TN 050: 2014 GU v1.0, 06/10/2016 © State of NSW through ...

TN 050: 2014

Objective ID A3348601 tn-050-2014 Electrical Type Approvals - Interim Process Asset Standards Authority © State of NSW through Transport for NSW of 12 S

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Technical Note TN 050: 2014

Subject: Electrical Type Approvals – Interim process

Issued date 26 June 2014 Effective dates 26 June 2014

For queries regarding this document [email protected]

www.asa.transport.nsw.gov.au

1. Scope and application

ASA publishes on its website various standards, specifications and standard arrangement

drawings (including fittings) that define requirements for product - equipment, fittings and

materials - for use in the rail electrical infrastructure. These nominate a number of preferred

arrangements as well as detailed technical information concerning such arrangements.

This document specifies requirements for the technical approval and assurance of the following:

• new product

• equipment purchased via a technical specification

• fittings and materials purchased from standard arrangement drawings

This document will provide guidance to manufacturers, suppliers and purchasers on the following:

• the process to be followed to submit product for approval that is not currently in use on

the rail network

• the evidence to be provided with the submission

• the approval process

• the quality process to ensure equipment, fittings and materials are fit for purpose

This document applies to the supply of all products for use on the rail electrical infrastructure,

whether sourced by or on behalf of Sydney Trains, NSW Trains, Transport for NSW, or by other

third parties.

mailto:[email protected]

http://www.asa.transport.nsw.gov.au/

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62. Initiation

Technical approval must be granted before equipment, fittings and materials can be offered for

use in rail electrical infrastructure. It is not the only requirement and technical approval itself

does not guarantee that the item will be used in any specific application. For example oil filled

transformers would not be approved for use in underground locations.

Suppliers wishing to obtain approval for new equipment, fittings and materials submit an email

request to the ASA at [email protected]. Applications are to include as the

subject line "Request for Electrical Type Approval – xxxx" where "xxxx" describes the topic of

the requested type approval.

The email is to include detail as nominated in Section 3.

Type approval would normally be for items that do not currently exist in the rail infrastructure (for

example a new type of ac switchgear) or suppliers wishing to obtain approval for its version of

an existing product (for example new material for use in OHW droppers).

Items that would be covered by the type approval process include.

• equipment defined by technical specifications (for example protection relays,

SCADA/RTU, HV cable, power rectification equipment, substation batteries and chargers,

OHW contact wire)

• equipment covered by general drawings

• new technology

• purpose designed components such as

• OHW dropper clip

• HV bushings

• surge arrestors

Items that would not be covered by the type approval process include

• consumables

• non specific fasteners (for example conduit saddles, nuts, bolts, general purpose conduit,

etc)

Guidance on the types of equipment that require approval can be obtained from the relevant engineering standards and/or from the ASA.

mailto:[email protected]

TN 050: 2014

Objective ID A3348601 tn-050-2014 Electrical Type Approvals - Interim Process Asset Standards Authority © State of NSW through Transport for NSW of 12

3. Attachments

The email request is to include either in the email or as attachments the following information:

• Sponsor. This will be the Transport Cluster member responsible for the respective

program or project.

• Accredited Engineering Organisation (AEO). This will be the AEO with the appropriate

profile engaged by the Transport Cluster member for delivery of the respective program

or project for which the type approval applies.

• Project title.

• Time frame required for the type approval. This will normally be directly related to project

or program milestones.

• Justification. This will be a brief as to why a type approval is required.

• Technical. This will be a summary of the technical details of the type approval (ie what is

being type approved).

4. Preliminary assessment

If the submission is accepted, ASA will grant a type approval case number and arrange for a

preliminary assessment by a subject matter expert of the submission. The purpose of the

preliminary assessment is to develop criteria (a specification) required for the type approval.

As a guide the criteria may include some or all of the following:

• compliance with established standards and or contract specifications

• performance history

• form and fit

• functionality

• hazard and risk

• quality assurance

• safety assurance

• systems assurance

• interface analysis, including risk

• systems integration

• EMC

• environmental considerations

• software/firmware

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• sustainability

• disposal at end of life

• reliability, availability, maintainability (RAMs)

• human factors integration

• maintenance concept

• technical maintenance plan

• interdisciplinary interfaces

• verification and validation

• integrated logistic support

Further guidance is provided in Appendix A.

Once the assessment criteria have been endorsed by the ASA Lead Electrical Engineer, it will

be forwarded to the respective AEO to proceed with fulfilling the assessment criteria as

specified.

5. Final assessment

The AEO is to submit to ASA the completed assessment criteria as specified by section 4. This

will be reviewed by the ASA subject matter expert and a recommendation for approval or

rejection made to the ASA Lead Electrical Engineer.

In reviewing the completed assessment criteria the ASA subject matter expert will assess on the

information presented based on the following:

• the assessment criteria has been adequately addressed

• the risk profile presented is acceptable to ASA

• that stakeholders have been adequately consulted

The AEO will be advised by email of the outcome of the final assessment.

6. Approval and publication

An electrical type approval register of approved product will be maintained by the ASA and

published on the ASA website.

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Authorisation

Signature

Technical content prepared by

Checked and approved by

Interdisciplinary coordination checked by

Authorised for release

Name Ron Walsh Neal Hook Dave Spiteri Graham Bradshaw

Position Principal Engineer Electrical Networks

Lead Engineer Electrical

Chief Engineer Rail Principal Manager Network Standards & Services

Appendix A - Typical analysis process for technical approval

A.1 Support Information

Has the following information been supplied with the product submission?

• product identification

• details on the product or process and specific application for which it is offered

• design documentation - drawings, operating specifications, design calculations where

applicable

• user documentation - manuals or instructions for installation and adjustment, routine

maintenance, and operation of the item

• sample unit/s for evaluation and test

• handling and storage requirements

• third-party approvals

• application history

• quality assurance status and test certificates etc.

A.2 Form and fit analysis

A 'form and fit' analysis considers the compatibility of the product with the rest of the electrical

system:

• is the item physically compatible with current NSW rail installation, housing and mounting

arrangements?

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• can the item be maintained with existing tools and equipment?

• does the item generate any stresses, intentional or incidental, electrical or physical which

affect the safe and reliable operation of other parts of the electrical system?

• does the item offer significant benefits to NSW rail which outweigh the cost of introducing

a novel component?

• are new material types being used? Consider conductivity and implications for electrical

and traction return.

A.3 Function analysis

A functional analysis considers:

• does the product or process do what NSW rail needs, now and in the foreseeable future?

• can it interface with NSW rail existing hardware?

• does the process suit NSW rail methods of operating?

• will the product function in the environment where it will be installed?

• is the product provided with sufficient protection against vandalism, or misuse?

A.4 Hazard and risk analysis

A hazard and risk analysis considers:

• what are the hazards and risks associated with the product?

• can it interface with NSW rail existing hardware?

• do the risks present issues for the NSW rail methods of operating?

• will the product introduce risks into the environment where it will be installed?

Typical deliverables for hazard and risk analysis include

• a hazard and risk analysis plan

• a hazard log

• a hazard and risk assurance report

A.5 Reliability, availability, maintainability (RAMs)

A.5.1 Reliability

The item’s reliability, availability, and failure modes are considered. For critical systems with

potential for major impact on rail operations, reliability data, empirically and/or theoretically

predicted may be required. Predicted reliability figures shall be derived using a recognised

method of calculation.

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A.5.2 Spares

The range of spares, variety of sources of spares, the lead time and cost of spares, the

guaranteed time that spares will continue to be available at reasonable cost.

A.5.3 Repairs

The availability of repairs and replacement items

• is the item suitable for in-house repair, by suitably trained and equipped in-house

personnel?

• are special equipment or test fixtures required for in-house repair, adjustment and test?

• what is the source, availability and cost of such equipment?

• which organisation is nominated to carry out the repair of units? What is the location of

repairers, whether in NSW, interstate Australia, or overseas?

• what is the delivery time for spares, and the turn around time for repairs?

• will repairs continue to be available for life of item?

• what are the availability and conditions of maintenance agreements?

A.5.4 Technical support

The level of technical support available in Australia and overseas now and in the future.

A.5.5 Maintainability

The amount and convenience of preventive and corrective maintenance required.

• preventative maintenance required.

• adjustment and configuration.

• training - range and quality.

• documentation - range and quality.

A.5.6 Expected life

A determination of the expected useful life of the item.

An evaluation is made of the potential for extending the useful life and functionality of the item.

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A.5.7 Life cost

The expected cost of installing and supporting the item, for its expected lifetime including

consideration of the following factors:

• initial cost of item, including spares and support equipment supplied with the item.

• cost, conditions and services included in any maintenance or support contract

• time and cost of preventative maintenance specified to achieve item lifetime.

• predicted usage and cost of consumable parts of the item and its support equipment

• will repairs continue to be available for life of the product?

• what are the availability and conditions of maintenance agreements

A.6 Quality analysis

An analysis of the overall quality of the item considering the following aspects:

• does the manufacturer have an accredited quality assurance system?

• what sort of quality documentation is provided/available?

• what sort of production and testing methods are used?

• how consistent is the product quality?

• materials – housings, components, coatings and finishes, conformance to relevant

standards

• design evaluation - layout, access for adjustment, replacement - component operating

stress levels

• failure analysis - estimation of the impact of specific component and material failures, on

system safety

• does the supplier provide recommended installation procedures? Are these suitable?

A.7 Safety analysis

For safety systems, a safety analysis of the item is required, to confirm that the item’s design

and manufacture are suitable to provide the level of safety integrity required by ASA, for the

particular application.

The intent of this analysis is to determine the level of safety which the designer /manufacturer

aimed to achieve in the item, the design features and design processes applied to achieve the

aims, and the degree to which independent testing and evaluation have confirmed that the

safety goals have been realised.

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ASA will concentrate on establishing that the required processes, tests and evaluations have

been carried out and documented, and that the results demonstrate that the item meets ASA

requirements.

An analysis of the product or process considers:

• how is safety provided?

• how is safety assured?

• how was safety verified and validated?

• how have subsequent changes been controlled?

• what procedures are in place for action and or notification by manufacturer, of safety

related problems?

A Failure Analysis considers the impact of specific component and material failures, on system

safety. Applicable techniques include:

• failure mode and effects analysis.

• fault tree analysis

• criticality analysis

A.8 Systems integration

Systems integration is the assembly of component elements into one system, and ensuring that

all elements function together as a coherent system. The output of systems integration activities

should be documented and recorded.

Typical deliverables for systems integration include

• a systems integration plan

• systems integration enabling requirements

• the constraints arising from the integration strategy

• any interface control documents

• a systems integration report

• an interface management plan

• interface specification

• integration test plans

• integration test reports

• interface specifications

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A.9 Interface analysis

In support of form and fit analysis, an analysis of the item to identify and assess any safety and

reliability risks that may arise from interfacing the new item with existing NSW rail infrastructure.

The nature and scope of the risk analysis will be scaled to the complexity of the item, and its

intended application.

The intent of this analysis is to determine any threats to safety, functionality, or reliability that

may arise from use of the item. The threats include those to the item itself, and threats to the

existing system from the new item. The analysis should identify any potential threats, estimate

the extent of risk posed, and any mitigating factors that have been applied or which may be

required. A most common source of risk with novel equipment is interfacing - seen mainly as

lack of reliability due to differences which were not properly identified between this and previous

applications of the same item in other railway or electrical environments.

Typical of the questions used in an interface risk analysis are:

• are there risks associated with use of the product? have they all been identified by the

manufacturer and appropriate mitigation strategies developed? are they acceptable?

• can the item generate unacceptable levels of heat, vibration or noise, which may

adversely affect other equipment, or persons working or living in the vicinity? does the

item pose any other environmental risk?

• is the application and configuration of the item such that minor faults can cause major

disruption to railway or electrical operations?

• can maintenance and repair be carried out without interrupting the functioning of the

system?

• can faulty items or modules be repaired quickly and at reasonable cost, or does repair

involve high costs and extended delays?

• does the product depend on critical, precise adjustments for its safe and reliable

operation?

• can the operation of the system be easily disrupted by minor maintainer errors?

• are the limits of tolerance compatible for operation with the interfacing systems operating

throughout the whole range of their tolerance limits?

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A.10 Electromagnetic compatibility (EMC)

The management of EMC is required to ensure the functional safety and reliability of installed

infrastructure, specifically relating to electrical and electronic systems.

Typical outputs for the management of EMC include:

• identification and verification of EMC impacts

• an EMC hazard log

• a victim source matrix

A.11 Human factors integration

The management of human factors may need to be addressed where the application is

dependent on the effective and reliable performance of front line operations and of maintenance

staff.

An analysis of the product or process considers:

• are there elements of the product that have a human interface element?

• are there standard arrangements for the human interface

• how was the human interface verified and validated?

• what procedures are in place for action and or notification by manufacturer, for human

interface problems?

A.12 Verification and validation

Verification and validation are processes that are used together for assuring that a product or

system fulfils its intended purpose. This is to assure that the produce meets its required

specifications, including safety requirements.

Typical of the requirements include:

• inspections

• analyses

• demonstrations

• trials

• integration test plan

• tests

• operational

• batch

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• acceptance

• certificate of compliance

A.13 Integrated logistic support

• maintenance

• maintenance concept

• technical maintenance plan

• service schedules

• maintenance requirements analysis

• equipment manual

• spares analysis

• training analysis

• operator

• maintainer

• operational documentation

• local operating instructions

• network (system) control instructions

• transport, handling and storage

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