T HR SC 07111 ST Mandatory Requirements for Inspection, Testing and Commissioning … · 2019. 9....

Mandatory Requirements for Inspection, Testing and Commissioning of New or Altered Signalling - Part 1

T HR SC 07111 ST

Standard

Version 1.0

Issue date: 04 September 2019

© State of NSW through Transport for NSW 2019

T HR SC 07111 ST Mandatory Requirements for Inspection, Testing and Commissioning of New or Altered Signalling - Part 1

Version 1.0 Issue date: 04 September 2019

Important message This document is one of a set of standards developed solely and specifically for use on

Transport Assets (as defined in the Asset Standards Authority Charter). It is not suitable for any

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The copyright and any other intellectual property in this document will at all times remain the

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You must not use or adapt this document or rely upon it in any way unless you are providing

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Standard governance

Owner: Lead Signals and Control Systems Engineer, Asset Standards Authority

Authoriser: Chief Engineer, Asset Standards Authority

Approver: Executive Director, Asset Standards Authority on behalf of the ASA Configuration Control Board

Document history

Version Summary of changes

1.0 First issue.

© State of NSW through Transport for NSW 2019 of 65



Preface

The Asset Standards Authority (ASA) is a key strategic branch of Transport for NSW (TfNSW).

As the network design and standards authority for NSW Transport Assets, as specified in the

ASA Charter, the ASA identifies, selects, develops, publishes, maintains and controls a suite of

requirements documents on behalf of TfNSW, the asset owner.

The ASA deploys TfNSW requirements for asset and safety assurance by creating and

managing TfNSW's governance models, documents and processes. To achieve this, the ASA

focuses on four primary tasks:

• publishing and managing TfNSW's process and requirements documents including TfNSW

plans, standards, manuals and guides

• deploying TfNSW's Authorised Engineering Organisation (AEO) framework

• continuously improving TfNSW’s Asset Management Framework

• collaborating with the Transport cluster and industry through open engagement

The AEO framework authorises engineering organisations to supply and provide asset related

products and services to TfNSW. It works to assure the safety, quality and fitness for purpose of

those products and services over the asset's whole-of-life. AEOs are expected to demonstrate

how they have applied the requirements of ASA documents, including TfNSW plans, standards

and guides, when delivering assets and related services for TfNSW.

Compliance with ASA requirements by itself is not sufficient to ensure satisfactory outcomes for

NSW Transport Assets. The ASA expects that professional judgement be used by competent

personnel when using ASA requirements to produce those outcomes.

About this document

This standard has been developed from the RailCorp standard SPG 0711.1 Roles,

Responsibilities and Authorities, version 1.8 and SPG 0711.6 Interface Requirements and

Procedures for Alternations, version 1.4. The contents encompass and contemporise such

essential components.

This document covers the requirements for AEO documentation (supporting their assurance

provision), ensuring quality of work, preserving signalling integrity, authority to work, roles and

responsibilities, interface coordination and competency.

This document supersedes SPG 0711.1 in full and partially supersedes SPG 0711.6.

This standard is a first issue.




Table of contents 1. Introduction .............................................................................................................................................. 7

2. Purpose .................................................................................................................................................... 7 2.1. Scope ..................................................................................................................................................... 8 2.2. Application ............................................................................................................................................. 8

3. Reference documents ............................................................................................................................. 9

4. Terms and definitions ........................................................................................................................... 10

5. AEO inspection, testing and commissioning documentation .......................................................... 12

6. Ensuring quality production, installation and integration of new or altered signalling ................ 13 6.1. Use of existing or spare equipment ..................................................................................................... 14 6.2. Stage work ........................................................................................................................................... 14 6.3. Wire crimpers and other specialised tools ........................................................................................... 15

7. Preserving the integrity of the existing signalling system ............................................................... 16 7.1. Work done on or near operating lines ................................................................................................. 16 7.2. Impacts caused by the work ................................................................................................................ 17 7.3. Disconnection of out of use equipment ............................................................................................... 17 7.4. Installed trackside equipment pending commissioning or removal ..................................................... 18 7.5. Special precautions for newly installed wires run within existing equipment and circuits ................... 18 7.6. Temporary wiring and equipment ........................................................................................................ 20 7.7. Security of signalling equipment and housings ................................................................................... 22 7.8. Risk mitigation strategy ........................................................................................................................ 23

8. Authority to work ................................................................................................................................... 24 8.1. Signalling permit to work ...................................................................................................................... 24 8.2. Working on operational signalling or applying signalling safeworking ................................................ 25 8.3. Working within operational signalling environments ............................................................................ 26 8.4. Non-operational signalling environments ............................................................................................ 28

9. Appointment of commissioning engineer .......................................................................................... 29

10. Engineering design authority ............................................................................................................... 30

11. Interface coordination ........................................................................................................................... 31 11.1. Interface coordination plan .............................................................................................................. 32 11.2. Coordination of multiple signalling projects ..................................................................................... 35 11.3. Decommissioning and disposal of redundant equipment ................................................................ 36

12. Roles and responsibilities of RIMs ...................................................................................................... 37 12.1. Project delivery RIM and commissioning AEO responsibilities ....................................................... 37 12.2. Operator and maintainer RIM responsibilities ................................................................................. 39

13. Roles and responsibilities of duty holders ......................................................................................... 42 13.1. Allocation of roles ............................................................................................................................ 42 13.2. Common responsibilities .................................................................................................................. 43 13.3. Commissioning engineer responsibilities ........................................................................................ 44 13.4. Signalling tester in-charge responsibilities ...................................................................................... 45 © State of NSW through Transport for NSW 2019 of 65



13.5. Signalling system certifier responsibilities ....................................................................................... 48 13.6. Signalling subsystem certifier responsibilities ................................................................................. 49 13.7. Apparatus certifier responsibilities ................................................................................................... 50 13.8. Structural and ancillary certifier responsibilities............................................................................... 51 13.9. Signalling test assistant responsibilities .......................................................................................... 52 13.10. Licensed signalling personnel responsibilities ................................................................................. 53

14. Mapping duty holder roles to critical signalling functions ............................................................... 54 14.1. Specific functions for duty holders holding limited competencies ................................................... 61 14.2. Multiple roles .................................................................................................................................... 61 14.3. Independence of inspection and testing personnel ......................................................................... 62

15. Competency requirements ................................................................................................................... 62 15.1. Assessment of duty holders............................................................................................................. 63 15.2. Duty holder performance history ..................................................................................................... 64 15.3. Assessment pathways for attaining roles in critical signalling functions ......................................... 64




1. Introduction The necessities for standards that pertain to the critical signalling functions relating to

inspection, testing and commissioning of new or altered signalling have emanated from the

outcomes of undesirable historical events. Such events included collisions, derailments and

near misses; many of which caused death and injury, property damage and loss, commuter

disruption, financial loss, reputational damage, as well as a lack of public confidence in the

transport system.

The reoccurrence of such events, particularly where deficiencies in signalling integration were

causal, can be vastly reduced or prevented when the critical signalling functions of inspection,

testing and commissioning are properly planned and executed using coherent and consistent

processes. Such processes would identify, control and mitigate all associated risk (so far as is

reasonably practical), so as to achieve a safe and desirable outcome. Equally important is the

selection of competent and proficient personnel who undertake such work, and that each

person involved clearly understands the requirements of their role and the responsibility they

hold for each task.

This series of standards has been developed from the knowledge and experience of learned

signal engineers, and from the lessons learnt of previous incidents (including those abroad)

stemming back many years. It prescribes the key responsibilities, principles, objectives,

requirements and guidance to ensure installations conform to intended designs as well as to

agreed functional and engineering requirements.

Additionally, this series of standards outline requirements that aim to preserve the integrity of

the existing operational system during the delivery of such work.

2. Purpose This series of standards set out the framework and high level requirements for rail infrastructure

managers (RIMs), Authorised Engineering Organisations (AEOs) and signalling personnel

involved with the critical signalling functions relating to inspection, testing and commissioning of

new or altered signalling work.

Mandatory requirements are stipulated for planning, controlling, monitoring and recording of the

aforementioned critical signalling functions, including the associated pre-requisite activities and

subsequent handover. It is intended that these requirements form the basis of the

commissioning AEO’s documentation relating to such activities.

The roles, responsibilities and competency requirements of signalling personnel who perform

critical signalling functions are outlined to enable a consistent approach across all signalling

commissionings.




2.1. Scope This document contains the requirements for ensuring a quality installation, preservation of the

existing signalling system, engineering design authority, appointment of commissioning

engineer, roles and responsibilities, interface coordination, and competency and independence

requirements for work relating to inspection, testing and commissioning of new or altered

signalling.

This document pertains to signalling commissionings which also covers any decommissioning of

signalling and subsequent removal of associated redundant equipment. The requirements for

decommissioning shall be accordingly applied in the same context as commissioning.

This document does not cover non-signalling matters, such as work health and safety, worksite

protection or project management. This document also does not cover matters relating to

business or commercial requirements.

2.2. Application This document applies to the signalling systems (inclusive of associated subsystems and

apparatus) within the heavy rail network as governed by TfNSW.

Signalling referred to in this document includes all the various generational signalling

applications used in heavy rail, from traditional mechanical signalling through to modern

computer-based systems. The term signalling, as used in this document incorporates signalling

controls and indications, signalling interlockings, trackside signalling apparatus (including active

level crossing protection), signalling power and air supplies, signalling equipment housings, as

well as all connecting cables, hoses and operations critical data networks and other

communication systems used for signalling.

This document also pertains to the peripheral technological domain of signalling, such as

computerised train control and traffic management systems, any signalling infrastructure used

to support automatic train protection (ATP) and automatic selective door operation (ASDO), and

so on. It also refers to any future applications of signalling as they arise over time.

This document shall be read in conjunction with AS 7716 Signalling Testing Process, and

AS 7717 Signal Testing & Commissioning, as applicable. While this document generally

complements the Australian standards, it shall take precedence over requirements where

conflict exists, especially where this document applies a more stringent requirement.

This document shall also be read in conjunction with the operator and maintainer RIM signalling

safeworking procedures, as applicable. In all cases, the intent of this document shall remain

valid.




3. Reference documents The following documents are cited in the text. For dated references, only the cited edition

applies. For undated references, the latest edition of the referenced document applies.

Australian standards

AS 4292.1 Railway safety management - Part 1: General requirements

AS 4292.4 Railway safety management - Part 4: Signalling and telecommunications systems

and equipment

AS 7716 Signalling Testing Process

AS 7717 Signal Testing & Commissioning

Note: AS 7716 and AS 7717 are published and maintained by RISSB.

Transport for NSW standards

ESG 100 Signal Design Principles

SPG 0703 Signalling Documentation and Drawings

SPG 0706 Installation of Trackside Equipment

SPG 0707 Installation of Equipment Racks and Termination of Cables and Wiring

T HR CY 03000 ST Competency Standard – Signalling

T HR SC 02000 ST Mandatory Requirements for Signalling Safeworking Procedures

T MU CY 10503 GU AEO Guide to Engineering Competence Management

Legislation

Rail Safety National Law (NSW)

Other reference documents

Australian Quality Training Framework

Australian Qualifications Framework

Signalling Safeworking Procedures (operator and maintainer RIM)

Network Rules and Network Procedures (operator and maintainer RIM)




4. Terms and definitions The following terms and definitions apply in this document:

AEO Authorised Engineering Organisation

ASA Asset Standards Authority

ASDO automatic selective door operation

ATP automatic train protection

CBI computer based interlocking

certification of signalling (for the purpose of this document) the sign-off of signalling systems,

associated subsystems and apparatus (as applicable) by signalling personnel, attesting to its

correct operation following satisfactory testing in accordance with the relevant requirements, for

the purpose of booking the signalling into operational use

interlocking an electrical, electronic or mechanical means of making the operation of one piece

of apparatus dependent upon certain predetermined conditions being fulfilled by other

apparatus - the logic by which routes that conflict are prevented from being set at the same time

like for like renewal the renewal or temporary removal and subsequent reinstatement of

signalling equipment that can be performed without a signalling design authority

new or altered signalling new, additional or removed signalling, or a change of design or

configuration to the existing signalling system that is not considered like for like

RIM rail infrastructure manager, in relation to rail infrastructure of a railway, means the person

who has effective control and management of the rail infrastructure, whether or not the person -

(a) owns the rail infrastructure; or

(b) has a statutory or contractual right to use the rail infrastructure or to control, or provide,

access to it

responsible signal engineer (for the purpose of this document) a licensed signal engineer

(field) who acts in the interest of the operator and maintainer RIM for the continuous integrity of

signalling infrastructure within an assigned area of accountability (for example, a maintenance

signal engineer, asset signal engineer or similar)

operator and maintainer RIM (for the purpose of this document) the rail infrastructure manager

having effective control and management for the operation and maintenance of railway

infrastructure, applicable to their network

project delivery RIM (for the purpose of this document) the rail infrastructure manager having

effective control and management to deliver new or altered railway infrastructure




signalling the signalling system that incorporates all of its subsystems and apparatus

associated with the engineered means for signalling the safe passage of rail vehicles as well as

the safe movements of users at level crossings (where fitted with active protection)

signalling authorisation an authority issued by the operator and maintainer RIM to personnel

required to perform specific work within an operational signalling environment (see Section 8.3

for further information)

signalling commissioning (for the purpose of this document) the period of time when the work

of new or altered signalling has reached the stage of certification and is formally brought into

use (or decommissioned), whether in its entirety or in stages

signalling commissioning AEO (referred in this document as commissioning AEO) the

authorised engineering organisation engaged by TfNSW to provide assurance for signalling

commissioning activities for the integration of new or altered signalling

signalling commissioning engineer (referred in this document as commissioning engineer) a

licensed signal engineer (field) who acts in the interest of TfNSW and relevant rail infrastructure

managers, to bring into use new or altered, safe and reliable signalling systems (see

Section 13.3 for further information)

signalling design AEO (referred in this document as design AEO) the authorised engineering

organisation engaged by TfNSW to provide assurance for the approved detailed signalling

design of new or altered signalling arrangements

signalling integrity the ability to sustain the signalling system's performance of safety and

reliability

signalling irregularity a failure of a signalling unit or its subsystem which is contrary to the

intended design requirement; is not fail-safe and which in combination with other failures or

circumstances can bring the system to an unsafe condition. Additionally, the definition of a

signalling irregularity is extended to items of signalling that are found with errors, where these

errors have the potential to falsely energise a vital relay or other vital function.

signalling licence an authority issued by the operator and maintainer RIM to signalling

personnel required to perform work on operational signalling and apply signalling safeworking

(see Section 8.2 for further information)

signalling permit to work a documented authority issued to signalling personnel by the

operator and maintainer RIM to enable work within an operating signalling environment

(including signalling commissioning)

signalling personnel (for the purpose of this document) persons who carry-out signalling work

signalling safeworking procedures the operator and maintainer RIM's document pertaining to

their domain signalling safeworking

TfNSW Transport for New South Wales




5. AEO inspection, testing and commissioning documentation The commissioning AEO, engaged by TfNSW to assure the integration of new or altered

signalling shall provide suitable documentation that supports the assurance.

The requirements of this document shall be incorporated in documents administered by

commissioning AEOs in support of their assurance deliverables for inspection, testing and

commissioning when performing such work.

The commissioning AEO documentation shall specifically relate to the critical signalling

functions of inspection, testing and commissioning and comply with the requirements of this

document.

The documentation along with the commissioning AEO's processes shall form the basis of

certification, such that it attests the installation, as commissioned by them is in accordance with

the following:

• approved specific design and agreed functional requirements

• applicable engineering standards and codes, including ASA requirements and signalling

principles

• project delivery RIM requirements

• operator and maintainer RIM requirements

The documentation shall support elements of quality and safety for the work they assure

including the existing signalling system affected by the work. The extent of documentation shall

be commensurate with the complexity and scope of the signalling work.

Effective monitoring shall be deployed to ensure the work is done in accordance with such

documentation.

The following list provides examples of documentation that supports elements of quality and

safety assurance for new or altered signalling:

• installation planning, strategies and processes

• inspection and testing planning, strategies and processes

• commissioning planning, strategies and processes

• interface and stakeholder coordination planning, strategies and processes

• signalling safeworking and network operational planning, strategies and processes

• installation and commissioning work packages for major works

• commissioning work packages for minor or intermediary works




• inspection and test forms, records and certificates

• handover requirements processes and documentation

• management of signalling design documentation (circuit books, signalling plans, and so on)

and data management processes (control tables, installed data sheets, and so on)

• management of any training, and spare equipment holding

6. Ensuring quality production, installation and integration of new or altered signalling The quality system of the commissioning AEO, as mandated by the AEO framework, shall

incorporate controls that initiate sound and effective practices so as to achieve quality

production, installation and integration of the new or altered signalling. The outcomes of these

controls shall aim to ensure that the new or altered signalling is built in accordance with relevant

standards, codes, requirements, its specific design and agreed functional requirements.

The following list provides the minimum requirements that shall be applied to achieve the

desired level of quality expected of new or altered signalling works:

• ensuring the signal design process applied to the production of specific designs for the new

or altered arrangements is in accordance with ASA signalling principles, signal design

requirements and agreed functional requirements

• ensuring the new or altered design correctly reflects the existing 'as-built' signalling

installation

• ensuring the work of installation and commissioning proceeds only pursuant of an

'approved for construction' signalling design issued by the engaged design AEO

• ensuring the work of installation and commissioning proceeds in accordance with the

commissioning AEO documentation and processes referenced in Section 5

• ensuring personnel who are tasked with critical signalling functions such as design,

installation, verification, validation, certification, signalling safeworking and integration are

competent and proficient for the work they undertake, and where necessary are licensed or

authorised by the operator and maintainer RIM

• ensuring personnel have a clear understanding of their responsibilities and requirements

for allocated work, particularly for the critical signalling functions they intend to perform

• ensuring effective interface coordination, strategic planning and systematic implementation

are in place to mitigate any risk exposure to existing infrastructure and railway operations

• ensuring compliance with relevant installation standards and requirements




• ensuring the usage of signalling equipment, tools and test equipment meets type approval

requirements, as applicable

• ensuring any modifications applied use the same rigorous processes as were used for the

initial installation and for inspection, testing and commissioning

• ensuring compliance with the requirements stated in Section 7.5 for security of wiring at

interface locations, as applicable

• ensuring appropriate independence of personnel working on installation versus the

inspection, testing and certification components

• ensuring verification and validation methods are strategically planned, documented,

resourced, monitored, recorded and completely fulfilled to prove the new or altered

signalling is built in accordance with approved signalling designs, signalling principles and

agreed functional requirements

• ensuring effective verification and validation proves the work has changed the existing

signalling system only to the extent defined by the design

6.1. Use of existing or spare equipment Any use of existing or spare equipment shall be in accordance with the approved signal design

for the new or altered work; any deviation shall be agreed by the relevant stakeholders and

documented in the interface coordination plan or work package, as relevant.

Spare, existing or redundant wires, cable cores, contacts, and other items of equipment to be

used or reused shall first be inspected and tested to ensure the following requirements are

satisfied:

• they are spare without any connection at any point with other conductors, contacts, power

supplies, or other equipment

• they are properly insulated without any leak (or potential leak) of current to its frame,

sheath, other cores, earth or other circuits

• their condition complies with the required standard

Special attention shall be given to ensure that terminals are not connected together by jumper

bars (bussing) or other bridging.

6.2. Stage work Wiring and equipment to be commissioned or de-commissioned in stages shall be clearly

labelled to identify the stage level it is representing. On changeover, the stage labelling shall be

removed, the correct labelling applied and the arrangements made permanent.




The stage work in progress at a signalling location shall be clearly posted in the associated

signalling housing.

The following list provides examples of inclusions in such posting:

• distinguishing colour of adhesive tape used on wiring and equipment

• stage level represented and date of staged-commissioning

• contact details of the responsible work team

Where a number of different work-stages are occurring at the same location, then the stage

work identification for each stage shall be of a different colour for ease of identification. The

commissioning engineer or signalling tester in-charge shall approve the colours.

Any temporary stage work wiring shall comply with the requirements stated in Section 7.6.

6.3. Wire crimpers and other specialised tools Wire crimpers used for signalling wiring shall be in accordance with SPG 0707 Installation of

Equipment Racks and Termination of Cables and Wiring.

Wire crimpers shall be subject to periodic calibration checks at the intervals specified in

SPG 0707. The results shall be recorded in the installation work package, for major work.

Similar requirements pertaining to other specialised tools having comparable critical

characteristics as wire crimpers shall apply. Such requirements can be specified by type

approval, manufacture’s manuals or guidelines, commissioning AEO processes or operator and

maintainer RIM stipulations. The required process shall be included in the commissioning

AEO’s documentation.

6.3.1. Test equipment Test equipment used to certify signalling, or (for any reason) on operational signalling shall

comply with the requirements stated in T HR SC 02000 ST Mandatory Requirements for

Signalling Safeworking Procedures.

The test equipment shall be fit for purpose and in good order. Where values are required to be

recorded for the purpose of certification, test instruments shall be calibrated and bear the

certificate of a recognised authority so as to attest their accuracy and precision.




7. Preserving the integrity of the existing signalling system All work involving the installation and integration of new or altered signalling shall be done in a

manner that preserves the integrity of the existing signalling system at all times. This includes

work done at remote sites that can impact the operating network, such as at signalling control

centres.

Preserving the integrity of the existing signalling system is particularly relevant during signalling

installation, inspection, testing and commissioning works. Signalling can be subjected to

increased risk, especially where the work is done within operational environments. Personnel

shall be aware of the potential impact that their work can have on running lines and operating

equipment.

Interfaces with the existing signalling system require careful planning from the concept stage of

the project. The planning of design, work schedules, practices, inspections and testing shall aim

to minimise the day to day impacts to operating signalling apparatus. This is done to reduce

access requirements and risk exposure that can be caused by accidental damage or

interference.

New or altered works that interface with the existing signalling system shall only proceed

pursuant to effective interface planning and agreement with the operator and maintainer RIM

and other key stakeholders as applicable. The interface planning outcomes shall be

documented in the interface coordination plan. See Section 11 for further information on

interface coordination.

Prior to commencing interface work, the version of circuit books (including any associated

interim maintenance copy) and other relevant documentation used for correlation work, shall

reflect the as-built installation. Subsequently, an effective correlation of the affected portions

shall be done to verify its status, unless otherwise exempted (as noted in Section 7.8).

7.1. Work done on or near operating lines Work done on or near operating lines shall not cause disruption, ambiguity, or confusion for

train drivers, network operators, track workers or users of level crossings. The work shall not

endanger any railway operation.

Issues associated with signal ‘read-through’ and ‘read-across’ shall be taken into account when

new or altered signals are installed on or adjacent to operational lines.




7.2. Impacts caused by the work Track circuits affected by the work (made seldom used), including those clear of the project

scope which are not used as a result of the project’s track possession, shall be tested and

assured to be capable of providing an effective track shunt prior to certifying the signalling back

into use. The commissioning engineer shall be accountable for this assurance.

Other impacts caused by the work, shall be taken into account. Impacts to third party operators,

such as electrical operation centres, traffic management centres, light rail operation control

centres, road traffic signals, passenger information systems, and the like shall be taken into

account. Impacts to these operators can include indications and inputs affected by the work.

Where installed signalling equipment pending commissioning or removal has the potential to

affect the safe and reliable operation of the railway, such as equipment (whole or part), which

remains in use, becomes in use, is taken out of use, is traversed upon, causes routing of trains,

infringes structure gauge, causes ambiguity and confusion, and so on, shall be scheduled for

maintenance to ensure the equipment's active components provide the necessary assurances

for safety and reliability. The maintenance scheduling of such components shall be done in

accordance with the requirements for safety critical and safety significant tasks, as stated in

T HR SC 02000 ST.

Tools and test equipment used on operational signalling shall comply with the requirements in

Section 6.3.

7.2.1. Using signalling controls

Signalling personnel, including testers shall not operate signalling controls for the purpose of

train running. Testing shall not interfere with the safe and correct operation of trains. In

particular, testing shall not result in the false clearing of signals or cause the movement of

points while they are still operating for trains. Further, no part of the vital signalling system (for

example, rail vehicle detection, active level crossing protection, route and point locking or

releasing, or other such vital control) shall be made to effect a less restrictive or unsafe state,

unless strict provisions are first implemented to protect the entire affected area in accordance

with signalling safeworking procedures.

7.3. Disconnection of out of use equipment Equipment taken out of use and disconnected from the interlocking shall be securely,

electrically isolated and labelled accordingly. It is not sufficient to only remove a fuse, open a

link or remove a signal lamp, and so on.

This requirement is to eliminate the risk of the disconnection being inadvertently reinstated,

resulting in a potentially unsafe situation. For this reason, the equipment shall be isolated in two

places where practical or other measures shall be applied to prevent inadvertent reinstatement. © State of NSW through Transport for NSW 2019 of 65



7.4. Installed trackside equipment pending commissioning or removal Installed trackside equipment pending commissioning shall not be connected to the power

source except at commissioning or when required during testing, subject to testing processes

agreed by the operator and maintainer RIM. Busbar fuses and links, as well as links to external

equipment shall be reopened and secured immediately after testing is completed for the shift.

Newly installed signals and other trackside signalling equipment pending commissioning or

removal shall be made ‘out of use’ until commissioning (or decommissioning as applicable) in

accordance with SPG 0706 Installation of Trackside Equipment. The equipment shall be

disconnected, turned-off, covered, crossed, suppressed, secured, clipped and locked, and so

on, as relevant for the particular equipment and pertaining circumstances.

Installed points, not connected to the interlocking pending commissioning or removal shall

comply with the requirements stated in Section 100.14.16 Points of ESG 100 Signal Design

Principles.

Effective measures shall be employed to prevent new trackside equipment from being

inadvertently or improperly operated.

7.5. Special precautions for newly installed wires run within existing equipment and circuits All newly installed wires that run within existing signalling housings or trackside signalling

apparatus shall be effectively secured and insulated in a manner that prevents, in all

circumstances, any inadvertent electrical connection between the new wiring and the existing

equipment, circuits or metallic frames.

Any work on existing signalling equipment and circuits that involves booking out of use,

disconnection, disarrangement, disassembly, adjustment or alteration of the operating signalling

shall be performed in accordance with signalling safeworking procedures.

Note: References to existing signalling equipment and circuits include all

commissioned equipment and circuits whether in use or temporarily booked out of

use.




7.5.1. Terminating and insulating wiring ends Newly installed wires shall only be terminated on existing signalling equipment such as spare

contacts of working relays or terminals of operating equipment, on meeting the following

conditions:

• the affected operating equipment is first booked out of use

• for relay terminations, the contact (point and armature) is vacant and voltage free, and

subjected to adequate testing processes

• for rack terminal terminations, the terminal is unused and voltage free, and is isolated from

the operating signalling system

The use of vacant contacts or terminals on existing signalling equipment and circuits shall be

confirmed to be isolated and voltage-free before terminating the new wiring.

Where newly installed wires are not immediately terminated, the following requirements apply:

• the wires shall be secured in a position at or as near as possible to the final connection

point

• the wires shall be clearly labelled to ensure that there is no possibility of mistaken

connection

• all unprepared wire ends shall be insulated by any of the following methods:

o crimped with blind-type insulated crimp connectors

o connected to insulated screw-type connectors

o by application of a suitable insulation tube securely fitted over the looped wire end and

extended sufficiently in order to prevent any possible metallic contact

• all prepared wire ends, such as crimp lugs, crimp pins, Q-type relay lugs, bootlace ferrules,

exposed single-strand wire ends, and the like, shall be wholly insulated by application of a

suitable insulation tube securely fitted over the exposed metallic portion and extended

sufficiently in order to prevent any possible metallic contact

The insulation effectiveness of wire ends shall be checked once applied. Where the wires

remain unterminated for an extended period of time, the checking of insulation effectiveness

shall be repeated at a frequency determined by risk assessment.

Adhesive insulating tape shall not be used directly on any prepared wire end, as the adhesive

residue can cause a high resistance connection. Adhesive tape may be used for other

purposes, such as for identification, wire wrapping, and so on; however, used tape shall not be

reused.




7.5.2. Labelling of wires

To easily identify work in progress and the status of wiring at signalling housings and trackside

equipment, all newly run and proposed redundant wires shall be identified by distinctly different

colour-coded adhesive tape or other similar method. The identification shall be particularly

evident at the termination point. Care shall be taken to avoid colours already in use at the same

location (for example, other works in progress).

A legend of the distinct colours (or other methods) used shall be notably displayed inside the

associated signalling housing for reference by others.

Proposed redundant wiring shall be suitably labelled (by tagging, beading or other effective

means) to indicate the terminal to that it applied.

Note: Beading is used in association with a reference analysis.

Any wiring intended for temporary disconnection shall be suitably labelled to indicate its

disconnection status; for example, description of work, date of disconnection, and date of

reconnection and the terminal to that it applied.

New wiring intended for permanent installation shall be labelled in accordance with SPG 0707.

7.6. Temporary wiring and equipment Temporary wiring pertains to recent wiring run (by the project) that forms no part of the final

installation.

The following list provides typical examples of temporary wiring:

• wiring and equipment installed for the purpose of testing

• wiring and equipment installed as part of designed stage works, to facilitate an intermediate

configuration

• wiring and equipment installed as a designed interim arrangement, to enable continued rail

operations (such as installed trackside equipment pending full commissioning)

Temporary wiring and associated equipment shall comply with relevant Transport standards

including SPG 0707 and type approval (where applicable), so far as is reasonably practicable.

Where the application of standards in this context is not practicable, then the temporary work

shall be such that it does not compromise the safety and reliability of the operating signalling

system. The arrangement shall be first agreed by the operator and maintainer RIM.

The use and removal of temporary wiring and equipment shall be planned, controlled,

documented and subsequently fully tested prior to its activation, as if it were permanent.

Temporary wiring shall be of a unique, bright and distinct colour, and along with temporary

equipment shall be easily identifiable to indicate its temporary nature and purpose, including

any stage level as required. © State of NSW through Transport for NSW 2019 of 65



Additionally, temporary wiring shall be suitably labelled by tagging, beading or other effective

means at the point of connection to indicate its purpose, status (such as stage date) and

associated termination point.

Note: Beading is used in association with a reference analysis.

Temporary wiring and equipment shall be disconnected and removed as soon as its purpose is

served.

When returning the signalling to operational use, any wiring and equipment not in accordance

with the approved design (interim stage-design or final commissioned-design) shall not remain

active within the installation. This pertains to wiring and equipment such as test wiring, test-

straps, false feeds and bridges, test rigs and 'frig' wiring that can override system inputs and

outputs. This is to ensure that no part of the signalling interlocking, including trackside inputs

and outputs, controls and indications, and so on is falsely defeated or manipulated by any

unintended temporary wiring or equipment.

Note: Temporary bridging that forms part of an active, approved bridging authority

may be left connected.

7.6.1. Jumper wires and test-straps The use of jumper wires for temporary false feeds and bridges when connected to existing

(working) signalling circuits shall be in accordance with signalling safeworking procedures

(referring to bridging or false feeding of signalling circuits). The requirements of the operator

and maintainer RIM shall apply unless alternative arrangements are agreed by the operator and

maintainer RIM. Alternative arrangements shall not be less restrictive than that stated in

T HR SC 02000 ST (referring to temporary bridging of signalling circuits). The arrangements

shall be formally documented in the interface coordination plan or work package, as relevant.

Note: The application of jumper wires on existing circuits is deemed signalling

safeworking and therefore is performed only by suitably licenced signalling personnel.

The use of test-straps for testing new or altered wiring not connected to working circuits shall be

controlled so as to ensure their application does not impact the operational railway. All

associated risks, particularly those relating to test-straps inadvertently remaining when wiring

become ‘working’ circuits shall be mitigated by strict controls.

Jumper wires shall be authorised by the commissioning engineer or signalling tester in-charge,

subject to the signalling tester in-charge holding the relevant signalling licence. Test-straps used

for testing new or altered wiring that are not connected to working circuits may be authorised by

the signalling tester in-charge (unconditional of signalling licence).




Notwithstanding signalling safeworking procedures, the authorisation of jumper wires and test-

straps shall include the following assessment:

• effects to operational circuits and equipment so as to prevent any adverse impact to the

operational railway

• specific use of jumper wires and test-straps to ensure only the intended circuit portion is

affected

• type, length and colour of jumper wires and test-straps to ensure their application is

suitable and nature is obvious

• registration and control of jumper wires and test-straps to ensure their timely removal, and

all accounted and returned when intended

The application of jumper wires and test-straps shall be done accordingly by formal work

instruction. The instruction shall include the critical steps and diagrams (as necessary) to control

their use is as intended and accounted for upon their subsequent removal.

A record of false feeds, bridges and test-straps in use shall be kept in the relevant work

package (installation, commissioning work package, as applicable).

Jumper wires and test-straps shall be limited in quantity, be of bright and distinct colour and

suitably tagged for clear identification. They shall be registered and secured in a locked box

when not in use, restricting access only to those permitted to use. Ideally, the jumper wires

should be contained in a separate box to the test-straps, for ease of stocktake.

Jumper wires and test-straps shall be counted to ensure the same quantity is returned as

issued. Jumper wires shall be counted before application and again after application. Test-

straps shall be counted at the commencement and conclusion of each relevant shift (or test

application if testing exceeds a single shift).

7.7. Security of signalling equipment and housings Personnel working within operational signalling environments shall comply with the authority

requirements stated in Section 8.

When working within operational signalling environments, all precautions shall be taken to

ensure that working circuits and equipment cannot be interfered with or damaged, whether

accidently or otherwise. Additionally, that wiring and equipment are not short-circuited by loose

unterminated wires, tools, metal filings, drilling swarf, keys, loose relay nuts, washers, bits of

wire, or other metal objects.

Special care shall be taken to protect nearby equipment (including the base of plug-in relays)

from lodgement of any metal filings or drilling swarf to eliminate the possibility of transfer to a

working circuit. Following work, such material shall be removed and cleaned from all affected

surfaces, so that none remains.




All trackside signalling equipment and housings shall be fitted with locks when unattended.

Before closing equipment and housings, signalling personnel shall check that everything is in

order and properly connected, and that nothing has been left loose, foul of standard clearances

or is in a potentially unsafe condition.

7.8. Risk mitigation strategy A risk mitigation strategy shall be in implemented by the commissioning AEO when working

within operational signalling environments. The following list provides examples of risk

mitigation elements that can be implemented, as applicable:

• ensuring personnel are competent and proficient for the intended function

• ensuring personnel working within operational signalling environments hold the correct

authority level to do so (a valid signalling licence or signalling authorisation) and a specific

signalling permit to work, or are supervised by suitable personnel holding same

Note: See Section 8 for further information regarding signalling licensing, signalling

authorisation and signalling permit to work.

• identifying stakeholders and initiating proper interface coordination, including a site integrity

agreement

• complying with site integrity agreements, including provision of emergency contact

information and works programme

• ensuring the most up-to-date version of circuit books and plans (including interim

maintenance copies) are used to correlate the as-built installation

• correlating the existing arrangement (by performing a documentation check, hand-trace,

apparatus inspection, wire count and null count) to ensure the installation before the build,

is commensurate with the specific design issued by the design AEO

Note: Correlation of existing circuitry may be restricted or exempted as determined by

risk assessment, subject to agreement by the operator and maintainer RIM. For

example, restricted to a documentation check, apparatus inspection, wire count and

null count where hand-tracing can cause damage to wiring or exempted following

recent work of the same circuits that involved documentation check, hand-trace,

apparatus inspection, wire count and null count.

• appropriately protecting railway operations affected by the works by securing signalling

apparatus out of use in accordance with signalling safeworking procedures

• electrically isolating live signalling circuitry from any worked-on portion

• securing and insulating unterminated wiring including spare conductors, in accordance with

Section 7.5




• not connecting wires and equipment pending commissioning to working circuits, unless

strict conditions are met in accordance with signalling safeworking procedures and Section

7.5.1

• disconnecting and eventual removal of decommissioned wires and equipment from working

circuits and power supplies

• applying labels or distinct tags to wires and corresponding terminals before undertaking

any wiring connections or disconnections in accordance with Section 7.5.2

• providing unique and distinct colours for stage wiring and temporary wiring, including test

wiring in accordance with Section 7.6

• ensuring the timely removal of jumper wires used for false feeds and bridges from existing

working circuits, and test-straps at the end of each relevant shift in accordance with

signalling safeworking procedures and Section 7.6.1

• updating the as-built signalling documentation accordingly at the end of each

commissioned stage, with sufficient provision made for maintenance purposes

• ensuring adequate lighting and access are provided during the work

• ensuring only tools and test equipment that comply with requirements are used for

certification work, or on operational signalling

• maintaining proper housekeeping of the work area

• ensuring the equipment housings and trackside equipment worked-on are secured when

vacated

8. Authority to work The requirements in this section refer to authorities issued by the operator and maintainer RIM

required to enable the occurrence of works to take place on or within operating signalling

environments. The work is inclusive of all works done within the confines of operating signalling

equipment and housings, even where the work is of a non-invasive nature.

8.1. Signalling permit to work The commissioning engineer shall obtain an overall signalling permit to work prior to any

undertaking of signalling work (including inspection work) within the operational network. The

permit is granted by the operator and maintainer RIM or project delivery RIM (as delegated).

The permit enables the commissioning engineer to administer the overall signalling permit to

work process to signalling personnel working within the confines of the project scope. The

delivery of this process shall be done in accordance with T HR SC 02000 ST, the requirements

of operator and maintainer RIM including signalling safeworking procedures, and the

commissioning AEO's safety management system. © State of NSW through Transport for NSW 2019 of 65



Signalling permit to work requirements shall complement the interface coordination

requirements, as stated in Section 11.

As part of the signalling permit to work process, the commissioning engineer shall converse with

all duty holders expected to undertake critical signalling functions on or within operational

signalling environments. This is to ensure such duty holders understand their role,

responsibilities and work scope, and that they are aware of any signalling hazards. Additionally,

it assists the commissioning engineer to correspond (map) the duty holder's competency and

proficiency level with the intended task. Where evidence is required in support of the mapping

process, the commissioning engineer may request the duty holder to furnish such evidence.

The commissioning engineer, on satisfying these requirements, shall subsequently issue a

signalling permit to work to each individual duty holder.

An exception to the signalling permit to work requirement exists for work done within non-

operational signalling environments. In this case, the suitability of duty holders performing

critical signalling functions shall be managed using the commissioning AEO's safety

management system, which may be done independently of the signalling permit to work

process.

Note: Signalling work at a green-field site is deemed an operational signalling

environment once the work has reached the stage of commissioning.

8.2. Working on operational signalling or applying signalling safeworking Tasks that involve working on operational signalling or applying signalling safeworking shall be

done in accordance with signalling safeworking procedures, and network rules and network

procedures.

Where the work has a potential to cause an operational interference, suitable safeworking

arrangements shall be deployed to protect the running of trains and users at level crossings

before proceeding with the work. Network forms, such as infrastructure booking authorities shall

be duly compiled for the notification of securing signalling apparatus out of use.

The safeworking requirements to be deployed shall be first agreed and documented between

the commissioning engineer (or delegate) and the network operator. This is particularly

pertinent during the commissioning stage.

Personnel involved in critical signalling functions shall have a clear understanding of the

safeworking arrangements prior to commencing.




Details regarding the integration of new or altered signalling shall be published with adequate

notification, in accordance with the operator and maintainer RIM’s requirements. An example of

such publication is a 'weekly notice'. The notification shall describe the final system

arrangement and any interim arrangements that come into effect.

8.2.1. Authority to work on operational signalling or apply signalling safeworking Duty holders supporting the commissioning engineer in the course of performing work on

operational signalling or applying signalling safeworking shall hold the following elements of

authority to do so:

• signalling licence, valid for the relevant network

• specific signalling permit to work (see Section 8.1)

• current record (certificate) of competency, relevant for the work (see Section 15)

Signalling licences are issued to signalling personnel by the operator and maintainer RIM for

work done on operational signalling or applying signalling safeworking. They apply exclusively

to their network. Examples of licensed signalling personnel include signal electricians and signal

engineers (field).

The authority levels permitted by signalling licences are governed by signalling safeworking

procedures.

Note: See Figure 1 for guidance of the different assessment pathways for attaining

roles in critical signalling functions that include signalling licence.

Signalling licences ensure work performed on the operational signalling system or the

application of signalling safeworking is governed by the operator and maintainer RIM in order

for them to meet legislative and regulatory obligations, in accordance with the Rail Safety

National Law (NSW).

Where signalling safeworking work is planned by non-licensed personnel (such as when

compiling commissioning work packages, work instructions, and the like), the commissioning

engineer shall ensure that such work is within the planner's capability, and the outcomes comply

with signalling safeworking procedures, and network rules and network procedures.

8.3. Working within operational signalling environments An operational signalling environment has signalling infrastructure within its confines operating

for the purpose of train running, or the infrastructure is at the stage of being commissioned into

service.




Infrastructure constituting an operational signalling environment includes signalling control

centres (including local control panels and ground frames), signalling equipment housings,

trackside signalling equipment, and signalling-services routes.

In addition to operational infrastructure, signalling infrastructure within the confines of green-

field sites that have commenced the stage of commissioning shall also be deemed operational

signalling environments.

Excepting infrastructure when at the aforementioned stage of commissioning, signalling sites

that are not within the confines of operational signalling equipment and pose no potential for

impact to train running may be treated as non-operational signalling environments.

8.3.1. Authority to work within operational signalling environments Duty holders supporting the commissioning engineer in the course of performing or supervising

specific work within an operational signalling environment shall hold the following elements of

authority to do so:

• signalling authorisation, valid for the relevant network

• specific signalling permit to work (see Section 8.1)

• current record (certificate) of competency, relevant for the work (see Section 15)

Note: A valid signalling licence inherently includes the authorisation rights to work

within an operational signalling environment, subject to the provisions stated on the

duty holder’s signalling permit to work.

Signalling authorisations (referred also as ‘authorised’ signalling person) are issued by the

operator and maintainer RIM for work done within operational signalling environments. They

apply exclusively to their network. Examples of ‘authorised’ signalling personnel include

installers, testers and certifiers, as well as other discipline and trades personnel (such as air

conditioning technicians, fire control technicians, security technicians, and so on).

Signalling authorisations ensure work performed within operational signalling environments is

governed by the operator and maintainer RIM in order for them to meet legislative and

regulatory obligations, in accordance with the Rail Safety National Law (NSW).

‘Authorised’ signalling personnel are persons already deemed competent by AEOs to perform

work, who also hold authorisation from the operator and maintainer RIM to perform specific

work within their operational signalling environments.

Note: See Figure 1 for guidance of the different assessment pathways for attaining

roles in critical signalling functions that include ‘authorised’ signalling person.

Work within operational signalling environments may be undertaken by competent personnel

who are not ‘authorised’ on condition that the work is supervised by suitable signalling




personnel holding the aforementioned authority, subject to any operator and maintainer RIM

restrictions.

The work performed or supervised by ‘authorised’ signalling personnel shall not involve

interfering with operational signalling or the application of signalling safeworking.

Note: Tasks involving working on operational signalling or applying signalling

safeworking are done by licensed signalling personnel in accordance with Section 8.2.

8.4. Non-operational signalling environments Non-operational signalling environments pertain to signalling equipment housings, trackside

signalling equipment and signalling-services routes that are totally in a non-operational state,

and therefore working on these items can pose no direct impact to train running.

Signalling equipment is deemed as non-operational when its interface is either pending

connection to the operating network or temporarily disconnected from the operating network

(such that it poses no adverse impact to train running) for the duration the deeming is applied.

Consideration shall be given to the risks associated with non-commissioned infrastructure that

can potentially affect nearby operational lines. An example of this situation includes newly

installed signals pending commissioning that can be misread by train drivers operating on or

adjacent to worked-on lines, or the disturbance of point detectors in crossovers.

Signalling-services routes are deemed non-operational where none of the electrical conductors

or air lines within the affected portion is in-use for train running.

Signalling work done at green-field sites shall be deemed an operational signalling environment

once the work has reached the stage of commissioning.

8.4.1. Temporarily enabling operational signalling environments to become non-operational Where operational signalling equipment (in housings or trackside) is disconnected and booked

out of use in accordance with signalling safeworking procedures, and a risk assessment has

determined that there can be no adverse impact to train running, then the associated signalling

may be treated as a non-operational.

This means the work done under this arrangement will generally be confined to occasions when

train operations have temporarily ceased; for example, a track possession.

This arrangement can enable specific unsupervised work to be done in such housings or

trackside equipment by non-authorised personnel. However, the personnel used shall be

competent and proficient to carry out their intended function.

Under this arrangement, the suitability of resources may be managed by the project as if the

environment was a green-field site (as opposed to the usual governance requirements for train

running conditions directed by the operator and maintainer RIM). © State of NSW through Transport for NSW 2019 of 65



Note: The aforementioned arrangement applies only where the signalling is booked

out of use, rendering the entire equipment housing (or secured portion as agreed by

the operator and maintainer RIM) and associated trackside equipment non-

operational.

When the signalling infrastructure has reached the stage of testing for the purpose of bringing

the booked-out signalling back into use, then the signalling environment shall once again be

deemed as operational. Consequently, all personnel performing work in this environment shall

comply with the requirements stated in Section 8.2 and Section 8.3.

9. Appointment of commissioning engineer The commissioning AEO shall engage a competent and proficient signalling person (referred in

this document as the commissioning engineer) to lead the inspection, testing and

commissioning team.

The selection of an appropriate commissioning engineer shall be done in accordance with a

defined process as governed by the project delivery RIM. This is to ensure that the candidate's

suitability (skills and experience) are commensurate with the complexity of the work.

The commissioning engineer shall hold a valid signalling licence equivalent to that of signal

engineer (field) as issued by the operator and maintainer RIM. This licence enables the

commissioning engineer to apply the domain-specific requirements that pertain to signalling

safeworking, inspection, testing and commissioning, as well as the relevant network rules and

procedures.

Note: The process for attaining a signalling licence is governed by the operator and

maintainer RIM.

The engagement of the commissioning engineer shall be timely, so as to ensure that all their

responsibilities can be met. These responsibilities are prescribed in Section 13.3 and include

requirements for planning, interface coordination and signalling safeworking.

The commissioning engineer's role shall continue until the final completion certificate is fulfilled,

along with the submission of specific design certified office copy (COC) and close-out of the

commissioning work package.

Note: After the final commissioning, the commissioning engineer may delegate the

close-out of any residual non-critical items of the commissioning work package to the

signalling tester in-charge.

The role of commissioning engineer should be held by the same person for the entire project

until the end of commissioning, including the close-out of post commissioning critical tasks.




The commissioning engineer shall act in the interest of TfNSW and the relevant rail

infrastructure managers and not be adversely influenced by project constraints or commercial

implications.

10. Engineering design authority The ASA is the network design and standards authority for the Transport cluster. The ASA is

responsible for developing engineering governance and frameworks to support industry delivery

in the assurance of design, safety, integrity, construction and commissioning of transport assets

for the whole-of-asset life cycle.

The following elements represent the level of engineering design authority held by the

responsible entity, for the production of signalling design:

• Lead Signals and Control Systems Engineer, ASA holds the authority for the following:

o production or amendment of signalling standards, specifications and principles, as well

as other ASA signalling requirements

o type approval of signalling systems, associated subsystems and apparatus, as well as

specific products that form part of signalling infrastructure

o endorsement of signalling functional specifications for which ASA is a signatory

• The engaged design AEO holds authority for the following:

o approval and issue of specific designs for new or altered signalling in accordance with

agreed configuration changes

o production of supplementary signalling design documentation such as signalling

functional specifications, stage-commissioning plans, weekly notices, design integrity

(principles) test plans, and so on, as applicable

• The engaged commissioning AEO holds authority for the production of documentation and

records, in support of activities associated with inspection, testing, commissioning and

maintenance, as applicable

The commissioning engineer may be granted delegation of authority by the design AEO, limited

to the following elements:

• acceptance of signal sighting positioning outcomes (by signal sighting committee)

• approval of detailed site survey plans containing specific information about signalling-

services routes, including under-line crossings, under-road crossings, service pits and

chambers, joints, manifolds and route markers

• approval of type, capacity and positioning for equipment housings

• approval of minor allocation for items, such as cable cores, fuses and terminals




• approval of minor mechanical drawings, such as labelling and tooling

• site certification of as-built installations in preparation for final design production

Determinations made by the commissioning engineer in this regard shall comply with ASA

signalling construction standards and type approvals.

Any subsequent alterations to signal sighting, shall be further approved by the signal sighting

committee.

11. Interface coordination Interface coordination involves agreement between the affected parties managing an interface.

Interface coordination and its planning aim to identify the changes, define the boundaries and

allocate responsibilities of each party, such that the interface issues are effectively managed.

Proper interface planning provides an effective measure in minimising the day to day impacts to

operational infrastructure caused by work, which can adversely affect the safety and reliability of

the operating railway.

Interface coordination shall consider the scope of work at interfaces, including any stage work

and temporary work. The following list provides examples of strategic elements that can enable

effective interface coordination:

• collaborate with the operator and maintainer RIM signalling representatives (including

signalling maintenance engineers, asset engineers, integrity engineers, and so on) to

discuss and agree on the scope, timing, maintenance, design requirements, and track

access

• minimise the scope that requires track possession to commission by completing all

possible construction, inspection and testing prior to the track possession

• include the interface inspection and testing activities and wire changeover strategy in the

inspection and testing plan

• identify the scope of works such as new equipment to be commissioned, redundant

equipment to be removed and equipment to be booked out of use

• making provision for work done by others affecting the same interface

• coordinating stage work and interface designs so that the interference to existing

equipment or wiring is minimised, in particular within relay rooms and other signalling

locations

• minimising the amount of temporary equipment mounted within an existing location

• clearly identifying commissioned circuits and items of equipment (including trackside

equipment) with that pending commissioning




• clearly identifying temporary work in such a manner that is immediately clear and obvious

• removing temporary work that is no longer required and reinstating the situation to the

condition it was prior to the work commencing

11.1. Interface coordination plan The commissioning AEO shall identify the key interfaces, then develop and implement a

detailed interface coordination plan to ensure a successful and safe signalling commissioning.

The interface coordination plan shall form part of the AEO’s process for interface planning and

management.

The interface coordination plan shall identify, coordinate and manage with stakeholders, the

interface elements primarily associated with the safety and reliability of railway operations,

particularly in regards to the performance of the signalling system.

Stakeholder engagement for this purpose is typically done with network operators and

engineering discipline representatives (including maintenance and asset stewards). However,

interface engagements can extend to other business units within rail, as well as other transport

modes, road authorities, local councils, utility providers and so on.

Additionally, engagement with regulatory bodies may be necessary, such as with the rail

regulator (in accordance with the Rail Safety National Law (NSW)), TfNSW, ASA, independent

safety assessors, and the like.

The interface coordination plan shall take into account the following phases of the signalling

project:

• planning and preparation

• build and installation

• inspection and testing

• commissioning (including any decommissioning)

• handover and post commissioning (for example, documentation distribution or defect

rectification)

The commissioning engineer shall ensure that a clear understanding of work is defined at the

interfaces between the parties involved. These requirements shall be documented in the

interface coordination plan.




The interface coordination plan shall record in detail, the key elements of the signalling project

as identified in the following list, as applicable:

• interface identification and stakeholder identification

• clear identification of changes and agreed responsibilities between stakeholders

• nomination of duty holders performing critical signalling functions

• installation and commissioning work packages (as applicable)

• schedule of notifications

• inspection and test plan

• configuration management including use or re-use of existing equipment

• type approval, trials and concessions for new or novel equipment

• site integrity agreement, including assessment of existing condition and hazards

• signalling access arrangements

• planned stage work

• signalling maintenance requirements

• operational issues arising from the works, including incident management

• commissioning requirements

• training requirements

• as-built signalling documentation and data file requirements

• signalling asset maintenance records

• handover requirements, including documentation and data files and finalisation schedule

11.1.1. Site integrity agreement A site integrity agreement is an on-site assessment, discussion and agreement between the

commissioning engineer (or delegate) and the operator and maintainer RIM’s representative.

The site integrity agreement shall form part of the interface coordination plan and shall be in

place prior to any installation or build works commencing within the operational interfaces.

The site integrity agreement shall include a detailed site assessment of the condition and

identification of any hazards in signalling locations and equipment to be worked on, including

the sensitivity of wiring and equipment in order to withstand any disturbances. Evidence of

condition and hazards shall be described and recorded by various mediums, such as

photography, video, text, measurements, and so on. The assessment shall include areas in the




vicinity of the interface signalling location, such as trackside infrastructure, signalling-services

routes, fences, gates, structures, access paths and entry points.

The site integrity agreement agenda shall include the following items, as applicable:

• signalling permit to work arrangements

• access arrangements (for both project and maintenance workers)

• identification of specific work types and scopes within the interface area, including any

potential impacts to operations

• times and duration of specific work (for both project and maintenance works)

• identification of other works, particularly other signalling works affecting the same location

that require coordination, in accordance with Section 11.2

• exchange of contact information for project personnel, maintenance personnel, incident

response personnel, and associated managers

• restrictions of work, such as for peak periods, special events and the like

• identification of any signalling hazards, such as known defects, fragile wiring, shelf relays,

fragile mechanical equipment, shallow buried cables, signal sighting issues (including

obstruction, focus, ambiguous indications and distant limitations), minimal or nil spare

holdings, and so on

• identification of any other hazards (such as electrical hazards, working at heights, confined

spaces, minimal or nil trackside refuges (safe places), minimal or nil warning devices,

tunnels, bridges, and so on

• identification of relevant registers that deal with the management of active risks, such as

seldom used signalling apparatus (typically track circuits and points), temporary bridging,

temporary repairs, signalling apparatus booked out of use, points with wide-cut locks or

lock slides removed, and so on

• identification of other signalling safeworking arrangements

• location of relevant site signalling documentation and data files, such as circuit books

(including any interim maintenance copies), signalling plans, track insulation plans, working

sketches, control and locking tables, interlocking and ATP data files, and so on

• management of failures and other operational incidents

• status of safety critical or safety significant maintenance, such as insulation testing, points

testing, track circuit testing, interlocking testing, and so on

• colour of tape (or equivalent) to be used for identifying new, altered or redundant wires and

equipment




• notification, methodology and agreement to use temporary wiring and stage wiring in both

internal and external applications

• requirements for maintenance documentation and data files, including interim copies,

timely updates, storage of copies, number of copies

• specific preferences, such as interim labelling, reinstatement of ducting lids, location of

items, test equipment in use, housekeeping, security, and so on

• authority to excavate within the vicinity of infrastructure

The site integrity agreement shall also include any intention to undertake temporary work, stage

work or preparatory work including the use of test rigs and the like, as well as any installed

signalling equipment not in use which is pending commissioning or removal.

Additionally, the site integrity agreement shall include an itemised proposal to re-use any

existing signalling equipment, if required as part of the works (for example, trackside or internal

equipment, cable cores and signalling-services routes). This shall be documented in the

interface coordination plan or works package, as relevant. The re-use of such equipment shall

be subject to an appraisal by the relevant experts to assess its condition and suitability.

The site integrity assessment shall extend to other interface areas as necessary, such as track,

civil, electrical and telecommunications assets, as relevant for reliability, availability,

maintainability and safety (RAMS) of the new or altered signalling.

Personnel shall work within the bounds of the site integrity agreement. They shall be

responsible for ensuring the operating signalling system is not endangered by their work.

11.2. Coordination of multiple signalling projects The operator and maintainer RIM shall be responsible for the identification and initial

coordination of multiple signalling projects where these works are (or will be) concurrent within

the same area; for example, two or more signalling projects within the same relay room.

In these cases, the operator and maintainer RIM shall provide the initial management to

mitigate the associated risks.

The operator and maintainer RIM shall appoint one of the AEO’s commissioning engineers to

subsequently coordinate the signalling interface requirements on behalf of the relevant projects.

The following are examples where coordination is required on multiple signalling projects:

• overlapping circuit or data design

• potential duplicate allocation (including field allocation) of cable cores, contacts, fuses,

terminals, equipment and rack space




• potential interference of items worked-on, such as wiring, relays, fuses, terminals, data

files, equipment, as well as the co-use of signalling documentation, such as circuit books

and signalling plans

• impacts on each project from project stage works and testing

• designation of coloured tape used to identify new and redundant wiring for each project

The coordinating commissioning engineer shall refer conflicting design matters to the relevant

design AEOs for resolution before permitting construction of the affected portion to continue.

11.3. Decommissioning and disposal of redundant equipment The safe and efficient decommissioning and disposal of redundant equipment shall be planned

as part of the testing and commissioning activities. The decommissioning of operational

signalling and safety related systems shall be done similarly to commissioning infrastructure.

The commissioning engineer shall establish a strategy that manages the impact of

decommissioning and the subsequent disposal of redundant equipment. The strategy shall take

into consideration the following factors prior to decommissioning and disposal:

• continued integrity of a safe and reliable railway during the decommissioning, dismantling,

demolition and removal stages

• assurance that no ambiguity exists for the type of safeworking, signalling or communication

in force at any one location or time

• assurance that no ambiguity or confusion exists to train drivers and network operators of

which signal, route, block section, indication or control is in use or applies to them

• assurance that no ambiguity or confusion exists to third party users, including users of level

crossings and users of information systems, such that they understand the working status

of such equipment, and the clear applicability and meaning of associated indications, and

warning systems (in-keeping with requirements); additionally that associated passenger

information emanated is relevant

• clear identification of the redundant equipment

• prevention of inappropriate re-use of decommissioned equipment, as well as the allotment

of agreed equipment for return to the network maintainer

• safe return of loose releasing items, such as Annett keys, loose keys, point (EOL and

ESML) handles, and associated locking mechanisms

• safe disconnection of overhead traction return, including the elimination of any risk

associated with touch potential or electrolysis

• appropriate management of any residual risks resulting from removed equipment © State of NSW through Transport for NSW 2019 of 65



The commissioning engineer shall engage with stakeholders, particularly the network

maintainer for the impact management of decommissioning and subsequent disposal of

redundant equipment. The engagement shall discuss specific operator and maintainer RIM

requirements for decommissioning, including any agreed allotment of redundant equipment to

the network maintainer.

The commissioning engineer shall liaise with network operators regarding the type of

safeworking, signalling and communication in force at any one location or time as a result of the

decommissioning process, particularly if done in stages.

12. Roles and responsibilities of RIMs The Rail Safety National Law (NSW) states the following:

“…a rail infrastructure manager is to ensure, so far as is reasonably practicable –

• the provision or maintenance of rail infrastructure that is safe; and

• that any design, construction, commissioning, use, installation, modification,

maintenance, repair or decommissioning of the manager's rail infrastructure is carried

out in a way that ensures the safety of the railway operation”

Where the project delivery RIM is not also the operator and maintainer, the elements for safety

(as stated in the Rail Safety National Law (NSW)) shall be allocated between the RIMs in

accordance with their business undertakings. The project delivery RIM, including relevant AEOs

is obliged to provide the operator and maintainer RIM with all the necessary assurances for

acceptance of the new or altered assets into their network.

Information shall be provided to assure the operator and maintainer RIM of the safety and

performance of the new or altered signalling. Additionally, the operator and maintainer RIM shall

be advised of any new or residual risks emanating from the project works that are to be

managed by them.

Both the project delivery RIM and the operator and maintainer RIM shall comply with the

requirements stated in AS 4292.1 Railway Safety Management - Part 1: General requirements

and AS 4292.4 Railway Safety Management - Part 4: Signalling and Telecommunications

Systems and Equipment, as relevant to their undertaking.

12.1. Project delivery RIM and commissioning AEO responsibilities The project delivery RIM shall be responsible for the delivery of safe and reliable new or altered

signalling infrastructure.

The project delivery RIM shall hold responsibility together with the operator and maintainer RIM

for the continued integrity of the operating signalling system during the project works.




The commissioning AEO shall provide assurance for the functions which the commissioning

engineer is accountable.

The project delivery RIM shall be responsible for obtaining the necessary permissions from the

operator and maintainer RIM to carry out the intended project works prior to commencing any

undertakings within the network.

The project delivery RIM shall provide the commissioning AEO with any specific requirements

that are in addition to ASA requirements. This information can also include any known operator

and maintainer RIM requirements.

The commissioning AEO shall seek any specific operator and maintainer RIM requirements and

project delivery RIM requirements that are additional to ASA requirements.

The commissioning AEO, through their appointed signalling representative (commissioning

engineer) shall engage with the operator and maintainer RIM for the purpose of interface

coordination including, interface agreement, site integrity agreement, track possession and

stage work planning, signalling safeworking, incident response (relating to incidents caused by

the project), resource allocation, signalling hazard identification, event management, and so on.

The commissioning AEO shall make available to the operator and maintainer RIM (on request),

any key processes and systems deployed by them to deliver the signalling work, in order for the

operator and maintainer RIM to review such systems (as required). This is to satisfy the

operator and maintainer RIM of the testing strategy involved and the suitability of resources

used to perform critical signalling functions. Additionally, the commissioning AEO shall provide

to the operator and maintainer RIM (on request), the listing of signalling personnel undertaking

the project’s critical signalling functions.

The commissioning AEO shall ensure that the work of installation, inspection, testing and

commissioning for the new or altered signalling is done in accordance with relevant standards

and requirements, and to its specific design.

The commissioning AEO shall allocate the roles of duty holders for critical signalling functions in

accordance with Section 13.

The project delivery RIM and commissioning AEO shall comply with the requirements for

coordinating multiple signalling projects, in accordance with Section 11.2.

The project delivery RIM and commissioning AEO shall liaise with the operator and maintainer

RIM in order to provide them with the necessary project documentation and data files

throughout the project (as required) including handover, in accordance with SPG 0703

Signalling Documentation and Drawings. This provision shall include copies of signalling

designs associated with the new or altered works, such as circuit books, signalling plans, track

insulation plans, installed data sheets, data files, control tables, locking tables and diagrams,

detailed site surveys, and so on, as applicable.




The commissioning AEO shall provide copies of signalling project documents to the operator

and maintainer RIM (as required), and such documents include signalling designs, work

packages, inspection and test plans, work and stage work programs, inspection and test

certificates, operational notices, infrastructure booking authorities, and so on.

The project delivery RIM and commissioning AEO shall liaise with the operator and maintainer

RIM for the provision of training (formal or informal, as agreed) and any related documentation,

including maintenance manuals, particularly for new or novel assets as introduced by the

project.

The commissioning AEO shall be responsible for the timely submission of COC of signalling

documentation attested by them, in accordance with SPG 0703.

The project delivery RIM shall be responsible for the timely completion of work including

practical completion, handover, and the finalisation of any outstanding defects.

12.2. Operator and maintainer RIM responsibilities The operator and maintainer RIM shall hold primary accountability for the safe and reliable

operation of the railway signalling system.

The operator and maintainer RIM shall be responsible for permitting access for worksites onto

its network and for providing track possessions, as agreed. The commencement of signalling

works is enabled by the operator and maintainer RIM through the 'signalling permit to work'

process. This process aligns with other engagement participations between the operator and

maintainer RIM and the relevant project delivery parties. These engagements include project

work interface agreements, interface coordination, track possession and stage work planning,

site integrity meetings and resource allocation.

In addition to ASA requirements, the operator and maintainer RIM shall provide any domain-

specific requirements to the commissioning AEO. Such requirements can include operator and

maintainer RIM engineering instructions and special notices, as well as specific engineering

requirements, such as equipment adjustment settings. This is required to ensure that the

operator and maintainer RIM is satisfied that the delivery of work is commensurate with their

acceptance criteria. Other information provided can pertain to the identification of specific

signalling hazards or the treatment of sensitive areas, such as old or brittle wiring and shelf

relays, or advice of specific operational arrangements that are in place for special events.

The operator and maintainer RIM shall make accessible any as-built signalling documentation

and data files as required by the commissioning AEO. Such documents include circuit books,

signalling plans, track insulation plans, control tables, installed data sheets, data files, detailed

site surveys, maintenance manuals, and so on.




The operator and maintainer RIM shall provide to the commissioning AEO, on request, any

relevant signalling asset maintenance record. Such records include insulation test records and

associated defects, seldom used apparatus, temporary repairs, known defects, special

conditions, status of safety critical and safety significant maintenance, and so on.

The operator and maintainer RIM shall be responsible for identifying any multiple signalling

projects that are, or will be, concurrent within the same area; for example, two or more signalling

projects working within the same relay room. In these cases, the operator and maintainer RIM

shall provide the initial management to mitigate the associated risks. Subsequently, the operator

and maintainer RIM shall appoint one of the AEO's commissioning engineers to coordinate the

signalling interfacing requirements on behalf of the relevant projects. See Section 11.2 for

further information.

The operator and maintainer RIM should review the key processes or systems utilised by the

commissioning AEO; for example, reviewing the commissioning AEO's testing strategy and

competency management system. This is done as part of due diligence in order to gain an

assurance of the critical signalling functions performed. The review should be undertaken at the

earliest opportunity.

The operator and maintainer RIM should review a listing of signalling personnel utilised by the

commissioning AEO who perform the critical signalling functions. This is done to enable the

operator and maintainer RIM to exercise their obligations (in regards to rail safety work) in

accordance with the Rail Safety National Law (NSW).

The operator and maintainer RIM shall be responsible for the management of incidents that

occur on the railway, irrespective of whether the cause is borne from the project works or other

cause. An example of signalling related incidents include, right-side signalling failures, signalling

irregularities (including wrong-side failures), derailments, collisions, level crossing incidents and

operational impacts caused by personnel interfering with equipment.

The operator and maintainer RIM shall make contributions for their part, to achieve the

expected outcomes that pertain to signalling safety and reliability for the new or altered works.

The following list provides examples of where the operator and maintainer RIM can contribute to

achieving signalling safety and reliability:

• collaborating for interface coordination and site integrity

• providing network access and track possessions

• identifying other works (particularly signalling works) that are concurrent in the same area,

and where necessary, appoint a coordinating commissioning engineer to facilitate the

interface issues associated with such projects

• reviewing of key delivery processes and systems utilised by the commissioning AEO (such

as testing strategy and competency management system)




• providing candidate pathways and assessments for RIM signalling licence and

authorisation, as requested

• providing timely operator and maintainer RIM requirements (that are in addition to ASA

requirements) to the commissioning AEO or project delivery RIM

• reviewing of signalling designs, where necessary

• providing local or specific information

• advising of special events and special train working

• specifying conditions for work done within operational signalling environments

• providing specific supervision for particular works done within operational signalling

environments

• providing as-built signalling documentation and data files

• providing signalling asset maintenance records

• ensuring existing asset information and configuration details are kept up to date

• responding to signalling failures and rail related incidents

• implementing updated technical maintenance plans to accommodate any interim

arrangements initiated by the project work

• arranging maintenance personnel to attend any training as required, and familiarisation of

the new or altered arrangements

• obtaining project handover and acceptance

The following list provides examples of operator and maintainer RIM roles that can offer the

aforementioned services:

• responsible signal engineer; for example, asset engineer or maintenance engineer

• licensed signalling personnel; for example, signal electrician

• authorised signalling personnel; for example, electrical installer or circuit tester

• signal design manager

• possession manager

• network manager




13. Roles and responsibilities of duty holders Inspection, testing and commissioning, as well as the application of signalling safeworking are

critical signalling functions required for assuring the safe and reliable performance of railway

systems and equipment.

This document defines a set of roles and responsibilities for duty holders engaged to perform

such critical signalling functions. This notion provides a consistent and coherent application of

roles across all signalling commissionings, irrespective of which commissioning AEO is

engaged to do the work. Commissioning AEOs shall align their roles that pertain to critical

signalling functions, in accordance with the roles defined in this document. See Table 1 for a

listing of related critical signalling functions.

Duty holders of roles in critical signalling functions shall act as a representative of the

commissioning engineer. This requirement extends to those signalling design personnel when

performing interlocking testing and principles testing, irrespective of whether the testing is

conducted on-site or off-site.

Note: While this document allocates requirements specifically to the commissioning

AEO, the design AEO still holds accountability for the verification and validation

elements of signalling designs, as approved by them.

13.1. Allocation of roles The commissioning AEO shall ensure that all the critical signalling functions are thoroughly

identified and adequately resourced. Duty holders shall be appointed in sufficient time for them

to become acquainted with their roles, having due account for any up-skilling or knowledge

enhancements.

The roles for critical signalling functions shall be allocated by either the commissioning engineer

or signalling tester in-charge. However, where the specific subject matter exceeds the expertise

of the commissioning engineer or signalling tester in-charge, then the allocation of roles for

critical signalling functions may be delegated to the relevant subject matter expert.

Each duty holder shall be responsible for their allocated role. The commissioning engineer's

accountability shall not be delegated.

Critical signalling functions shall be allocated only to the following defined roles:

• commissioning engineer

• signalling tester in-charge

• signalling system certifier

• signalling subsystem certifier

• trackside apparatus certifier © State of NSW through Transport for NSW 2019 of 65



• structural and ancillary certifier

• signalling test assistant

• licensed signalling personnel

The requirement for independence shall be considered when allocating the aforementioned

roles.

The commissioning engineer may undertake other roles such as signalling tester in-charge and

certifier, subject to holding appropriate competency, maintaining an appropriate level of

independence and sustaining a manageable work load.

Where the roles of commissioning engineer and signalling tester in-charge are performed by

separate individuals, then the allocation of responsibilities between the respective roles shall be

formally agreed and documented. These two roles shall continue until all the agreed signalling

works are completed and the final completion certificate issued. See Section 13.3 and

Section 13.4 for further information regarding these roles.

Duty holders may be allocated more than one role as deemed appropriate by the

commissioning scope; however, their work load shall remain within normal expectations.

Conversely, a complex role may be shared amongst a number of duty holders.

13.2. Common responsibilities All personnel involved in critical signalling functions shall be aware of their duties and

responsibilities.

Duty holders shall be responsible for understanding the requirements of their allocated role and

shall be responsible for their respective task.

Each duty holder shall carry out their allocated function completely and duly mark-up any

associated documentation or record with diligence. This shall be done in accordance with

applicable TfNSW standards, engineering specifications and approved designs, and in

accordance with the commissioning AEO's requirements and any specific operator and

maintainer RIM requirements (as imposed). These requirements include the adjustment of any

settings, so that they comply with stated specifications or otherwise expected limits.

Duty holders involved with inspection and testing shall check their work for completeness,

accuracy and quality. They shall remain vigilant throughout the entire task for defects, errors

and omissions that can be present, and duly report any such issue.

All required work instructions, test records, certificates and other associated documentation

(including those in electronic format) shall be completed and returned as instructed.

Duty holders leading inspection and testing activities shall accordingly direct their team to

ensure all work done by them is in accordance with relevant requirements, and is complete.

They shall also ensure the testing equipment used by them, for the purpose of certification, © State of NSW through Transport for NSW 2019 of 65



conforms to industry specifications, type approval, ASA requirements, project delivery

requirements or operator and maintainer RIM requirements, as applicable.

13.3. Commissioning engineer responsibilities The commissioning engineer authorises the signing into use, the new or altered signalling when

commissioned.

The commissioning engineer shall hold ultimate accountability for the safe and reliable

integration of the new or altered signalling to the extent that it is built in accordance with the

following elements:

• approved signalling design

• type approved signalling equipment (as applicable)

• agreed functional requirements

• applicable signalling principles

• applicable engineering standards

• domain-specific requirements ( project delivery RIM requirements and operator and

maintainer RIM requirements that are in addition to ASA requirements)

The commissioning engineer's accountability shall cover the signalling scope for activities

relating to inspection, testing and certification, leading to commissioning. The accountability

shall extend to any part of the operational network that is affected by the signalling work and its

subsequent integration.

The commissioning engineer shall ensure that all new or altered signalling works ensue

pursuant to interface coordination requirements, including an agreed interface coordination

plan, done in collaboration with the operator and maintainer RIM and other key stakeholders.

The commissioning engineer shall ensure all signalling safeworking tasks for the work comply

with the signalling safeworking procedures, and network rules and network procedures.

The commissioning engineer shall hold overall accountability for the implementation of effective,

proven and auditable processes for verification and validation that deliver a safe and reliable

system, which is the integrity of the new or altered signalling.

The commissioning engineer shall have overall accountability for the inspection and testing

functions as defined by this document, and to ensure they are carried out and recorded as

prescribed.

The commissioning engineer shall obtain all the assurances necessary to prove the installation

is built in accordance with approved designs and agreed functional requirements, and is in

compliance with applicable standards and other requirements before bringing the work into use.




The commissioning engineer shall be overall accountable for ensuring that the tasks allocated

to duty holders of critical signalling functions are mapped against the duty holder’s competency

and proficiency level.

The commissioning engineer shall be responsible for determining if a signalling commissioning

can go ahead. The commissioning engineer shall ensure that certification testing is not

jeopardised by its compression into tight timeframes, particularly where it over-extends testing

personnel.

The commissioning engineer shall investigate (or arrange investigation of) any reported defects,

errors or omissions related to the work, and duly initiate appropriate actions to resolve such

matters, particularly where they are serious. This shall be done prior to determining the

readiness of commissioning and the decision to permit any signalling operation (including

degraded operation) for the purpose of train running.

The commissioning engineer shall establish a strategy that manages the impact of

decommissioning and the subsequent disposal of redundant equipment in accordance with

Section 11.3.

The commissioning engineer shall ensure that track circuits affected by the work, including

those tracks clear of the project scope that are not used as a result of the project’s track

possession are capable of providing an effective track shunt. This shall be assured prior to

certifying the signalling back into use.

The commissioning engineer shall be the person who signs the COC relating to the approved

signal design and ensures it is returned to the relevant design AEO for updating and

subsequent field distribution. The commissioning engineer shall also ensure that all handover

deliverables are in accordance with agreements made during the interface coordination

meetings. These include signing the 'practical completion certificate' along with the rectification-

management of any associated defects.

Finally, the commissioning engineer shall sign the 'final completion certificate' when all the

agreed works are closed-out.

13.4. Signalling tester in-charge responsibilities The signalling tester in-charge is responsible for planning and directing the inspections and

tests required for a safe and effective integration of the new or altered signalling work. In this

regard, the signalling tester in-charge shall assist the commissioning engineer in ensuring that

the tasks allocated to duty holders of critical signalling functions are mapped against the duty

holder’s competency and proficiency level.

The signalling tester in-charge shall provide to the commissioning engineer an overall

assurance of the testing elements before commissioning into service (including stage

commissioning) the new or altered signalling.




The signalling tester in-charge is responsible for the overall effective, proven and auditable

processes that ensure compliance, verification and validation of the work. These processes

shall yield sufficient evidences to prove the following elements:

• verification and validation of the signalling design such that it meets signalling principles

and agreed functional requirements

• verification and validation of the new or altered work to prove that it is in accordance with

the approved signalling design, signalling standards and specifications, signalling principles

and agreed functional requirements

• assurance that the inspection and test plan listed all the required elements of testing

• assurance that all items in the inspection and test plan were executed

• assurance that all inspections and tests were done in accordance with requirements

• assurance that each inspection and test was completely fulfilled

• assurance that satisfactory results were obtained for all inspections and tests

• assurance that compilation of records, mark-ups and test results corresponds with the

items stated in the inspection and test plan

• assurance that any omission, error or defect that becomes evident, was logged and

appropriately actioned

Additionally, the following functions and responsibilities are applicable to the signalling tester in-

charge role:

• overall directing of the inspection and testing resources, referring to the allocation of testing

personnel, considering suitability and independence as well as the utilisation of correct and

calibrated test equipment

• management and distribution (including registration and version control) of signalling field-

issued design documentation, such as correlation copies, build copies, test copies, certified

office copies, interim maintenance copies, and any modification sheets

• preparation of installation and commissioning work packages, and related work instructions

• preparation of operational notices, such as weekly notices

• monitoring, auditing and analysing the inspection and testing activities and records,

ensuring they are in accordance with requirements

• preparation of handover package and associated completion deliverables, including post

commissioning defect identification, defect rectification management, allocation of spares

(as required) and compilation of practical completion and final completion certificates




Where specialist expertise is required to assist with the planning and directing of inspections

and tests that lead to certification of the signalling system or subsystems, the signalling tester

in-charge shall co-plan and co-direct these tasks with the relevant signalling system certifier or

subsystem certifier (as applicable). Notwithstanding the responsibilities of such certifiers, the

signalling tester in-charge shall retain overall responsibility for the planning and directing tasks.

The signalling tester in-charge shall collaborate with relevant design AEOs to facilitate the

following outcomes for signalling system and subsystem testing:

• establish the functions and roles of duty holders required for the signalling system and

subsystem testing

• establish the independence requirements for the testing

• obtain an assurance that the approved signalling design is complete (without any

omissions or overlaps), especially where separate parts of the design are produced by

different AEOs

• establish the verification and validation requirements that ensures the signalling design

meets signalling principles and agreed functional requirements

• establish the verification and validation requirements that ensures signalling subsystems

(not yet integrated into the whole system) are in accordance with the signalling design,

signalling principles and agreed functional requirements

• establish the scope of residual on-site testing of signalling system and subsystems

subsequent to any off-site testing

• establish the verification and validation requirements that ensures the signalling system,

incorporating all its subsystems and apparatus are in accordance with the signalling

design, signalling principles and agreed functional requirements (to the extent affected by

the new or altered works)

The commissioning engineer may restrict the extent of delegation that is assigned to the

signalling tester in-charge, and as such shall retain the residual components of the role. The

functions and responsibilities that are delegated to the signalling tester in-charge and any

residual components of the role retained by the commissioning engineer shall be formally and

clearly recorded. Such records shall be included in the relevant work packages.




13.5. Signalling system certifier responsibilities Signalling system certifiers conduct end to end testing of the signalling system, to the extent

affected by the work, to provide certification for commissioning.

The signalling system is wholly comprised of its subsystems and apparatus. It is inclusive of all

signalling elements, such as the signalling interlocking, train control and management system,

trackside apparatus, ATP system, connecting cables, distributed signalling power supply

network, generated signalling air supply and reticulation system, signalling communication

network and so on, as applicable.

Signalling system certifiers shall be responsible for verifying that the signalling system, as

affected by the work, performs in accordance with the signalling design, signalling principles

and agreed functional requirements. This shall only be done once all the subsystems and

apparatus are integrated to form the whole signalling system.

The expertise of the signalling system certifier can differ depending on the project scope,

complexity and effects the work has on the signalling system. For example, on a whole re-

signalling project, the signalling system testing shall encompass the entire system and all its

interfaces. The signalling system certifier in this case shall be sourced from a relevant design

AEO.

Conversely, where the work is of a minor nature and alters only a small part of the signalling

system, such as a turnout renewal or a signal upgraded to LED type, the system testing is less

extensive than the previous example. In this case, the signalling system certifier may be the

commissioning engineer or delegated tester, subject to holding relevant competency

commensurate with the task.

The type of interlocking can also influence the expertise required of the signalling system

certifier. For example, where the alteration is totally confined to a mechanical interlocking, an

interlocking tester holding appropriate competency may perform the system testing.

Note: A specific competency for interlocking testing (equivalent to an interlocking

certificate) is required to test mechanical interlocking frames greater than eight levers.

Refer to T HR SC 02000 ST for further information.

The signalling system certifier shall co-plan and co-direct the signalling system testing with the

signalling tester in-charge, particularly where the testing is of a specialty nature and the

planning requirements are beyond the base expectations of the signalling tester in-charge.

Examples of such systems can include computerised train control, CBI or ATP. However, the

signalling tester in-charge shall retain overall responsibility for the planning and directing tasks.




The following list of functions is applicable to a signalling system certifier:

• design integrity (principles) testing of signalling systems

• function testing to control tables of signalling systems

• system indication function test, end function test, through function test of signalling systems

• interlocking testing of mechanical main frames

• aspect sequence testing of signalling systems

• correspondence testing (including any out of correspondence testing) of signalling systems

The aforementioned requirements for signalling system testing shall be established by the

signalling tester in-charge in collaboration with the relevant design AEOs. See Section 13.4 for

further information.

13.6. Signalling subsystem certifier responsibilities Signalling subsystem certifiers conduct testing of associated signalling subsystems, to provide

certification for commissioning.

Signalling subsystems are the major parts of the signalling system, when integrated form the

whole signalling system. Signalling subsystems include signalling interlocking, train control and

management system, trackside apparatus, ATP system, connecting cables, distributed

signalling power supply network, generated signalling air supply and reticulation system,

signalling communication network and so on, as applicable. Where determined by the relevant

inspection and test plan, signalling subsystems can also include the integration of ATP system

(trackside) with on-board systems.

Signalling subsystem certifiers may also certify individual signalling apparatus (such as

trackside equipment) for items relevant to the subsystem on the condition that they hold the

associated competency for the task. For example, a signalling subsystem certifier testing the

circuits of an interlocking related to a new or altered turnout, may also conduct the associated

relay or I/O testing for the points once the points are physically connected to the interlocking, on

condition that the tester holds the additional competency.

The testing of signalling subsystems may be apportioned into manageable and logical parts of

the whole subsystem and as such, the portions may be separately certified; for example,

attesting specific pages of a circuit book. In this case, the signalling tester in-charge shall

consolidate all the individual tested portions and attest the whole circuit book (as affected by the

work). The signalling tester in-charge shall assess and mitigate any risks associated with

apportioning the testing in this regard.

The signalling subsystem certifier shall co-plan and co-direct the signalling subsystem testing

with the signalling tester in-charge, particularly where the testing is of a specialty nature and the

planning or consolidation requirements are beyond the base expectations of the signalling tester © State of NSW through Transport for NSW 2019 of 65



in-charge. Examples of such subsystems can include computerised train control, CBI or ATP.

This delegation extends to the consolidation of any apportioned testing done on the subsystem.

However, the signalling tester in-charge shall retain overall responsibility for the planning and

directing tasks.

Any determination to test the various elements of a subsystem, either off-site or on-site shall be

made by the signalling tester in-charge in collaboration with relevant design AEOs. See

Section 13.4 for further information.

Signalling subsystem certifiers shall apply a rigorous process to satisfy themselves of a safe

and reliable outcome for the subsystem tested by them.

The following list of functions is applicable to a signalling subsystem certifier:

• testing of signalling circuits

• function testing of signalling circuits

• function testing to control tables of signalling interlocking subsystems

• design integrity (principles) testing of signalling interlocking subsystems

• interlocking testing of mechanical ground frames

• testing of train control and management subsystems

• testing of signalling communication and telemetry subsystems

• testing of signalling power supply subsystems

• testing of signalling air supply and reticulation subsystems

• testing of ATP subsystems

13.7. Apparatus certifier responsibilities Apparatus certifiers conduct testing of individual signalling apparatus, to provide certification for

commissioning.

Signalling apparatus generally pertains to trackside signalling equipment, such as points,

signals, trainstops, track circuits, axle counters, traction bonding, level crossing protection

equipment, releasing devices, mechanical interlocking items, ATP and ASDO balises, cables,

individual air supply and reticulation items and so on. Additionally, this category includes

individual items installed in signalling housings, such as relays, power supply equipment, ATP

lineside equipment units (LEU), communication and telemetry equipment (such as remote

terminal units), and condition monitoring equipment.

Apparatus certifiers are not permitted to certify signalling subsystems, unless they also hold the

relevant signalling subsystem certifier role.




The responsibility of apparatus certifiers shall be generally confined to the testing of individual

signalling equipment (or equipment sets such as points), when installed. However, the scope of

testing and certification may be extended beyond the realms of the individual equipment, up to

the point of interface with the interlocking; for example, control or indication relays, CBI outputs

and inputs, or ATP LEUs. The extent of testing shall depend on the specific competencies held

by the duty holder. For example, an apparatus certifier testing a trainstop may be permitted to

function test the trainstop detection relays (or CBI inputs) when certifying the associated

trainstop; or an apparatus certifier testing points may be permitted to function test the points

detection relays (or CBI inputs) when certifying the associated point equipment.

Such determinations shall be made by the signalling tester in-charge and shall be based on the

duty holder’s competency and proficiency level, commensurate with the complexity of the

prevailing arrangements.

The following list of testing and certification functions is applicable to an apparatus certifier:

• signals and trackside indicators

• trainstops

• points and associated equipment

• vital rail vehicle detection equipment

• level crossing protection equipment

• releasing devices

• ATP and ASDO trackside equipment (not subsystem)

• signalling communication and telemetry equipment (not subsystem)

• signalling power supply equipment (not subsystem)

• signalling air supply and reticulation equipment (not subsystem)

• electrical conductor insulation

• mechanical interlocking items (not interlocking frames)

• signalling plans and track insulation plans

13.8. Structural and ancillary certifier responsibilities Structural and ancillary certifiers conduct inspection of signalling buildings, structures, ground

excavations and foundations that are associated with signalling equipment, to provide

certification for commissioning. They also certify the ancillary systems fitted in signalling

housings for conformance to relevant building codes and standards, as they pertain.

Signalling buildings in this context are defined as signalling relays rooms, bungalows,

cupboards or other housings containing signalling equipment, including associated foundations, © State of NSW through Transport for NSW 2019 of 65



pathways, fences and gates, as applicable. Signalling structures in this context are defined as

the signal posts, signal gantries, associated ladders, landings, railings, foundations and the like.

Additionally, items in this category include signalling-services routes, such as buried, ground

level and above ground routes.

Ancillary systems for this category are defined as those supporting systems fitted in signalling

housings, such as lighting, electrical outlets, ventilation and air conditioning, security items, fire

control equipment, water, drainage, telephones, intercoms, closed-circuit television (CCTV), and

the like.

Structural and ancillary certifiers shall be responsible for certifying the items inspected by them.

The provision of assurance shall be made to the commissioning engineer prior to the items

becoming operational.

The signalling tester in-charge shall ensure such certifiers are resourced, based on their

qualifications, competency and proficiency level, commensurate with the work type and

complexity of arrangements.

The following list of inspection and certification functions is applicable to a structural and

ancillary certifier:

• signalling buildings and cupboards, associated foundations, pathways, fences and gates

• signalling structures such as signal posts, signal gantries, associated ladders, landings,

railings, and foundations

• signalling-services routes, inclusive of any hold-point release inspections

• ancillary systems (supporting systems) such as lighting, electrical outlets, ventilation and

air conditioning, security items, fire control equipment, water, drainage, telephones,

intercoms, CCTV, and the like

13.9. Signalling test assistant responsibilities Signalling test assistants provide assistance to lead testers when testing signalling systems,

signalling subsystems and signalling apparatus, in preparation for commissioning.

The signalling test assistants may provide assistance for all tests, commensurate with their level

of competency.

Signalling test assistants shall be responsible for diligently following the instructions issued by

the lead tester. They shall remain alert to ensure that they apply the test only to the correct

circuit portion, terminal, apparatus or control. They shall enquire with the lead tester, if they are

unclear of any instruction or testing requirement, or if there is a doubt on the exact location of

any testing point.




Signalling test assistants shall be vigilant of any error, defect or omission that can be present

with the item under test or the test equipment used, and immediately advise the lead tester if

noted.

13.10. Licensed signalling personnel responsibilities Licensed signalling personnel are responsible for carrying out tasks on operational signalling or

applying signalling safeworking. Only personnel holding a valid signalling licence shall

undertake work on operational signalling or apply signalling safeworking.

The type of tasks allocated to licensed signalling personnel shall be commensurate with the

duty holder's competency and within the authority level provisions stated in signalling

safeworking procedures.

The following tasks are associated with licensed signalling personnel for the delivery of new or

altered works:

• booking (certifying) signalling apparatus into use or out of use

• disconnection and subsequent reconnection of operational signalling equipment for the

purpose of securing signalling out of use

• application of temporary wiring, temporary bridges or temporary repairs

• connection of any new or altered wiring or apparatus to working circuits or working power

supplies

• reinstatement of any dislodged wire or equipment

• investigation and rectification of signalling failures caused by the project work

• liaison with network operators for the purpose of signalling safeworking

• provision of manual releases, and so on

Additionally, licensed signalling personnel shall be allocated to tasks having a high potential for

causing disturbance to operational infrastructure, such as when hand-tracing fragile wiring

during correlation of existing installations.

Licensed signalling personnel shall be responsible for carrying out their tasks in accordance

with signalling safeworking procedures, and network rules and network procedures. They shall

not perform any task that is contrary to these requirements, unless special agreed provisions

have been arranged between the operator and maintainer RIM and the ASA.




14. Mapping duty holder roles to critical signalling functions In most cases, testing of new or altered signalling encompasses many individual tests, which

when combined make up the whole test. For example, when circuit wiring is certified, the tester

is required to perform a number of tests in addition to continuity (bell) testing to enable a

complete certification of the wiring. The additional tests would include a documentation check,

wire count, null count, apparatus inspection, insulation test and possibly a wire hand-trace.

For this reason, duty holders tasked with testing functions shall be capable of performing all the

individual functions (tests, in this case) that are required of the role.

Each duty holder shall hold a set range of testing competencies, accordingly mapped to the

critical signalling functions listed in Table 1. This is to ensure the integrity and completeness of

the safety elements for the work being tested. For example, the duty holder role of circuit tester

shall be capable of performing a documentation check, continuity (bell) test, wire count, null

count, apparatus inspection, insulation test, and wire hand-trace.

Another example refers to the role of circuit-function tester, where the duty holder shall hold the

prerequisite competencies of the circuit tester, along with the competencies for performing other

tests. Such tests include contact proving test, strap and function test, circuit-function test,

through-circuit test, power supply isolation and earth leakage test, correspondence test, aspect

sequence test, and various system tests.

Table 1 provides the mapping of duty holder roles to the critical signalling functions.




Table 1 – Mapping of duty holder roles to the critical signalling functions

Critical signalling function

Commissioning engineer

Signalling tester in-charge

Signalling system certifier

Signalling subsystem certifiers Trackside apparatus certifier

Structural and ancillary certifier IXL CT CFT CS ATP PS AIR

Plan overall inspection and testing - - - - - - - - - -

Plan specific inspection and testing 1 1 1 1 1 1 1 1 1 1 1 1

Allocate resources for overall inspection and testing

- - - - - - - - - -

Allocate resources for specific inspection and testing

1 1 1 1 1 1 1 1 1 1 1 1

Issue signalling permit to work - - - - - - - - - - -

Approve work packages - - - - - - - - - - -

Overall control of field-issued signalling design documentation

- - - - - - - - - -










Apply signalling safeworking (including booking existing signalling out and into use)

4 - - - - - - - - - - -

Certify documentation check 1 1 1 1 1 1 1 1 1 1 1 1

Certify apparatus inspection 1 1 1 1 1 1 1 1 1 1 1 1

Certify wire hand-trace - - - - - - - -

Certify wire count and null count - - - - - - - -

Certify continuity test (bell test) - - - - - - - -

Certify insulation test - - - - - - 1 -

Certify contact proving test - - - - - - - 1 -

Certify strap and function test - - - - - - - - -

Certify circuit function test - - - - - - - - -










Certify circuit through function test - - - - - - - - -

Certify apparatus function test • trackside signalling

apparatus • Includes power

supply equipment (not sub-system)

• air supply and reticulation equipment (not subsystem)

• mechanical interlocking items (keys, locks, signage, warding)

• trackside ATP and ASDO equipment (not subsystem)

• communication and telemetry equipment (not subsystem)

1 1 - 1 1 1 1 1 1 1 -










Certify signalling power supply isolation test and earth leakage test

- - - - - 1 -

Certify signalling power supply (subsystem) 1 1 - - - - - - - - -

Certify signalling air supply and reticulation (subsystem)

- - - - - - - - - - -

Certify ATP (subsystem) 1 1 - - - - - - - - -

Certify train control (sub-system) 1 1 - - - - - - - - -

Certify building, structure, foundation, excavation, ancillary equipment

- - - - - - - - - - - 1

Certify correspondence test (includes out of correspondence test)

- - - - - - - -

Certify aspect sequence test - - - - - - - -










Certify system function tests (indication-function test, end-function test and through-function test)

- - - - - - - -

Certify interlocking function test to control tables mechanical frames up to eight levers

1 1 - - - - - - - -

Certify interlocking function test to control tables mechanical frames greater than eight levers

3 3 3 3 - - - - - - - -

Certify interlocking function test to control tables electrical and CBI interlockings

2 2 2 2 - - - - - - - -

Certify interlocking design integrity (principles) test

2 2 2 2 - - - - - - - -

Certify signalling and track insulation plans - - - 1 1 1 1 -










Certify signalling design office copy documents (COC)

- - - - - - - - - - -

Commission new or altered signalling into operational use

- - - - - - - - - - -

Legend

IXL interlocking tester ATP ATP subsystem certifier

CT circuit tester PS signalling power supply subsystem certifier

CFT circuit function tester AIR signalling air supply and reticulation subsystem certifier

CS train control subsystem certifier

Denotations

1 subject to holding competency for specific equipment (product, brand and type) or specific subsystem

2 a competent tester, generally sourced from the design AEO is required to test complex new or altered signalling

3 a specific competency is required for testing mechanical frames greater than eight levers

4 signalling safeworking tasks may be allocated to other licensed signalling personnel in accordance with signalling safeworking procedures, subject to them holding relevant competency

The provisions of Table 1 are subject to any conditions or restrictions stated in the duty holder's signalling permit to work.




14.1. Specific functions for duty holders holding limited competencies Duty holders holding limited competencies that enable them to perform only specific functions

(that are less than the bundled functions shown in Table 1), may be permitted to perform such

functions subject to a risk assessment. The assessment shall evaluate the integrity of each

individual test or functional component of a task when executed in isolation, as opposed to

when done together with other tests or tasks.

Certain basic tests may be done in isolation or with a lesser amount of combined individual

tests, or done as non-certified checks. For example, a tester may be assigned to perform only a

documentation check or a correlation check (comprising non-certification tests, such as wire

hand-trace, wire count, null count and apparatus inspection) of an existing installation. Further

examples include the certification tests of wire count and null count following removal of

redundant wiring at the end of a project, or insulation tests of newly installed cables. In these

cases, the competencies of duty holders may be less than the duty holder required to perform

the circuit continuity testing (circuit tester) as stated in Table 1.

The risk assessment shall be conducted by the signalling tester in-charge in collaboration with

the following entities, as necessary:

• commissioning engineer (where different to the signalling tester in-charge)

• commissioning AEO

• design AEO

• project delivery RIM

• operator and maintainer RIM

14.2. Multiple roles A duty holder may be allocated more than one role in performing their duties. For example, the

role of circuit tester may also be allocated the role of apparatus certifier; alternatively (or

additionally) this duty holder may also be the licensed signalling person who applies signalling

safeworking for the project.

The signalling tester in-charge shall assess the risks associated with allocating multiple testing

roles to the same individual.




14.3. Independence of inspection and testing personnel The principle of independent inspection and testing of new or altered signalling work is that no

safety critical outcome should rely solely on one person doing and also certifying their own

work.

In essence, any person who has installed vital equipment or circuits, or written data files for new

or altered signalling shall not carry out the certification inspection and tests of the particular

elements that they have created.

In deciding the appropriate degree of independence, a balanced assessment shall be

necessary depending on the nature and complexity of the work. Additionally, the competency

and proficiency level, as well as the licence level (if applicable) of the duty holder performing the

work shall be taken into account. The lack of availability of suitable personnel shall not justify

any lessening or absence of the required independence.

The signalling tester in-charge shall assess the risks associated with independence of

inspection and testing personnel.

15. Competency requirements Competency requirements for roles pertaining to the critical signalling functions of inspection,

testing and commissioning shall comply with TfNSW competency standards, the Rail Safety

National Law (NSW) and the commissioning AEO's competency management system. The

commissioning AEO shall ensure the engineering activities are performed by suitably trained

and proficient personnel; that is, personnel designated as 'competent' persons. This is required

to meet the legislative and regulatory obligations of the Rail Safety National Law (NSW),

AS 4292.1 and the requirements outlined in T MU CY 10503 GU AEO Guide to Engineering

Competence Management and T HR CY 03000 ST Competency Standard - Signalling.

The roles for critical signalling functions shall be allocated only to competent personnel having a

suitable proficiency level for the intended function; such that they are capable of fulfilling the

entire task. They shall be capable of providing the necessary assurance with sufficient evidence

so that the commissioning engineer can sign-off the completed signalling works.

The commissioning engineer, together with the signalling tester in-charge shall be satisfied that

the resources used for performing roles in critical signalling functions meet competency and

proficiency requirements. They shall properly instruct duty holders of their intended tasks. The

signalling permit to work process is an enabler that supports these requirements.




15.1. Assessment of duty holders The commissioning AEO shall conduct a formal assessment of each duty holder candidate

intended to perform critical signalling functions specified in this document. The assessment

shall seek demonstrable knowledge and experience by application of defined processes in

accordance with the Rail Safety National Law (NSW) (which refers to the Australian Quality

Training Framework, the Australian Qualifications Framework and other national regulations),

and T HR CY 03000 ST using assessment tools, performance criteria and evidence based

analysis.

The assessment shall evaluate the candidate in the following elements:

• behavioural competencies

• knowledge of applicable signalling principles

• subject matter expertise in the relevant product or service

• applied knowledge of related domain-specific requirements; namely ASA requirements,

project delivery RIM requirements and operator and maintainer RIM requirements as

applicable

Candidates shall hold the required pre-requisite qualifications for the intended role prior to the

assessment.

Where candidates already hold the required competency, as registered in the national rail

industry worker competency database, then the commissioning AEO shall ensure the

candidate's competency meets the following criteria:

• the competency is valid and current

• the competency is relevant for the intended network and role (meeting domain-specific

functional requirements)

• there are no restrictions, limitations or breach penalties that could impact the delivery of

work and provision of assurance for the intended role

• the attainment of competency meets the commissioning AEO’s own competency

management requirements

Although the accountability for competency management is held by commissioning AEOs, the

operator and maintainer RIM should review the AEO’s competency management system. This

is done as part of due diligence in order to gain an assurance of the critical signalling functions

performed. The review should be undertaken at the earliest opportunity.

Note: The attainment of network-specific signalling licences and authorisations are

done in accordance with operator and maintainer RIM requirements. See Section 8 for

more information on signalling licences and authorisations.




15.2. Duty holder performance history The commissioning AEO shall be accountable for checking the duty holder’s performance

history in respect to any restrictions or prohibitions and as such, a disclosure shall be sought

from the duty holder. Additionally, where required, background checks shall be made with

industry peers, other AEOs, the project delivery RIM and the operator and maintainer RIM, as

applicable.

Duty holders shall not perform work contrary to such restrictions or exclusions.

The commissioning AEO shall keep a list of all personnel they intend to use for the performance

of critical signalling functions, irrespective of whether the work is planned to be done within

green-field sites (as managed by the project’s processes) or within operational areas (as

governed by the signalling permit to work process).

The list shall be made available to the operator and maintainer RIM (if requested) so as to

enable them to exercise their legislative and regulatory obligations as RIM in accordance with

the Rail Safety National Law (NSW).

15.3. Assessment pathways for attaining roles in critical signalling functions Figure 1 identifies the different candidate pathways for attaining duty holder roles to perform

critical signalling functions. Figure 1 specifically highlights the distinction between the attainment

of a competency and the attainment of an authorisation or licence, pertaining to critical

signalling functions.

While the outcomes shown in Figure 1 enable the duty holder to perform the stated work, the

level of work-complexity assigned shall be commensurate with the duty holder’s demonstrated

performance and proficiency level.




Assessment process governed by commissioning AEO

Assessment process governed by operator and maintainer RIM

Assessment process governed by operator and maintainer RIM

Competent signalling person Authorised signalling person Licensed signalling person

Possesses pre-requisite qualifications

Possesses pre-requisite qualifications and competencies

Possesses pre-requisite qualifications and competencies

Gains Knowledge(in accordance with ASA,project delivery RIMand operator and maintainer RIM requirements)• Behavioural• applicable signalling

principles• expertise in product/service• Domain-specific requirements

for product/service

Gains Knowledge(in accordance with operator and maintainer RIM domain requirements)• behavioural• signalling hazards• specific restrictions• RIM notifications & advices• management of operational

issues arising from the works

Gains Knowledge(in accordance with operator and maintainer RIM domain requirements)• behavioural• signalling principles• signalling safeworking• incident management• signalling requirements• network rules-procedures

Undertakes assessment Undertakes assessment Undertakes assessment

Authorisedto perform work within operational signalling environments for signalling commissioning functions(does not permit duty holder to interfere with operational signalling or apply signalling safeworking)

Licensedto work on operational signalling and apply signalling safeworking for signalling commissioning functions

Competentto perform work for signalling commissioning functions(does not permit duty holder to work within operational signalling environments)


Figure 1 - Assessment pathways for roles in critical signalling functions

T HR SC 07111 ST Mandatory Requirements for Inspection, Testing and Commissioning … · 2019. 9....

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