technical note - tn 052: 2015 - transport for nsw€¦ · railway risk management compliance asset...

Technical Note - TN 052: 2015

For queries regarding this document [email protected]

www.asa.transport.nsw.gov.au

Technical Note - TN 052: 2015 Issued date: 04 September 2015

Subject: Withdrawal of TMG A1601 Audit Criteria for Railway Risk Management Compliance

Asset Standards Authority (ASA) publications include legacy RailCorp engineering standards that

are applicable to TfNSW rail assets. A review of the legacy signalling documentation has resulted

in TMG A1601 Audit Criteria for Railway Risk Management Compliance being withdrawn.

Signalling risk management requirements for each operating domain is now managed by the Rail

Infrastructure Manager (RIM) for the respective network.

Authorisation:

Technical content prepared by

Checked and approved by

Interdisciplinary coordination checked by

Authorised for release

Signature

Name Paul Zammit Peter McGregor John Paff Graham Bradshaw

Position Principal Engineer Signals Assurance

Lead Engineer Signals and Control Systems

A/Chief Engineer Rail Director Network Standards and Services

© State of NSW through Transport for NSW of 1

mailto:[email protected]

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

Engineering Manual Signals Risk Management

Engi

neer

ing

Man

ual TMG A1601

AUDIT CRITERIA FOR RAILWAY RISK MANAGEMENT COMPLIANCE

Version 1.3

Issued March 2011

Owner: Warwick Allison, Chief Engineer Signals and Control Systems

Approved by:

Warwick Allison Chief Engineer Signals and Control Systems

Authorised by:

Paul Zammit Principal Engineer Signal Operations

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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RailCorp Engineering Manual — Signals Risk Management Audit Criteria for Railway Risk Management Compliance TMG A1601

© RailCorp Page 2 of 42 Issued March 2011 UNCONTROLLED WHEN PRINTED Version 1.3

Document control

Version Date Summary of change 1.1 2009 1.2 September 2010 Application of TMA 400 format for NSW Transport RailCorp.1.3 March 2011 Update pages 38, 40 and 42 to reflect change of title from

“Project Works Interface Agreement” to “Project Safety Agreement” Update page 7 section 5.1 to reflect change of title from “Electrical Maintenance Procedures” to “Signalling Safeworking Procedures” Update pages 19, 23 and 26 to reflect change of title of Signalling Form from “J121” to “J017” In section 5.4 Construction and Installation and in section 5.24 Configuration Management insert the words “SPG 0711.9 Like for Like Renewals Procedure”

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Contents

1 Introduction .............................................................................................................................4 2 References...............................................................................................................................4 3 Definitions and abbreviations................................................................................................4 4 Risk Management....................................................................................................................5 5 Engineering and Operational System Safety .......................................................................6 5.1 C 401 Engineering and Operational System Safety Standards................................................7 5.2 C 403 Signalling System Design...............................................................................................8 5.3 C 404 Design Document and Data Control...............................................................................9 5.4 C 405 Construction and Installation ........................................................................................11 5.5 C 406 Implementation and Commissioning ............................................................................12 5.6 C 408 Inspection and test plan ...............................................................................................13 5.7 C 409 Monitoring and Maintenance requirements..................................................................14 5.8 C 410 Performance Monitoring ...............................................................................................16 5.9 C 411 Insulation Testing .........................................................................................................17 5.10 C 412 Signal Engineers Inspections .......................................................................................18 5.11 C 413 Train stop Gauging.......................................................................................................19 5.12 C 414 Interlocking Testing ......................................................................................................20 5.13 C 415 Level Crossing Inspection and Testing ........................................................................21 5.14 C 416 Signal Sighting Inspection ............................................................................................22 5.15 C 417 Electric Lock Testing ....................................................................................................23 5.16 C 418 Track Circuit Testing.....................................................................................................24 5.17 C 419 Electric Staff Instrument Inspection and Testing..........................................................25 5.18 C 420 Facing Point Lock and Detector Testing ......................................................................25 5.19 C 421 Time Limit Relay Testing..............................................................................................27 5.20 C 422 Relay Change Program................................................................................................28 5.21 C 423 Relay Examination Program.........................................................................................29 5.22 C 425 Defect Monitoring and Management ............................................................................30 5.23 C 426 Site Maintenance..........................................................................................................31 5.24 C 429 Configuration (Change) Management ..........................................................................32 5.25 C 430 Decommissioning and Disposal Procedures................................................................34 6 Interface Management ..........................................................................................................37 6.1 General....................................................................................................................................38 6.2 Application...............................................................................................................................38 6.3 Interface Co-Ordination...........................................................................................................40 6.4 Safety Management of the Interfaces .....................................................................................41

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1 Introduction The information within this volume has been prepared for the conduct of Railway Risk Hazard Management Audits for the Signalling Discipline within RailCorp.

This document forms Volume 4 of the Audit Criteria and is to be read in conjunction with the General Volume. It covers the specific risks and hazards associated with the Signalling Discipline and adherences to the principles of risk management as set out in AS 4292 – 2006 Parts 1 and 4.

This volume is structured as follows:

Section 2: References used in this specific volume

Section 3: Definitions and Abbreviations that are used in this specific volume.

Section 4: Details Risk Management.

Section 5: Details the specific Signalling Discipline controls that are audited associated with Engineering and Operational System Safety.

Section 6: Details the specific Signalling Discipline controls that are audited associated with Interface Management.

2 References References used in the Discipline specific volume relate to RailCorp’s Signals Standards.

3 Definitions and abbreviations Asset Explorer Displays equipment details, maintenance scheduling information and work order history on infrastructure equipment in RailCorp (Civil, Electrical, Signals, Minor Plant, Facilities and Services Assets) from Ellipse

CCB Configuration Control Board

CCR Configuration Change Request

Cognos Cognos provides corporate reporting functionality

Control Data Reference material, documentation or physical attribute identified prior to audit as necessary to demonstrate the adequacy and function of a Control.

Control Requirements RailCorp establish, document, implement and maintain management systems in accordance with the requirements of Australian Standard AS4292

Ellipse Ellipse is the RailCorp Enterprise resource Planning application. Ellipse manages Asset Operation and Maintenance, Supply and Logistics, Finance and Human Resource requirements

EOL Emergency Operations Lock

ESML Emergency Switch Machine Lock

IFMS Infrastructure Failure Management System

Manual J - TMG series Signalling Safe working Procedures

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© RailCorp Page 5 of 42 Issued March 2011 1.3

MIMS Mincom Information Management System

SPG Signalling Specification

TEAMS 3 Provides a defect and work order management system for all disciplines (Electrical, Signals and Civil)

TMP’s Technical Maintenance Plans

4 Risk Management

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RailCorp Engineering Manual — Signals — Risk Management Audit Criteria for Railway Risk Management Compliance TMG A1601

5 Engineering and Operational System Safety

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5.1 C 401 Engineering and Operational System Safety Standards Code Reference Control Requirements Control Data Control Checklist C 401 Engineering and

Operational System Safety Standards (AS 4292.1,6.1)

The organisation shall establish, implement and maintain a documented set of engineering and operational system safety standards to cover all relevant aspects of the following including where relevant, the interfaces between them: a) Track and civil infrastructure b) Rolling Stock c) Signalling and telecommunications systems and

equipment. d) Operations and train control systems. e) Electric and other external traction systems. f) Other relevant railway infrastructure. g) Interfaces with other transport modes.

a) Documented set of engineering standards, established, implemented and maintained which cover all relevant aspects

What are your documented safety standards for engineering and operational systems? E.g. ● Signalling Safeworking

Procedures Manuals (Manual J) issued to employees.

● Management process in place to control amendments.

● Control pages in manuals accurately reflect status of manuals.

● Inspection and Testing Procedures SPG 0711.1 – 0711.9

(AS 4292.1, 6.2) Activities directly affecting railway safety shall be carried out

under controlled conditions which shall be achieved as follows: a) By adherence to the standards referred to in

Section 6.1. b) By documented procedures specifying the design,

construction, manufacture/installation, maintenance and provision of operational services to be used in all cases where the absence of such documentation would adversely affect railway safety, together with equipment and work environment requirements relevant to those processes.

c) By monitoring to ensure that Items (a) and (b) are being observed and that an acceptable standard is being achieved.

d) By inspection and testing procedures for safety related engineering and operational systems which include both

a) The quality plan or documented procedures identify all the processes to be used.

b) Documented procedures established and implemented for the control of the identified processes.

c) Processes are appropriately qualified and proven.

d) Personnel undertaking or controlling special processes are appropriately skilled and qualified.

Signalling Safe working Procedures Manual J Maintenance Responsibilities, Frequencies, Recording – TMG J017 Section 2.1 Maintenance frequencies are set out in Technical Maintenance Plans and Service Schedules. Maintenance frequencies and maintenance tasks are to be in accordance with the Technical Maintenance Plan (TMP) and the associated Service Schedules or an approved Tailored Technical


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RailCorp Engineering Manual — Signals — Risk Management Audit Criteria for Railway Risk Management Compliance TMG A1601 Code Reference Control Requirements Control Data Control Checklist

scheduled and defined event inspection and testing. The procedures shall define the location, method, level of detail and frequency of inspection and testing. Frequencies of inspection and testing shall consider operational criteria, rate of deterioration, consequences of failure and frequency of occurrences.

e) By the control, calibration and maintenance of all equipment (which for the purposes of this Standard includes remote event detection equipment) used for the purposes of inspection and testing. The organization shall ensure that this equipment is used correctly with known measurement uncertainty and is consistent with the required measurement capability.

f) By establishing and maintaining inspection and test records that provide evidence of the condition of all elements critical to railway safety. The records shall be established and maintained in accordance with the document and data control requirements of Section 2.7.

g) By corrective action to be taken when the assessed safety condition of any elements of the systems— i) Will cause the organization’s safety standards to

be infringed; ii) Has reached prescribed intervention levels; or iii) Will cause the risk to exceed acceptable levels.

e) Records maintained of qualified processes, equipment and personnel.

Maintenance Plan and service schedules where applicable. Signalling Safe working Procedures Manual J Calibration of Tools and Instruments for Signalling Applications TMG J047

5.2 C 403 Signalling System Design Code Reference Control Requirements Control Data Control Checklist C 403 Signalling System

Design (AS4292.4, 3.1)

This section specifies how standards and procedures are developed for the selection and design of a safe working system in respect of the following: - a) Safe working system selection and justification b) The signalling and telecommunication system. c) Design verification and validation.

The need for each of the items under each heading in this section to be included in the organisations safety management system should be determined in accordance with Section 1.2, 1.7 and 1.8. a) Procedures to control and

Signalling Systems – Basic Principles and Configuration Standard ESG001 Signalling Practice Standards ESG002 Signalling Equipment Configuration Standard


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verify design activities effecting safety are established.

b) Specified requirements are met.

c) Procedures maintained.

ESG003

5.3 C 404 Design Document and Data Control Code Reference Control Requirements Control Data Control Checklist C 404

Design Document and Data Control (AS4292.1, 6.3)

RailCorp shall establish and maintain procedures to control and verify the design of structures, vehicles, equipment and systems in accordance with the safety requirements for engineering and operational systems as set out in Section 6.1. The design control procedures shall include the following: a) Identification of the responsibility for each design or

development activity b) Safety risk review at both the design input and design

output stages taking into account reliability and maintainability

c) Assignment of design verification and validation functions

d) Control of design changes in accordance with Items (a) and (b).

The design process shall specify the criteria for selection and design of equipment and systems.

● Documents and data that relate to the requirements of the standard have been identified and included in the document control system.

● Documents approved for

issue by authorised personnel.

● Register of all relevant design documents available.

Document control procedures established and implemented.

● Document issue receipt procedures implemented.

Relevant documents available at all locations.

● Document changes

reviewed and approved. ● Control page inserted in all

relevant design documents. ● Master list available to

Signalling Safe working Procedures Manual J TMG J044, Section 1.2 Signalling Safe working Procedures Manual J - Document Control of Signal Plans and Circuit Books Issued to the Field TMG – JO14, Section 3.1 All involved with the production of, installation, maintenance, and use of signal plans and circuit books ensure that the drawings accurately record and correspond to the requirements and/or to the as-built status as applicable, and they are to promptly advise any discrepancies and arrange to have them corrected without delay. All copyholders shall ensure that they have the latest version of control documents.


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identify current revision status.

● Documents reissued after a practical number of changes.

● Document amendment and receipt procedures implemented.

● Documented procedures for the retention of records established.

All persons with nominated responsibilities are to be able to account for all controlled copies of signal plans and circuit books issued to them and, through them, to their subordinates. Controlling officers of persons with nominated responsibilities under these procedures have a responsibility to satisfy themselves that the procedures are being followed. Transmittal notices, on standard “Memo of Document Exchange” forms, are to be included with the despatch of signal plans and for circuit books and the recipient must acknowledge receipt on the transmittal notice and promptly forward a copy back to the sender. ● Documents approved for

issue by authorised personnel.

● Register of all relevant design documents available.

● Document control procedures established and implemented.

● Document issue receipt procedures


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implemented. ● Relevant documents

available at all locations. ● Document changes

reviewed and approved. ● Control page inserted in

all relevant design documents.

● Master list available to identify current revision status.

● Documents reissued after a practical number of changes.

● Document amendment and receipt procedures implemented.

● Documented procedures for the retention of records established.

5.4 C 405 Construction and Installation Code Reference Control Requirements Control Data Control Checklist C 405 General

Requirements (AS 4292.1, 6.4.1)

Standards and procedures shall be established and maintained for all aspects of the construction and implementation of new or modified equipment and systems including the following: a) The maintenance of safe railway operations during any

system changes. b) Process control in accordance with Section 6.2 c) Appropriate access control and protection. d) The use of appropriate installation practices and

procedures. e) Procedures to ensure use of approved and current

plans and specifications.

The need for each of the items listed under each heading in this section; to be included in the organisations safety management system should be determined in accordance with Sections 1.2 and 1.6 of AS 4292.1

RailCorp Infrastructure Engineering Specification – Signalling Inspection and Testing of Signalling Roles, Responsibilities and Authorities SPG 0711.1 Plans, Programs, Documentation and Packages. SPG 0711.2 Inspection and Testing


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f) Preparation of operating and maintenance procedures and instructions where applicable.

Principles SPG 0711.3 Inspection and Testing Procedures SPG 0711.4 Typical Inspections and Tests for Signalling Apparatus SPG 0711.5 Interface Requirements and Procedures for Alterations SPG 0711.6 Standard Forms SPG0711.7 Typical Signal Support Procedures for Track works. SPG 0711.8 SPG 0711.9 Like for Like Renewals Procedure

Factors to be considered (AS 4292.1, 6.4.2)

Standards and procedures should take into consideration where appropriate, the following: a) Documentation requirements for the system installation. b) Ensuring that there is no ambiguity on type of safe

working system in force.

5.5 C 406 Implementation and Commissioning Code Reference Control Requirements Control Data Control Checklist C 406

General requirements (AS 4292.1, 6.5.1)

Standards and procedures shall be established and maintained for the commissioning of new or modified systems and equipment to ensure that new system and equipment is verified as meeting the appropriate requirements and standards Note: The inspection and testing for the commissioning of safety-related equipment and systems are essential elements in ensuring their safety integrity.

The need for each of the items listed under each heading in this section; to be included in the organisations safety management system should be determined in accordance with Sections 1.2 and 1.6 of AS 4292.1

RailCorp Infrastructure Engineering Specification – Signalling Inspection and Testing of Signalling Roles, Responsibilities and Authorities SPG 0711.1 Plans, Programs, Documentation and Packages. SPG 0711.2 Inspection and Testing


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Principles SPG 0711.3 Inspection and Testing Procedures SPG 0711.4 Typical Inspections and Tests for Signalling Apparatus SPG 0711.5 Interface Requirements and Procedures for Alterations SPG 0711.6 Standard Forms SPG0711.7 Typical Signal Support Procedures for Track works. SPG 0711.8

5.6 C 408 Inspection and test plan Code Reference Control Requirements Control Data Control Checklist C 408 Inspection and

Test Plan (AS 4292.1, 6.5.2) (AS4292.4, 5.2)

These standards and procedures should include an inspection and test plan covering verification and validation of conformance of the system to the design, safe transition arrangement, and to the operating parameters of the railway, the handover process, the provision of as-constructed documentation, plans and drawings as relevant and specific inspection and testing processes. These standards and procedures should include an inspection and test plan covering the following items: - a) The independence of workers performing inspection

and testing. b) The compatibility between new works and other

functional areas. c) Verification that the system conforms to the design and

operating requirements of the client and the operating parameters of the railway.

d) Validation that the installed system conforms to the required safety standards and client requirements.

e) The need to ensure safe transition during any system

a) Inspection covering the items listed prepared for the installation to include: - i) Competence and

independence of workers performing the commissioning check.

ii) Compatibility between new works and other functional areas. Validation of safety performance.

iii) Verification of conformance to system design and operating parameters.

iv) Ensures safe transition during

RailCorp Infrastructure Engineering Specification – Signalling Inspection and Testing of Signalling Roles, Responsibilities and Authorities SPG 0711.1 Plans, Programs, Documentation and Packages. SPG 0711.2 Inspection and Testing Principles SPG 0711.3 Inspection and Testing Procedures SPG 0711.4 Typical Inspections and Tests for Signalling Apparatus SPG 0711.5 Interface Requirements and Procedures for Alterations


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change. f) The handover process. g) The timely provision of as-constructed documentation,

plans and drawings as relevant. h) Specific inspection and testing as follows:

i) Installation inspection, testing and documentation to provide assurance that the installation conforms to the detailed design, including where applicable— (A) Visual inspection; (B) Signal sighting; (C) Wire counts; (D) Continuity tests; (E) Insulation and earth tests; and (F) Testing of safety critical software.

ii) System testing to verify that the installed system is functional and to validate it for operation in the railway system, including where applicable— (A) Function testing; and (B) Principles testing.

iii) Commissioning testing to verify that the interfacing between the existing and new signalling and telecommunications systems is effective, and to validate the operation of the new integrated system, including where applicable— (A) Testing of the interfaces; and (B) Further system testing

system change. v) Handover process. vi) Provision of as

constructed plans.

SPG 0711.6 Standard Forms SPG0711.7 Typical Signal Support Procedures for Track works. SPG 0711.8 What are the procedures in place for: ● Construction ● Site protection ● Document control ● Stage work What are the procedures in place for: ● Testing and

commissioning ● Train Safety ● Site protection ● Test plans -

● Stage work ● Witnessing ● Staffing ● Recording of

tests ● Certifications ● Independence of tests

5.7 C 409 Monitoring and Maintenance requirements Code Reference Control Requirements Control Data Control Checklist C 409 General

(AS 4292.1, 6.6.1) RailCorp shall take corrective action when assessed safety condition of any elements of the systems requires such action in accordance with Section 6.2 (g).

Procedures for inspections documented, established and maintained.

Signalling Safe working Procedures Manual J Introduction to Signalling Maintenance Procedures TMG J001


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Monitoring and maintenance requirements (AS 4292.1, 6.6.2)

Standards and procedures shall be established and maintained for the monitoring and maintenance of systems and equipment. These standards and procedures, shall include the following: a) Inspection and testing. b) Assessment of serviceability. c) Carrying out preventative or corrective action,

including the use of appropriate maintenance practices and procedures, adjustment of equipment, and repair and replacement of faulty equipment.

d) Monitoring and maintaining the engineering equipment and systems used in maintenance, including- i) Adjustment of equipment ii) In-situ and operational testing of safety-related

equipment and systems; iii) Fault rectification.

Frequency schedules established and maintained.

The installed signalling system and its components are to be maintained to prevent signalling system failures and associated train delays, and to ensure the safety provided by the system is maintained throughout its operational life. Failed signalling equipment is to be attended to and restored for operational use without undue delay. The movement of trains must be adequately protected when any maintenance action or other interference impairs or could impair the protection provided by the signalling system or could affect the safety of the line. Where the interlocking is disarranged or vital signalling equipment is disconnected from the interlocking, or is dis-assembled, or has safety critical adjustments altered, then its safe operation must be verified before it is certified fit for operational use. Signalling equipment which has failed in an unsafe manner must be taken out of service and the train movements affected must be immediately protected. The irregularity must


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be fully investigated, the defect rectified, and the equipment must be tested and certified as operating safely before being restored to use for traffic operations. Teams 3 review Review Work Orders Cognos Compliance Reports

5.8 C 410 Performance Monitoring Code Reference Control Requirements Control Data Control Checklist C 410 Performance

Monitoring (AS 4292.4, 6.3)

Standards and procedures shall be established and maintained for monitoring and reporting the performance of signalling and safety-related telecommunications systems and equipment. These standards and procedures should take into consideration the following factors: a) Loss of route integrity. b) Loss of system availability. c) The consequences of an incident. d) The risk of subsequent exposure before remedial action

following an incident. e) Determination of condition and events, which are likely

to result in, reduced operating safety. f) Methods of detection and reporting of onset of

conditions and events described in Item (e). g) Frequency of scheduled inspections and requirements

for special inspections. h) System auditing in respect of the following:

i) Assurance of conformance of the system with rail safety standards.

ii) Determination of the effectiveness of the system in meeting the safety requirements.

iii) Analysis of the cause of incidents and where

Procedures for inspections documented, established and maintained. Frequency schedules established and maintained. (Technical maintenance plans, service schedules) ● Initial response

procedures. ● Call-out procedures. ● On-site management of the

incident. ● Initiation of investigation.

Signalling Safe working Procedures Manual J Introduction to Signalling Maintenance Procedures TMG J001 Teams 3 review Review Work Orders Cognos Compliance Reports Adherence to applicable TMP, service schedules


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appropriate, implementation of corrective action.

5.9 C 411 Insulation Testing Code Reference Control Requirements Control Data Control Checklist C 411

Standards (AS 4292.1, 6.1)

The organisation shall establish, implement and maintain a documented set of engineering and operational systems safety standards to cover all relevant aspects of the electric and other external traction systems, and interfaces to other engineering and operational disciplines.

Procedures for inspection documented, established and maintained.

Signalling Safe working Procedures Manual J Insulation Inspection and Testing – TMG JO23 Procedures: New and altered work, Responsibilities, Test equipment Test earths, Inspection, Conditions for testing, Test frequencies Testing complete circuits

Documentation (AS4292.1, 6.2 (d))

Activities directly affecting railway safety shall be carried out under controlled conditions which shall be achieved by inspection and testing procedures for safety related engineering and operational systems which include both scheduled and defined event inspections and testing.

Asset listing available. Frequency schedules established and maintained.

Asset Explorer Latest TMP

Safety Records (AS 4292.1, 6.2(f))

Establish and maintain inspection and test records that provide evidence of the condition of all elements critical to railway safety.

Records of inspection available. Records complete and up to date Records clearly indicate acceptance status and identify inspection responsibility.

Review Teams 3 Cognos Compliance Reports Work Orders Hard Copy Records/Databases


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RailCorp Engineering Manual — Signals — Risk Management Audit Criteria for Railway Risk Management Compliance TMG A1601 Code Reference Control Requirements Control Data Control Checklist Status

(AS4292.1, 6.2 (c))

Monitor inspection status to ensure that inspection and testing is carried out in accordance with the required standards.

Inspection progress to program identifiable, results status readily identifiable. Performance indicators available.


Assessment (AS4292.1, 6.2 (g))

Review of inspection and testing results so that corrective action is taken when the assessed safety condition a) Will cause the organisations safety standards to be

infringed b) Has reached prescribed intervention levels c) Will cause the risk to exceed acceptable levels

Non-conformance documented, prioritised, and notified to management. Non-conformance removal programmed and status monitored.


5.10 C 412 Signal Engineers Inspections Code Reference Control Requirements Control Data Control Checklist C 412 Standards

(AS 4292.1, 6.1) The organisation shall establish, implement and maintain a documented set of engineering and operational systems safety standards to cover all relevant aspects of the electric and other external traction systems, and interfaces to other engineering and operational disciplines.


Signalling Safe working Procedures Manual J Surveillance Inspections – TMG JO45 The surveillance inspections are to be scheduled over the maintenance area in a two-year period. Specific Signal Engineer inspections and tests.




Asset Explorer

Safety Records (AS 4292.1, 6.2 (f))


Records of inspection available. Records complete and up to date. Records clearly indicate

Review Teams 3 Cognos Compliance Reports Work Orders


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acceptance status and identify inspection responsibility.

Hard Copy Records/Databases

Status (AS4292.1, 6.2 (c))


Inspection progress to program identifiable, results status readily identifiable. Performance indicators available



Review of inspection and testing results so that corrective action is taken when the assessed safety condition Will cause the organisations safety standards to be infringed Has reached prescribed intervention levels Will cause the risk to exceed acceptable levels



5.11 C 413 Train stop Gauging Code Reference Control Requirements Control Data Control Checklist C 413


The organisation shall establish, implement and maintain a documented set of engineering and operational systems safety standards to cover all relevant aspects of the electric and other external traction systems, and interfaces to other engineering and operational disciplines


Signalling Safe working Procedures Manual J TMG JO17







Records of inspection available. Records complete and up to date. Records clearly indicate acceptance status and identify inspection responsibility.

Review Teams 3 Cognos Compliance Reports Work Orders Signalling form SFJ 017 or equivalent means

Status (AS4292.1, 6.2 (c))


Inspection progress to program identifiable, results status readily identifiable.



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Performance indicators available. Assessment

(AS4292.1, 6.2 (g))





5.12 C 414 Interlocking Testing Code Reference Control Requirements Control Data Control Checklist C 414


The organisation shall establish, implement and maintain a documented set of engineering and operational systems safety standards to cover all relevant aspects of the electric and other external traction systems, and interfaces to other engineering and operational disciplines


Signalling Safe working Procedures Manual J - Testing of Interlockings – Maintenance Responsibilities – TMG JO22 Signal Engineer qualified to test interlockings for the primary reason of checking the interlocking and ensuring that it remains in accordance with the locking tables or interlocking portion of the control tables, the locking diagrams and the working sketches/signalling plans.


Activities directly affecting railway safety shall be carried out under controlled conditions, which shall be achieved by inspection and testing procedures for safety related engineering and operational systems, which include both, scheduled and defined event inspections and testing.


Asset Explorer






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RailCorp Engineering Manual — Signals — Risk Management Audit Criteria for Railway Risk Management Compliance TMG A1601 Code Reference Control Requirements Control Data Control Checklist Status

(AS4292.1, 6.2 (c))

Monitor inspection status to ensure that inspection and testing is carried out in accordance with the required standards








5.13 C 415 Level Crossing Inspection and Testing Code Reference Control Requirements Control Data Control Checklist C 415




Signalling Safe working Procedures Manual J, Level Crossings – TMG JO36 Level Crossing Equipment Manual. Signal Design Principles – Level Crossings ESG 100.18



Asset listing available Frequency schedules established and maintained.






Status (AS4292.1, 6.2 (c))





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RailCorp Engineering Manual — Signals — Risk Management Audit Criteria for Railway Risk Management Compliance TMG A1601 Code Reference Control Requirements Control Data Control Checklist Assessment

(AS4292.1, 6.2 (g))





5.14 C 416 Signal Sighting Inspection Code Reference Control Requirements Control Data Control Checklist C 416




Signalling Safe working Procedures Manual J Maintenance of Signs, Signal Sighting and Signals – TMG – JO31 Section 4 Running signals shall be checked every 26 weeks on passenger main lines and annually on country branch lines and freight only lines.









Status (AS4292.1, 6.2 (c))




Assessment Review of inspection and testing results so that corrective Non-conformance documented, Review Teams 3 © RailCorp Page 22 of 42 Issued March 2011 UNCONTROLLED WHEN PRINTED Version 1.3 With

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(AS4292.1, 6.2 (g))

action is taken when the assessed safety condition a) Will cause the organisations safety standards to be


prioritised, and notified to management. Non-conformance removal programmed and status monitored.

Cognos Compliance Reports Work Orders

5.15 C 417 Electric Lock Testing Code Reference Control Requirements Control Data Control Checklist C 417




Signalling Safe working Procedures Manual J TMG JO17 – Section 2.2.4 Signalling form SFJ 017 or equivalent means is to be used for return of safety critical, safety significant and other safety related examinations and inspection tasks





Safety Records (AS 4294, 6.2 (f))




Status (AS4292.1, 6.2 (c))




Assessment (AS4292.1, 6.2

Review of inspection and testing results so that corrective action is taken when the assessed safety condition

Non-conformance documented, prioritised, and notified to

Review Teams 3 Cognos Compliance Reports


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(g)) a) Will cause the organisations safety standards to be infringed

b) Has reached prescribed intervention levels c) Will cause the risk to exceed acceptable levels

management. Non-conformance removal programmed and status monitored.

Work Orders

5.16 C 418 Track Circuit Testing Code Reference Control Requirements Control Data Control Checklist C 418




Signalling Safe working Procedures Manual J Track Circuits – TMG JO25 - Section 1









Status (AS4292.1, 6.2 (c))










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5.17 C 419 Electric Staff Instrument Inspection and Testing Code Reference Control Requirements Control Data Control Checklist C 419




Signalling Safe working Procedures Manual J Electric Train Staff Instruments TMG J033







Records of inspection available Records complete and up to date. Records clearly indicate acceptance status and identify inspection responsibility.


Status (AS4292.1, 6.2 (c))









5.18 C 420 Facing Point Lock and Detector Testing Code Reference Control Requirements Control Data Control Checklist C 420


The organisation shall establish, implement and maintain a documented set of engineering and operational systems safety

Procedures for inspection documented, established and

Signalling Safe working Procedures Manual J - Facing


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standards to cover all relevant aspects of the electric and other external traction systems, and interfaces to other engineering and operational disciplines.

maintained. Point Lock and Detection Testing – Combined Point Machine – TMG J030



Asset listing available. Frequency schedules established and maintained




Records of inspection available Records complete and up to date. Records clearly indicate acceptance status and identify inspection responsibility.

Review Teams 3 Cognos Compliance Reports Work Orders Signalling form SFJ 017 or equivalent means is to be used for return of safety critical, safety significant and other safety related examinations and inspection tasks With the facing point lock engaged the switches are held within 3.2mm of the running face of the stock rail.

Status (AS4292.1, 6.2 (c))








Review Teams 3 Cognos Compliance Reports Work Orders Signalling form SFJ 017 or equivalent means


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5.19 C 421 Time Limit Relay Testing Code Reference Control Requirements Control Data Control Checklist C 421




Signalling Safe working Procedures Manual J Vital Signalling Relays TMG – JO24 Electro-mechanical type and thermal type time limit relays shall be regularly tested at not more than two years intervals to see that they operate at the specified timing and the necessary details entered on a SF J024/C form and forwarded to the Maintenance Signal Engineer.









Status (AS4292.1, 6.2 (c))



Review Teams 3 Cognos Compliance Reports Work Orders Local Database if applicable



infringed b) Has reached prescribed intervention levels

Non-conformance documented, prioritised, and notified to management. Non-conformance removal programmed and status



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c) Will cause the risk to exceed acceptable levels

monitored.

5.20 C 422 Relay Change Program Code Reference Control Requirements Control Data Control Checklist C 422




Signalling Safe working Procedures Manual J Vital Signalling Relays TMG – JO24 Unproved shelf relays shall be changed after 15 years in service. Shelf or AC vane plug-in type track relays used for cut tracks are to be changed on a 10 year basis. In the case of all plug-in relays, except AC vane type, a regular overhaul period is not specified.









Status (AS4292.1, 6.2 (c))





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RailCorp Engineering Manual — Signals — Risk Management Audit Criteria for Railway Risk Management Compliance TMG A1601 Assessment

(AS4292.1, 6.2 (g))





5.21 C 423 Relay Examination Program Code Reference Control Requirements Control Data Control Checklist C 423




Signalling Safe working Procedures Manual J Vital Signalling Relays TMG – JO24 6 Routine Examinations and Tests Examine all non-proved vane AC relays, DC shelf-mounted relays and all plug-in relays, both Standard ‘B’ size and miniature, every 52 weeks









Status (AS4292.1, 6.2 (c))





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RailCorp Engineering Manual — Signals — Risk Management Audit Criteria for Railway Risk Management Compliance TMG A1601 Code Reference Control Requirements Control Data Control Checklist Assessment

(AS4292.1, 6.2 (g))

Review of inspection and testing results so that corrective action is taken when the assessed safety condition Will cause the organisations safety standards to be infringed Has reached prescribed intervention levels Will cause the risk to exceed acceptable levels



5.22 C 425 Defect Monitoring and Management Code Reference Control Requirements Control Data Control Checklist C 425




Procedures for inspection documented, established and maintained. Failed signalling equipment is to be attended to and restored for operational use without undue delay.









Status (AS4292.1, 6.2 (c))






infringed

Non-conformance documented, prioritised, and notified to management. Non-conformance removal



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b) Has reached prescribed intervention levels c) Will cause the risk to exceed acceptable levels

programmed and status monitored.

IFMS

5.23 C 426 Site Maintenance Code Reference Control Requirements Control Data Control Checklist C 426




Signalling Safe working Procedures Manual J Security, Fire Protection, Weather Proofing and Cleanliness of Signalling Equipment, Housings and Locations TMG - J020

Documentation (AS4292.1, 6.2(d))








Status (AS4292.1, 6.2 (c))




Assessment (AS4292.1, 6.2 g))






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5.24 C 429 Configuration (Change) Management Code Reference Control Requirements Control Data Control Checklist C 429 Modification

(AS 4292.1, 6.8)


Standards and procedures shall be established and maintained for the modification of safety related systems which shall include as appropriate, the effects of the proposed modification, implementation and commissioning of all or part of the modified system and the need to record and promulgate changes and modifications. Risk associated with change shall be managed in accordance with Section 2.11.

Procedures established for modification of Signalling systems.

Inspection and Testing of Signalling SPG 0711.6 Interface Requirements and Procedures for Alterations Inspection, testing, certification and documentation of alterations to existing vital signalling shall be based on the inspection, testing and certification principles and procedures applying to New and Altered Works as nominated in RailCorp Infrastructure Engineering Specifications – Signalling as below. SPG 0711.1 Roles, Responsibilities and Authorities SPG 0711.2 Plans, Programs, Documentation and Packages SPG 0711.3 Inspection and Testing Principles SPG 0711.4 Inspection and Testing Procedures SPG 0711. 5 Typical Inspections and Tests For Signalling Apparatus SPG 0711.7 Standard Forms SPG 0711.9 Like for Like Renewals Procedure SPG 0703 Signalling Documentation and Drawings TMG Technical Manual -

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Signalling Safe working C 429 (Cont)

Procedures Manual CM Web inclusion ● The Asset engineer,

signals shall: ● Raise the CCR if

required for the project ● Inform the

Commissioning engineer if any further configuration documentation is required

● Inform the Commissioning engineer when the configuration changes have been approved

● Ensure that applicable Ellipse application is updated to reflect any changes resulting from this project

● Close out CCR processes

● No site works to commence until the Commissioning Engineer has been formally notified that the configuration changes (if applicable) have been formally approved by the CCB.

● The Commissioning engineer shall:


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Assist the Asset engineer, signals with the configuration change process as required

C 429 (Cont)

● Ensure that any site work does not commence until the configuration changes

● Have been approved by the CCB

● Provide the Asset engineer, signals with a listing of new, altered and removed assets

Signalling Safe working Procedures Manual J TMG J011

5.25 C 430 Decommissioning and Disposal Procedures Code Reference Control Requirements Control Data Control Checklist C 430 Decommissioning

and Disposal (AS 4292.1, 6.9)

Standards and procedures shall be established and maintained for decommissioning and if required, disposal of safety related equipment and systems. The standards shall, where appropriate, take into consideration the following factors: a) The need to maintain safe railway operations during

decommissioning and disposal. b) The need to ensure that no ambiguity exists regarding

the type of safe working system in force at any one location or time.

c) The need to ensure that decommissioned equipment is clearly identified as such.

d) The need to prevent inappropriate re-use of decommissioned equipment prior to disposal.

e) The need to eliminate as far as practicable any public hazard associated with decommissioned equipment,

Procedures established for decommissioning and disposal of Signalling equipment and systems.

RailCorp Infrastructure Engineering Specification – Signalling, Inspection and Testing of Signalling Plans, Programs, Documentation and Packages. SPG 0711.2 9.6.7 Decommissioning and Disposal. De-commissioning and disposal shall be planned as part of the testing and commissioning activities and safe and efficient disposal shall be a condition of the final completion of the project. It


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giving consideration to both short and long-term conditions.

shall be responsibility of the Commissioning engineer to: ● Establish the impact of

decommissioning and disposal on any system or external facility associated with the system to be de-commissioned;

● Plan the decommissioning, including the establishment of procedures for:-

● The identification and removal of all de-commissioned and redundant equipment;

● The safe shut down of the system and any associated external facility;

● The safe dismantling of the system and any associated external facility;

● The assurance of continued functioning and safety integrity of any systems or external facility affected by the decommissioning of the system.

All redundant materials, structures and equipment including wire and cable shall be removed during the


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commissioning wherever such equipment may impinge on the operation of the new work or could lead to confusion or distraction of train drivers, operators or maintainers. Train staffs, Annett keys and locks, “Fortress” keys (on ESML or EOL systems) and locks shall be handed to the Commissioning Engineer and a receipt obtained.


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6 Interface Management


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6.1 General Code Reference Control Requirements Control Data Control Checklist C 071 (C 440)

General (AS 4292.1, 7.1)

RailCorp shall establish, implement and maintain a documented process for interface management in respect of safety issues at its interfaces with the infrastructure or activities of either another railway organisation, another function area within the same organisation or another party.

Documented procedures established for Interface Management.

Has an Interface Management Plan – Signalling and Train Control Systems been prepared and completed as a component of an Interface Coordination Plan. Signalling SPG 0711.7 Standard Forms contains a template for a standard Interface Coordination Plan Has a Project Safety Agreement been completed?

6.2 Application Code Reference Control Requirements Control Data Control Checklist C 072 (C 440)

Application (AS 4292.1, 7.2)

Rail safety interface issues, which could result in a risk to safety, shall be identified and assessed to establish whether specific controls are needed. Typical interface matters to be considered include the following: a) Interfaces within an organisation or between two or more

railway organisations as follows: i) Track and civil infrastructure. ii) Electrical infrastructure iii) Rolling stock iv) Signalling and telecommunication systems and

equipment. v) Traffic and train management. vi) Property access control and protection vii) Railway to railway management. viii) Other developments above or below the railway. ix) Interface between two track systems

Procedures established to determine safety risks

Inspection and Testing of Signalling Interface Requirements and Procedures for Alterations SPG 0711.6 5.0 Modifications on a large scale Where there are many and/or complex modifications to existing circuits the Commissioning engineer shall analyse the potential for error using risk analysis techniques. The probability of human error in performing multiple tasks


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b) Interfaces between railway organisations and other

organisations or infrastructure as follows i) Grade separation ii) At-grade crossings iii) Joint and alternative use facilities and shared

transport corridors such as dual use roadways and bridges.

iv) Utilities. v) Terminals, yards and stations.

increases with the number of repetitions and is influenced by the rigour and application of the testing methods, by the testing personnel's experience, alertness, awareness of the potential sources or error, sense of accountability, state of fitness and whether the environment is favourable or adverse to the chances of an error free process.

C 072 (C 440) (Cont)

2.0 Interface Requirements Interfaces between new and altered work and the existing signalling system require careful planning from the concept stage of the project. A major issue for interface planning is to minimise work in and around existing operational signalling apparatus thus reducing access requirements and risks affecting reliability, accidental damage or interference. The design, program, work practices and inspection and testing shall be arranged to maximise compliance with this requirement.


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6.3 Interface Co-Ordination Code Reference Control Requirements Control Data Control Checklist C 073 (C 440)

Interface Co-Ordination (AS 4292.1, 7.3)

Whenever there is a need to manage an interface, an interface co-ordination plan, which clearly identifies the relevant responsibilities of each party and to which the parties shall agree, shall be established. The plan shall as appropriate, include the following: Determination of the functional areas in the railway organisation or organisations and where applicable, the functional area within the organisation of any other party, which will be involved. Definition of the point at which, or limits within which, each interface between parties occurs. The subject matter to be considered and resolved across each interface. Determination as to which party agrees to accept responsibility for each of the items detailed in item ©, or each component of an item where there is a special or other split of the item. Determination under which assets life cycle phase, each item of subject matter is to be considered, and where relevant the life cycle phases of the interface itself. Determination as to what information needs to be obtained by each organisation from other organisations at the interface to allow adequate monitoring of the safe operation of the interface. Processes for assessing and monitoring the compatibility of engineering and operational parameters. Procedures for review of the interface co-

Procedures established for Interface co-ordination plan. Procedures established identifying responsibilities

Inspection and Testing of Signalling Interface Requirements and Procedures for Alterations SPG 0711.6 The Regional signal representative shall ensure that an Interface Coordination Plan and a Project Safety Agreement are agreed with all Regional stakeholders prior to authorising site work to commence. Signalling SPG 0711.7 Standard Forms contains a template for a standard Interface Coordination Plan. The agreement shall detail and document the following: ● Nomination of personnel and roles, ● Schedule of Notification, Witness

and Hold Points, ● Interface Identification, ● Site Integrity Agreement and Site

Assessment, ● Planned Stagework, ● Signalling access arrangements, ● Operational issues arising from the

works, ● Regional representative

responsibility, ● Training Requirements, ● Configuration Control, ● Type approvals, trials and waivers, ● Commissioning the works –

requirements, ● Pre – existing safety issues, ● Signalling Maintenance

responsibility, ● Maintenance documentation,


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ordination plan. Procedures for access by other parties

● Documentation and Handover schedule,

● Checklist of requirements from Inspection and Testing Specifications

C 073 (C 440) (Cont)

● Interface management plan - signalling and train control systems,

● Interface management plan – Others,

● Interface Coordination Plan Agreement.

6.4 Safety Management of the Interfaces Code Reference Control Requirements Control Data Control Checklist C 074 (C 440)

Safety Management of the Interfaces (AS 4292.1, 7.4)

C 074 (C 440)

General requirements (AS 4292.1, 7.4.1)

All track managers and operators as defined in Sections (see 1.5.25 and 1.5.10 respectively) involved with interface management shall prepare, implement and maintain the necessary documentation required to ensure the interface is managed safely in accordance with AS 4292.1

Procedures established to prepare and maintain documentation required for interface safety.

RailCorp Infrastructure Engineering Specification - Signalling Inspection and Testing of Signalling Interface Requirements and Procedures for Alterations SPG 0711.6 2.1. Requirements for Assurance of Safety In order to ensure the safety of the new and the existing signalling system the Commissioning engineer shall ensure that there is a clear definition and understanding of the work and the division of responsibilities at interfaces. These requirements are documented in an Interface Coordination Plan, Inspection and Testing Plan and Work Package for


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the work and stage work. ● Interface Coordination Plan

completed ● Inspection and Test Plan completed ● Work package completed ● Project Safety Agreement

completed Common

Essential Requirements (AS 4292.1, 7.4.2)

In addition to the general requirements of Section 7.4.1 the following common essential requirements of the track manager and operator, shall be addressed: Note: These requirements are additional to commercially based and other matters forming part of an access agreement. a) Rolling stock Railway vehicles shall be

considered in respect of the following: See AS 4292.1, 7.4.2 (a)

b) Track and civil infrastructure Track and civil

infrastructure shall be considered in respect of the following: See AS 4292.1, 7.4.2 (b)

c) Electric traction infrastructure The following

shall be considered: See AS 4292.1, 7.4.2 (c) d) Train control Train control, safe working,

signalling and telecommunications systems shall be considered. Effective 2-way communication and communication protocols between the train crew and the worker controlling trains shall be provided.

e) Operations The following operations matters

shall be considered: See AS 4292.1, 7.4.2 (e)


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