Technical Note - TN 053: 2016 · 1 Purpose and scope This standard details the requirements for road/rail vehicle certification and re-certification for operation on the RailCorp

Technical Note - TN 053: 2016


Subject: Update to road/rail vehicle standards numbering

Issued date: 12 July 2016

Effective date: 12 July 2016

For queries regarding this document [email protected]

www.asa.transport.nsw.gov.au

This technical note is issued by the Asset Standards Authority (ASA) to advise the change to the

standard numbering for the road/rail vehicle standards.

The content of these standards remains unchanged. The change to numbering is to ensure

alignment with the remaining sections of the Minimum Operating Standards for Rolling Stock.

The numbering of the road/rail vehicle standards and associated forms as an ASA standard shall

be as shown in Table 1.

Table 1 – Changes to the road/rail vehicle standards numbering

© State of NSW through Transport for NSW Page 1 of 2

Legacy RailCorp standard number

Title ASA standard number

ESR 0002 Road/rail vehicle certification and recertification T HR RS 30020 ST

ESR 0002 FM 001 Road/rail vehicle re-certification checklist T HR RS 30020 F1

ESR 0002 FM 002 Road/rail vehicle pre-work inspection checklist T HR RS 30020 F2

ESR 0002 FM 003 Approved compliance testing companies T HR RS 30020 F3

ESR 0002 FM 004 Certification and re-certification of road/rail vehicles T HR RS 30020 F4

ESR 0003 Trolley, trailer and quadricycle certification and recertification

T HR RS 30030 ST

ESR 0003 FM 001 Rail trailer, trolley and quadricycle re-certification checklist

T HR RS 30030 F1

ESR 0003 FM 002 Road/rail trailer re-certification checklist T HR RS 30030 F2

ESR 0003 FM 003 Rail trailer, trolley and quadricycle pre-work inspection checklist

T HR RS 30030 F3

ESR 0003 FM 004 Road/rail trailer pre-work inspection checklist T HR RS 30030 F4

ESR 0004 Engineering certification of road/rail vehicles, trolleys, trailers and quadricycles

T HR RS 30040 ST

ESR 0004 FM 001 Engineering certification – Category B engineering report form

T HR RS 30040 F1

mailto:[email protected]

mailto:[email protected]

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


Legacy RailCorp standard number

Title ASA standard number

ESR 0004 FM 002 Engineering certification – Category C engineering report form

T HR RS 30040 F2

ESR 0004 FM 003 Engineering certification – Vehicle structural shear force and bending moment diagram

T HR RS 30040 F3

Authorisation:

Technical content prepared by

Checked and approved by

Interdisciplinary coordination checked by

Authorised for release

Signature

Date

Name Jakub Zawada Michael Uhlig Andrea Parker Graham Bradshaw

Position Principal Engineer Rolling Stock Access Integrity

Lead Rolling Stock Engineer

Chief Engineer Director Network Standards and Services

© State of NSW through Transport for NSW Page 2 of 2

Engi

neer

ing

Stan

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ROAD/RAIL VEHICLE CERTIFICATION AND RECERTIFICATION

ESR 0002

Engineering Standard Rolling Stock

Version 1.3

Issued May 2013

Owner: Technical Specialist – Rolling Stock Performance Standards

Approved Stephen White Authorised Michael Uhlig by: A/Manager, by: A/Chief Engineer Rolling Stock

Rolling Stock Access Integrity

Disclaimer This document was prepared for use on the RailCorp Network only. RailCorp makes no warranties, express or implied, that compliance with the contents of this document shall be sufficient to ensure safe systems or work or operation. It is the document user’s sole responsibility to ensure that the copy of the document it is viewing is the current version of the document as in use by RailCorp. RailCorp accepts no liability whatsoever in relation to the use of this document by any party, and RailCorp excludes any liability which arises in any manner by the use of this document. Copyright

• The information in this document is protected by Copyright and no part of this document may be reproduced altered stored or transmitted by any person without the prior consent

UNCONTROLLED WHEN PRINTED Page 1 of 12

RailCorp Engineering Standard — Rolling Stock Road/Rail vehicle certification and recertification ESR 0002

© Rail Corporation Page 2 of 12 Issued May 2013 UNCONTROLLED WHEN PRINTED Version 1.3

Document control

Revision Date Summary of change Draft 1.0 17 August 2009

Draft 1.0.1 21 September 2009

Updated relevant sections following meeting with Ken Morris on 18-Sep-09 and internal meeting on 25-Sep-09

Draft 1.1 12 October 2009 Updated relevant sections following multiple document review on the road-rail certification process in Oct-09

Draft 1.2 December 2009 Draft 1.3 4 January 2010 General review. 1.0 February 2010 Approved

1.1 June 2010 Vehicle information Pack removed from Appendix, additions to Checklist in Appendix B

1.2 September 2011 See below 1.3 May 2013 Reference to forms added. Appendices B, C & D removed.

Summary of changes from previous version

Summary of change Section Version 1.2 September 2011 “Road-Rail” amended to “Road/Rail” Various “consisting of rail wheels and a supporting structure” added 2 References to ESR 0003, ESR 0004 and RTNs added 3.2

References to SMS-12-SR-1363 added 4.1 & Appendices

“Compliance sticker” amended to read “certification label” Various “Engineers certificate” amended to read “engineer’s report” Various “Appendix C” amended to read Appendix A” 4.3 “or not fitted with a compliance plate” added 4.3 “Appendix D” amended to read “Appendix C” 4.4 Added section 4.7 Engineering reports 4.7 Added section 4.8 Ten year crack test of guidance frame 4.8 Updated and added ESR references to flowcharts 4.12 Updated Road Rail Vehicle Certification Label sample with GVM App A Road/Rail Vehicle Certification checklist edited and updated App B Reference to “RSS 0030” amended to “ESR 0330” App B Road/Rail Pre-Work Inspection items reordered App C Replaced “Ensure first aid kit is installed function of emergency had pump”

and complete” with “Check for presence and App C

Added item No. 12 “Check vehicle fluids” App C Replaced “Wheel load springs” with “Rail suspension unit flexitors” App C



Contents

1 Purpose and scope ...........................................................................................................................4 2 Definitions..........................................................................................................................................4 3 References .........................................................................................................................................4

3.1 Australian and international standards......................................................................................4 3.2 RailCorp documents..................................................................................................................4 3.3 Other references .......................................................................................................................5

4 Standard requirements .....................................................................................................................5 4.1 General......................................................................................................................................5 4.2 Road/rail vehicle certification ....................................................................................................5 4.3 Compliance identification ..........................................................................................................6 4.4 Road/Rail vehicle maintenance and pre-work inspection .........................................................6 4.5 Maintenance records.................................................................................................................6 4.6 Road/Rail vehicle annual re-certification...................................................................................6 4.7 Engineering report.....................................................................................................................7 4.8 Ten year crack test of guidance frame......................................................................................7 4.9 Vehicle de-certification..............................................................................................................7

4.9.1 Inspection overdue.......................................................................................................7 4.9.2 Worksite (including track) incidents..............................................................................7 4.9.3 Road-rail vehicle modifications ....................................................................................7

4.10 Competence of road-rail equipment maintainers and certifiers ................................................8 4.11 Re-use of rail guidance systems and plant equipment on new vehicles ..................................8 4.12 Certification and re-certification flow chart ................................................................................8

4.12.1 Stage 1 – New road/rail vehicle approval.....................................................................9 4.12.2 Stage 2a – Existing road/rail vehicle approval (annual).............................................10 4.12.3 Stage 2b – Existing road/rail vehicle approval (situational) .......................................11

Appendix A Road/rail vehicle certification label ........................................................................12



1 Purpose and scope This standard details the requirements for road/rail vehicle certification and re-certification for operation on the RailCorp network, including all mainlines, sidings, and worksites.

2 Definitions Evidence of compliance

Supporting documents issued by a competent body or person that certifies that a particular piece of rolling stock or plant has been tested for compliance with the appropriate interface standards and is considered safe to operate on RailCorp managed infrastructure.

Rail guidance system A dedicated installation consisting of rail wheels and a supporting structure specifically designed to provide safe operation of a road/rail vehicle on track.

Road/rail vehicle Vehicles designed essentially for operation on road but fitted with rail wheels for guidance to permit them to operate on rail.

RIVR number Rail Industry Registration Number. A unique registration serial number allocated to a particular vehicle.

3 References

3.1 Australian and international standards AS 1418 - Cranes, hoists and winches

AS 2550 – Cranes, hoists and winches – Safe use

AS 7500 series – Railway Rolling Stock

3.2 RailCorp documents ESR 0001-700 – Minimum Operating Standards for Rolling Stock – Infrastructure

Maintenance Vehicle Specific Requirement

ESR 0002 FM 001 Road/Rail vehicle re-certification checklist

ESR 0002 FM 002 Road/Rail vehicle pre work inspection checklist

ESR 0002 FM 003 Approved compliance testing companies

ESR 0002 FM 004 Certification and re-certification of road/rail vehicles

ESR 0003 – Trolley, Trailer & Quadricycle Certification and Recertification

ESR 0004 – Engineering Certification of Road/Rail Vehicles, Trolleys, Trailers and Quadricycles

EPR 0006 – Brake Performance Measurement (deceleration)

EPR 0008 – Static Vehicle Twist Test for Road/Rail Vehicle



EPR 0016 – Brake Performance Measurement (stopping distance)

EPR 0017 - Rolling Stock Outline Testing for Road Rail Vehicles

EPR 0022 – Alignment and Adjustment of Road/Rail Equipment

RTN 002 – Reflective Striping

RTN 003 – Road Rail Recertification

RTN 004 – Engineering Reports

RTN 008 – Crack Tests

RTN 009 - Road/Rail Suspension – Flexitors

RTN 010 – T21 Note Clarifications

SF-2009-01 – Safety First Notice – Use of Elevating Work Platforms (EWP) Road/Rail Combination

EP 95 00 00 03 SI - Requirement for Work Using Cranes and Plant

3.3 Other references Australian Code of Practice, Roll 41-1, Guidelines for the Safe Operation of Road-Rail Vehicles

4 Standard requirements

4.1 General All road/rail vehicles must comply with the requirements specified in ESR 0001-700, in order to gain acceptance and be certified to operate on the RailCorp network or worksites. Each application for initial vehicle acceptance shall be accompanied by an A6 Road/Rail Vehicle Information Pack and ESR 0002 FM 001 Road/rail vehicle recertification checklist. The information pack provides data relevant to the vehicle for RailCorp to assess the vehicle’s suitability for operation on RailCorp managed infrastructure.

This standard is covered by the RailCorp SMS system; refer to SMS-12-SR-1363 Engineering Standards.

4.2 Road/rail vehicle certification For any road/rail vehicles or plant that have been modified to also operate on rail, the owner and/or operator shall have an engineer’s report (see ESR 0004), validating the design and installation of the rail guidance equipment and the vehicle’s integrity including associated modifications, and a documented maintenance and inspection regime in place for operation on RailCorp managed rail infrastructure.

Road/rail vehicle certification with RailCorp will be dependent on the vehicle having appropriate and auditable maintenance and inspection records. Such vehicles shall have their status re-certified annually in accordance with section 4.6 in this standard.



The worksite supervisor/manager is responsible in ensuring that a road/rail vehicle is certified for operation on RailCorp’s rail infrastructure before the vehicle is placed on rail at the worksite and all pre-work inspection checklists are sighted and endorsed. Such documents shall be retained and filed by the owner/operator for audit purposes.

4.3 Compliance identification Each certified road/rail vehicle will be issued with a certification label that must be placed and shown at a readily visible location on the vehicle at all times. The label shall be in accordance with that shown Appendix A which identifies the vehicle by registration number, label number, RIVR number, plant number, certification expiry date and also speed/restrictions.

All road/rail equipment, both front and rear, shall be fitted with compliance plates. Refer to ESR 0001-700 section 12.6 for details of the compliance plates:

For vehicles that have been in-service for over 10 years an internal/external crack evaluation is required. (Refer to section 4.8)

Where the compliance plates were not fitted at the time of rail equipment manufacture/installation or vehicle entering service, a suitable compliance plate shall be fitted at the next recertification inspection (Refer to ESR 0001 – 700, section 20.2). The vehicle shall then be treated as having been in service for ten years, and an internal/external crack evaluation is required. (Refer to section 4.8)

4.4 Road/Rail vehicle maintenance and pre-work inspection All road/rail vehicles or plant shall be covered by a suitable maintenance regime appropriate to the duty cycle and work environment. Once the vehicle is certified by RailCorp it shall, undergo a daily pre-work inspection before operation; (both road/rail and any other equipment fitted e.g. cranes) in accordance with the check sheet listed in ESR 0002 FM 002. All operational defects noted during the pre-work inspection must be recorded, reported and rectified before operation of the vehicle.

4.5 Maintenance records RailCorp has the right to inspect road/rail vehicle maintenance and inspection records.

Vehicle owner/operators/maintainers shall retain comprehensive vehicle maintenance and inspection records, for audit purposes. RailCorp will from time to time, require access to such records, as well as checking for compliance with maintenance processes.

4.6 Road/Rail vehicle annual re-certification Road/rail vehicles will be required to be re-certified on a 12 monthly basis for operation on RailCorp managed rail infrastructure. This will require owners/operators to have their vehicles tested and inspected annually, to verify that the vehicle conforms to RailCorp’s standards.

Test/inspection results are recognised only if undertaken by one of RailCorp’s Approved Certifying Companies. All re-certifications must be accompanied by a completed road/rail vehicle re-certification checklist (see ESR 0002 FM 001) For engineering procedures on rail wheel alignment (Item 6.3), twist test (Item 6.4) and brake test (Item 7.2), refer to EPR 0022, EPR 0008 and EPR 0006 respectively.

For road-rail vehicles fitted with cranes, hoists or winches, such equipment will need to comply with the requirements for selection, operation and maintenance as specified in AS



1418 and AS 2550. Their history and age must be listed on an identification plate located at the front and back of the road-rail gear.

For road-rail vehicles fitted with elevating equipment, such equipment must be registered with WorkCover. Refer to RailCorp Safety Notice SF-2009-01

4.7 Engineering report All road/rail vehicles will require an engineering report to ensure the integrity of the rail guidance equipment and its attachment to the vehicle.

An engineering report is only required once in the life of a vehicle, unless the vehicle’s configuration changes, then a new engineering report will be required.

Refer to ESR 0004 for engineering report requirements for road/rail vehicles.

4.8 Ten year crack test of guidance frame For any rail guidance systems that have been in service for over 10 years, an internal/external crack evaluation of the guidance equipment structural elements, including mounting on vehicle chassis shall be conducted at the next recertification inspection.

The inspection must include a crack evaluation using a recognised crack testing method on all welds and critical members of the rail guidance gear.

4.9 Vehicle de-certification Road/rail vehicles will be de-certified under any of the following circumstances: These vehicles must undergo the re-certification process before the vehicle certification will be restored.

4.9.1 Inspection overdue Failure to re-certify road/rail vehicles before the recertification expiry date will result in de-certification from the RailCorp vehicle registration database. Vehicles failing in tests or inspections during the re-certification process will also be de-certified until corrective actions have been undertaken and the vehicle re-tested to certify compliance to the standards.

4.9.2 Worksite (including track) incidents Following any worksite incidents such as derailments, collision or heavy impact to the rail guidance system involving road/rail vehicle, the vehicle involved will automatically become de-certified with RailCorp and will remain de-certified until a re-assessment is performed by an Approved Certifying Company.

4.9.3 Road-rail vehicle modifications Where the road-rail vehicle is substantially modified (e.g. change in plant mounting, or addition or removal of equipment such as cranes) from its original design, the vehicle will be automatically de-certified with RailCorp and will remain unregistered until such time as the modification is assessed by an approved certifying company.



4.10 Competence of road-rail equipment maintainers and certifiers Persons/entities who maintain and/or certify road-rail vehicles, proposed for operation on RailCorp managed and controlled rail infrastructure must demonstrate relevant competencies to do so. These include:

• Qualified in a relevant trade with knowledge of the purpose and safety requirements applicable to rail equipment fitted to road-rail vehicles.

• Completely familiar with the construction, functionality, maintenance and inspection requirements of rail specific guiding and/ or traction and braking equipment fitted to road-rail vehicles.

• Familiar with all operating controls and safety functions installed on the vehicle.

• Capable of competently checking the operation of the rail equipment.

• Competent as assessed and authorised by RailCorp in carrying out the testing requirements necessary to establish compliance with the specified acceptance criteria.

Competent persons or entities employing persons shall retain and maintain evidence of their acquired competency, subjected to auditing by RailCorp.

4.11 Re-use of rail guidance systems and plant equipment on new vehicles In order to install rail guidance systems or plant onto a different vehicle from which it was originally fitted, as a result of vehicle disposal or change in ownership, vehicles will be required to undergo an engineering assessment in accordance with ESR 0004 to determine its suitability for operation. For any plant or rail guidance systems that have been in-service for over 10 years, an internal/external crack evaluation must be performed before the vehicle can be re-certified.

4.12 Certification and re-certification flow chart New road/rail vehicles requiring certification (Stage 1) will be assessed by RailCorp before operation on the RailCorp network is permitted.

Existing vehicles will be required to undergo an annual vehicle approval process (Stage 2a), whereas vehicles involved in an incident, subject to a design modification, change of ownership or that are overdue for re-certification will undergo a situational approval process (Stage 2b).

The flow cycle of the three different processes are shown in the following pages.


4.12.1 Stage 1 – New road/rail vehicle approval

Vehicle wishing to operate on RailCorp network

Owner to contact RailCorp Manager Rolling Stock Access Integrity (RSAI)

Owner provided with Vehicle Information Pack

- RSUs (ESR0001) - Standards & Procedures (ESR0003, ESR0004) - Approval Process - List of Certifiers (ESR0002 FM003)

Owner to approach certifier for vehicle assessment (ESR0002 FM003)

Test & Inspection sheets (ESR0002 FM001)

RailCorp Manager RSAI assesses test and inspection data

Any issues or actions required?

Owner to provide evidence on rectifying issue of concern

- Vehicle approved - Acceptance letter & approval label

- Vehicle Registration Database/ TOC manual updated. - TOC Waiver issued

No

Yes



4.12.2 Stage 2a – Existing road/rail vehicle approval (annual)

No

No

Vehicle wishing to continue operating on RailCorp network

Daily check sheets Owner arranges with Certifier to conduct Annual Inspection before expiry date

Road-Rail Registration Renewal Checklist (ESR0002 FM001)

Yes Certifier recommends fit for operation?

Owner to provide evidence on rectifying issue of concern

Certifier conducts inspection, testing and adjustments as required

Any issues or actions required?

Yes

RailCorp Manager RSAI reviews documents

Updated Vehicle Registration Database

Issue Annual Approval label to owner



4.12.3 Stage 2b – Existing road/rail vehicle approval (situational)



Appendix A Road/rail vehicle certification label

Sample Label


Documents

Technical Note - TN 053: 2016 · 1 Purpose and scope This standard details the requirements for road/rail vehicle certification and re-certification for operation on the RailCorp