Version 1.3 Issued April 2013 - Transport for NSW · First issue as a RailCorp document. Includes content from C5200. 1.1 ; December, 2009 : All Sections - Change of format for front

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TRACK PRODUCT APPROVAL

SPC 204

Engineering Specification Track

Version 1.3

Issued April 2013

Owner: Chief Engineer, Track

Approved by:

Andrew Wilson Technical Specialist Wheel/Rail

Authorised by:

Malcolm Kerr Chief Engineer Track

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 of RailCorp.

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UNCONTROLLED WHEN PRINTED Page 1 of 17

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016 RailCorp Engineering Specification — Track

Track Product Approval SPC 204

Document control

Version Date Summary of change 1.0 October, 2007 First issue as a RailCorp document. Includes content from

C5200. 1.1 December, 2009 All Sections - Change of format for front page, change

history and table of contents, format changes to all pages. Appendix D - New version of Product Approval certificate

1.2 June, 2012 Reformatted to new template 1.3 April, 2013 Changes detailed in Summary table below

Summary of changes from previous version

Summary of change Section

Control Changes Document Control

Product Approval Certificate updated Appendix D

© RailCorp Page 2 of 17 Issued April 2013 UNCONTROLLED WHEN PRINTED Version 1.3

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© RailCorp Page 3 of 17Issued April 2013 UNCONTROLLED WHEN PRINTED Version 1.3

RailCorp Engineering Specification — TrackTrack Product Approval SPC 204

Contents

1 Scope and Application ...........................................................................................................4

2 References...............................................................................................................................4

2.1 Australian and International Standards.....................................................................................4

2.2 Other References......................................................................................................................4

3 Definitions................................................................................................................................4

4 Submission Process...............................................................................................................5

5 Information to be Provided with Submission.......................................................................6

6 Approval Process....................................................................................................................6

6.1 Product Assessment .................................................................................................................6

6.2 Technical Approval....................................................................................................................8

6.3 Configuration Approval..............................................................................................................8

6.4 Registration of Technical Approval ...........................................................................................8

6.5 Revision of Technical Approval when a Product Changes.......................................................8

6.6 Loss of Technical Approval .......................................................................................................9

7 Items Developed for RailCorp................................................................................................9

Appendix A Typical Analysis Process for Technical Approval .............................................10

Appendix B Information Required to Support Technical Approval for a System................14

Appendix C Simple Technical Approval Requirements..........................................................16

Appendix D Product Approval Certificate................................................................................17

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1 Scope and Application This specification details requirements for the technical approval of rail specific products, tools and processes for use in RailCorp’s track infrastructure.

It provides guidance to manufacturers and suppliers on;

• the process to be followed to submit a product, tool or process for approval • the evidence to be provided with the submission, and • the approval process

The requirements apply to new products and processes and to changes to existing products and processes.

Technical approval must be granted before products, tools or processes can be offered for use in RailCorp’s track infrastructure. It is not the only requirement and technical approval itself does not guarantee that the item or process will be used in any specific application.

2 References

2.1 Australian and International Standards Nil

RailCorp Documents

ESC 220 – Rail

ESC 230 – Sleepers

ESC 240 – Ballast

ESC 250 – Turnouts and Special Trackwork

SPC 201 – Measurement Gauges

SPC 202 – Track Tools

SPC 205 – Field Testing

TMC 202 – Track Fundamentals

TMC 203 – Track Inspection

2.2 Other References Nil

3 Definitions Track products Track components or systems used in track infrastructure (rail, rail

joints, rail lubrication, sleepers, fastenings, ballast, turnouts and special trackwork) and which are referenced in RailCorp Engineering Standards ESC 220, ESC 230, ESC 240 and ESC 250.

Track tools Specialised tools and gauges used to install or measure track components. The tools are not available commercially. Current


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tools and gauges are included in RailCorp Engineering Specifications SPC 201 and SPC 202

Track processes Processes used to install or repair track products. Not all processes require technical approval. Current examples of processes requiring approval include aluminothermic welding, rail adjustment, welded track stability analysis, concrete sleeper insert repairs. Processes requiring approval are documented in RailCorp Engineering Standards ESC 220, ESC 230, ESC 240 and ESC 250.

Supplier Person or organisation submitting the product or process to RailCorp for technical approval. This may be the manufacturer or their agent, or a contractor proposing to use the product or process.

Technical A formal statement regarding the fitness of a particular product or Approval process, for use in a defined application under stated limiting

conditions. Provisional Formal statement that a particular product or process has been Technical assessed as being acceptable for use for a nominated purpose, in Approval RailCorp’s track infrastructure, with final Product approval being

subject to the product or process having passed a nominated period of satisfactory service with RailCorp.

Simple Item A product that performs a single simple function, generally used as a component in a track installation. It generally involves a low degree of technical complexity. Examples include dogspikes, screwspikes and bonded insulated joints.

System An arrangement of equipment, consisting of a number of discrete or separable components which operate together to carry out a function. Examples include turnout systems and lubrication systems

4 Submission Process Suppliers wishing to obtain approval for a new product or process submit a request in writing to Track Services. This could be a product that does not currently exist in RailCorp's infrastructure (eg a new type of sleeper fastening) or a supplier wishing to obtain approval for its version of an existing product (a new manufacturer of dogspikes).

Approval of products and processes is required where

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

• unreliable performance could be costly to RailCorp’s business, or • inadequacy could reduce integrity or life span by reducing the required level of

defence or tolerance, or increase the vulnerability of, track items to degradation, damage, vandalism, interference, manipulation, collapse, flooding, corrosion, infestation and attack.

Guidance on the type of products that require approval can be obtained from Engineering Standards ESC 220, ESC 230, ESC 240 and ESC 250 and from the Senior Engineer Logistics in Track Services.

The Chief Engineer Track will make final determination of whether any particular product or process requires technical approval.

Where products involve interfaces with other infrastructure (eg signalling, electrical or structures) separate product approvals will be required by the relevant Chief Engineers.

Where a product comprises a number of components, the whole unit, including its component parts shall be submitted for technical approval. Components that have not been technically approved may not be substituted for use subsequently, without first undergoing the same technical approval process.


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5 Information to be Provided with Submission The submission should provide all technical data necessary to fully evaluate the product, tool or process for technical approval. Typical technical information required is shown in Appendix B for systems and Appendix C for simple items.

Engineering Standards ESC 220, ESC 230, ESC 240 and ESC 250 establish the acceptance requirements for track products, tools and processes used in RailCorp track infrastructure. These requirements reference relevant Australian standards or RailCorp Engineering Specifications.

There should be one type approval document submission

The document should have the document name, version date and page number in headers/ footers on every page

When the document is updated the version date should change.

A complete set of drawings should form part of the submission so that the configuration being approved is precisely defined.

Ancillary documents (eg other manufacturers) should also be either integrated or controlled as an attachment

Clarity is needed in the document that interface issues between the two groups have been identified and addressed.

Other points are:

• The drawing needs to identify the part numbers • Drawings should be properly 'signed off • The competencies of the signatories should be identified in CV attachments • Statements that indicate compliance with RailCorp's Specifications need to clarify

which particular specification.

6 Approval Process The product approval process is carried out to prove robust compliance of the product or process in meeting the specified performance requirements as well as the technical requirements. The greater the risk associated with non-compliance the greater the degree of proof required.

The process varies with the complexity of the product being offered for evaluation. Systems or complex products or processes are evaluated according to the following paragraphs. Simple items are subject to a reduced set of requirements, such as that shown in Appendix C.

6.1 Product Assessment The Chief Engineer Track shall determine whether the product or process

• requires product approval and • is likely to be acceptable and the process of approval should be initiated.

If the submission is accepted, the Chief Engineer Track will arrange for the evaluation of the material provided, and identify the need for any tests necessary to measure the quality and performance of the product or process.


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The evaluation may range in scope from a simple analysis of design and performance data, to a detailed technical and safety evaluation, or to trial installations.

RailCorp may accept technical approval of a product or process by another rail infrastructure organisation. This will depend on the Chief Engineer Track being satisfied that the application and operating environment to which the technical approval refers are relevant to RailCorp’s own railway and being satisfied that the technical approval process in the other organisation meets RailCorp’s own requirements for expertise and rigour.

RailCorp generally undertakes the following steps:

1. Establish approval requirements.

Identify a relevant Product/Process Specification or prepare a new or amended specification.

2. Evaluation

Establish that sufficient information and data has been supplied with the submission to enable the assessment to be undertaken.

Evaluate of the material provided, and conduct any tests necessary to measure the quality and performance of the product or process.

The initial mandatory priority is that the new product is safe and sufficiently proven to be safe before any in-service trials.

A hazard assessment must focus on those items, which, if they fail to perform their intended function, would result in a significant safety issue. This assessment must be conducted to ensure the information provided is as complete as possible.

For all items identified as safety critical, evidence will need to be provided that the designed element is adequate for the purpose.

Evidence that the design meets the required standards can be provided by

– Testing the component – Providing in-service history of an identical component in use on another railway.

Differences in the operating environment must be identified. – Calculation and analysis

The evaluation should establish compliance and acceptable performance in relation to:

– Established standards and or contract specifications. – Performance history – Form and Fit – Functionality – Safety – Reliability, Availability, Maintainability – Supportability – Life cycle costs and benefits – Quality – Risks – Documentation – Configuration Management – Interface Risks

Typical analysis processes are shown in Appendix A.


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A trial installation is generally required to evaluate the installation, operation, compatibility and reliability of the item in RailCorp’s infrastructure. The trial site will be chosen to meet RailCorp’s requirements.

Installation requirements, testing methodology, inspection frequency and assessment criteria must be established for each trial installation in accordance with the requirements of RailCorp Engineering Specification SPC 205.

The trial installation requirement may be waived if there is an operational installation in Australia that is similar to RailCorp’s proposed application, available to be inspected by RailCorp, and for which relevant data on operational history are available.

6.2 Technical Approval RailCorp prepares an Evaluation Report describing the significant points of the product or process, and the reasons for its acceptance or rejection, or any limitations considered necessary on its approval.

The Chief Engineer Track will authorise the product for use in RailCorp.

If the product or process is considered to require a period of proving under RailCorp’s operating conditions, then a Provisional Product Approval may be issued, nominating a period of satisfactory service required before final Product approval is granted.

If the item is considered suitable for RailCorp’s purposes a Product Approval Certificate will be issued. It nominates any limitations or conditions on the use of the product or process, and also the specific units and versions covered by the approval as well as the effective dates. A sample Certificate is shown in Appendix D.

If the item is considered unsuitable for RailCorp’s purposes the Chief Engineer Track will issues a formal statement of rejection.

6.3 Configuration Approval Technical approval only constitutes approval of the suitability of the product or process for use on RailCorp track infrastructure. Approval to use the product or process requires Configuration approval.

The Chief Engineer Track will forward the product or process approval to an appropriate field representative to arrange approval to implement the configuration change.

6.4 Registration of Technical Approval When a new technical approval is issued, it is allocated a unique Product Approval registration number.

Track Services maintains a register of all products or processes holding current Product approval. Approved products are listed in RailCorp Engineering Standards ESC 220, ESC 230, ESC 240 and ESC 250.

6.5 Revision of Technical Approval when a Product Changes Technical approval is specific to a product or process of a particular design, materials and manufacturer. Changes to any one of these will render the existing technical approval void.


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When the design of a technically approved product or process is varied, or the Supplier intends to source the item from a different manufacturer, the Supplier must make a brief submission for variation of the technical approval. The submission should detail the way/s in which the modified product or process varies from the technically approved details product or process.

Depending on the nature of the changes, a brief evaluation will be carried out, and a revised technical approval registration number issued for the modified product or process.

6.6 Loss of Technical Approval Technical approval is valid for an indefinite period, unless otherwise stated at the time of approval, or unless the approval is withdrawn or lapses for any of the reasons stated below.

• The product is no longer manufactured. • There is no further need for the product or process, due to changes in track design. • The design or construction of the product, or of a significant part, has been altered. • The Supplier has sourced the product from a different manufacturer. • The performance of the product or process in use is unsatisfactory. • RailCorp changes the safety, reliability, availability, maintainability or cost-

effectiveness requirements in relation to the product. • The technical evaluation, or the data on which it was based, is found to be

deficient.

7 Items Developed for RailCorp Products or processes being specifically developed for RailCorp will be developed to meet a RailCorp specification.

Formal acceptance of such a product or process is considered to be technical approval for use in the specific application for which the product or process has been developed.


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Appendix A Typical Analysis Process for Technical Approval

Support Information Has the following information been supplied with the product submission?

• Product Identification • Details on the product or process and specific application for which it is offered • Design Documentation - drawings, operating specifications, design calculations

where applicable • User Documentation - manuals or instructions for installation and adjustment,

routine maintenance, and operation of the item • Sample Unit/s For Evaluation And Test • Handling and storage requirements • Third-Party Approvals • Application History • Quality Assurance status and test certificates etc.

Form and Fit Analysis A 'form and fit' analysis considers the compatibility of the product with the rest of the track system:

• Is the item physically compatible with current RailCorp installation, housing and mounting arrangements?

• Can the item be maintained with existing tools and equipment? • Does the item generate any stresses, intentional or incidental, which affect the safe

and reliable operation of other parts of the track system? • Does the item offer significant benefits to RailCorp which outweigh the cost of

introducing a novel component? • Are new material types being used? Consider conductivity and implications for

signals and traction return.

Function Analysis A functional analysis considers:

• Does the product or process do what RailCorp needs, now and in the foreseeable future?

• Can it interface with RailCorp’s existing hardware? • Does the process suit RailCorp’s methods of operating? • Will the product function in the environment where it will be installed? • Is the product provided with sufficient protection against vandalism, or misuse?

Life Cycle Analysis A life cycle analysis considers the following aspects of the item offered.

Reliability The item’s reliability, availability, and failure modes are considered. For critical systems with potential for major impact on rail operations, reliability data, empirically and/or theoretically predicted may be required. Predicted reliability figures shall be derived using a recognised method of calculation.


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Spares The range of spares, variety of sources of spares, the lead time and cost of spares, the guaranteed time that spares will continue to be available at reasonable cost.

Repairs The availability of repairs and replacement items

• Is the item suitable for in-house repair, by suitably trained and equipped in-house personnel?

• Are special equipment or test fixtures required for in-house repair, adjustment and test ? What is the source, availability and cost of such equipment?

• Which organisation is nominated to carry out the repair of units? What is thelocation of repairers, whether in NSW, interstate Australia, or overseas?

• What is the delivery time for spares, and the turn around time for repairs? • Will repairs continue to be available for life of item? • What are the availability and conditions of maintenance agreements?

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

Maintainability The amount and convenience of preventive and corrective maintenance required.

• Preventative maintenance required. • Adjustment and configuration. • Training - range and quality. • Documentation - range and quality.

Expected Life A determination of the expected useful life of the item.

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

Life Cost The expected cost of installing and supporting the item, for its expected lifetime including consideration of the following factors:

• Initial cost of item, including spares and support equipment supplied with the item. • Cost, conditions and services included in any maintenance or support contract • Time and cost of preventative maintenance specified to achieve item lifetime. • Predicted usage and cost of consumable parts of the item and its support

equipment• Will repairs continue to be available for life of the product? • What are the availability and conditions of maintenance agreements

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

• Does the manufacturer have an accredited quality assurance system?


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• What sort of quality documentation is provided/available? • What sort of production and testing methods are used? • How consistent is the product quality? • Materials – housings, components, coatings and finishes, conformance to relevant

standards • Design Evaluation - layout, access for adjustment, replacement - component

operating stress levels • Failure Analysis - Estimation of the impact of specific component and material

failures, on system safety • Does the Supplier provide recommended installation procedures? Are these

suitable for RailCorp?

Safety Analysis For safety systems, a safety analysis of the item is required, to confirm that the item’s design and manufacture are suitable to provide the level of safety integrity required by RailCorp, for the particular application.

The intent of this analysis is to determine the level of safety which the designer /manufacturer aimed to achieve in the item, the design features and design processes applied to achieve the aims, and the degree to which independent testing and evaluation have confirmed that the safety goals have been realised.

RailCorp will concentrate on establishing that the required processes, tests and evaluations have been carried out and documented, and that the results demonstrate that the item meets RailCorp’s requirements.

An analysis of the product or process considers:

• How is safety provided? • How is safety assured? • How was safety verified and validated? • How have subsequent changes been controlled? • What procedures are in place for action and or notification by manufacturer, of

safety related problems?

A Failure Analysis considers the impact of specific component and material failures, on system safety. Applicable techniques include:

• Failure Mode and Effects Analysis. • Fault tree analysis • Criticality analysis

Interface Risk Analysis In support of form and fit analysis, an analysis of the item to identify and assess any safety and reliability risks that may arise from interfacing the new item with Railcorp’s existing infrastructure. The nature and scope of the risk analysis will be scaled to the complexity of the item, and its intended application.

The intent of this analysis is to determine any threats to safety, functionality, or reliability that may arise from use of the item. The threats include those to the item itself, and threats to the existing system from the new item. The analysis should identify any potential threats, estimate the extent of risk posed, and any mitigating factors that have been applied or which may be required. A most common source of risk with novel equipment is interfacing - seen mainly as lack of reliability due to differences which were not properly identified between this and previous applications of the same item in other railway environments.


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Typical of the questions used in an interface risk analysis are

• Are there risks associated with use of the product? Have they all been identified by the manufacturer and appropriate mitigation strategies developed? Are they acceptable?

• Can the item generate unacceptable levels of heat, vibration or noise, which may adversely affect other equipment, or persons working or living in the vicinity? Does the item pose any other environmental risk?

• Is the application and configuration of the item such that minor faults can cause major disruption to railway operations?

• Can maintenance and repair be carried out without interrupting the functioning of the system?

• Can faulty items or modules be repaired quickly and at reasonable cost, or does repair involve high costs and extended delays?

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

• can the operation of the system be easily disrupted by minor maintainer errors? • are the limits of tolerance compatible for operation with the interfacing systems

operating throughout the whole range of their tolerance limits?


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Appendix B Information Required to Support Technical Approval for a System.

General To enable the proper evaluation of the item being offered for technical approval, the Supplier shall provide all the information necessary for a complete understanding of the item and its performance in the intended application. This information should comprise the following, as applicable to the particular item being offered.

Technical Documentation Comprehensive documentation is required, to provide a detailed understanding of the design, operation, and maintenance of the item. All documents shall be clearly identified as to their exact nature and purpose.

All documents shall be written in clear plain English. Documents originally written for non-Australian users, albeit in the English language, shall at least be provided with detailed glossaries of the terminology and concepts used, to make them clearly understandable to readers with no detailed knowledge of overseas practice and terminology.

Where the operation or performance of the item offered is limited or affected by the conditions of the particular application, then the installation and maintenance documentation especially shall be written or customised to refer specifically to RailCorp's installation and operating environment.

The Supplier is required to provide at least one set of documentation covering the items of information listed below.

• Details of the proposed configuration. • Technical description of how the item functions. • Applications manuals, giving installation requirements for new installations. • Maintenance documentation giving details of inspection requirements including

frequency and process and maintenance requirements. • Handling and storage requirements

Confidentiality of Technical Information RailCorp recognises that some of this material is of a confidential nature, which might be used to commercial advantage by other parties. The Supplier shall identify confidential documents. RailCorp undertakes to safeguard and restrict access to such documents on a strict need-to-know, non-disclosure basis.

Documents to be used as design, installation, maintenance or repair guides shall be presented in a form suitable for reproduction. RailCorp shall be permitted to make such copies of these as are necessary for their use.

Details of Current Installations Details are required of current installations of the item, including service history of significant installations, giving the quantity, location, application, and period in service. This information must include any differences between the proposed installation and previous installations.


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If large scale or standard application then standard documents, major user application documents and applicable codes of practice should be included in the information supplied.

Differences in Application and Interfaces Details are required to identify the differences between the interfaces currently in use by RailCorp and those supported by the item.

Safety Analysis Documents Details and reports for any safety analysis (include documentation on which any report is based) either carried out by the Supplier, or independent reports.


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Appendix C Simple Technical Approval Requirements The evidence requirements for the technical approval of products performing a single simple function and for which a RailCorp Specification or Australian Standard exists, are as follows.

Equipment Identification Include a detailed description of the product, and the specific application for which it is offered.

Where the Supplier is not the manufacturer of the product, the Supplier shall provide details of the identity and location of the actual manufacturer.

Performance to Specification Submit the results of all tests conducted on the product to meet the requirements of the RailCorp Engineering Specification to which it applies. If a RailCorp specification does not match the product, submit similar information for the testing in accordance with the applicable Australian Standard as required by RailCorp Engineering Standards ESC 220, ESC 230, ESC 240 or ESC 250.

Design documentation Submit drawings and design calculations where applicable, to demonstrate the suitability of the product for the intended application.

User documentation Submit a copy of manuals or instructions for installation, operation, adjustment and routine maintenance of the product. This includes requirements for handling and storage.

Sample product/s for evaluation and test. Submit at least one sample unit or prototype, for inspection and test. More may be required where life testing of consumable products is involved.

Third party approvals If the product has been formally technically approved by another rail infrastructure organisation, submit documentary evidence of such approval, showing the type and configuration of the approved item.

Application history If the product has been in service with another rail infrastructure organisation, submit details of the service history of significant installations of the product, including the number, location, application, and date of placing into service.

Quality assurance. Where the product is manufactured or supplied under an accredited Quality Assurance system, submit details of the suppliers/manufacturer's QA status, and copies of applicable equipment test certificates etc.


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Appendix D Product Approval Certificate
