
Incremental operational, maintenance and renewal costs
With the exception detailed below, the third party promoter should be responsible for
all additional operational, maintenance and renewal costs for the life of the enhanced
asset, net of those costs which:
• Network Rail has already recovered directly from beneficiaries; or
• the promoter has recovered from beneficiaries through the proposed rebate
mechanism.
An annual scheme specific de minimis threshold of £50,000 per will be applied to
additional operational, maintenance and renewal costs. All costs below this
threshold (and not already recovered) will be borne by Network Rail until the next
control period, when these costs would be included in the periodic review settlement.
Rebate mechanism
ORR have put into place a rebate mechanism that allows third parties who invest in
enhancing the network to recover some of their costs from other parties that
benefiting from the use of the enhancement. Under this mechanism, third parties
investing in track enhancements to the network can apply to Network Rail for a
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rebate charge to be put in place. This charge will be levied on applicable operators
accessing and benefiting from the enhancement. The charge is payable to Network
Rail as a premium to the access charge and Network Rail is responsible for
distributing the tariff received to the appropriate investing body. Further details on
eligibility are detailed in ORR’s “Proposals for a rebate mechanism for investors in
larger-scale enhancements – final conclusions” (June 2007).
Risk funds
Risks associated with third party funded schemes are allocated to the body best able
to manage and mitigate them. However we have proposed that most liabilities are
capped (for both third parties and Network Rail) and we have established two funds
as follows:
• a Network Rail Fee Fund (NRFF): a ring-fenced fund where payments from
third parties to cover our own costs and liabilities are put into the fund and the
fund is drawn upon as necessary. Any surplus that we derive from our
charges to third parties will be retained within the fund. This provides an
incentive to manage effectively liabilities that might arise; and
• an Industry Risk Fund (IRF), funded by third party contributions based on a
proportion of scheme costs. This is intended to act as an insurance against
low-probability, high-impact risks.
These funds can be utilised by Network Rail or third party promoters for schemes
which meet the following criteria:
• the scheme sponsor is not the Government;
• the estimated scheme cost is generally less than £50 million; and
• the scheme should enhance the rail network.
If liability caps are breached and the NRFF and IRF are both exhausted, Network
Rail would finance any additional costs until the next periodic review, at which time
there would be an addition to the RAB. This is subject to Government support, as set
out in ORR’s “Implementing the policy framework for investments: guidelines on
arrangements and key processes” (March 2006).
We have implemented a set of template agreements with model terms and
conditions, under Part G of the Network Code. These provide third parties with
transparency on risk allocation, payments to Network Rail and our obligations and
accountability.
We will provide ORR with quarterly reports on all schemes with access to these
funds.
Hypothecated gains
In consideration for Network Rail land, developers will commonly offer a mixture of
cash and enhancements to railway assets – typically station buildings and surrounds.
We receive the full benefit of cash, but the benefits of enhanced assets typically
accrue to other parties such as the Station Facility Operator (SFO). Our proposals
for the regulatory treatment of these benefits are set out below. We are currently in
discussion with ORR on these proposals.
For all schemes Network Rail will carry out an initial project development and
business case assessment following a standard template, in consultation with
affected stakeholders. Network Rail will then seek a RAB addition for hypothecated
gain element of the scheme. This will generate a corresponding single till income
stream in lieu of the value of its land that we do not receive through other
Page 459 of 470

mechanisms. We have proposed that the following types of investment should be

eligible for treatment as a hypothecated gain:
• enhancements to the rail network, such as new platforms;
• replacement stations. In the event that a development results in a station that
is largely but not completely replaced, 75% of the value would be deemed as
hypothecated gain; and
• new car parks, or enhancements to existing car parks (in terms of improved
condition or new car parking spaces).
Any investment relating to freeing up land for a development or renewal of assets will
not be eligible.
It is expected that ORR’s approval process for RAB additions will be proportional to
the value of the project. So for minor schemes (i.e. with a proposed RAB addition
below £5m) approval by ORR would not generally be required on scheme-by-scheme
basis. Larger schemes would generally need approval for each case. For these
schemes Network Rail would need to demonstrate that there is a whole-industry
business case and that the schemes will generate a positive net present value from
the point of view of Government.
Network Rail will provide details of schemes via a quarterly report to ORR and
funders. It is expected that the independent Reporters will audit a sample of
schemes on an annual, ex post basis, to confirm that projects are being undertaken
in line with the specified process. It is likely that the number of projects reviewed
would decline over time as confidence in the operation of the scheme grows.
5.2 Value for money assessment
Where a value for money assessment is required the approach used is dependent
upon the source of funds, as follows:
• where the scheme is to be funded by Network Rail a whole railway financial
analysis is required; or
• where the scheme will be funded by a public grant or an adjustment to the
RAB a socio-economic cost/benefit appraisal must be carried out.
For all schemes the costs and benefits are compared to a base case (i.e. ‘do
minimum’), which should include:
• committed and funded future plans;
• the achievement of required policies and standards; and
• activities required to meet contractual, regulatory and statutory requirements.
5.2.1 Whole railway financial analysis

The net costs and benefits that are expected to be delivered by a proposed scheme
are risk adjusted to obtain ‘expected values’ and discounted to obtain a net present
value (NPV). The NPV is assessed as:
• the revenue and any other financial benefits delivered by the scheme
(including changes in schedule 4 and 8 payments); less
• the cost of implementing the scheme, including any ongoing maintenance and
operational costs.
In general only schemes with a positive NPV are progressed. However, schemes
with a marginal business case may be progressed where there are significant non-
monetary benefits.
Page 460 of 470

For commercial property related revenue generating schemes the real internal rate of
return (IRR) must be in excess of 10.5 per cent. This hurdle rate is based on our
cost of capital, including a premium to reflect the commercial risks of such
investments.
For all other schemes currently a real discount rate of 6.5 per cent (reflecting the
agreed rate of return on the RAB) would be used to determine the NPV over the life
of the asset (or a period agreed with ORR were an adjustment to the RAB is
proposed – see Section 5.1.3). This rate is under review with ORR for control period
4.
With the exception of capacity enhancement schemes, the impact on industry
stakeholders is not addressed separately as the regulatory regime is designed so
that this analysis takes account of the financial impact on other railway parties,
primarily through schedules 4 and 8, the Network Code and its equivalent for stations
and depots. Where it is apparent that the impact on other parties would not be
covered adequately by this regime additional analysis would be undertaken and we
would consult with ORR, and DfT or Transport Scotland as appropriate.
5.2.2 Socio-economic cost/benefit appraisal
For RAB or public grant funded schemes, or enhancement schemes funded through
the access charges review the assessment must include consideration of the societal
and financial benefits, using an approach agreed with the DfT and Transport
Scotland. This includes consideration of:
• overall passenger journey time;
• environmental and safety benefits arising from modal shift from car or lorry to
rail;
• reliability and crowding for rail users; and
• employment and regeneration impacts.
All benefits and costs of the options under consideration are quantified in real
monetary terms, where possible, using net present values, discount rates and
appraisal period as defined by HM Treasury (The Green Book 2003). Discount rates
are currently 3.5 per cent for the first thirty years of the appraisal, at 3.0 per cent for
years 31 to 75 and 2.5 per cent thereafter until 125 years – this is the Social Time
Preference rate, reflecting the value society attaches to present, as opposed to
future, consumption.
Scheme costs include monetised risk and contingency. In addition optimism bias is
added to correct the historically observed tendency to underestimate costs. In
accordance with DfT and Transport Scotland guidance, cost estimates at GRIP stage
3 are uplifted by 40 per cent and by 6 per cent at GRIP stage 5 (these figures are
currently under review by DfT and Transport Scotland).
We apply the principle of proportionality to the appraisal process, with the
methodology adopted based upon the value and complexity of the scheme under
consideration (below £1 million, between £1 million and £5 million, and above £5
million). This is to limit the analysis overhead on low cost or relatively straightforward
schemes.
Network Rail’s Route Utilisation Strategies Technical Guide provides a
comprehensive explanation of the data sources and benefit analysis methodology
used when considering major investments. For schemes that are to draw down on
the NRDF a simplified methodology has been agreed with the DfT, Transport
Scotland and ORR, (“The Appraisal Guidance for the Network Rail Discretionary
Fund”).
Page 461 of 470

Appraisal Summary Table

The Appraisal Summary Table (AST) is used by DfT and Transport Scotland to
compare the cost and benefit of each option to enable comparison between options
to be made. The five sections of the AST cover the five broad Government
objectives for transport of: environment; safety; economy; accessibility; and
integration.
Where possible the costs and benefits of options are quantified in monetary terms.
Non-monetary (qualitative) impacts are used for assessing the environment,
accessibility and integration sections of the AST. Their impacts are appraised using
a five point qualitative scale. The non-monetary impact is used when assessing the
relative merits of options that have a similar economic value or to assist in prioritising
schemes where funding or resource constraints exist.
Transport Economic Efficiency table
A monetary assessment of the benefits delivered by each option is carried out using
the Transport Economic Efficiency (TEE) table. The value of the scheme is
determined by calculating the net present value of benefits delivered. This is defined
as:
net revenues – private sector costs + subsidies + rail user benefits + non-user
benefits.
This analysis includes consideration of:
• net revenue changes to TOCs and Network Rail;
• the cost of capital (where Network Rail will initially fund the scheme and
recover costs via an adjustment to the RAB);
• welfare benefits such as journey time, reliability, rolling stock or station
ambience changes to rail users divided by business and non business rail
users; and
• benefits to non rail users and society, for example environmental benefits
arising from modal shift of users from another transport mode.
For all appraisals benefits and costs expressed in monetary values use 2002 as the
price base. This allows the results of the scheme to be compared to all other
appraisals completed in accordance with DfT/Transport Scotland criteria. The
appraisal period follows HM Treasury and DfT guidance and should cover the period
over which any liabilities (actual or contingent) fall on the funder’s budget.
All options should be appraised over the same period. If there is no exact life (such
as the life of the asset before first renewal) then the appraisal period is set at 60
years.
The overall measure of value for money used by the DfT, Transport Scotland and
Network Rail is the Benefit Cost Ratio (BCR) which is set out in the TEE table. The
BCR is defined as:
NPV (as defined above)
present value of costs (PVC) to Government
In addition to providing an absolute measure of the value for money provided by a
scheme, the BCR is also used to prioritise schemes where the number of eligible
schemes exceeds the funding available.
Guidance on the use of the NRDF from the DfT is that:
• most, if not all, schemes should provide high value (i.e. with a BCR of greater
than 2.0);
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• some schemes may provide a medium level of value for money (where the
BCR is between 1.5 and 2);
• very few schemes should provide low value for money (with a BCR of
between 1.0 and1.5) – and such schemes must deliver other benefits; and
• there should be no schemes providing a poor level of value for money (a BCR
of less than 1.0).
For proposed NRDF schemes in Scotland and Wales, the BCR provides an
indication of scheme value. However, the BCR is only one of the indicators used by
Transport Scotland in determining if a scheme should be progressed.
Sensitivity analysis
Sensitivity analysis is used to test the vulnerability of the options to future
unavoidable uncertainties. These are likely to include uncertainty associated with the
achievement of either the levels of benefit or base demand, usage or patronage
profile. Examples of option sensitivity tests include:
• reducing all option benefits such as performance savings by 15 per cent or 40
per cent;
• removing growth from the values used to monetise the benefits;
• the identification of the switching value, i.e. the level to which the cost must
increase or the benefits decrease for the NPV to move from positive to
negative; and
• using various patronage scenarios as well as the central case for the demand
profile.
Sensitivities in costs may also be considered. However risk should already be
addressed in the cost profile as a result of including an appropriate optimism bias in
the appraised cost.
5.2.3 Safety business case assessment
Safety enhancement schemes are designed to reduce industry risk to tolerable levels
where there is a quantifiable safety or environmental benefit net of any cost, but no
other business efficiency saving. Network Rail applies quantitative analysis of safety
decision criteria to determine what is reasonably practicable and therefore mandated
by legislation, specifically the Health & Safety at Work Act (HASAW Act). Safety
schemes required under the HASAW Act are generally funded from the expenditure
allowance, i.e. they are a legally required cost of doing business and as such are
built into the expenditure allowance agreed for the current control period.
Risk based appraisals are assessed over the life of the asset to determine the NPV,
currently using socio-economic data and discount factor of 6.5 per cent. The
discount rate and methodology are currently under review with ORR.
To assess quantitatively, it is necessary to place a monetary value on the costs
compared to the safety benefits. Network Rail applies this principle by using the
Value of Preventing a Fatality (VPF) as a guide to what is reasonably practicable.
The VPF applied by Network Rail during 2007 is £1.573m. This value is updated
annually in line with the VPF adopted by the DfT and other Railway Group members.
The VPF applies to fatalities and weighted injuries, where one fatality is considered
equivalent to 10 major injuries or 200 minor injuries.
When safety improvements are being considered and the cost is less than the
monetary value of the safety benefit determined by applying the VPF, Network Rail
will, generally, implement the improvement. Where the cost is above the monetary
value of the safety benefit, Network Rail will apply professional judgement in
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determining whether the cost is grossly disproportionate to the safety benefit and it is
reasonably practicable to implement the improvement.
5.3 Governance process
Our Investment regulations set out the governance process applicable for all types of
investment schemes.
Authorisation of investment schemes in Network Rail is delegated to investment
panels, depending on the scheme type and the forecast level of expenditure. All
panels share the responsibility to ascertain that:
• the scheme is consistent with asset policies and route or network strategies;
• the appropriate scheme development and implementation processes have
been adhered to;
• roles and responsibilities have been clearly defined;
• adequate budget provision for the scheme is available;
• the efficiency target for scheme has been achieved; and
• the scheme is deliverable.
We have developed an approach to managing investment schemes to minimise and
mitigate the risks associated with delivering such schemes on an operational railway
– the Guide to Railway Investment Projects (GRIP). The approach is based upon
best practice within Network Rail and other industries that undertake major
infrastructure projects as well as practice recommended by the major professional
bodies. It covers the investment lifecycle from inception through to the post-
implementation realisation of benefits.
Funding is in discrete stages to limit the risk of committing resources to the wrong
scheme. The authorisation process provides a check mechanism (budget and
funding availability, consistency with asset and route policy etc.) to deliver the
continued effective operation of this process.
We are in the process of reviewing our GRIP documentation.
5.4 Proposed changes to network capacity or capability
Where a proposed investment will result in a material physical change to the
infrastructure (for example a change to the network layout as a result of the removal
of a cross-over) or a material change to the operation of the network (for example a
line speed increase) we seek approval for the change through the Network Change
process, under Part G of the Network Code. This process requires detailed
consultation with funders and train operators and consideration of the likely impact on
their businesses of the proposed change. For each change proposal a business
case is prepared. The proposed Network Change is only considered where industry
value is enhanced: for example, any infrastructure cost savings are in excess of
additional costs generated elsewhere, or additional infrastructure costs are less than
industry benefits. Where relevant it is also necessary to take account of any
compensation payable under the industry processes.
A Network Change may also have a significant impact on a station and therefore
require a Station Change, which has a separate consultation process. Proposed
investment to the network could also be the result of a Vehicle Change, consulted
and accepted through the processes under Part F of the Network Code.
Page 464 of 470

6. Dealing with surpluses and deficits
6.1 Use of surpluses

As part of the Access Charges Review process the Office of Rail Regulation (ORR)
sets Network Rail’s access charges so that meeting the regulator’s efficiency and
output assumptions would result in an expected level of profit. The company aims at
least to meet the efficiency and output assumptions and outperformance of these
assumptions may therefore result in additional profit compared to that which was
assumed in the review. Part of the expected profit may be allocated to a ring-fenced
fund to be spent on specific schemes, identified through the periodic review process
if the funds become available. Apart from this ring-fenced fund, ORR has indicated
that Network Rail is best placed to determine the use of any such profits in
consultation with key stakeholders, particularly DfT and Transport Scotland. We
have therefore set out the criteria which would be applied in deciding between the
alternative options during the third control period. In determining the extent of any
relevant profits that would arise from outperformance we would need to take account
of the following:
• Costs. The value of scope and unit cost efficiency savings achieved in
meeting the final determination outputs when compared against ORR’s
expenditure assumptions. However, deferral of expenditure to future control
periods would not be treated as outperformance. Such deferrals may be
optimal, but the company would not expect to be paid twice for this work
when it needs to be carried out and it is therefore necessary to make sure
that some debt headroom is retained.
• Income. The degree to which we exceed the final determination property and
other single till income forecasts. However, in some cases, additional
receipts may be accelerated from future control periods and, in these
circumstances, the additional income would not be treated as
outperformance. In other cases, we would take the opportunity to use
developers’ funds to improve station condition or facilities – we are discussing
with ORR how the resultant financial benefits may be shared with developers
and the appropriate treatment of these improvements in the Regulatory Asset
Base (RAB).
• Net effect. We would need to consider the net effect of additional revenues,
cost savings and RAB additions to determine the overall level of additional
profit from outperformance. The structure of charges is designed so that
additional variable track access charges arising from incremental traffic flows
are intended broadly to offset any additional costs across the network as a
whole and it is therefore necessary to take account of the change in net costs.
Any additions to the RAB would be treated in the same way as additional
income. Potential downwards adjustments to the RAB where required
outputs have not been delivered would also be taken into account.
• Outputs. Beating the final determination outputs will not necessarily lead to
additional profits in CP4 but will improve the affordability of the rail network in
future control periods.
• Timescale. Outperformance should be assessed over the entire control
period. We are committed to delivering the overall output requirements within
the available funds during the control period as a whole. Outperformance in
one year may be offset by underperformance in subsequent years. A realistic
assessment of the likely level of outperformance over the control period
cannot be made until at least the third year of the control period. Even in the
Page 465 of 470

third year of the control period, it is appropriate for us to take a prudent view
of the potential for improvements in efficiency or additional costs.
This analysis is carried out separately for England and Wales and Scotland. If there
is expected to be a significant element of additional profits in CP4 from the above, we
would then consider the most appropriate use of that surplus based on the following
priorities.
An overriding principle is that where Network Rail considers it necessary to reduce
the level of debt for financeability reasons or to make certain that the company is
able to comply with its obligations; any additional profits will be used to reduce debt.
Relevant obligations would include Condition 12 (ring-fencing) and Condition 29
(level of financial indebtedness) of our network licence. If these constraints do not
apply, the following issues would then be considered to determine how any additional
profits should be used.
If there is no financeability or compliance issue then we believe that at least a
proportion of any additional profit from outperformance should be used to fund
worthwhile investments that either reduce future cost or improve the outputs from the
railway. Potential schemes would have to have a positive industry business case
(determined as explained in other sections of this document). Before committing to
any significant investments, we would expect to discuss the matter at least with the
two principal funders, Department for Transport (DfT) and Transport Scotland, and
with ORR. We would also seek to use our investments to leverage other sources of
funding taking account of available opportunities. Given the potential time horizon for
such investments, this may involve some expenditure in future control periods – in
this case the relevant funds would be set aside so that this can be treated
consistently at the next periodic review.
If the level of additional profit from outperformance exceeds the value of worthwhile
investments which it is appropriate to fund from any outperformance then we will use
the surplus to reduce our debt. Network Rail has substantial debts which it has
inherited or due to the levels of expenditure that was necessary to address previous
underinvestment in the network. This is also reflected in the value of Network Rail’s
RAB. Reducing debt (and increasing the level of headroom between the level of debt
and the RAB) can help to improve the financial stability of the business, our ability to
withstand potential future cost shocks, and the longer term affordability of the railway.
Reductions in debt will benefit the company’s overall financial position and therefore
our main funders.
6.2 Remedial plans

We are determined to deliver the required outputs within the available funds through
improvements in efficiency due to procurement savings, rigorous financial control,
improved planning and increased quality of what we deliver. It must be recognised,
however, that precise plans for achieving efficiency targets several years away will
not generally be available. Where the required efficiency savings cannot reasonably
be expected to be achieved, a remedial plan will be developed and reflected in our
overall plans. In developing this plan the same principles as used for prioritising
expenditure in general would be followed and the options would be evaluated by
considering the whole railway cost and benefits delivered. As a general principle,
therefore, our continued priority would be to seek to achieve an appropriate balance
between infrastructure costs and the value of services provided on each route.
Actions to achieve the necessary reduction in expenditure in line with these principles
would include:
• the potential non-achievement of efficiency targets would be subject to a
rigorous challenge and further opportunities sought, including initiatives to
Page 466 of 470

reduce further the costs of maintenance and renewal activities and the scope
of individual schemes, where this does not compromise the required outputs
• further expenditure savings could be realised by the deferral of renewal
activities or by allowing asset condition to deteriorate where there is no
immediate impact on contractual or regulatory outputs. When considering
this option the whole-life cost impact would need to be determined to confirm
that the future cost of the railway is not compromised
• we would re-examine the route infrastructure and service balance to identify
any further opportunities to amend route reliability and capability (with
corresponding adjustments to existing contractual commitments as
appropriate) where such a course of action would realise whole railway cost
savings.
Any remedial plans would be developed following engagement with our stakeholders
as part of our normal planning processes and be reflected in our annual business
plans. They would therefore be subject to review by ORR to confirm that they are
consistent with the requirements in Condition 7.
7. Customer reasonable requirements

In developing the network we seek to understand and meet the reasonable
requirements of train operators, other providers of services relating to railways and
funders. We use the criteria set out below to assess if a requirement is reasonable.
Where a scheme is to be funded or delivered by Network Rail all three criteria must
be met for it to progress.
7.1 Financial criteria

A requirement is regarded as reasonable subject to it satisfying any of the following
conditions:
• it can be achieved at no extra net cost (i.e. including future maintenance or
operational liabilities) to Network Rail or
• it can be achieved at no extra net cost to Network Rail, as it forms part of a
scheme which we are expected to undertake for the renewal or enhancement
of the network or
• the customer or funder commits to pay extra funds, or procure the payment of
additional funds to Network Rail, based on the cost of delivering and financing
the enhancement, including a return which is commensurate with the risks
carried by Network Rail or
• the funding for the expenditure involved is explicitly provided for at an access
charges review
and it is not unduly difficult for Network Rail to finance the scheme taking account of
the other financing requirements of its regulated business. Where relevant, we will
work with our customers and funders to help secure additional sources of funding for
development of the network.
7.2 Compatibility with existing commitments

A requirement is regarded as reasonable subject to it satisfying each of the following
conditions:
• it does not conflict with the existing access rights of other operators, including
local output commitments
Page 467 of 470

• it is not designed to give unfair advantage over other bidders in future

franchise negotiations
• it does not impede our ability in the future to deliver the published strategy on
any route (including performance objectives for the route)
• it is consistent with our obligations under the network licence and statutory
duties under the Railways Act or other law
• we are able to operate the revised infrastructure or service in a safe and
efficient manner, consistent with our safety case and existing processes and
procedures.
Where a proposed scheme does conflict with an existing route strategy,
consideration would be given to amending the strategy, subject to discussion with our
funders and other operators on the route.
7.3 Deliverability criteria

In order to avoid the possibility of diverting resources used to support the safe,
efficient and reliable running of the scheduled services a requirement is regarded as
reasonable subject to it satisfying each of the following conditions:
• the requirement is clearly defined and its scope and timescale for delivery are
realistic
• the output is measurable, ensuring that all parties can agree delivery has
been achieved
• Network Rail has, or can obtain, the necessary resources to implement the
scheme
• network access can be made available
• delivering the scheme does not unacceptably compromise our ability to
deliver the existing programme of works on the route.
Where there are constraints on our ability to deliver a scheme that is proposed by our
stakeholders, or to support a third party delivered scheme, we will work closely with
the stakeholder to identify options for relieving these constraints. In some
circumstances this may necessitate a proposal being deferred until the resource
constraints are alleviated.
8. Integrated risk management process
8.1 Principles
In order to increase the certainty of meeting our corporate objectives we have
implemented a comprehensive, structured and robust framework. It is designed to
make sure that key risks are managed and our processes provide transparency on
how they are being managed.
8.2 Process overview

Our integrated risk management process can be summarised by the following six
basic steps:
• corporate objectives – identify the objectives that could be impacted by the
action or process under consideration;
• identify risks – determine what could go wrong or what opportunities could be
missed;
Page 468 of 470

• assess and prioritise – assess how exposed we are and determine what
should we tackle first;
• identify mitigation – determine what, if anything, we should do, or do
differently
• implement – carry out the appropriate action; and
• monitor – determine if we are delivering the expected results.
8.3 Risk identification

Risk owners are identified based upon their accountability for the action under
consideration. It is their responsibility to assign and allocate priority risks to plan
managers. These managers are responsible for developing and implementing action
plans to mitigate the risks and monitoring progress on the completion of the plan.
Risk identification may be carried out during:
• the development or update of asset policies;
• the consideration of material changes in capacity or capability of the network;
• prior to and during renewal, enhancement or maintenance projects; and
• the development of annual business plans.
8.4 Assessment and prioritisation

Having identified the risk, a ranking system is used to determine prioritisation based
upon a numerical assessment of its impact on the business and the likelihood of it
occurring,
i.e. Risk ranking = Impact + Frequency
8.4.1 Impact
The assessment of impact is based upon its effect on our corporate objectives,
covering:
• finance;
• safety;
• performance;
• capability;
• asset stewardship;
• business performance; and
• customers and stakeholder.
When determining the impact, the primary business objective is identified, i.e. which
of the above will the risk impact on more than the others. The range of impact scores
is from 1 to 5. For example, for capability the loss of a major route for 5 hours would
receive an impact score of 1, whereas the loss of such a route for 5 days would be
allocated a score of 4. Similar guidance is provided for each of the above objectives.
8.4.2 Frequency
Frequency is an estimate of the potential for the maximum credible impact occurring.
Figure 2 Frequency scoring
Frequency Description Score
More than or equal to five per year Recurring 5
Less than five per year
Expected 4
More than or equal to one per year
Less than one per year Possible 3
Page 469 of 470

More than or equal to one in five years

Less than one in five years
Unlikely 2
More than or equal to one in 25 years
Less than one in 25 years Remote 1
8.5 Identify mitigation

The risk ranking is used to determine the action that should be carried out to manage
and control the risk, using the following approach.
Figure 3 Identification of actions for risk control
Risk region Rating Safety risk Other risk
Additional controls will be
introduced to reduce the risks
Unacceptable introduced to reduce the
7-10 to the tolerable region (or lower)
region risks to the tolerable
unless it is demonstrably not
region(or lower)
cost effective to do so
introduced to reduce the Additional controls will be
Tolerable risks unless the cost is introduced to reduce the risk
5-6
region grossly disproportionate to unless the cost is
the benefit (i.e. as low as is disproportionate to the benefit
reasonably practicable)
Action not usually required
Broadly
unless reasonably Further action not usually
acceptable 2-4
practicable measures are required
region
available
Page 470 of 470

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Network Rail Asset management

Network Rail October 2007 Strategic

Part 2: Asset management strategy 5

Part 3: Asset Management Policy 11

Part 4: Asset Policy Development 15

Track policy justification 71

Part 6: Signalling 144

Signalling policy 145

Signalling policy justification 155

Part 7: Structures 195

Structures policy 196

Structures policy justification 202

Part 8: Operational property 241

Operational property policy 242

Operational property policy justification 249

Part 9: Telecoms 293

Telecoms policy 294

Telecoms policy justification 301

Part 10: Electrification and Plant 341

Electrification and Plant policy 342

Electrification and Plant justification 350

Appendix Business Planning Criteria 428

• our updated Business Planning Criteria.

Figure 1 Document hierarchy

Business planning criteria

Asset management strategy

Asset management policy

Asset specific policies, covering:

Workbanks containing asset

Part 2: Asset management strategy

Asset management strategy

3 Asset management framework

Figure 1 Asset management framework

Part 3: Asset management policy

Network Rail’s Asset Management Policy

Document revision information

© Copyright 2006 Network Rail

Network Rail’s asset management policy

1. The collective totality of assets shall be managed on a minimum whole

2. Asset management activities shall be aimed at achieving overall asset

3. Assets shall be managed compliant with relevant statutory and legislative

4. The whole life capability and functionality requirement of any asset or

6. As far as is reasonably practical, new changed and renewed assets shall be

7. The use of standard designs, products and technique shall be maximised to

11. Asset examination technology and techniques shall be operated to support

12. The decision on timing of individual asset replacement shall include

13. Before commencement of the business processes for renewal, the

14. Enhancement of change of assets or their management, within the

16. Company Standards, Specifications and Standard Functional Procedures

Andrew McNaughton 29 October 2007

Part 4: Asset management development

Asset management development

2 Independent review of our asset management framework

Network Rail’s response

3 Asset policy development

Figure 1 Improved asset policy justification

Initiative Result of analysis CP4 impact

Initiative Result of analysis CP4 impact

Removal of the requirement to

Initiative Result of analysis CP4 impact

Figure 2 Cost reduction or reliability improvement

Initiative Result of analysis CP4 impact

Figure 3 Longer term policy development initiatives