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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
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
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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.
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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
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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.
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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
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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
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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).
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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:
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• 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".
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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
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• 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.
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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.
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9.6. Withdrawal of TA In accordance with Section 7.0 of AS 7702:2014, the ASA will withdraw TAs in writing.
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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)
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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.
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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)
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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.
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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
© State of NSW through Transport for NSW Page 19 of 21
Figure 1 – TA flowchart (simplified)
T MU MD 00005 GU Type Approval of Products
Version 1.0 Issued date: 06 October 2016
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.
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T MU MD 00005 GU Type Approval of Products
Version 1.0 Issued date: 06 October 2016
• 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.
© State of NSW through Transport for NSW Page 21 of 21