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Type Approval of Products

T MU MD 00005 GU

Guide

Version 2.0

Issue date: 16 April 2019

© State of NSW through Transport for NSW 2019

T MU MD 00005 GU Type Approval of Products

Version 2.0 Issue date: 16 April 2019

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

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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 issued 06 October 2016

2.0 Second issue. Changes from the previous version include: • Clarification to some of the contents to interpret the guidance information in accordance with

AS 7702: 2014. • Inclusion of a sample format of product type approval certificate in Appendix C.

© State of NSW through Transport for NSW 2019 of 25



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 document describes the application of AS 7702:2014 Rail Equipment Type Approval to

TfNSW assets within the heavy rail and light rail networks.

This guide is a second issue.

The changes to the previous version include:

• clarification to the guidance information in accordance with AS 7702: 2014

• inclusion of product type approval certificate sample template in Appendix C




Table of contents 1. Introduction .............................................................................................................................................. 6

2. Purpose .................................................................................................................................................... 6 2.1. Scope ..................................................................................................................................................... 6 2.2. Application ............................................................................................................................................. 7

3. Reference documents ............................................................................................................................. 7

4. Terms and definitions ............................................................................................................................. 8

5. Roles and responsibilities ...................................................................................................................... 9 5.1. Evaluating rail transport operator .......................................................................................................... 9 5.2. Sponsor ................................................................................................................................................ 10 5.3. Supplier ................................................................................................................................................ 10 5.4. Independent safety assessor ............................................................................................................... 10 5.5. Independent technical reviewer ........................................................................................................... 11

6. Type approval process overview ......................................................................................................... 11

7. Initial consultation with the ASA .......................................................................................................... 11 7.1. Sponsorship of type approval requests ............................................................................................... 12 7.2. Type approval plan .............................................................................................................................. 12

8. Submission of request for type approval evaluation......................................................................... 13

9. Product evaluation ................................................................................................................................ 14 9.1. Trials (field test) ................................................................................................................................... 14 9.2. Review ................................................................................................................................................. 14 9.3. Certification .......................................................................................................................................... 14 9.4. Type approval register ......................................................................................................................... 14 9.5. Revision to existing type approvals ..................................................................................................... 15 9.6. Withdrawal of type approval ................................................................................................................ 15

10. What requires a type approval ............................................................................................................. 15 10.1. Electrical type approval .................................................................................................................... 16 10.2. Signals and control systems type approval ..................................................................................... 16 10.3. Telecommunications type approval ................................................................................................. 17 10.4. Civil type approval ........................................................................................................................... 18 10.5. Track type approval ......................................................................................................................... 19 10.6. Stations and buildings type approval ............................................................................................... 19

Appendix A Type approval process flowchart .................................................................................... 20

Appendix B Initial consultation for type approval ............................................................................... 21

Appendix C Product Type Approval Certificate sample template ..................................................... 23




1. Introduction This guide describes the type approval 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.

The product type approvals are carried out in accordance with AS 7702:2014 Rail Equipment

Type Approval except where modified by this document.

This guide should be read in conjunction with AS 7702: 2014.

2. Purpose This guide describes the process in conducting the type approval of TfNSW rail assets through

the application of AS 7702:2014.

Type approval 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 TfNSW 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

2.1. Scope This guide covers the product type approval process in accordance with AS 7702: 2014. This

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

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

engineering 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 type

approval, and whether it is likely to be granted. Additionally, it includes the contact details within

the ASA for type approval.




2.2. Application This guide applies to new products and modifications to existing products for the following

TfNSW engineering disciplines:

• electrical

• signals and control systems

• telecommunications

• civil

• track

• stations and buildings

This guide applies to heavy rail network; however, it can be adopted by other modes of

transport, if deemed appropriate.

Type approval of products that were assessed or assessments that were commenced before

October 2016 will be included in the ASA type approval register without being re-evaluated,

unless the type approval was withdrawn or the product is no longer available from the supplier.

Where conflict or ambiguity exists between AS 7702: 2014 and this guide, 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 TfNSW 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 MD 20001 ST System Safety Standard for New or Altered Assets

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

and Software

Other reference documents

ASA Charter




4. Terms and definitions The terms and definitions in AS 7702: 2014 apply in this document.

Some of the definitions from AS 7702: 2014 have been listed and interpreted differently to suit

TfNSW.

In addition, the following terms and definitions apply in this document:

AEO Authorised Engineering Organisation

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

asset configuration management. The ASA is the ARO for type approval as defined in

AS 7702:2014. The ASA is also the rail transport operator responsible for type approval.

ASA Asset Standards Authority

ERTO evaluating rail transport operator; within the context of TfNSW, the Lead Engineer, ASA

of the relevant engineering discipline for the rail product being type approved

ISA independent safety assessor

ITR independent technical reviewer

OHW overhead wiring

PIP product information pack

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

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; however, consultation is required with other rail transport

operators (such as Sydney Trains) for maintenance and operations to conduct TA

appropriately.

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 © State of NSW through Transport for NSW 2019 of 25



5. Roles and responsibilities The roles and responsibilities for those conducting the type approval process are set out in

Section 2 of AS 7702:2014. In addition, Section 5.1 and Section 5.2 identify additional roles and

responsibilities to be included in conducting the type approval process for TfNSW rail assets.

5.1. Evaluating rail transport operator The evaluating rail transport operator (ERTO), within the context of TfNSW, is the Lead

Engineer, ASA of the appropriate engineering discipline.

The following are the responsibilities of the ERTO:

• Determining the products that require type approval using the guidance provided in Section

3.2.2 of AS 7702:2014 (Section 10 of this guide has examples of products for each

engineering discipline that require type approval).

• Performing the initial consultation with the supplier to assess the product type approval to

proceed further.

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

writing and completing the type approval evaluation reports, summary sheet and compiling

the type approval certificate.

• Ensuring the ITR function is performed for the type approval evaluation in accordance with

Section 2.4.1 of AS 7702:2014.

• Developing, approving and issuing the evaluation requirements known as the type approval

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

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

• Proving and issuing the type approval certificate, including any conditions on the use of the

product (refer to Section 6.1 of AS 7702:2014).

• Initiating the publication of the type approval certificate on the TfNSW website.

• Notifying the ASA Configuration Control Board (CCB) of the new type approval of a

product.

• Ensuring confidentiality of supplier provided information and electronic files that are

identified as confidential by the supplier (refer to Appendix B.2.3 of AS 7702:2014) and

storing them in a secure ASA location.




5.2. Sponsor The type approval sponsor as described in Section 7.1 of this document is responsible for the

following:

• Providing the safety argument for the product in accordance with T MU MD 20001 ST

System Safety Standard for New or Altered Assets. The safety argument should include

application within the TfNSW environment including interfaces.

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

consultation and type approval evaluation to the ASA as stated in this guide and

AS 7702:2014, if type approval commences.

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

that the initial consultation is completed during the tender assessment prior to contract

award. Facilitating additional testing, simulation or trials, if required in accordance with the

type approval plan of the relevant Lead Engineer, ASA.

• Providing input to the type approval plan and any specification and evaluation requirements

that the relevant Lead Engineer, ASA needs to approve.

• Facilitating the arrangements for all necessary funding for type approval evaluation

assessment and where necessary, TfNSW business unit and project support.

5.3. Supplier The supplier that is seeking type approval 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

providing comprehensive information during the type approval evaluation.

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

technical reviewer (ITR), independent safety assessor (ISA) and operator and maintainer to

ensure the product will operate on the TfNSW Transport Network in accordance with the

standards and safety requirements.

5.4. Independent safety assessor For more complex or safety critical TfNSW projects, an ISA is appointed in accordance with

T MU MD 20001 ST.

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

responsibilities and should be satisfied that the independent safety assessor (ISA)

arrangements allow collaboration for the ITR and ERTO function.

The initial consultation should identify the requirements for the ISA and the ERTO.




5.5. Independent technical reviewer The initial consultation identifies the requirements for the independent technical review. The

relevant Lead Engineer, ASA is responsible for assigning the ITR function to a nominated ITR.

6. Type approval process overview The type approval process consists of the following stages:

• initial consultation with the ERTO

• sponsor identification and development of type approval specification (refer to Section 4.3

of AS 7702:2014)

• type approval evaluation submission (refer to Section 3.3 of AS 7702:2014)

• type approval product evaluation (including trials) (refer to Section 4 of AS 7702:2014)

• type approval review (refer to Section 5 of AS 7702:2014)

• type approval certification (refer to Section 6 of AS 7702:2014)

Appendix A contains a simplified flow chart of the type approval process.

7. Initial consultation with the ASA The relevant Lead Engineer, ASA assumes the role of ERTO; however can delegate the

authority of this role. This should 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. Otherwise, the

procurement process can represent a significant commercial risk.

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

of AS 7702:2014), the standards compliance register (refer to Section 4.4.2 of AS 7702:2014),

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

T MU MD 20001 ST) can involve extensive preparation.

Contact the relevant Lead Engineer, ASA for an initial consultation on the proposed product to

determine if type approval is possible and likely to succeed in accordance with Section 2.2.2 of

AS 7702:2014.

The relevant Lead Engineer, ASA conducts an initial assessment of the PIP in accordance with

Section 4.5.1 of AS 7702:2014 and identifies a TfNSW sponsor for the product in conjunction

with the supplier.

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




To ensure that the initial consultation request is tracked and directed to the appropriate person,

the request is made to [email protected]. The email should request a type

approval initial consultation and identify the discipline and the Lead Engineer, ASA assumed to

be responsible for assessing the initial consultation request.

For example, 'Initial type approval consultation – new track product – request track contact'.

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

will identify the TfNSW sponsor for the type approval request.

The three main sponsor paths for type approval requests are as follows:

• 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 that they propose to implement on the network they are maintaining for

TfNSW

• a type approval request is originated within the ASA, by a TfNSW business unit or at the

discretion of the relevant Lead Engineer, ASA

Type approval involves time and cost borne by the supplier and the TfNSW business units

evaluating (and possibly trialling) the new product for type approval. For efficiency, the ASA only

accepts type approval requests for products that are likely to be used by TfNSW.

7.2. Type approval plan A critical part of the initial consultation is the creation of a type approval plan.

The type approval 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 type approval 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 appropriate Australian standards, international standards or TfNSW standards are available

for the new product including its application for TfNSW then these standards can be the basis of

the evaluation requirements as 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 the type approval can be

challenging as the evaluation criteria are not specified. Before starting the type approval

assessment, a type approval plan should be developed that addresses the evaluation

requirements in Section 4.3 and Appendix A of AS 7702:2014.

The type approval plan should cover the following as a minimum:

• establishing the technical assessment specifications

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

criteria

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

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

(SFAIRP)

• listing the deliverables required at the completion of the new product type approval

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

This type approval plan and the subsequent testing, forms part of the evidence-based safety

argument to support type approval of the product for its whole-of-life cycle.

A type approval plan is developed and made available for the product. During initial consultation

the relevant Lead Engineer, ASA determines the responsibility for development of this plan.

The type approval plan is endorsed by the operator and maintainer for the proposed product

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

type approval plan will be used by the ERTO, ITR and ISA when conducting type approval

evaluation in accordance with Section 4 of AS 7702:2014.

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

identification of a TfNSW sponsor and the type approval plan has been approved, the ERTO

receives a request for type approval evaluation for a new or modified product from a supplier.

In addition to the requirements of Section 3.3.1 of AS 7702:2014, type approval submissions

should be aligned with T MU MD 20001 ST.

In accordance with the responsibilities outlined in Section 2 of AS 7702:2014, the supplier can

now make a request and submission for type approval evaluation. The supplier provides the

information specified in Section 3.3 of AS 7702:2014 to meet the required standards and the

type approval specification.

To ensure that the type approval evaluation request is tracked and directed to the right person,

the request should be made to [email protected]. The email should request a




type approval evaluation by the Lead Engineer, ASA, consulted during the initial consultation.

The submission should be comprehensive (refer to AS 7702:2014, Section 3.3 Submission

Information) to enable the ERTO to evaluate the product fully.

9. Product evaluation The product evaluation report is 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 part of the type approval evaluation. The request for a trial

should preferably be determined during the initial consultation for the development of the type

approval plan.

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

performance is insufficient, then a trial should be carried out to verify its performance to TfNSW

standards and the type approval plan requirements.

The TfNSW sponsor and the supplier should 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 ensures that the review is conducted in accordance with Section 5 of

AS 7702:2014.

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

After successful completion of type approval evaluation of a product, the ERTO issues a type

approval certificate for the product. The type approval certificate can contain conditions on the

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

Appendix C provides a sample format of type approval certificate that is issued by the ASA to

the supplier.

9.4. Type approval register The ASA publishes a listing of type approved products on the TfNSW website.




9.5. Revision to existing type approvals The supplier's responsibilities are defined in Section 2.3 of AS 7702:2014. The supplier is

responsible to notify changes, if any, to the ASA. A type approval is specific to a product of a

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

can render the existing type approval void. In such an instance, a request for an initial

consultation, as set out in Section 7 of this document, of the modified product will be made to

the ASA.

After the initial consultation, the ASA decides on the following:

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

• requiring type approval evaluation

A changed product is recorded as a new or revised item in the type approval register.

9.6. Withdrawal of type approval The ASA withdraws a type approval in writing to the supplier in accordance with Section 7.3 of

AS 7702:2014. Refer to Section 7 of AS 7702:2014 for type approval withdrawal requirements.

10. What requires a type approval The final determination of whether any particular product requires type approval is made by the

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

Irrespective of whether products are required to be type approved, all rail products provided to

TfNSW are required to meet the requirements of TfNSW.

Section 3.2.2 of AS 7702:2014 provides guidance for the criteria to be applied in determining

which products typically require type approval. 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 standards, Australian standards or

TfNSW standards and the interfaces, operating environment, user requirements and safety

requirements are comprehensively specified, then a type approval may not be required as

demonstrated compliance with these standards is sufficient.

Where no suitable standards or specifications are available to cover a new product or the

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

Transport Network (including maintenance processes), then a type approval evaluation against

a type approval specification is likely to be required.




10.1. Electrical type approval Items that would be covered by the type approval process (that is, require type approval) for the

electrical discipline are the following:

• equipment defined by TfNSW 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, 66 kV outdoor alternating current circuit breakers (ACCB), HV surge

arresters, 1500 V 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

Non-specific fasteners such as the following would not require type approval:

• conduit saddles

• nuts

• bolts

• general purpose conduit

10.2. Signals and control systems type approval Items that would be covered by the type approval 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

A type approval should be reassessed for executive software changes (this includes firmware,

operating systems, drivers and scripts) or for hardware changes to ensure that the revised

product still meets the TfNSW standards and the original type approval specification for the

original type approval. 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 type approval 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 that can result in

failure in railway operations having to use inherently less safe methods to manage trains should

be type approved.

Items that may not require type approval for signalling and control systems include the

following:

• consumables

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

Type approval for signalling and control systems products does not negate the requirements for

the system and products to meet TfNSW standards and assurance requirements.

10.3. Telecommunications type approval Operational telecommunications technology comprises electronic or programmable electronic

systems that satisfy at least one of the following conditions:

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

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

normal, interim, degraded, emergency and maintenance

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

The intended benefits of type approval 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 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 type approval. 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 type approval assessment is conducted, systems should follow AEO

processes and comply with relevant statutory instruments including regulations, statutory

licences, TfNSW standards, rail industry agreed standards and codes of practice, and

Australian standards and international standards.

10.4. Civil type approval Civil railway infrastructure requirements are based on TfNSW standards and Australian

standards and the 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 need for a type approval 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 type approval 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 type approval process for the civil

discipline include the following:

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

Australian standards)

o proven chemical anchor attachment systems (with published performance parameters

and specifications)




10.5. Track type approval Type approval of track related products is required if any or all of the following is relevant:

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

track infrastructure

• unreliable performance can be costly to TfNSW business

• inadequacy can 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, then the whole unit, including its

component parts should be submitted for type approval. Components that have not been type

approved may not be substituted for use subsequently, without first undergoing the type

approval process.

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

Engineer, ASA.

10.6. Stations and buildings type approval Stations and buildings related projects are based on the international standards, Australian

standards, TfNSW 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 are required to comply with existing building

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

approval for many of these items is not required.

The need for a type approval evaluation in accordance with AS 7702:2014 and this guide for

stations and buildings related products should be determined on a case-by-case basis by the

Lead Stations and Buildings Engineer, ASA.




Appendix A Type approval process flowchart Figure 1 shows the simplified type approval process flow.

Figure 1 – Type approval process flowchart

Is TA likely to succeed?

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 T MU MD 20001 ST

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

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




Appendix B Initial consultation for type approval The ASA evaluates the initial consultation submissions in accordance with Section 4.5.1 of

AS 7702:2014.

The supplier should 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 type approval submission to the ASA should be sent to

[email protected] and ensure it contains the information listed in the checklist

provided in Table 1.

Table 1 - Initial consultation information checklist

Information to be included Yes / No

The product title and the project where the new product or modified product is proposed to be used.

Whether 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 type approval that aligns with project requirements. There may be a need for time for additional field testing.

The use of the product is aligned with similar existing infrastructure and proposed new infrastructure. If the product has been modified and needs to be reassessed, then, state 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.

The 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 of 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.




Information to be included Yes / No

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 TfNSW 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 independent 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: • potential to address existing ageing assets • potential to address current reliability issues • potential to address current maintainability issues including obsolescence • potential to address current safety and security issues and any new safety

issues introduced as a result of the new product being used on the network Is there sufficient safety assurance evidence to meet SFAIRP?

• potential to meet the 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.




Appendix C Product Type Approval Certificate sample template

Figure 2, Figure 3 and Figure 4 show the sample format of type approval certificate. This

sample certificate is for information only.


Figure 2 - Type approval certificate sample – page 1

type approval of products - transport for nsw · t mu md 00005 gu type approval of products version...

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