Type Approval of Products - Transport for NSW · T MU MD 00005 GU Type Approval of Products Version...

Type Approval of Products

T MU MD 00005 GU

Guide

Version 1.0

Issued date: 06 October 2016

Important Warning 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 other purpose. You must not use or adapt it or rely upon it in any way unless you are authorised in writing to do so by a relevant NSW Government agency. If this document forms part of a contract with, or is a condition of approval by a NSW Government agency, use of the document is subject to the terms of the contract or approval. This document is uncontrolled when printed or downloaded. Users should exercise their own skill and care in the use of the document. This document may not be current. Current standards may be accessed from the Asset Standards Authority website at www.asa.transport.nsw.gov.au. © State of NSW through Transport for NSW

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

T MU MD 00005 GU Type Approval of Products

Version 1.0 Issued date: 06 October 2016

Standard governance

Owner: Manager Network Standards, 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

For queries regarding this document, please email the ASA at [email protected] or visit www.asa.transport.nsw.gov.au

© State of NSW through Transport for NSW



Preface The Asset Standards Authority (ASA) is an independent unit within Transport for NSW (TfNSW)

and is the network design and standards authority for defined NSW transport assets.

The ASA is responsible for developing engineering governance frameworks to support industry

delivery in the assurance of design, safety, integrity, construction, and commissioning of

transport assets for the whole asset life cycle. In order to achieve this, the ASA effectively

discharges obligations as the authority for various technical, process, and planning matters

across the asset life cycle. The ASA is also responsible for type approval of rail infrastructure

assets on the TfNSW network and of rolling stock assets owned by TfNSW.

The ASA collaborates with industry using stakeholder engagement activities to assist in

achieving its mission. These activities help align the ASA to broader government expectations

of making it clearer, simpler, and more attractive to do business within the NSW transport

industry, allowing the supply chain to deliver safe, efficient, and competent transport services.

The ASA develops, maintains, controls, and publishes a suite of standards and other

documentation for transport assets of TfNSW. Further, the ASA ensures that these standards

are performance-based to create opportunities for innovation and improve access to a broader

competitive supply chain.

This guide describes the application of AS 7702:2014 Rail Equipment Type Approval to TfNSW

assets by the ASA.

This guide supersedes the following documents:

• SPG 0710 Type Approval Requirements for Signalling Systems and Equipment

• SPC 204 Track Product Approval

• TN 050: 2014 Electrical Type Approvals - Interim Process

This guide has been approved by the ASA Configuration Control Board and is a first issue.

© State of NSW through Transport for NSW of 21



Table of contents 1. Introduction .............................................................................................................................................. 5

2. Purpose .................................................................................................................................................... 5 2.1. Scope ..................................................................................................................................................... 5 2.2. Application ............................................................................................................................................. 6

3. Reference documents ............................................................................................................................. 6

4. Terms and definitions ............................................................................................................................. 7

5. Responsibilities ....................................................................................................................................... 8 5.1. Evaluating rail transport operator .......................................................................................................... 8 5.2. Sponsor .................................................................................................................................................. 9 5.3. Supplier .................................................................................................................................................. 9 5.4. Independent safety assessor ................................................................................................................. 9

6. TA process overview ............................................................................................................................... 9

7. Initial consultation with the ASA .......................................................................................................... 10 7.1. Sponsorship of TA requests ................................................................................................................ 11 7.2. TA plan ................................................................................................................................................. 11

8. Submission of request for TA evaluation ........................................................................................... 12

9. Product evaluation ................................................................................................................................ 12 9.1. Trials (field test) ................................................................................................................................... 13 9.2. Review ................................................................................................................................................. 13 9.3. Certification .......................................................................................................................................... 13 9.4. TAs register.......................................................................................................................................... 13 9.5. Revision to existing TAs ...................................................................................................................... 13 9.6. Withdrawal of TA ................................................................................................................................. 14

Appendix A What requires TA ............................................................................................................... 15 A.1. Electrical TA ......................................................................................................................................... 15 A.2. Signals and control systems TA .......................................................................................................... 16 A.3. Telecommunications TA ...................................................................................................................... 17 A.4. Civil TA ................................................................................................................................................. 17 A.5. Track TA .............................................................................................................................................. 18 A.6. Stations and buildings TA .................................................................................................................... 18

Appendix B TA flowchart (simplified) ................................................................................................... 19

Appendix C Initial consultation for TA ................................................................................................. 20




1. Introduction This guide describes the type approval (TA) process by which a piece of railway infrastructure

equipment, component, system or subsystem (all referred to in this guide as product)

demonstrates the safe use and alignment with asset management requirements, supported by

evidence. The Asset Standards Authority (ASA) reviews the evidence, and if suitable, type

approves a product as meeting Transport for NSW (TfNSW) requirements.

TAs are carried out in accordance with AS 7702:2014 Rail Equipment Type Approval except

where modified by the requirements of this guide.

TA of a product provides the following benefits:

• process efficiency (do once and use many times)

• assurance of compatibility to existing networks and interfaces

• assurance of technical compliance with ASA standards

• assurance as part of the assurance and governance plan

• reduction of risk to system reliability, availability, maintainability and safety (RAMS)

• introduction of a new product that provides the same functionality as another type

approved product

2. Purpose This guide describes the process followed by the ASA in conducting the type approval of

TfNSW heavy rail assets through the application of AS 7702:2014.

This guide provides the additional information required by suppliers for the TA process.

It specifies the role of the supplier, sponsor, ASA Lead Engineer for the appropriate discipline,

rail transport operator, evaluating rail transport operator (ERTO) and independent technical

reviewer (ITR) and provides supplementary information on the ASA processes in conducting

TA.

This guide also describes the initial consultation process to determine if a product requires TA,

and whether TA is likely to be granted, as well as point of contact details within the ASA for TA.

2.1. Scope All TAs for the TfNSW metropolitan heavy rail network will apply AS 7702:2014 and this guide.




2.2. Application This guide applies to new products and modifications to existing products commencing after the

issue of this guide for the following TfNSW engineering disciplines:

• electrical

• signals and control systems

• stations and buildings

• telecommunications

• civil and track

Current TAs (those assessed or commencing assessment prior to the issue of this guide) will be

included in the ASA type approval register without being re-evaluated (unless TA was

withdrawn or the product is no longer available from the supplier).

This guide takes precedence over the following standards:

• AS 7702:2014

In case of any conflict or ambiguity then seek clarification from the appropriate engineering

discipline Lead Engineer, ASA. Further and final clarification will be provided by the Chief

Engineer, ASA if required.

Using a type approved product does not negate the need for the product to be applied in

accordance with ASA standards.

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 7702:2014 Rail Equipment Type Approval

Transport for NSW standards

T MU TE 81003 ST Test Processes and Documentation for Programmable Electronic Systems

and Software

TS 20001 System Safety Standard for New or Altered Assets

Other reference documents

ASA Charter




4. Terms and definitions The following terms and definitions apply in this guide.

The definitions provided in this document precede the definitions in Section 1.5 of

AS 7702:2014. AS 7702:2014 assumes a single rail transport operator for TA. In NSW, there

are multiple rail transport operators for above and below rail asset managers, maintainers and

operators. The ASA is the rail transport operator for standards and configuration management

for TfNSW but consultation is required with other rail transport operators (such as Sydney

Trains) for maintenance and operations to conduct TA properly.

AEO Authorised Engineering Organisation; a legal entity (which may include a Transport

Agency as applicable) to whom the ASA has issued an ASA Authorisation

ARO accredited railway organisation; under the ASA Charter the ASA is responsible for rail

asset configuration management. The ASA is the ARO for TA as defined in AS 7702:2014. The

ASA is also the rail transport operator responsible for TA

ASA Asset Standards Authority

ERTO evaluating rail transport operator; the Lead Engineer, ASA of the appropriate engineering

discipline for the rail product being type approved

grandfather rights TA category for existing products with no known TA

HV high voltage

ISA independent safety assessor

ITR independent technical reviewer; the initial consultation will identify the requirements for the

independent technical review. The appropriate Lead Engineer is the default ITR but they may

choose to delegate to a nominated ITR (see Section 5.1)

OHW overhead wiring

PIP product information pack

product as used in this guide includes a piece of railway infrastructure equipment, component,

system or subsystem that requires TA

rail transport operator under the ASA Charter the ASA is responsible for rail asset

configuration management for TfNSW and is therefore the rail transport operator for TA as

defined in AS 7702:2014

RAMS reliability, availability, maintainability and safety

SCADA supervisory control and data acquisition

SFAIRP so far as is reasonably practicable

sponsor the supporter of the product subject to type approval




TA type approval

TA specification document developed between supplier and rail transport operator of the

evaluation requirements specified in Section 4.3 of AS 7702:2014 for TA assessment

TfNSW Transport for NSW

5. Responsibilities Responsibilities for those conducting the TA process are set out in Section 2 of AS 7702:2014.

In addition, Section 5.1 and Section 5.2 identify additional responsibilities to be included in

conducting the TA process.

5.1. Evaluating rail transport operator The Lead Engineer, ASA of the appropriate engineering discipline is the ERTO for the following:

• Determining the products that require TA using the guidance provided in Section 3.2.2 of

AS 7702:2014 (Appendix A of this guide has examples of products for each engineering

discipline that require TA).

• Performing the initial consultation assessment for the product TA to proceed.

• Delegating ERTO functions to an organisation or person (if required). This can include

writing and completing the TA evaluation reports, summary sheet and compiling the TA

certificate (see Section 6.2 AS 7702:2014).

• Performing the ITR function for the TA evaluation in accordance with Section 2.4.1 of

AS 7702:2014. If required, the Lead Engineer, ASA for the appropriate discipline can

delegate the ITR function.

• Developing, approving and issuing the evaluation requirements known as the TA

specification in conjunction with the supplier (see Section 4.3 of AS 7702:2014) (this

includes any additional trials or field testing requirements) for a product.

• Approving the TA certificate (including any conditions on the use of the product), and

initiating the publication of the certificate on the ASA web site (see Section 6.1 of

AS 7702:2014).

• Notifying the ASA Configuration Control Board (CCB) of the new TA of a product.

• Ensuring confidentiality of supplier provided information and electronic files and storage in

a secure ASA location (see Appendix B.2.3 of AS 7702:2014).




5.2. Sponsor The TA sponsor as described in Section 7.1 is responsible for the following:

• Providing the safety argument for the product in accordance with TS 20001. The safety

argument needs to include application within the TfNSW environment including interfaces.

• Collaborating with the product supplier providing all relevant information for initial

assessment and TA evaluation, if it proceeds, to the ASA in accordance with this guide and

AS 7702:2014.

• If the TA is required for a new product as a part of a larger procurement, ensuring the initial

assessment is completed during the tender assessment prior to contract award. Facilitating

additional testing, simulation or trials (if required) in accordance with the requirements in

the TA plan of the appropriate Lead Engineer, ASA.

• Providing input to the TA plan and any specification and evaluation requirements that the

appropriate Lead Engineer, ASA needs to approve.

• Facilitating the arrangements for all necessary funding for TA evaluation assessment and

where necessary, TfNSW business unit and project support.

5.3. Supplier The supplier that is seeking TA for their product has the responsibility to ensure that they meet

their safety obligations including the following:

• Providing documentation and evidence to facilitate the initial consultation request and

provide comprehensive information during the TA evaluation.

• Working with the ERTO, TfNSW sponsor for the product being assessed, ITR, independent

safety assessor (ISA) and operator and maintainer to ensure the product will operate in the

TfNSW network in accordance with standards and safety requirements.

5.4. Independent safety assessor For more complex or safety critical TA assessments, an ISA will be nominated for the project.

The Lead Engineer, ASA for the appropriate discipline should be aware of the ISA

responsibilities and should be satisfied that the ISA arrangements will allow collaboration for the

ITR and ERTO function.

The initial consultation will identify the requirements for the independent safety assessor (ISA)

and will nominate the ISA.

6. TA process overview The TA process consists of the following:




• initial consultation with the ERTO (see Section 2.2.2 and Section 3.2.2 of AS 7702:2014)

• sponsor identification and development of TA specification (see Section 4.3 of

AS 7702:2014)

• TA evaluation submission (see Section 3.3 of AS 7702:2014)

• TA product evaluation (including trials) (see Section 4 of AS 7702:2014)

• TA review (see Section 5 of AS 7702:2014)

• TA certification (see Section 6 of AS 7702:2014)

Appendix B contains a simplified flow chart of the TA process.

7. Initial consultation with the ASA The appropriate Lead Engineer, ASA is the ERTO but can delegate this role. This needs to be

determined during the initial consultation.

Any new product or altered product proposed in place of an existing type approved product

(including those deemed to have grandfather rights) in response to a TfNSW tender should

undergo initial consultation assessment prior to awarding a contract. If not, the procurement

process may represent a significant commercial risk.

A TA submission consisting of the product information pack (PIP) (see Section 3.3.3 of

AS 7702:2014), the standards compliance register (see Section 4.4.2 of AS 7702:2014), and

the system safety plan and operational safety argument (both in accordance with TS 20001)

can involve extensive preparation.

The appropriate Lead Engineer, ASA needs to be contacted and an initial consultation

conducted on the proposed product to determine if TA is possible and likely to succeed in

accordance with Section 2.2.2 of AS 7702:2014.

The appropriate Lead Engineer, ASA will need to conduct an initial assessment of the PIP as

per in Section 4.5.1 of AS 7702:2014 and determine a TfNSW sponsor for the product in

conjunction with the supplier.

Appendix C provides some guidance on the information needed for this initial consultation.

To ensure this initial consultation request is tracked and goes to the right person, the request

should be made to [email protected]. The email requests a TA initial

consultation and identifies the ASA Lead Engineer discipline assumed to be responsible for

assessing your initial consultation request. For example, “Initial type approval consultation –

new track product – request track contact".




7.1. Sponsorship of TA requests During the initial consultation, the ASA Lead Engineer together with the supplier of the product

will ascertain the TfNSW sponsor for the TA request.

The three main sponsor paths for TA requests are the following:

• a TfNSW business unit has a project for which a new or modified product is required

• a maintenance Authorised Engineering Organisation (AEO) for TfNSW has a new or

modified product which they wish to implement on the network they are maintaining for

TfNSW

• a TA request is originated within the ASA, by a TfNSW business unit or at the discretion of

the relevant ASA Lead Engineer

TA involves time and cost borne by the supplier and the TfNSW business units evaluating (and

possibly trialling) the new product for TA. For efficiency, the ASA will only accept TA requests

for products that are likely to be used by TfNSW.

7.2. TA plan A critical part of the initial consultation is the creation of a TA plan.

The TA plan is required to perform the following functions:

• define the existing specifications that the product will be assessed against

• define new and novel features to be assessed

• develop new TA specification (if required)

• define the configurations or applications of the product to be assessed

• determine if a trial is needed

• identify the ERTO, ITR, sponsor, supplier, ISA, operator and maintainer

If there are appropriate Australian, international or ASA standards for the new product including

its application for TfNSW then these standards could be the basis of the evaluation

requirements referenced in Section 4.3 of AS 7702:2014. There may be no additional need for a

TA specification to be developed for the new product.

If the new product does not have appropriate standards available, then TA is challenging

because the evaluation criteria are not specified and prior to commencing the TA assessment

there is a need to develop a TA plan that addresses the evaluation requirements in Section 4.3

and Appendix A of AS 7702:2014.

The TA plan needs to cover the following as a minimum:

• establishing the technical assessment specifications




• establishing test plan including interface testing and any field trials with the pass/fail criteria

• establishing how the product can demonstrate it meets reliability, availability and

maintainability (RAMS) needs and ensures safety so far as is reasonably practicable

(SFAIRP)

• listing the deliverables required at the completion of the new product TA including a

technical maintenance plan (TMP) for the newly type approved product

This TA plan and the subsequent testing forms part of the evidence backed safety argument to

support TA of the product for its whole life cycle.

A TA plan is to be developed and available for the product. During initial consultation the

appropriate Lead Engineer, ASA will determine the responsibility for development of this plan.

The TA plan needs to be endorsed by the operator and maintainer for the proposed product

before it can be approved by the appropriate Lead Engineer, ASA or the nominated delegate.

The TA plan will be used by the ERTO, ITR and ISA when conducting TA evaluation in

accordance with Section 4 of AS 7702:2014.

8. Submission of request for TA evaluation After successful completion of the initial consultation with the appropriate Lead Engineer, ASA

identification of a TfNSW sponsor and the TA plan has been approved, then the ERTO is able

to receive a request for TA evaluation for a new or modified product from a supplier.

In addition to the requirements of Section 3.3.1 of AS 7702:2014, TA submissions need to be

aligned with TS 20001.

As per the responsibilities outlined in Section 2 of AS 7702:2014, the supplier can now make a

request and submission for TA evaluation. The supplier will provide the information specified in

Section 3.3 of AS 7702:2014 to meet the required standards and the TA specification.

To ensure the TA evaluation request is tracked and goes to the right person, the request should

be made to [email protected]. The email requests a TA evaluation from the ASA

Lead Engineer consulted with for the initial consultation. The submission needs to be

comprehensive (see AS 7702:2014, Section 3.3 Submission Information) to enable the ERTO to

evaluate the product fully.

9. Product evaluation The ERTO will produce the TA product evaluation report as specified in Section 4.5.3 of

AS 7702:2014. This product evaluation report is to be endorsed by the appropriate Lead

Engineer, ASA and the maintainer where the product is going to be used.




9.1. Trials (field test) The ERTO may request a trial as a part of the TA evaluation. The request for a trial should

preferably be determined during the initial consultation for the development of the TA plan.

Further to Section 4.6 within AS 7702:2014, if the evidence for verification of a product's

performance is insufficient, a trial will be carried out to verify its performance to ASA standards

and the TA plan requirements.

The TfNSW sponsor with the supplier will ensure necessary arrangements for the trial.

A trial does not remove the requirement for integration and interface testing for all products to

ensure compatibility with the TfNSW network.

9.2. Review The ASA as the ERTO will conduct the review in accordance with Section 5 of AS 7702:2014.

9.3. Certification Section 6 of AS 7702:2014 specifies the certification requirements.

Upon successful completion of TA evaluation of a product, the ERTO will issue a TA certificate

for the product. The TA certificate may contain conditions on the proposed application and

future re-use of the type approved product in different applications.

9.4. TAs register As specified in Section 8.3 of AS 7702:2014 the ASA will publish a listing of type approved

products on the ASA website.

9.5. Revision to existing TAs The supplier's responsibilities are defined in Section 2.3 of AS 7702:2014. It is the responsibility

of the supplier to notify the ASA of any of these changes. A TA is specific to a product of a

particular configuration, material or materials and manufacturer. Changes to any one of these

could render the existing TA void. In such an instance, a request for an initial consultation, as

set out in Section 7, of the modified product will be made to the ASA.

Upon conclusion of the initial consultation, the ASA will decide between the following:

• accepting changes to the product without further testing or assessment work

• requiring TA evaluation

A changed product will be recorded as a new or revised item in the TAs register.




9.6. Withdrawal of TA In accordance with Section 7.0 of AS 7702:2014, the ASA will withdraw TAs in writing.




Appendix A What requires TA The final determination of whether any particular product requires TA will be made by the

appropriate Lead Engineer, ASA in accordance with Section 3.2.2 of AS 7702:2014.

Whether products are deemed to require TA or not, all rail products provided to TfNSW are

required to meet ASA standards.

Section 3.2.2 of AS 7702:2014 provides guidance for the criteria to apply in determining which

products typically require TA. Historically the different engineering rail disciplines have applied

these criteria to different levels due to differing requirements.

If a particular product is fully specified by international, Australian or ASA standards and the

interfaces, operating environment, user requirements and safety requirements are

comprehensively specified then TA may not be required as demonstrated compliance with

these standards is sufficient.

Where there are no suitable standards or specifications to cover a new product or there is

insufficient evidence that the product will successfully operate on the equivalent TfNSW network

(including maintenance processes), then TA evaluation against a TA specification is likely to be

required.

A.1. Electrical TA Items that would be covered by the TA process (that is, require TA) for the electrical discipline

are the following:

• equipment defined by ASA standards and technical specifications (for example, protection

relays, supervisory control and data acquisition (SCADA) or remote terminal units (RTU),

high voltage (HV) cable, power rectification equipment, substation batteries and chargers

and contact wire)

• equipment including protection relays, HV air break switches, outdoor HV voltage

transformers, 66kV outdoor alternating current circuit breakers (ACCB), HV surge

arresters, 1500V dc surge arrester and neutral earthing resistors (NER)

• equipment covered by electrical standard drawings and general drawings

• new technology for electrical traction or power supplies

• purpose designed components such as overhead wiring (OHW) dropper clip, HV bushings

and surge arrestors

Items that would not require TA for the electrical discipline include the following:

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




A.2. Signals and control systems TA Items that would be covered by the TA process for the signals and control systems discipline

include the following:

• computer based interlockings, European train control system (ETCS) and automatic train

protection (ATP) equipment and systems (both trackside and onboard), train control

systems and their supporting products, train management systems, SCADA, axle counters,

track circuits, signalling power supplies (small to large), uninterruptible power supplies

(UPS), condition monitoring systems and transmission systems and their components used

by the signalling and control systems

• points machines, trainstops, signal and level crossing light-emitting diode (LED) lamps,

emergency switch machine locks (ESML) switch boxes, points standard rodding

configurations, level crossing gate mechanisms and warning devices, impedance bonds,

traction return bonding cables and connectors, signalling cables (single and multicore),

optic fibre for dedicated signalling applications, cable pits, ground level troughing (GLT)

and galvanised steel troughing (GST)

• signalling system connectors and wire terminals and fuses, signalling relays and isolating

contactors

• new technology for signalling and control systems

TA needs to be reassessed for executive software changes (this includes firmware, operating

systems, drivers and scripts) or for hardware changes to ensure the revised product still meets

ASA standards and the original TA specification for the original TA. This may not apply to

application logic data changes or configuration application changes that are managed by the

AEO's engineering signals and control systems design management processes.

For signals and control system products that incorporate software (this includes firmware,

operating systems, drivers and scripts), the TA evaluation will include this software as a part of

the whole system product and may include requirements back to the application or configuration

data.

In addition to the guidance criteria in Section 3.2.2 of AS 7702:2014 items for which failure

could result in railway operations having to use inherently less safe methods to manage trains

need to be type approved.

Items that may not require TA for signalling and control systems include the following:

• consumables

• those that do not affect the operation of the signalling or train management system

TA for Signalling and Control systems products does not negate the requirements for the

system and products to meet ASA standards and assurance requirements.




A.3. Telecommunications TA Operational telecommunications technology comprises electronic or programmable electronic

systems that satisfy at least one of the following conditions:

i. necessary for customers to safely and securely use transport services

ii. necessary for one or more of the operating modes of transport services, which can include

normal, interim, degraded, emergency and maintenance

iii. monitors or controls systems that satisfy conditions (i) or (ii)

The intended benefits of TA for operational technology are negligible due to frequently changing

data configuration, hardware, firmware and software.

The testing approach defined in T MU TE 81003 ST Test Processes and Documentation for

Programmable Electronic Systems and Software provides objective benefit through a scalable

and risk based form of re-use for operational technology.

In accordance with AS 7702:2014, products that are not unique to railway applications are

excluded from TA. This applies to both operational technology and the facilities that support

operational technology, such as conduits, pits, cables, cableways, batteries and racks.

Irrespective of whether TA is conducted, systems should follow AEO processes and comply with

relevant statutory instruments including regulations; statutory licences; ASA standards; rail

industry agreed standards and codes of practice; and Australian and international standards.

A.4. Civil TA Civil railway infrastructure is based on ASA standards and Australian standards and design is

typically influenced by specific site conditions. Although there are elements of civil design that

can re-use elements of previous designs, there are generally no individual components that can

be re-used without being re assessed when proposed as part of a new design.

For civil products, the requirement to apply TA evaluation in accordance with AS 7702:2014 and

this guide is expected to be determined on a case-by-case basis by the Lead Civil Engineer,

ASA.

Examples of items that would be covered by the TA process for the civil discipline include the

following:

• integrated railway level crossing surface products

• rail infrastructure structural products made with materials that are not on the acceptable

material list in the applicable standard (for example, plastic drainage pipes)




Examples of items that would not be covered by the TA process for the civil discipline include

the following:

• proven structural fasteners (for example nuts, bolts in accordance with relevant Australian

standards)

• proven chemical anchor attachment systems (with published performance parameters and

specifications)

A.5. Track TA TA of track products is required if any or all of the following is relevant:

• failure of the product or process could reduce the required level of safety and reliability of

track infrastructure

• unreliable performance could be costly to TfNSW business

• inadequacy could reduce integrity or life span by reducing the required level of defence to

or tolerance of or increase the vulnerability of, track items to degradation, damage,

vandalism, interference, manipulation, collapse, flooding, corrosion, infestation and attack

If a track product comprises a number of components, the whole unit, including its component

parts need to be submitted for TA. Components that have not been type approved may not be

substituted for use subsequently, without first undergoing the TA process.

Guidance on the type of products that require approval can be obtained from Lead Track

Engineer, ASA.

A.6. Stations and buildings TA Stations and buildings projects are based on the international, Australian and ASA standards

and local building codes.

Many of the projects are one-off designs to suit local geographic conditions and the individual

project brief. Although there are elements of stations and buildings design that can re-use

elements of previous designs there are no individual design components that are re-used

without doing the overall project design.

Many of the stations and buildings products already need to comply with existing building

standards for plumbing, electrical, fire and life safety, disabled access, and so on. TA for many

of these items is not required.

The requirement to apply TA evaluation in accordance with AS 7702:2014 and this standard for

Stations and Buildings products is expected to be determined on a case-by-case basis by the

Lead Stations and Buildings Engineer, ASA.




Appendix B TA flowchart (simplified)

The group identifying the product for TA shall become the TfNSW

sponsor

Supplier and TfNSW sponsor compile a TA request (guide to specify minimal information to

allow initial determination)

Lead Engineer completes assessment of TA request

ERTO in consultation with sponsor, operator and maintainer determine evaluating rail transport operator

Is TA requiredfor product?

ERTO approves TA plan- endorsed by maintainer

Supplier and TfNSW sponsor provide support

documentation to progress TA plan

Information specified in section 3 of

AS 7702:2014

Information specified in TS 20001

ERTO evaluates product

ERTO produces TA product evaluation report

An independent technical review shall be conducted

ASA issue TA certificate for the product (including

conditions where required)

ASA adds product to TA register and publishes on

ASA website

TfNSW business unit or AEO for TfNSW identifies a new or

modified product for TA

Lead Engineer to advise ASA Configuration Control Board of new TA product

Supplier approachesASA with new or modified

product for TA

Sponsor emails TA request to ASA

Lead Engineer, in consultation with TfNSW sponsor, operator and maintainer determine if product is needed, if TA is required and if TA

is likely to succeed

Lead Engineer to advise TfNSW sponsor and supplier that the product does not require type

approval for use

Is TA likely to succeed?

Lead Engineer to advise TfNSW sponsor and supplier that the

TA process is unlikely to succeed

Is product needed?

Lead Engineer to advise TfNSW sponsor and supplier that the product is not needed and will

not be approved

Successfulproduct

evaluation

ASA formally advises the supplier and TfNSW

sponsor that product TA has not been successful

ERTO oversees development of TA plan

ASA and maintainer endorse evaluation report

ASA may assist in helping identify a TfNSW sponsor

Initial ASA consultation

TA evaluation

ASA administration

TA plan

Supplier or sponsor preparation

Define existing specifications

Develop TA specification (if required)

Define new and novel features to be assessed

Define configurations to be assessed

Determine if a trial is needed

ETRO prepares TA certificate

Yes

Yes

No

Yes

No

No

No Yes


Figure 1 – TA flowchart (simplified)



Appendix C Initial consultation for TA The ASA will evaluate initial consultation submissions in accordance with Section 4.5.1 of

AS 7702:2014.

The supplier needs to be committed to providing the required information to allow for evaluation.

Claims that are unable to be later supported by evidence are likely to result in the product not

being type approved.

The initial consultation TA submission to the ASA is to be sent to

[email protected] and should contain the following information:

• The product title and the project where the new product or modified product is proposed to

be used.

• Whether or not a sponsor has already been identified.

• The AEO with the appropriate engineering capability where the new product is proposed to

be used.

• The time frame required for TA that aligns with project requirements. There may be a need

for time for additional field testing.

• The product's use is aligned with the similar existing infrastructure and proposed new

infrastructure. If the product has been modified and needs to be reassessed, what the

differences are. Consultation with the Network and Asset Strategy, ASA may be required to

ensure alignment with TfNSW strategy.

• A product data sheet detailing functionality and performance of the product.

• Details of the product's status. The details are expected to include information on previous

versions, initial production date for current product, planned production end date,

operational design life and forecast end operational support date as appropriate.

• Confirmation that the product is in operational use in similar environment with references

from the organisations using the product. Use on an equivalent railway is the preferred

reference environment. If this is not available then provide an alternative proposal to build

confidence in the product.

• The quality management framework for the product, covering – design, development,

manufacture, ongoing modification and repair (if the product contains repairable items).

Provide details of the quality accreditation of the manufacturer, supplier and any testing

facilities.

• The reliability, availability, maintainability and safety (RAMS) demonstration framework (or

frameworks) applied to the product.




• The regulations and standards that the product has been produced to comply with and

those for which the product has certification. This includes identification of the relevant ASA

standards with which the proposed product will comply.

• Details of all external interfaces to the product. The details are expected to identify the

relevant standard or technical details for each interface and if it is a proprietary interface or

not.

• Declaration of all intellectual property (IP) issues related to interfaces, configuration, use

and maintenance of the product.

• Details of the intended support, spares and maintenance strategy for the product, including

details of logistics arrangement.

• Details of where and how this product is to be used by TfNSW. The details are expected to

identify how the product will integrate into TfNSW infrastructure. Special focus on potential

compatibility issues with other products in the TfNSW environment is required.

• The independence requirements for product testing reports, subsequent analysis of data

and conclusions. ASA's preference is for reports from independent and recognised

organisations.

• The key advantages in using the product (cost, safety, time and so on) compared to

existing type approved products used by TfNSW. Examples of key advantages include the

following:

o potential to address existing ageing assets

o potential to address current reliability issues

o potential to address current maintainability issues including obsolescence

o potential to address current safety and security issues and any new introduced safety

issues as a result of the new product being used on the network

is there sufficient safety assurance evidence to meet SFAIRP?

o potential to meet change in operational demand (for example, usage, power and

storage)

• Maintenance impact to the number, type and location of spares, change in training and

tools required when more than one product fulfilling the same function already exists. This

may require consultation with maintenance organisation.

If the initial consultation is successful, then the information provided by the supplier for the initial

consultation will form part of the support documentation for evaluating the TA request

submission.


Type Approval of Products - Transport for NSW · T MU MD 00005 GU Type Approval of Products Version...

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