Multi-Discipline Rail Infrastructure Design …...multi-discipline rail infrastructure design...

Multi-Discipline Rail Infrastructure Design Management

T MU MD 00014 GU

Guide

Version 1.0

Issued date: 17 January 2018

© State of NSW through Transport for NSW 2018

T MU MD 00014 GU Multi-Discipline Rail Infrastructure Design Management

Version 1.0 Issued date: 17 January 2018

Important message

This document is one of a set of standards developed solely and specifically for use on Transport Assets (as defined in the Asset Standards Authority Charter). It is not suitable for any other purpose. The copyright and any other intellectual property in this document will at all times remain the property of the State of New South Wales (Transport for NSW). You must not use or adapt this document or rely upon it in any way unless you are providing products or services to a NSW Government agency and that agency has expressly authorised you in writing to do so. If this document forms part of a contract with, or is a condition of approval by a NSW Government agency, use of the document is subject to the terms of the contract or approval. To be clear, the content of this document is not licensed under any Creative Commons Licence. This document may contain third party material. The inclusion of third party material is for illustrative purposes only and does not represent an endorsement by NSW Government of any third party product or service. If you use this document or rely upon it without authorisation under these terms, the State of New South Wales (including Transport for NSW) and its personnel does not accept any liability to you or any other person for any loss, damage, costs and expenses that you or anyone else may suffer or incur from your use and reliance on the content contained in this document. Users should exercise their own skill and care in the use of the document. This document may not be current and is uncontrolled when printed or downloaded. Standards may be accessed from the Asset Standards Authority website at www.asa.transport.nsw.gov.au




Standard governance

Owner: Manager, Systems Engineering Process, Asset Standards Authority

Authoriser: Chief Engineer, Asset Standards Authority

Approver: Executive Director, Asset Standards Authority on behalf of the ASA Configuration Control Board

Document history

Version Summary of changes

1.0 First issue.

For queries regarding this document, please email the ASA at [email protected] or visit www.asa.transport.nsw.gov.au




Preface The Asset Standards Authority (ASA) is a key strategic branch of Transport for NSW (TfNSW).

As the network design and standards authority for NSW Transport Assets, as specified in the

ASA Charter, the ASA identifies, selects, develops, publishes, maintains and controls a suite of

requirements documents on behalf of TfNSW, the asset owner.

The ASA deploys TfNSW requirements for asset and safety assurance by creating and

managing TfNSW's governance models, documents and processes. To achieve this, the ASA

focuses on four primary tasks:

• publishing and managing TfNSW's process and requirements documents including TfNSW

plans, standards, manuals and guides

• deploying TfNSW's Authorised Engineering Organisation (AEO) framework

• continuously improving TfNSW’s Asset Management Framework

• collaborating with the Transport cluster and industry through open engagement

The AEO framework authorises engineering organisations to supply and provide asset related

products and services to TfNSW. It works to assure the safety, quality and fitness for purpose of

those products and services over the asset's whole-of-life. AEOs are expected to demonstrate

how they have applied the requirements of ASA documents, including TfNSW plans, standards

and guides, when delivering assets and related services for TfNSW.

Compliance with ASA requirements by itself is not sufficient to ensure satisfactory outcomes for

NSW Transport Assets. The ASA expects that professional judgement be used by competent

personnel when using ASA requirements to produce those outcomes.

About this document

This document provides general and scalable guidance on the principles and practice of

multi-discipline rail infrastructure design management as applied on TfNSW rail engineering

projects.

This guide elaborates on the expectations on the parties that manage the engineering

(specifically design) process, as set out in T MU MD 00009 ST AEO Authorisation

Requirements.

This guide has been prepared by the ASA in consultation with TfNSW agencies and industry

representatives.

This document is the first issue.

© State of NSW through Transport for NSW 2018 Page 4 of 152



Table of contents 1. Introduction .............................................................................................................................................. 9

2. Purpose .................................................................................................................................................... 9 2.1. Scope ..................................................................................................................................................... 9 2.2. Application ........................................................................................................................................... 10

3. Reference documents ........................................................................................................................... 11

4. Terms and definitions ........................................................................................................................... 15

5. TfNSW project life cycle stages ........................................................................................................... 19 5.1. Concept phase ..................................................................................................................................... 19 5.2. Specify and procurement phases ........................................................................................................ 20 5.3. Design phase ....................................................................................................................................... 20 5.4. Build, integrate and accept phases ..................................................................................................... 20 5.5. Operate and maintain phases.............................................................................................................. 21 5.6. Dispose phase ..................................................................................................................................... 21

6. Engaging a design AEO ........................................................................................................................ 21 6.1. Project design organisation structure .................................................................................................. 21 6.2. Assigning project design roles and responsibilities ............................................................................. 23

7. Design planning ..................................................................................................................................... 25 7.1. Input ..................................................................................................................................................... 25 7.2. Activity .................................................................................................................................................. 26 7.3. Applicable standards and guides ......................................................................................................... 30 7.4. Responsibility ....................................................................................................................................... 30 7.5. Timing .................................................................................................................................................. 31 7.6. Output .................................................................................................................................................. 31

8. Design authority and competence assurance .................................................................................... 31 8.1. Input ..................................................................................................................................................... 32 8.2. Activity .................................................................................................................................................. 32 8.3. Applicable standards and guides ......................................................................................................... 33 8.4. Responsibility ....................................................................................................................................... 34 8.5. Timing .................................................................................................................................................. 34 8.6. Output .................................................................................................................................................. 34

9. Shared design information ................................................................................................................... 34

10. Design input requirements ................................................................................................................... 34 10.1. Input ................................................................................................................................................. 35 10.2. Activity .............................................................................................................................................. 35 10.3. Applicable standards and guides ..................................................................................................... 37 10.4. Responsibility ................................................................................................................................... 37 10.5. Timing .............................................................................................................................................. 38 10.6. Output .............................................................................................................................................. 38

11. Engineering standards management .................................................................................................. 38 11.1. Input ................................................................................................................................................. 38




11.2. Activity .............................................................................................................................................. 39 11.3. Applicable standards and guides ..................................................................................................... 41 11.4. Responsibilities ................................................................................................................................ 42 11.5. Timing .............................................................................................................................................. 42 11.6. Output .............................................................................................................................................. 42

12. Design tools ........................................................................................................................................... 43 12.1. Software tool licences ...................................................................................................................... 43 12.2. Design libraries ................................................................................................................................ 43 12.3. Applicable standards and guides ..................................................................................................... 43 12.4. Responsibilities ................................................................................................................................ 43 12.5. Timing .............................................................................................................................................. 43 12.6. Outputs ............................................................................................................................................ 44

13. Design surveys ...................................................................................................................................... 44 13.1. Inputs ............................................................................................................................................... 44 13.2. Design survey activity ...................................................................................................................... 44 13.3. Applicable standards and guides ..................................................................................................... 46 13.4. Responsibilities ................................................................................................................................ 47 13.5. Timing .............................................................................................................................................. 47 13.6. Output .............................................................................................................................................. 47

14. Design synthesis ................................................................................................................................... 48 14.1. Applicable standards and guides ..................................................................................................... 48

15. Safety in design ..................................................................................................................................... 49

16. Judgement of significance (JoS) ......................................................................................................... 49 16.1. Input ................................................................................................................................................. 50 16.2. Activity .............................................................................................................................................. 50 16.3. Applicable standards and guides ..................................................................................................... 51 16.4. Responsibility ................................................................................................................................... 51 16.5. Output .............................................................................................................................................. 51

17. Design risk ............................................................................................................................................. 52 17.1. Input ................................................................................................................................................. 52 17.2. Activity .............................................................................................................................................. 52 17.3. Applicable standards and guides ..................................................................................................... 53 17.4. Responsibility ................................................................................................................................... 54 17.5. Output .............................................................................................................................................. 54

18. Value engineering .................................................................................................................................. 54 18.1. Input ................................................................................................................................................. 54 18.2. Activity .............................................................................................................................................. 55 18.3. Applicable standards and guides ..................................................................................................... 55 18.4. Responsibility ................................................................................................................................... 55 18.5. Timing .............................................................................................................................................. 56 18.6. Output .............................................................................................................................................. 56

19. Engineering design assurance ............................................................................................................ 56




19.1. Inputs ............................................................................................................................................... 56 19.2. Activity .............................................................................................................................................. 56 19.3. Applicable standards and guides ..................................................................................................... 63 19.4. Responsibilities ................................................................................................................................ 64 19.5. Output .............................................................................................................................................. 64

20. Design documentation and records management ............................................................................. 64 20.1. Activity .............................................................................................................................................. 65 20.2. Applicable standards and guides ..................................................................................................... 66 20.3. Responsibility ................................................................................................................................... 66 20.4. Output .............................................................................................................................................. 67

21. Dependability in design ........................................................................................................................ 67 21.1. Input ................................................................................................................................................. 67 21.2. Activity .............................................................................................................................................. 68 21.3. Applicable standards and guides ..................................................................................................... 73 21.4. Responsibility ................................................................................................................................... 74 21.5. Timing .............................................................................................................................................. 74 21.6. Output .............................................................................................................................................. 75

22. Interface design ..................................................................................................................................... 75 22.1. Input ................................................................................................................................................. 76 22.2. Activity .............................................................................................................................................. 76 22.3. Applicable standards and guides ..................................................................................................... 77 22.4. Responsibility ................................................................................................................................... 77 22.5. Timing .............................................................................................................................................. 78 22.6. Output .............................................................................................................................................. 79

23. Design configuration control ............................................................................................................... 79 23.1. Input ................................................................................................................................................. 79 23.2. Activity .............................................................................................................................................. 79 23.3. Applicable standards and guides ..................................................................................................... 82 23.4. Responsibility ................................................................................................................................... 82 23.5. Timing .............................................................................................................................................. 83 23.6. Output .............................................................................................................................................. 83

24. Engineering specifications ................................................................................................................... 83 24.1. Input ................................................................................................................................................. 84 24.2. Activity .............................................................................................................................................. 84 24.3. Applicable standards and guides ..................................................................................................... 86 24.4. Responsibility ................................................................................................................................... 86 24.5. Timing .............................................................................................................................................. 86 24.6. Output .............................................................................................................................................. 86

25. Design support during construction ................................................................................................... 87 25.1. Input ................................................................................................................................................. 87 25.2. Activity .............................................................................................................................................. 87 25.3. Applicable standards and guides ..................................................................................................... 88




25.4. Responsibility ................................................................................................................................... 89 25.5. Timing .............................................................................................................................................. 89 25.6. Output .............................................................................................................................................. 89

26. Integrated design approach ................................................................................................................. 89 26.1. Process model description ............................................................................................................... 90 26.2. Signalling and control ...................................................................................................................... 91 26.3. Track, structures and buildings ........................................................................................................ 93 26.4. Low voltage power supplies............................................................................................................. 95 26.5. HV and traction power supplies ....................................................................................................... 96 26.6. Overhead wiring ............................................................................................................................... 97 26.7. Telecommunications ........................................................................................................................ 98

Appendix A Suggested design process diagrams ............................................................................ 100 A.1. Sample design process (per stage, per discipline) ............................................................................ 100 A.2. Sample design process (all stages) ................................................................................................... 101 A.3. Sample integrated design approach .................................................................................................. 102

Appendix B Sample design forms and templates ............................................................................. 103 B.1. Sample project design management plan ......................................................................................... 103 B.2. Sample design work package form ................................................................................................... 106 B.3. Sample design work package register ............................................................................................... 107 B.4. Sample request for information form ................................................................................................. 108 B.5. Sample request for information register ............................................................................................ 109 B.6. Sample design comments register .................................................................................................... 110 B.7. Sample design calculation record form ............................................................................................. 111 B.8. Sample design verification record form ............................................................................................. 112 B.9. Sample interdisciplinary design check form ...................................................................................... 115 B.10. Sample interdisciplinary design checklists .................................................................................... 116 B.11. Sample hazard log ......................................................................................................................... 131 B.12. Sample design release checklist ................................................................................................... 132 B.13. Sample design report (suggested contents) .................................................................................. 134 B.14. Sample inspection and test plan and certificate register ............................................................... 136 B.15. Sample inspection and test plan and certificate form .................................................................... 148 B.16. Sample engineering standards change log ................................................................................... 149 B.17. Sample design bill of materials ...................................................................................................... 150 B.18. Sample project safety responsibilities matrix ................................................................................. 151 B.19. Standards concession register ...................................................................................................... 152




1. Introduction Transport for New South Wales (TfNSW) has adopted a total asset management approach to the

planning, design, acquisition, operation, maintenance and disposal of transport network assets to

support the transport services provided to the people of New South Wales.

In the past, TfNSW assessed and controlled design authority on all engineering projects carried

out by the private sector industry. Under the new Authorised Engineering Organisation (AEO)

framework, TfNSW still retains the status of overall design authority. However, it now delegates

this design authority to industry AEOs under an assessment and audit regime that assures the

suitability of the organisation, competency of professionals deployed and associated engineering

(design) processes.

This guide will assist the reader in understanding and applying the engineering design

management requirements stated in T MU MD 00009 ST AEO Authorisation Requirements.

This guide describes how rail infrastructure design management activities and topics fit within the

context of all stages of the TfNSW asset life cycle.

2. Purpose The objective of this guide is to present a structured, repeatable, and scalable approach for

managing engineering design for rail infrastructure projects, ranging from simple to complex.

The benefit of a robust and scalable design management methodology to project managers

(PMs) in planning and delivering new or altered systems is to militate against risks including poor

or inconsistent quality, inadequate performance, cost overrun, schedule overrun, lack of system

acceptance by TfNSW, and ongoing operational and maintenance issues over the asset lifetime.

In particular, this guide will assist lower capability-maturity or new-entry AEOs from other

geographical areas and industry sectors to understand the need for, and practical application of,

consistent design principles on multi-modal TfNSW projects.

The provision of consistent and competent rail infrastructure engineering design services to

TfNSW therefore requires performance-based minimum guidance for AEOs to follow.

2.1. Scope Although non-mandatory, for the purpose of delivering an integrated rail infrastructure system

solution, this guide presents the recommended structure and practice for carrying out multi-

discipline infrastructure design management activities on TfNSW projects, in response to

T MU MD 00009 ST AEO Authorisation Requirements and TS 10504 AEO Guide to Engineering

Management.

The scope of this guide is constrained to public transport rail infrastructure systems including

passenger and freight heavy rail, as well as rapid transit metro and light rail. While there are


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many elements of this guide that could apply to other public transport modes (for example ferries

and buses), its intent and focus remains in the rail transport mode.

Design management includes all tasks that may alter the physical configuration, functional

performance, or conditions of use of rail infrastructure assets to support services. This guide’s

interpretation of ‘multi-discipline’ railway design management signifies the multiple asset-based

disciplines (for example, civil, track, electrical, signalling) that need to collaboratively develop an

integrated rail infrastructure design solution. Multi-discipline in this context is not explicitly

intended to mean non-asset disciplines (for example, systems engineering, RAMS, human

factors, safety assurance and sustainability), as these disciplines permeate throughout each of

the asset-specific disciplines, and in their overall integration into the whole rail solution.

Specifically, this guide focuses on the design management process for design managers and

TfNSW project managers and technical managers who may not be deep discipline subject matter

experts (SMEs) in the individual asset types, but who will need to manage the infrastructure

design team and the infrastructure design production and assurance process, including

management of design support during the construction and testing phases.

This guide does not provide detailed guidance on how to design each specialist infrastructure

asset type (for example, track, civil, electrical, signalling, telecommunications, and building

design) that constitutes the integrated rail infrastructure.

This guide does not cover temporary works (for example, scaffolding and shoring works) design

performed by constructors.

This guide does not cover rolling stock or other rail vehicle design, which is performed by

specialised rolling stock suppliers, although rail infrastructure designers may be involved in the

specification and design of interfaces between infrastructure and rolling stock (for example, the

‘wheel-rail interface’, gauging and electrical traction power interfaces).

This guide does not prescribe the detail of design processes applied to a particular project or

program type or scope. The AEO should scale and tailor the guide’s principles to suit a particular

project scope via a project-specific design management plan.

This guide does not apply to the design of original equipment manufacturer (OEM) products.

2.2. Application This guide applies to the following:

• rail infrastructure systems including passenger and freight heavy rail, as well as rapid transit

metro and light rail

• entities within TfNSW and the supply chain involved in acquiring new or altered systems

• project managers (for practical awareness) and design managers (practitioner application)

• planning and execution of design activities on TfNSW railway infrastructure engineering

projects, and across the project life cycle from concept to commissioning




• at a number of levels, including network-specific line or route, or project

Without being overly prescriptive, this guide attempts to provide sufficient detail based on known

good current design practice to be of use to TfNSW and its AEO supply chain. The AEO need not

apply every element of this guide on every project. For example, track renewals, overhead wiring

(OHW) or at-grade car park projects may only require the application of some guide elements,

whereas highly complex, novel line or network-wide programs will require application of all this

guide’s elements.

Note: The AEO should tailor and scale the design management concepts, principles,

and processes described in this guide to apply cost-effectively on a project, in a similar

manner to scaling and tailoring of systems engineering and safety assurance activities,

commensurate with a proposed project’s risk, size, complexity and novelty (meaning

systems, assets, processes, and support arrangements not used previously on the

TfNSW Transport Network). For example, the scope of planning and the range of

project design-related plans described in Section 7 can vary significantly from small,

single discipline (such as civil only) projects using type-approved products in standard

configurations, to large, multi-discipline projects using novel products that require type

approval, and are configured in a novel way. In simple projects, it may be possible to

combine planning documents into a smaller set of plans that briefly describe planning

elements.

3. Reference documents The following documents are cited in the text. For dated references, only the cited edition applies.

For undated references, the latest edition of the referenced document applies.

The hierarchy of applicable standards to follow should align with Section 9 of

T MU MD 00002 ST Network Standards Governance.

International standards

EN 50126-1: 1999 Railway applications – The specification and demonstration of Reliability,

Availability, Maintainability and Safety (RAMS) - Part 1: Basic requirements and generic process

EN 50128: 2011 Railway applications – Communication, signalling and processing systems –

Software for railway control and protection systems

EN 50129: 2003 Railway applications –Communication, signalling and processing systems –

Safety related electronic systems for signalling

Australian Standards

AS 4292.1-2006 Railway safety management Part 1: General requirements

AS ISO 15489.1 Records management – Part 1: General

AS/IEC 61508 (series) Functional safety of electrical/electronic/programmable electronic

safety-related systems (E/E/PE, or E/E/PES)




AS/NZS ISO 9000 Quality management systems - Fundamentals and vocabulary

AS/NZS ISO 31000 Risk Management – Principles and guidelines

AS/NZS ISO/IEC/IEEE 15288:2015 Systems and software engineering – System life cycle

processes

Legislation

Rail Safety National Law (NSW)

State Records Act 1998

Transport for NSW standards

CAD Resources – 06 – Electrical

Guide to Transport for NSW Framework for Assuring the Safety of Rail Assets and Infrastructure

T HR CY 03000 ST Competency Standard - Signalling

T HR MD 10001 GU Glossary of Defined Terms - Competency Management

T HR SY 10000 GU Overview of Rail Security Standards and Interpretation Guide

T HR TR 13000 ST Railway Surveying

T MU AM 01001 ST Life Cycle Costing

T MU AM 01002 MA Maintenance Requirements Analysis Manual

T MU AM 01003 F1 Blank FMECA Sheet

T MU AM 01003 F2 Blank Service Schedule Form

T MU AM 01003 F3 Blank TMP Form

T MU AM 01003 F4 Technical Maintenance Plan Review and Authorisation Form

T MU AM 01003 ST Development of Technical Maintenance Plans

T MU AM 01004 ST Maintenance Service Schedule Classification and Compliance

T MU AM 01005 ST Asset Handover Requirements

T MU AM 01008 ST Technical Maintenance Plans and Coding System

T MU AM 01009 TI Technical Maintenance Coding Register

T MU AM 01012 ST Engineering Document Requirements

T MU AM 04001 PL TfNSW Configuration Management Plan

T MU AM 04002 GU TfNSW Configuration Management and Asset Assurance Committee

Submissions Guide

T MU AM 04003 GU Configuration Management Guide

T MU AM 06001 GU AEO Guide to Systems Architectural Design




T MU AM 06002 GU AEO Guide to Reliability, Availability and Maintainability

T MU AM 06004 ST Requirements Schema

T MU AM 06006 GU Systems Engineering Guide

T MU AM 06006 ST Systems Engineering

T MU AM 06007 GU Guide to Requirements Definition and Analysis

T MU AM 06008 GU Operational Concept Definition

T MU AM 06008 ST Operations Concept Definition

T MU AM 06009 ST Maintenance Concept Definition

T MU AM 06010 GU Business Requirements Specification

T MU CY 01000 GU TfNSW Competency Standards Guidelines and Glossary

T MU CY 04000 ST Competency Pathways - Control Systems

T MU CY 10503 GU AEO Guide to Engineering Competence Management

T MU HF 00001 ST Human Factors Integration – General Requirements

T MU MD 00001 SP Network Standards Numbering System

T MU MD 00002 ST Network Standards Governance

T MU MD 00006 F1 Metadata Spreadsheet for Engineering Drawings

T MU MD 00006 ST Engineering Drawings and CAD Requirements

T MU MD 00006 TI Technical Information for CAD and Engineering Drawings

T MU MD 00009 ST AEO Authorisation Requirements

T MU MD 00011 F1 Request for Concession to ASA Requirement

T MU MD 00011 F2 Request for Review of Nonconformance to ASA Requirement

T MU MD 00011 F3 Notice of Concession

T MU MD 00011 F4 Notice of Review of Nonconformance

T MU MD 00011 ST Concessions to ASA Requirements

T MU MD 20000 GU Risk Tolerability, Quantified Risk Assessment and its Role in the Assurance

of Change

T MU MD 20001 ST System Safety Standard for New or Altered Assets

T MU MD 20002 ST Risk Criteria for Use by Organisations Providing Engineering Services

TN 002: 2014 Replacement of RailCorp Waiver Processes

TN 025: 2016 Principles, standards and high level design parameters for the development of light

rail systems




TN 058: 2016 Clarification of cyber security risk management

TN 096: 2014 Withdrawal of TMG J000 Signalling Safeworking Procedures (Manual J)

TS 10504 AEO Guide to Engineering Management

TS 10506 AEO Guide to Verification and Validation

TS 10507 AEO Guide to Systems Integration

Other reference documents

20-FT-388 Initial Safety Change Assessment

Note: This document is not published externally to TfNSW. Contact your contract

manager to arrange access.

Australian Safety and Compensation Council (now Safe Work Australia) 2006, Guidance on the

Principles of Safe Design for Work, Safe Work Australia, Canberra

Safe Work Australia 2014, Safe design of structures code of practice

Transport for NSW Sustainable Design Guidelines for Rail Version 4.0

Transport for NSW 2016, 9TP-SD-081 TfNSW Climate Risk Assessment Guidelines, version 1.0

RailCorp legacy documents (to be removed or superseded in future)

The following legacy RailCorp procedures, forms and manuals referred to in this guide are

currently still available on the ASA website. However this document does not specifically endorse

or recommend use of these legacy documents, other than to provide as additional information.

AM 9995 PM Maintenance Requirements Analysis Manual

ATN 12/06 New or revised engineering standards issued after commencement of design

EPA 240 Design Competence Framework

EPA 240 FM01 Career Log Book

EPA 241 Engineering Authority for Design

EPA 241 FM01 Engineering Authority Application

EPA 243 Engineering Standards Waivers

EPA 243 FM01 Engineering standards waivers request form

EPA 280 Design Acceptance

EPA 280 FM01 Statement of No Objection Concept Design

EPA 280 FM02 Statement of No Objection Construction

EPD 0001 Design Management Process

EPD 0004 Engineering Specifications

EPD 0005 Requirements Analysis, Allocation and Traceability




EPD 0006 Design Standards

EPD 0007 Interface Definition and Management

EPD 0008 Design Safety Management

EPD 0009 Reliability, Availability and Maintainability (RAM)

EPD 0010 Design Approval

EPD 0011 Design Verification

EPD 0012 Design Validation

EPD 0013 Technical Reviews

EPD 0014 Managing Configuration Change

EPD 0017 Design Documentation and Records

EPD 0018 Integrated Support Requirements

EPD 0019 Maintenance Requirements Analysis

ESI 0021 Provision of Technical Maintenance Plans by External Organisations

SPA 217 Configuration Information Specification

TMA 410 FM01 Request for Review of RailCorp Engineering Standard

TMA 413 Technical Reviews Manual

TMA 0491 Accurate Field Drawing

TMA 0492 Data Capture Procedure

TMA 0493 Scope Procedure

TMA 0494 Work as Executed Procedure

TMA 0495 Infrastructure Services Data Policy

TMA 0496 Specification for Collection of Services Data

TMA 0497 Code and Layer Definitions for Services Identification

TMA 0511 Plan Symbols and Interpretation Guidelines

TMD 0001 CAD and Drafting Manual – Electrical Operation Diagrams - Section 5

TMGA 1510 Signalling Design Process for Projects Managed by Third Parties

4. Terms and definitions The following terms and definitions apply in this document:

AEO Authorised Engineering Organisation

AFC approved for construction (also referred to as issued for construction - IFC)




The status of a design that has been prepared, checked, verified and approved by

competent persons in accordance with all relevant contract requirements and standards

and successfully completed an Interdisciplinary Check (IDC) process and successfully

passed TNAC gate 3.

ASA Asset Standards Authority

BCA Building Code of Australia

BIM building information modelling

BRS business requirements specification

CAD computer-aided design

CMAAC Configuration Management and Asset Assurance Committee (now TNAC)

complexity refers to the number and type of interfaces between elements of the new or altered

system, interfaces with neighbouring systems and environment, number of stages in the

migration from present configuration to final configuration, number, and type of assets that

comprise the integrated system, organisational complexity, and process complexity

CSR combined services route

D&C design and construct

DBR design basis report

DCR design change request

DDA Disability Discrimination Act 1992

DE digital engineering

DL discipline lead; technical subject matter expert who will identify, assess the competence,

authorise and provide suitable specialist design staff, and will oversee them in an asset specialist

area

DM design manager; a manager who may not be a technical subject matter expert (SME) in more

than one relevant asset discipline, but who leads the multi-disciplinary design delivery effort and

manages specific and time-constrained project design work packages

DMP design management plan

DSRP design sustainability review panel

DSS detailed site survey

DWP design work package

ECN engineering change note

ECR engineering change request

EMP engineering management plan




EMR electromagnetic radiation

FAI first article inspection

FAT factory acceptance test

GIS geospatial information system

HAZID hazard identification (technique)

HAZOP hazard and operability (study)

HF human factors

HFI human factors integration

HV high voltage

IDC interdisciplinary design check

ISA independent safety assessor/assessment

ISCA initial safety change assessment

ISO International Organization for Standardization

ISS initial site survey

ITC inspection and test certificate

ITP inspection and test plan

LV low voltage

novelty refers to systems, assets, processes, and support arrangements not used previously on

the TfNSW Transport Network

O and M operator and maintainer

OEM original equipment manufacturer

OHW overhead wiring

ONRSR Office of the National Rail Safety Regulator

PDP project delivery plan

PHA preliminary hazard analysis

PIR post implementation review

PMP project management plan

PPE personal protective equipment

project the organisation responsible for planning and delivering new or altered transport systems.

The project includes wider portfolio and program organisations.

PXP project execution plan




rail infrastructure the facilities that are necessary to enable a railway to operate and includes:

(a) railway tracks and associated railway track structures

(b) service roads, signalling systems, communications systems, rolling stock control systems,

train control systems and data management systems

(c) notices and signs

(d) electrical power supply and electric traction systems

(e) associated buildings, workshops, depots and yards

(f) plant, machinery and equipment

But it does not include:

(g) rolling stock

(h) any facility, or facility of a class, that is prescribed by the national regulations not to be rail

infrastructure

RAM reliability, availability, maintainability

reference design a suggested design solution produced by TfNSW for tendering purposes, that

is intended for contracting designers to copy, but which they may choose to enhance or modify

RFI request for information

RIM rail infrastructure manager

risk refers to safety, environmental, political or business risks attributed to introducing the new or

altered system

S and T signals and telecommunications

SAR safety assurance report

SAT site acceptance test

scaling refers to the overall scope and impact of the change, which may be defined in terms of

geographical extent, program duration, overall cost, size of the organisation affected, extent of

services affected, and the number of operational assets affected

SE systems engineering

SEMP systems engineering management plan

SHA system hazard analysis

SiD safety in design

SME subject matter expert

SRS system requirements specification

stakeholder includes the owner, users, customers, operators, maintainers, affected third parties




TA technical adviser

TfNSW Transport for New South Wales

TM technical manager (TfNSW)

TMP technical maintenance plan

TNAC Transport Network Assurance Committee (was CMAAC)

V and V verification and validation

validation confirmation, through the provision of objective evidence, that the requirements for a

specific intended use or application have been fulfilled (ISO 9000)

verification confirmation, through the provision of objective evidence, that specified requirements

have been fulfilled (ISO 9000)

VfM value for money

VPR virtual planroom

WaE work-as-executed

5. TfNSW project life cycle stages The TfNSW asset life cycle model is based on and broadly aligns with AS/NZS ISO/IEC/IEEE

15288 Systems and software engineering – System life cycle processes. The model defines a

number of stages, illustrated in Figure 1.

Demand/Need Plan Aquire DisposeOperate/Maintain

Demand

Need

Procurement IntegrateDesign BuildSpecifyConcept Accept

Operate

Maintain

Evolve Dispose


Figure 1: TfNSW asset life cycle model

A design AEO needs to ensure that its engineering services align with the relevant phases of the

TfNSW asset life cycle model which are: concept, specify, procure, design, build, integrate and

accept, duly considering the foreseeable issues related to the future operation, maintenance and

disposal phases. Section 5.1 through to Section 5.4 interprets these stages.

5.1. Concept phase This phase maps to the TfNSW asset life cycle plan stage.

Key responsible parties for this phase include customer services, transport planning, service

designer, and freight services. The operator and maintainer or rail infrastructure manager (RIM)

should also be involved as part of due diligence accountability under the Rail Safety National Law

(NSW) (2012 No. 82a). The project delivery team should also be consulted to ensure that the

constructability and buildability have been considered during concept design phase.



Key activities and deliverables include high-level transport performance modelling to validate the

early operational concept definition (OCD) and maintenance concept definition (MCD)

development, optioneering, preferred option concept design, preliminary business case, risk-

assessed cost estimate, the business requirements specification (BRS) and draft systems

requirement specification (SRS).

Design AEOs are often used in the Plan stage (concept phase) to provide the following services:

• preparation of a scoping design for purposes of procurement of Concept design to be

delivered under a TA, D&C or MCC arrangement

• development of the SRS from BRS to final System requirements for endorsement by the

Sponsor and use by following designers and contractors

5.2. Specify and procurement phases These phases map to the TfNSW asset life cycle plan stage.

Key responsible parties for this phase include the project development and delivery entity, along

with the procurement entity. The designer (embedded within TfNSW as a technical adviser during

this stage of the life cycle) is responsible for development of reference designs for the purposes

of tendering for detailed design and construction. The operator, maintainer and other key stake

holders should be consulted during the reference design development.

Key activities and deliverables include systems requirement specification (SRS) final update,

reference design development and tender documentation.

5.3. Design phase This phase maps to the TfNSW asset life cycle acquire stage.

Key responsible parties for this phase include TfNSW program delivery offices and industry

supply chain Authorised Engineering Organisations (AEOs), and may involve the operator and

maintainer (O and M) and certain capital investment projects. The designer is key to this phase in

terms of developing the detailed design up to 'approved for construction' (AFC).

Key activities and deliverables include preliminary and detailed designs, safety assurance

documentation, bills of materials and product specifications all the way through to AFC.

5.4. Build, integrate and accept phases These phases map to the TfNSW asset life cycle acquire stage.

Key responsible parties for these phases include TfNSW program delivery offices and industry

supply chain AEOs, and may involve the owner and operator and maintainer and certain capital

investment projects. The designer provides design support throughout these phases as needed

to assure that the original design intent is being met.




Key activities and deliverables include procuring or fabricating products or systems, installation or

construction and integration on site, subsystem and system integration and testing,

commissioning and handover to the TfNSW asset owner and O and M.

5.5. Operate and maintain phases While design is not normally significant in this phase, it is likely that replacement, refurbishment,

rehabilitation and mid-life upgrades resulting in minor infrastructure configuration changes may

require some level of design and associated assurance.

5.6. Dispose phase Since disposal generally occurs on brownfield sites that involve the commissioning of new rail

infrastructure systems while decommissioning and disposing of old or redundant infrastructure,

design effort is required to address the controlled decommissioning and removal.

6. Engaging a design AEO TfNSW typically issues either a client brief or a contract work scope and associated requirements

for a project. This can involve the following contractual mechanisms:

• For early planning design work in the plan stage, TfNSW may engage the design AEO as a

technical adviser under a professional services contract (PSC) embedded within the ‘client’

team to develop the concept or reference design for a specific scope of work.

• For the acquire stage, TfNSW may engage the designer directly under a contract work scope

agreement. However, there may be other contractual mechanisms, such as those used in

alliance, joint venture (JV), 'managing contracts' and public private partnership (PPP)

arrangements. In these cases, the principal contractor (also an AEO) will appoint a design

AEO to operate under a design sub-consultancy agreement. TfNSW may also engage an

AEO contractor on 'Design and Construct' or 'Managing Contractor' format of agreement for

delivering the project who then engages the design AEO as a sub-consultant. These

arrangements will inform the design manager (DM) on how to plan for the design delivery.

6.1. Project design organisation structure Design organisation roles and responsibilities should not duplicate or conflict with other

management areas of the project’s overall organisation; for example, project management,

procurement, risk, system safety assurance, and others.

The person responsible for project design management in new or altered rail infrastructure

projects should create a design organisation structure, defining roles, responsibilities,

accountabilities and internal and external reporting lines.

A matrix-type organisation is often helpful (but not mandated) for assigning functional disciplines

and delivery work streams within a given project. The matrix organisation structure in Figure 2 is




typical for a large rail infrastructure project, where each function or activity requires a uniquely-

defined management role.

Change Sponsor

ProgramDirector

ChiefEngineer

EngineeringManager

SEManager

Sys ArchitectureManager

RequirementsManager

V&VManager

Tech InterfaceManager

RAMSManager

HF IntegrationManager

ConfigurationManager

EMCManager

Sys IntegrationManager

Functional Discipline Civil/StructuresDiscipline Lead

GeotechnicalDiscipline Lead

TrackworksDiscipline Lead

SignallingDiscipline Lead

Elec TractionDiscipline Lead

Control SystemsDiscipline Lead

Overhead WiringDiscipline Lead

TelecommsDiscipline Lead

Drain/HydrologyDiscipline Lead

Del

iver

y S

tream

ConstructionManager

DesignManager

Test/CommManager

Sustainability & Enviro Manager

DeployDeploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy

Deploy Arch/UrbanDiscipline Lead

SurveyDiscipline Lead

Lead Drafter/BIM Manager

Deploy

Deploy

Deploy

CommercialManager

SQERManager

StakeholderManager

Doc/DataManager


Figure 2: Sample project design organisational matrix

In a typical project design organisational matrix, each AEO design team member may report to

two project sub-managers (note that this is only illustrative and does not mandate a structure):

• Design manager (DM) who may not be a technical subject matter expert (SME) in most of

the asset disciplines, but who leads the design delivery effort and manages specific and

time-constrained project design work packages. The DM draws engineering design staff from

technical SME specialist areas to deliver their specific work packages within a project.



• Discipline lead (DL) a technical asset-specific SME who will identify, authorise and provide

suitable specialist design staff and will oversee them in an asset specialist area (for example,

civil, track, electrical, signalling).

For smaller, relatively simple projects, depending on a person’s skills, design effort may be

carried out by combining and consolidating the project manager (PM), engineering manager, and

DM roles. The DM may similarly assign a single role with more than one design responsibility,

where scaling and tailoring of engineering design effort is appropriate.

6.2. Assigning project design roles and responsibilities Table 1 identifies typical key project roles for designing new or altered rail infrastructure systems.

It assigns key responsibilities to each role, based on specific project need, and notes that roles

and responsibilities may differ between specialist disciplines.

Table 1 - Design team roles and responsibilities

Role Key responsibilities

Project manager (PM)

• establish project team, including design manager role (DM) • produce project management plan (PMP) or project execution plan (PXP)

that includes among other things, provision for design management sub-activities

• assign responsibility and accountability to the DM • coordinate design management efforts with other project activities such as

scheduling, financial, procurement, contract management, communications, quality, safety, risk, construction, testing and commissioning

Engineering manager (EM)

• produce engineering management plan (EMP), work breakdown and schedule

• management of engineering team (including design, construction, testing) • safety assurance and management • coordinate design, construction and testing activities • report all engineering activities to PM • engage with operations and maintenance stakeholders on engineering

matters • coordinate with procurement function on services, products and materials • engage with DLs on design, construction and testing issues





Design manager (DM)

• produce design management plan (DMP), work breakdown and schedule • identify design management requirements, deliverables, effort and work

packages • identify and authorise appropriate design resources (including checkers and

verifiers) required to support design work package activities appropriate to the project

• assign clear responsibilities and accountabilities to design team members • support the PM to implement effective project controls and measures in the

delivery of design deliverables throughout the project life cycle • support the overall engineering manager and other engineering functions

(manufacturing, construction, integration and testing) to control and assess engineering outputs throughout the project life cycle to ensure design intent continues to be met

• facilitate technical reviews to enable progressive assurance and include these in the scope of works between TfNSW and third parties delivering services and products

• ensure design interface management and coordination activities between design discipline work streams are implemented, and results documented and distributed

• review sub-contractor design submissions for compliance with design requirements

• identify and report on compliance gaps against the design methodology and process adopted on the project

• manage standards concessions, challenges and nonconformances as required

• manage design-related judgement of significance (JoS) assessments and submissions

• manage design-related submissions to the project control configuration board (CCB) or Transport Network Assurance Committee (TNAC) as needed

• produce design reports at key stages in the project

Designer • provide input into planning of design activities and deliverables as required • identify, interpret and follow relevant design standards, guides and codes of

practice • identify and obtain all necessary source records from TfNSW or others as

design inputs • identify, setup and operate appropriate design tools • produce designs by following the design process and relevant standards • consider aspects such as safety, sustainability, reliability, durability, whole-of-

life cost, value for money and other criteria as appropriate in the development of the design

• prepare, self-check against relevant standards and system requirements, and sign off designs, calculations, models and drawings as ‘designer’

• implement design changes as agreed with the design checker and verifier • engage with peer technical disciplines during design development to assure

integration • consider interfaces with other peer disciplines in the design development • provide technical SME input to design reports produced by the DM • provide post approved-for-construction (AFC) design support including

responding to requests for information (RFIs), engineering change notes (ECNs), witnessing testing, and design updates





Drafter, BIM or CAD operator

• translate designs produced by the designer into computer aided design (CAD) or BIM or DE models and drawings

• in some cases, the designer may be proficient to perform the CAD role themselves

• establish and manage BIM or DE models, including their configuration control

• establish and manage CAD or BIM libraries

Design checker (reviewer)

• provide design checking (review is used in the case of signalling) activity input into design activity and deliverable planning

• design checker usually has higher proficiency (knowledge and experience) than the designer

• identify and apply relevant engineering design standards, guides and codes of practice

• check designs by following a structured design checking process • engage with other technical disciplines during design checking to ensure

integration • provide technical SME input to design reports produced by the DM • provide post AFC design support (RFIs, ECNs, witness testing, design

update)

Design verifier

• provide design verification activity input into design activity and deliverable planning

• verifier has higher proficiency (knowledge and experience) than the designer and design checker

• identify and apply relevant engineering design standards, guides and codes of practice

• verify designs by following a design verification process • engage with other technical disciplines during design verification • provide technical SME input to design reports produced by the DM • provide post-AFC design support (RFIs, ECNs, witness testing, design

update) • sign off designs as verifier

7. Design planning Once a design AEO receives a brief from TfNSW (or the managing contractor AEO) with

associated requirements, the project DM should identify and assign design resources to design

work packages per asset discipline (or multiple asset disciplines, if necessary), and establish a

design package register (DPR) or similar record, in order to commence design.

7.1. Input The input to design planning will depend on when the design AEO is engaged during the project

life cycle, whether during the early planning stage (feasibility and concept or procure phase) or

during the acquisition stage (design phase).




Notwithstanding, DMs should understand how to apply design management effort, resources and

principles to rail infrastructure projects to the appropriate level, in a practical and cost-effective

manner.

7.2. Activity The first activity that the DM undertakes is the planning of design effort. This will determine the

design deliverables, milestones, activities, resources, tools and subsequent costs to design the

new or altered rail infrastructure. This design planning information will support the wider project

execution plan produced by the PM.

The DM should document how they plan to deliver the design. If the project is large and complex,

requiring considerable design effort and resources, this will involve producing a dedicated design

management plan (DMP). In very large and complex projects, the overall integrated DMP may be

supported by asset discipline-specific DMPs.

Even with non-complex projects it is considered good practice to systematically plan and

schedule design management activities and describe them in a DMP, which may be only a few

pages long.

The DMP focuses the engineering manager's attention on how the design is to be delivered and

enforces the establishment of a coherent plan that will assist in determining formalised processes

and sign-offs . The DMP may form part of the EMP, but it should be properly drafted and used by

the team as the instruction manual for the design process.

The DMP should be developed in conjunction with the project DM’s design schedule.

For simpler projects using type-approved products in standard well-proven configurations or less

asset-specific design disciplines, the engineering management plan (EMP) or project delivery (or

execution) plan (PDP/PXP) may include the design management activities as a sub-section.

The need for a standalone DMP depends on the level of scope, novelty, complexity, staging and

risk associated with the design of new or altered rail infrastructure.

The DMP (or equivalent plan) may typically address the following design-related activities:

• scope of the project and its key requirements

• scope of design services and deliverables via a design work package (DWP) structure

• establish design budget and cost control in line with the design work package structure

• establish design organisation, disciplines, resourcing (including design sub-consultants) and

required engineering competence and design authority

• establish design schedule and progress reporting (including asset-specific design disciplines

reporting to DM)

• identify design stakeholders (TfNSW and external) and stakeholder interface management

• collate design inputs (including requirements, applicable standards and source records)




• plan safety in design activities

• plan design quality assurance (QA) activities

• plan design coordination and communications arrangements

• establish design document or drawing controls and document repository

• plan design verification activities

• establish design nonconformance and corrective action management arrangements

• prepare detailed design activity schedules (per discipline)

• ensure overlapping and parallel design agreements have been initiated as required

• establish competency management/assurance for the design team and subcontractors

Appendix B.1 describes the structure of a typical high-complexity rail infrastructure project DMP.

However, the DMP scope and content can vary significantly depending on the project.

The DMP should be placed within the wider context of other plans associated with the planning

and acquisition of new or altered systems. The DMP has a contextual relationship with parent

plans, peer plans, and sub-plans. Note that these arrangements can vary from project to project.

An example of the DMP's place in relation to other plans is shown in Figure 3.




Project Management Plan

(PMP/PDP/PXP)

EngineeringMgmt Plan

Commercial Mgmt Plan

SQER MgmntPlan

SE Mgmt Plan(SEMP)

Project QualityMgmt Plan

Safety AssuranceMgmt Plan

Risk/OpportunityMgmt Plan

Enviro & SustainMgmt Plan

Design MgmtPlan (DMP)

Construct/InstallMgmt Plan

TestingMgmt Plan

ProcurementMgmt Plan

Cost/FinancialMgmt Plan

RequirementsMgmt Plan

InterfaceMgmt Plan

RAMMgmt Plan

V&VMgmt Plan

Human FactorsMgmt Plan

EMCMgmt Plan

ConfigurationMgmt Plan

IssuesMgmt Plan

StakeholderComms Plan

ResourceMgmt Plan

Document/DataMgmt Plan

CAD/GIS/BIMPlan

Safety in DesignPlan

Sustainability inDesign Plan

Design ChangeMgmt Plan

Design VerificationPlan

Asset-SpecificDesign Plans

Civil/StructuralDMP

TrackworkDMP

Electrical (HV/LV)DMP

Ops TechnologyDMP

Overhead WiringDMP

System ArchitectMgmt Plan

Bldgs/StationsDMP

Engineering StdsMgmt Plan

Input DataMgmt Plan


Figure 3: Rail Project Document Tree (example)

7.2.1. Parent plans Depending on a project’s size and complexity, the DMP should support the following parent

plans:

• Project management plan (PMP), where the level of design activity is significant, and the

supporting work breakdown structure and schedule (including design activities). This plan

may also be called a project execution plan (PXP) or a project delivery plan (PDP).

• Engineering management plan (EMP) covering all project engineering activities, including

design, manufacture/fabrication, installation, integration, testing and commissioning.

• Systems engineering management plan (SEMP), where justified, for size, complexity and

novelty of the project, and which may take on the overall role of the EMP.



The PMP (or PXP or PDP) is the top-level plan that describes overall project management

arrangements (including project scope, schedule, design, construction, safety, procurement,

resourcing, and cost) for planning and acquisition of a new or altered rail infrastructure.

The DMP should align with, and support the PMP (or PXP or PDP) objectives.

7.2.2. Peer plans

A large rail infrastructure program with high complexity, novelty and risk will likely have the

following peer plans, depending on the type of new or altered rail infrastructure:

• project quality plan (PQP), including but not limited to design quality

• safety management/assurance plan (SMP/SAP), including but not limited to safety in design

• risk management plan (RMP) for all project risks, including technical design risks

• environmental and sustainability plan (including sustainability in design)

• issues management plan (all project issues, including design issues)

• resource management plan (including project design resources)

• commercial plan (including design sub-consultancy contract management)

• procurement plan (including design sub-consultancy procurement management)

• cost or financial management plan (including design cost management)

• stakeholder communications plan (including design stakeholder communications)

• document/records/data management plan (including design documentation and data)

• standards management plan (including, but not limited to, design standards)

• configuration (or change) management plan (including but not limited to, design changes)

• requirements management plan (as required – child of the SEMP)

• RAM management plan (as required – child of the SEMP, including RAM in design)

• verification and validation (V and V) management plan (as required – child of the SEMP,

including design V and V)

• engineering implementation plans (other than design engineering), including:

o manufacturing or fabrication plan (or similar)

o construction or installation plan (or similar)

o system integration, migration or staging plan (or similar)

o inspection and test plan (ITP)

o system acceptance plan




For smaller projects, the PM may combine some of the project plans listed, or will not produce

them if not required. The DM should assess the level of detail required, in consultation with the

PM and other project team leads, based on the expected level of novelty, complexity, scale, and

risk of the project.

7.2.3. Sub-plans

For large projects with high complexity, novelty and risk, a range of design management sub-

plans may be typically produced, and are followed within the design management area, including

the following:

• CAD, GIS, BIM or digital engineering (DE) sub-plan

• safety in design sub-plan

• sustainability in design sub-plan

• design change sub-plan

• design verification sub-plan

• design data preparation sub-plan

• asset or discipline-specific design sub-plans (for example, track, civil, electrical, signalling,

buildings)

• human factors integration plan (where applicable)

For smaller projects, some design sub-plans could be combined (or form sections of a DMP), or

may not be required. The DM should assess the level of detail required, in consultation with the

PM and DLs, based on the expected level of novelty, complexity, scale, and risk.

7.3. Applicable standards and guides The following ASA standard provides further requirements and guidance on design planning:

• TS 10504 AEO Guide to Engineering Management

The following legacy RailCorp document (to be withdrawn or superseded in future) provides

further guidance on project design planning:

• EPD 0001 Design Management Process

7.4. Responsibility The DM is responsible for leading and coordinating planning for all design activities and preparing

a design management plan (DMP), with support from DLs. The DM also reports to the PM.




7.5. Timing The planning of design activities and deliverables should begin as early as possible, particularly

in the concept design phase, or at the stage when the DM is deployed on the project.

7.6. Output The output of the design-planning activity is typically the following:

• a design management plan (DMP), or design management section of a larger plan

Appendix B.1 provides a sample DMP template and scope.

• a design work package brief (DWPB), signed by the DM and each DL, setting out the scope

of asset/discipline-specific design work

Appendix B.2 provides an illustrative example of a design work package (DWP) form.

• a design work package register (DWPR), identifying all design work packages

Appendix B.3 provides an illustrative example of a design work package register.

• a design work breakdown structure

• a design project schedule (an example is the resource-loaded Gantt Chart in Oracle

Primavera P6 or Microsoft Project)

8. Design authority and competence assurance A key requirement in preparing and assuring project design on behalf of TfNSW is that the AEO

will establish and maintain an engineering design competency management system that can be

subjected to ASA surveillance as a condition of retaining AEO status.

The approved competency management system that supports TfNSW requirements and is

relevant to the particular design scope will comprise the following:

• trained, competent and authorised design staff

• engineering management methodologies appropriate to the AEO’s engineering services

• appropriate documented processes, procedures and methods (TfNSW or AEO)

• appropriate design tools

• appropriate levels of competent supervision and control

TfNSW expects that design AEOs employ appropriately qualified, properly-skilled and

experienced people who competently and safely discharge their duties in providing engineering

services.

A system for managing staff competence should consist of an unambiguous series of

documented arrangements of the organisation’s roles, plans, processes, tools, and records in

relation to managing competence.




There should also be regular staff training, competence assessment and audits using established

and up to date methods and standards. AEO competence assessors should have relevant

subject matter expertise, qualifications and assessment experience in the relevant engineering or

related services being assessed.

This is so that an AEO can identify and assess its engineering (specifically design) work activities

and associated risks to determine those that could affect safe railway operations, or those that

may affect occupational health and safety of staff, passengers or the general public.

The Principal may conduct surveillance and due diligence on the design preparation process, and

may require the design AEO to provide a complete updated project design competence register.

Should the Principal's reviews raise a concern over the competence applied to a particular design

element, then they may challenge or audit the appropriate application of the design AEO's

competence management process in reference to particular personnel.

8.1. Input Inputs to the project design authority and competence activity include the following:

• design work package briefs and register (defining what design tasks are required)

• resumes with relevant past design experience (matches suitable staff to design tasks)

• engineering design skills matrix (defining all appropriate design skills in organisation)

• relevant engineering qualifications for the design task

8.2. Activity The design roles identified in Section 6.2 require demonstrable competency in order to carry out

their specific design services. Table 2 suggests competencies and proficiency levels (level 0/1

being entry-level graduate, and level 3 being the highest proficiency level for an industry expert

leader in the field).

Table 2 – Summary of design roles and associated competencies

Role Design responsibility and competency area Level

Design manager (DM)

Multi-discipline design management experience to manage a design program, budget and team, and delivery of designs with multiple design disciplines involved on complex multi-discipline projects. The DM does not necessarily require discipline-specific proficiency, and may sign off designs as 'design approver'. Bachelor of Engineering, CPEng or equivalent, 15 years relevant experience, Rail Safety Worker

2/3

Designer Engineer with an appropriate engineering tertiary degree or equivalent, assessed as competent to produce and sign off designs and supporting calculations as ‘designer’. Bachelor of Engineering, MIEAust or equivalent, 3 years relevant experience, Rail Safety Worker

1/2

CAD drafter

A CAD drafter translates engineering designs into CAD models in Micro Station or AutoCAD. A discipline-specific competency of L1 is desirable. Bachelor or Diploma of Engineering, 3 years relevant experience

1




Role Design responsibility and competency area Level

Design checker

Engineer with an appropriate engineering tertiary degree or equivalent, assessed as competent to check and sign off designs as ‘checker’. Higher competence than the designer. Bachelor of Engineering, CPEng or equivalent, 5 years relevant experience, Rail Safety Worker

2

Design verifier

Engineer with an appropriate engineering tertiary degree or equivalent, assessed as competent to verify and sign off designs as ‘verifier’ and who remains independent of the design production and check process. Bachelor of Engineering, CPEng or equivalent, 10 years relevant experience, Rail Safety Worker

3

Discipline lead (DL)

Engineer with an appropriate engineering tertiary degree or equivalent, assessed as competent to sign off designs as ‘authoriser’, considered an expert and who remains independent of the design process. Bachelor of Engineering, CPEng or equivalent, 15 years relevant experience, Rail Safety Worker

3

8.3. Applicable standards and guides The following ASA documents provide further requirements and guidance on the assessment of

competence and delegation of design authority:

• T HR MD 10001 GU Glossary of Defined Terms – Competency Management

• T HR CY 03000 ST Competency Standard – Signalling

• T MU CY 01000 GU TfNSW Competency Standards Guidelines and Glossary

• T MU CY 04000 ST Competency Pathways – Control Systems

• T MU MD 00009 ST AEO Authorisation Requirements

• T MU CY 10503 GU AEO Guide to Engineering Competence Management


The following legacy RailCorp documents (to be withdrawn or superseded in future) provide

further guidance on design competence and design authority:

• EPA 240 Design Competence Framework

• EPA 241 Engineering Authority for Design

• EPA 240 FM01 Career Log Book

• EPA 241 FM01 Engineering Authority Application

Reference to the legacy documents is for general illumination only; however please note that the

granting of engineering authority for individual designers has been replaced by the AEO model

that places responsibility on the authorised engineering organisation to establish and maintain its

own internal engineering competency systems.




8.4. Responsibility The DM is responsible for selecting and forming a multi-discipline design team and ensuring that

a competent assessor has assessed and authorised all design staff to perform the designated

design tasks.

Within the design team, designers, checkers and verifiers remain responsible for maintaining their

personal design competence and proficiency level, and keeping these current and relevant to the

design tasks.

Design staff should maintain an engineering career logbook of their ongoing cumulative design

experience, to facilitate effective assessment and selection of a particular design project team.

8.5. Timing The design AEO should, via the relevant DL, assess and authorise design staff as competent to

perform design activities on specified design work packages during the formation of the design

team, and prior to commencement of any design work on a TfNSW project.

8.6. Output The AEO design authority and competence process should produce and maintain a register of

authorised design staff allocated to defined design work packages, supported by competence

assessment evidence for each allocated design authority. This register may be subject to

surveillance by TfNSW as part of ongoing AEO audits on the competency management element.

9. Shared design information A project produces a significant body of information over the design phases by different technical

and related processes and activities. Multiple processes share much of this information in arriving

at an integrated system solution that meets the client, and ultimately the user, requirements.

A good practice is to assign ownership of information to one work stream owner, and then to

identify which other work streams use that shared information.

Information owned and shared by the design function is shown in Figure 14 of

T MU AM 06006 GU Systems Engineering Guide.

10. Design input requirements Design input requirements are the formal statement of client requirements that will drive the

design activities, decisions, data and deliverables. Among other design inputs, the key design

input artefacts on a rail infrastructure project are the business requirements specification (BRS)

and the system requirements specification (SRS).




Generally the design AEO is not engaged in the concept phase to produce a BRS, but may be

engaged in the 'specify' and 'procure' phases of the ‘plan’ stage to produce a reference design

that accompanies an SRS.

T MU MD 00009 ST AEO Authorisation Requirements states the following:

• ENM3 [was SEM2/3/4]: ‘An AEO shall have requirements management arrangements that

set out appropriate process, responsibilities, structure, tools and deliverables for

management of stakeholder requirements applicable to the scope of engineering services

provided across the system life cycle’.

10.1. Input Depending on the timing of engagement of the designer, design inputs may include the following:

• statement of need for a new rail service and early concept of operations, as design input to

the feasibility (multiple options development) phase of the asset life cycle

• business requirements specification (BRS) and operational concept definition (OCD)

produced by TfNSW, as design input to the concept design (single option development)

phase of the asset life cycle

• system requirements specification (SRS) and reference design, as design input to the design

(preliminary and detail design) stage of the asset life cycle

Design source record inputs may include as-built drawings and CAD or BIM models (if available)

for existing (brownfield) infrastructure, infrastructure asset information (including asset condition),

concept designs for the new or altered assets, survey data, and so on.

10.2. Activity The design AEO should identify and obtain all relevant design inputs. Design source records

include all the baseline documentation (including asset information) that the designer should

obtain from the client in order to commence design.

10.2.1. Define business requirements Requirements analysis begins with TfNSW providing a business requirements specification (BRS)

as part of the works brief. Generally, the designer does not prepare this specification, although

TfNSW may employ multi-discipline design consultant AEOs under a technical adviser

professional services contract (PSC) to develop the BRS.

The BRS preferably accompanies a clear statement of the scope of the works. Client needs

represent a statement of what the TfNSW client expects within the implemented solution. A BRS

should be in hand, with sign-off by all key authorised TfNSW stakeholders, having passed the

TfNSW TNAC gate 1 prior to commencing design.




10.2.2. Define system requirements

Requirements analysis translates business requirements into functional and performance

requirements that define what the system being delivered should do and how well it should

perform. These system requirements need to be understandable, unambiguous, comprehensive,

complete, and concise.

Requirements analysis clarifies and defines functional requirement types and design constraints.

Design constraints are those factors that limit design flexibility, such as cost, environmental

conditions or limits, time and contract, client or regulatory standards.

Requirements should be reviewed at each of the concept, preliminary and detail design phases.

The review identifies requirement and traceability gaps and ensures that breakdown of the

requirement to the subsystem level can be achieved with the information available.

The output of the requirements analysis is an approved system requirement specification (SRS),

which contains the functional requirements that can be traced to the business requirement

specification or the sponsor’s brief requirements or both.

The AEO should maintain the SRS throughout the life cycle of the project.

10.2.3. Allocate and trace requirements Functions are analysed by deconstructing higher-level functions of the system, identified through

requirements analysis, into lower-level functions for each subsystem. A requirements and

functions matrix is developed at the system and subsystem levels. The performance

requirements associated with the higher level are allocated to lower order functions. The result is

a description of the infrastructure system in terms of what it does logically and in terms of the

performance required.

The primary purposes of the requirements allocation and traceability process to be applied for

design tasks are to ensure the following:

• each requirement is allocated to one or more systems to establish specific requirements for

each system and to ensure that all functions and performance requirements have been

taken into account

• a framework is established for validation of the final design solution

• traceable records are provided that can be used to demonstrate that all requirements have

been considered during design and that the final solution has been validated

The DM should review this process at the concept, feasibility, preliminary and detailed design

phases, to ensure that requirements are traceable to system and subsystem designs.

A requirements analysis, allocation and traceability matrix (RAATM) example is shown in

Appendix A of T MU AM 06004 ST Requirements Schema.




10.2.4. Obtain design source records

The DM should identify and ensure that TfNSW releases all relevant design source records,

including as-built information related to brownfield projects, which may include the following:

• contract work scope and business and system requirements

• existing asset condition data (brownfield sites)

• existing engineering drawings and CAD or BIM models (brownfield sites)

• detailed site survey records

• geotechnical data from the RIM

• detailed site existing services records

• detailed site geotechnical and contamination records

• other available information regarding site constraints and property ownership

The DM will need to arrange for existing design records to be released from the TfNSW virtual

planroom, as well as asset condition data from the asset manager.

10.3. Applicable standards and guides The following ASA documents provide further requirements and guidance on design inputs:

• T MU AM 06004 ST Requirements Schema

• T MU AM 06007 GU Guide to Requirements Definition and Analysis

• T MU AM 06008 GU Operational Concept Definition

• T MU AM 06008 ST Operations Concept Definition

• T MU AM 06009 ST Maintenance Concept Definition

• T MU AM 06010 GU Business Requirements Specification



further guidance on design input requirements:

• EPD 0005 Requirements Analysis, Allocation and Traceability

10.4. Responsibility The DM is responsible for ensuring that the DLs identify and obtain relevant design inputs by

contacting relevant parties for source documents, prior to commencing design activities.

The DLs are responsible as asset-specific subject matter experts for identifying relevant design

inputs and source records that relate to their asset discipline (for example, civil, electrical, track).




Where design inputs cannot be located, or are incomplete, or are delayed, then the DM will be

responsible for any decision to order surveys, or to proceed with project design activities at risk.

10.5. Timing All design inputs should be identified and obtained and validated prior to commencing design.

10.6. Output Register of design inputs that form the ‘basis of design’ for the project.

11. Engineering standards management T MU MD 00009 ST AEO Authorisation Requirements places the following requirement on AEOs:

• ENM14 [was ENM12/13]: "An AEO shall establish arrangements for assessing the

significance of proposed engineering changes arising from the delivery of its engineering

services"

Identification, selection, application and management of engineering standards on railway

infrastructure design projects contribute to the overall assurance of the system.

It is recommended that an AEO establish and maintain a repository of the latest relevant

engineering standards, guides, codes of practice and similar documents applicable to the

engineering service areas and disciplines for which it seeks and obtains authorisations.

Engineering standards relevant to TfNSW include the following:

• ASA standards (including legacy RailCorp standards)

• Australian standards (referred to indirectly in TfNSW standards, or in their own right)

• international standards (ISO, IEC, EN, and similar)

• other standards that may be appropriate, but not limited to the transport industry

The hierarchy of applicable standards to follow should align with section 9 of T MU MD 00002 ST

Network Standards Governance.

11.1. Input In most cases, TfNSW will issue a contract work scope (also called scope and performance

requirements) that includes a list of all relevant engineering standards for a particular project.

The contract work scope will have a hierarchy of engineering standards outlining the application

and also guidance on the application in the event of conflict.

The designer should have a risk-based standards review process that establishes assessment

criteria. Engineering standards are a part of the overall assurance of the system and the safety

cases should include risk-based standards review.




The standards review process is used to select the standards, guide their application and input to

any changes, in particular judgement of significance (JoS) assessments described in Section 16.

The design team may need to collectively identify and agree with TfNSW on additional standards

that may be directly relevant to the proposed works.

11.2. Activity AEO design teams need to identify and create a baseline for the relevant engineering standards

that will factor in likely changes, their impacts and questions of concession and nonconformance.

These are discussed in Section 11.2.1 to Section 11.2.4.

11.2.1. Identify relevant standards The design AEO should ensure that all relevant engineering design standards are identified at the

start of the project, and ensure that all design staff on the project are notified and provided with

access to these standards.

Most design AEOs will have a subscription to an online international and national engineering

standards provider, from where the latest versions can be downloaded.

The design AEO can freely download all relevant TfNSW engineering standards from the ASA

website, to be stored in a dedicated project standards folder for easy access by the design team.

11.2.2. Establish a standards baseline

The DM, with support from DLs, should establish a baseline of relevant engineering design

standards at the start of the project. The baseline identifies each standard, its version and

publishing and effective date, prior to commencing design activities.

The design AEO should declare this baseline. This may form part of the design management plan

as an appendix, or form a separate record or register.

The DM (with support from DLs) should identify all relevant non-TfNSW standards (for example,

RISSB, ISO and AS/NZS standards) that relate to the engineering design. The DM should obtain

these standards from the relevant online standards source, and store them in the dedicated

project standards folder or make otherwise available.

11.2.3. Manage changes to standards Due to the likelihood that the ASA and other relevant standards bodies may periodically issue

new standards, update existing standards, or withdraw standards, the DM should ensure that all

relevant members of the project team are made aware of these changes.

The DM in conjunction with the PM should implement and maintain an effective technical change

control process (including but not limited to standards changes) throughout the life of the project.




The DLs of each discipline are responsible for proactive monitoring of all changes to standards

related to their discipline, and for informing the DM of these changes.

In the event of a change to an engineering standard after the agreed baseline, the DM should

ensure, with technical support from the relevant DLs, that the standard change is analysed for

any impacts and briefed to the design team.

Analyse impacts of changes to standards

The design AEO should assess changes to engineering standards on a project for potential

impacts across a range of criteria, which may include but are not limited to, the following:

• design re-work (time delay, resource availability and cost)

• timing and suitability for implementing the change (it may be too late in the project)

• safety (including operational safety, but also construction phase safety impacts)

• RAM (reliability, availability and maintainability) impact

• environmental and sustainability

• manufacturability

• transportability

• constructability

• testability

• operability

• maintainability

• supportability, including spares, training, software

• disposability

• whole-of-life operational and maintenance costs

Any change to a standard should be raised as an RFI to the client to ensure that they are willing

to pay to implement such a change (variation). A design change should only be carried out after

agreement and instruction from the client (via the PM).

Brief standards changes to designers

The DM should ensure that the design team is briefed on changes to any engineering standard

that is part of the declared standards baseline, or the introduction of a new standard that is

mandated by TfNSW during the course of the project. This includes standards that may be

retrospectively applicable, particularly where rail operational safety is concerned.




11.2.4. Manage standards concessions and nonconformances

If the design AEO proposes to challenge an existing ASA engineering standard, it should apply

for a concession by following the TfNSW standards concession process, using a reasoned risk-

based argument as to why the proposed alternative approach is preferable to following the

standard (in part or in full). Any submitted concession should have been accepted by the O and M

agency under the preparation of the risk-based argument.

Where a nonconformance to a declared standard in the baseline is raised, the AEO is responsible

for raising this with the ASA well in advance via [email protected], and ensuring

that it can demonstrate that it has sufficient alternative risk controls in place to mitigate the

nonconformance.

A suggested template for a concession management register is provided in B.19.

Note that concessions are proactive positive actions by the designer that seek to challenge a

standard where it is not perceived to satisfy specific project requirements and constraints or

provide the best value for money solution, whereas nonconformances are reactive negative

actions as a result of the designer failing to apply and comply with the standard.

The relevant DL should raise concessions and nonconformances, with support from the DM.

11.3. Applicable standards and guides The following ASA documents provide further requirements and guidance on the management of

engineering standards:

• T MU MD 00001 SP Network Standards Numbering System

• T MU MD 00002 ST Network Standards Governance


• T MU MD 00011 ST Concessions to ASA Requirements

• T MU MD 00011 F1 Request for Concession to ASA Requirement

• T MU MD 00011 F2 Request for Review of Nonconformance to ASA Requirement

• T MU MD 00011 F3 Notice of Concession

• T MU MD 00011 F4 Notice of Review of Nonconformance

• TN 025: 2016 Principles, standards and high level design parameters for the development of

light rail systems


further guidance on engineering design standards management:

• ATN 12/06 New or revised engineering standards issued after commencement of design

• EPA 243 Engineering Standards Waivers


mailto:[email protected]



• EPA 243 FM01 Engineering standards waivers request form

• EPD 0006 Design Standards

• TMA 410 FM01 Request for Review of RailCorp Engineering Standard

• TN 096: 2014 Withdrawal of TMG J000 Signalling Safeworking Procedures (Manual J)

• TN 002: 2014 Replacement of RailCorp Waiver Processes

11.4. Responsibilities The DM is responsible for ensuring that relevant engineering standards are identified, baselined,

changes are assessed, and that the designers are briefed in a timely manner.

The DLs are responsible as subject matter experts (SMEs) on the engineering standards that

relate to their asset discipline, for ensuring that they are kept informed of the latest standards and

changes, properly assessing changes to standards and their associated impacts on the design,

and briefing the designers within their specific discipline.

11.5. Timing The engineering standards baseline should be set at the start of the design process.

Concessions may be raised at any stage of the design process, although preferably up to the

PDR stage, provided that they are submitted with sufficient notice to permit a technical evaluation

of the proposed alternative engineering approach and solution by relevant ASA engineers.

Concessions raised during the PDR stage give the AEO a fair understanding of the design and

this stage is probably the right time to modify design if need be with less effort, time and cost.

The ASA will respond to concession requests in accordance with the response timescales set out

in T MU MD 00011 ST Concessions to ASA Requirements.

11.6. Output The output of the engineering standards management activity may include the following:

• engineering standards baseline (appendix to DMP or in a separate register)

• engineering standards change notifications plus impact assessments that may lead to design

changes (with associated contract variations if applicable)

• engineering standards concessions forms plus supporting documentation

• engineering standards non-conformance forms plus supporting documentation

• engineering standards concessions and nonconformances register




12. Design tools Design tools enable the designer to produce and assure designs more quickly and accurately,

with minimum rework, and in a format that enables subsequent procurement, manufacturing, and

installation activities to commence with minimal risk.

Design tools may include standard CAD drawing tools, as well as modelling and analysis tools

used to develop, verify and validate design calculations and decisions.

Errors in design tools should be managed by the AEO, and the AEO is responsible for fixing

errors in the design caused by the errors in the design tools.

12.1. Software tool licences The DM should ensure (with technical SME support from the DLs) that all relevant design tool

software licenses are acquired and are current and active.

12.2. Design libraries The DLs should ensure that they identify and install the latest and applicable design libraries on

the selected design tools used for producing designs for TfNSW.

12.3. Applicable standards and guides The following ASA documents provide further requirements and guidance on design tools:

• T MU MD 00006 F1 Metadata Spreadsheet for Engineering Drawings

• T MU MD 00006 ST Engineering Drawings and CAD Requirements

• T MU MD 00006 TI Technical Information for CAD and Engineering Drawings


further guidance:

• TMD 0001 CAD and Drafting Manual – Electrical Operation Diagrams - Section 5

12.4. Responsibilities The DM is responsible for ensuring that the relevant drawing and CAD standards and libraries are

identified and put into practice by the DLs and designers.

The DLs are responsible as the subject matter experts (SMEs) for identifying and configuring

design tools that relate to their asset discipline.

12.5. Timing All design tools should be identified, obtained and correctly configured prior to commencing

design. However, it is possible that certain design tools may only be appropriate for use at certain




phases of the design. Some modelling and analysis tools are only suitable for concept designs,

whereas CAD tools are suitable for the preliminary and detailed design phases.

12.6. Outputs Designers should ensure that they correctly configure the design tool software to produce

accurate design outputs that comply with TfNSW/ASA engineering standards and with contract

requirements both in format and timing, including certification by proof engineers if required.

13. Design surveys Prior to commencing design of new or altered rail infrastructure systems, the designer will most

likely need to engage in a range of surveys that determine the state and configuration of existing

assets, survey points for future work, as well as ongoing surveys during the course of design.

13.1. Inputs Inputs include source records such as existing initial site survey (ISS) and detailed site survey

(DSS) drawings, as-built (or work-as-executed) drawings and CAD models (brownfield sites)

drawn from TfNSW records or the planroom, and GIS data.

13.2. Design survey activity Design survey activities typically include the following activities identified in Section 13.2.1 to

Section 13.2.10.

13.2.1. Initial site surveys Initial site surveys (ISS) are carried out at the start of the project to determine a rapid, but as yet

incomplete, study of existing asset configurations against as-built plans and drawings. This is

generally a visual survey, and cannot cover all unrecorded buried services.

13.2.2. Correlation surveys Correlation surveys are typically carried out by design engineers to verify that the as-built plans

correlate with the actual assets at that point in time. It is feasible that maintenance actions may

not always be fully documented or fed back to the records custodian for updating, and the

correlation survey is intended to identify these potential configuration errors.

For example, a signal maintainer may fix a cable fault by disconnecting a faulty core and then

connecting up a spare core to a termination point. While the functionality and performance are

retained, this is clearly a configuration change which, if undocumented, could lead to a future

installation, test or maintenance error.




The scope and integrity of the correlation survey to be carried out should be determined by the

AEO assuring the design, and may be based on the following:

• full correlation (all sheets)

• applicable sheets only

• affected circuits only

13.2.3. Detailed site surveys Detailed site surveys (DSS) are carried out for the acquisition of field data in the preparation of

plans, cross-sections and long sections by, or on behalf of, the rail infrastructure manager (RIM)

and external party underground and above ground services.

13.2.4. Asset condition surveys

For brownfield projects (projects involving alterations to existing assets), the designer may be

required to visit the site to carry out condition surveys of existing assets, for example:

• bridges, viaducts, tunnels and other structures' capacity to carry increased loads

• electrical, signalling and telecommunications cables (insulation and joint condition)

• overhead wiring structures, insulators and related ‘jewellery’ (cracked, dirty insulators)

• internal equipment room wiring and enclosures (electrical, signals, telecommunications)

• external equipment cubicles and wiring (electrical, signals, telecommunications)

• rail profile and wear characteristics, as well as ballast, sleeper and fastener condition

These asset condition surveys will inform design decisions about what existing assets can be

retained, what will require replacement, and what operational assets that do not form part of the

scope may be adversely affected by reconfiguring existing assets (for example, moving existing

signalling and telecommunications).

13.2.5. Land and cadastral surveys Cadastral (boundary) surveys are required to determine or re-confirm property boundaries and

easements over land within the existing TfNSW boundary, as well as land that may need to be

acquired or easement obtained for services to the railway. These surveys are of particular

importance for greenfield (new) rail corridors that are being planned and designed.

Geodetic surveys are required for performing detail survey of the topography in and around the

rail corridor, to determine the optimum energy-efficient alignment for the track, as well as for

positioning of support infrastructure such as structures, stations, buildings and yards.

Laser point cloud surveys are increasingly used to provide rapid, accurate survey data of existing

infrastructure and its input into accurate designs.




13.2.6. Geotechnical surveys

Geotechnical surveys are required to determine the geological nature of rock and soils upon

which the railway will be built, and they form an input to the civil design work in particular with

regard to type and configuration of structures, as well as drainage options. These surveys require

specialist knowledge of the mechanical and chemical properties of rocks and soils.

13.2.7. Hydrology surveys Hydrology surveys are required to determine the flood risk and drainage nature of the terrain

upon which the railway will be built, and form an input to the civil design work. These surveys

require specialist survey knowledge of flood risk and the effect of terrain on drainage.

13.2.8. Signal sighting surveys Signal sighting surveys are required to determine or confirm the optimum location of proposed

new or altered signal positions, relative to terrain and structures that may obscure the train

driver’s view of the signals within the defined sighting time. This permits safe application of

service braking to stop at the relevant signal at danger. Signal sighting may involve on-site

surveys as well as desktop video or virtual reality surveys and ‘fly-throughs’.

13.2.9. Desktop environmental surveys Environmental surveys are required to identify significant environmental risks such as heritage

sites, contaminated land, threatened species or communities, and waterways. A desktop

environmental survey forms an input to the civil design work, and will inform the subsequent

approval pathway. It should include searches of relevant databases, historical records,

topographical maps and aerial photos. If a desktop environmental survey results in the

identification of concerning issues then a more intrusive survey may become appropriate.

13.2.10. Underground or buried services surveys

These service utility surveys require specialist skills, processes and equipment to accurately

locate buried cable and pipe services including electrical power, communications, water, gas and

sewer services. Specialist service providers use cable and metallic service location equipment as

well as ground penetrating radar (GPR) equipment.

13.3. Applicable standards and guides The following ASA standards provide further requirements and guidance on design surveys:

• T HR TR 13000 ST Railway Surveying






further guidance on design-related surveys:

• TMA 0491 Accurate Field Drawing

• TMA 0492 Data Capture Procedure

• TMA 0493 Scope Procedure

• TMA 0494 Work as Executed Procedure

• TMA 0495 Infrastructure Services Data Policy

• TMA 0496 Specification for Collection of Services Data

• TMA 0497 Code and Layer Definitions for Services Identification

• TMA 0511 Plan Symbols and Interpretation Guidelines

• TMGA 1510 Signalling Design Process for Projects Managed by Third Parties

13.4. Responsibilities The DM, with support from the relevant asset-specific designers, is responsible for the following:

• identifying the need for specific surveys as identified in 13.2

• procuring the specialist survey services

• scheduling the surveys to provide timely inputs to the asset-specific design disciplines

The designers are responsible for identifying the need for the surveys, based on whether the

project is a change to existing infrastructure (brownfield), new infrastructure (greenfield) and the

configuration state of the source records, including as-built design information.

13.5. Timing Most surveys are conducted early in the project after receipt of design inputs (source records)

and prior to commencement of design. However, some surveys may be carried out at various

stages in the design development process (prior to concept design, preliminary design, and

detailed design), and will need to be identified and agreed between the designers and DM.

TfNSW and relevant stakeholders such as the RIM (Sydney Trains as of time of writing) should

be informed on what surveys can be done and when.

13.6. Output The output of the surveys will typically be survey data, encapsulated in a survey report, including

but not limited to the following typical examples:

• initial site survey data

• detailed site survey data




• correlation survey data

• asset condition survey data

• geotechnical survey data

• hydrology survey data

• signal sighting survey report

• desktop environmental survey report

• underground or buried services survey report

There may be other specialist surveys required on large and complex projects.

14. Design synthesis Design synthesis is the translation of input requirements (including performance, functional, and

interface) into possible solutions satisfying those inputs for a particular design stage (concept,

preliminary or detailed). Synthesis defines a physical architecture of people, product, and process

solutions for logical groupings of requirements and then designs architectures for those solutions.

Each stage of the design process (concept, preliminary, detail) involves translating the outputs of

the previous stage (which become the input requirements of the stage) into a more detailed

design output (which becomes the input requirements for the next design stage).

Design synthesis in the feasibility and concept phase is used to develop the concept design

baseline into a selected configuration of subsystem design solutions (options).

Design synthesis in the preliminary design phase is the process of defining the physical (and

software or data) configuration of the subsystems, which together make up and define each

system for the selected single option.

During the detailed design phase, the emphasis is placed on conducting the synthesis of

subsystem items (equipment and parts). The aim is to mature the design baseline from the

previous phases into a selected configuration of subsystem items.

The design synthesis processes for signalling, electrical substations (HV and LV supplies),

overhead wiring, high voltage ac feeders, track, civil (buildings, structures and combined services

route (CSR), control systems and communications may be covered in separate asset-specific

procedures.

14.1. Applicable standards and guides The following ASA document provides further requirements and guidance on design synthesis:

• T MU AM 06001 GU AEO Guide to Systems Architectural Design





further guidance on design synthesis:


• EPD 0006 Design Standards

15. Safety in design T MU MD 00009 ST AEO Authorisation Requirements places the following requirement on AEOs:

• [was ENM7]: “Design AEOs shall have ‘safety in design’ as part of producing engineering

designs”

Safety in design refers to the integration of hazard identification and risk assessment methods

early in the design process to eliminate or minimise the safety risks arising from the design and

throughout the life of an asset being designed.

TfNSW expects design AEOs to have safety in design as part of producing engineering designs.

Safety in design workshops should be undertaken at the preliminary and detail design phases,

allowing the designers, constructors, operators and maintainers to come together and identify

risks and hazards inherent in the proposed design which can either be designed out or mitigated.

The key objective of system safety is to integrate safety into the design and development of new

or altered assets such that the delivered systems are safe and continue to be safe SFAIRP. The

effect of risk mitigation by means of application of safety in design should be reflected in the

project hazard log, an example of which is shown in Appendix B.11.

Safety in design requirements, procedures, guidance, forms and templates should be defined in a

design or engineering safety management plan.

16. Judgement of significance (JoS) T MU MD 00009 ST AEO Authorisation Requirements places the following requirement on AEOs:

• ENM14 [was ENM12/13]: “An AEO shall establish arrangements for assessing the

significance of proposed engineering changes arising from the delivery of its engineering

services”

A judgement of significance (JoS) is an assessment of the significance of the impacts (including

but not necessarily limited to safety) of an engineering change.

It is recommended that an AEO should establish arrangements at the outset for assessing the

significance of proposed engineering changes arising from delivery of its engineering services.

A competent technical person should be accountable for assessing and approving the

engineering design change.




TfNSW and the Principal should be informed by the designer at regular intervals and at all stages

of the project life cycle related to significant risks arising from design changes.

Note that in the context of this document, JoS is introduced as a concept and not as a specified

procedure. How exactly it is deployed may differ between different groups in the NSW transport

cluster. The AEO should confirm specific JoS procedural requirements with the contracting party.

16.1. Input A change request of some form will be the input to the JoS assessment, including the following:

• initial safety change assessment for the project (prior to project design commencement)

• request for information (RFI) from the constructor (during construction phase)

• design change request (DCR) raised by a designer or the project sponsor

• engineering change request (ECR) or note (ECN) during design, manufacture, install, test

phases

16.2. Activity The JoS assessment can occur more than once on a large rail infrastructure project.

Initially, when TfNSW proposes a change to the rail network (asset, organisational or

operational), it will conduct an initial safety change assessment (ISCA), which entails a JoS.

TfNSW will then submit this ISCA to the rail regulator (ONRSR) for endorsement, if required.

During the course of the rail infrastructure project, engineering (including design) changes may

arise for many reasons, in particular during the design phase, but sometimes even well into

construction, integration and testing (although late changes are highly undesirable).

The designer will typically raise an engineering change request (ECR), and a competent technical

person will need to assess for the significance of any impacts from this proposed change. While

safety remains the most important criterion for a JoS assessment of an engineering change, there

are other assessment criteria, including but not necessarily limited to the following:

• impact on whole-of-life versus capital cost

• impact on operability

• impact on manufacturability

• impact on constructability

• impact on system reliability, availability and maintainability (RAM)

• impact on environment and sustainability

• impact on future disposability




16.3. Applicable standards and guides The following TfNSW (ASA) documents provide further requirements and guidance on making

judgements of significance:

• T MU MD 20001 ST System Safety Standard for New or Altered Assets

• T MU MD 20002 ST Risk Criteria for Use by Organisations Providing Engineering Services

• 20-FT-388 Initial Safety Change Assessment (not publicly available)

• Guide to Transport for NSW Framework for Assuring the Safety of Rail Assets and

Infrastructure


further guidance on determining safety significance of proposed design changes:

• EPD 0008 Design Safety Management

16.4. Responsibility The DM is responsible for managing the JoS assessment on an engineering change during the

design stage, with technical support from the relevant design discipline SME(s) that raises, or

may be affected by, the engineering change.

A technically competent design authority, for example chief engineer or DL, should approve the

JoS assessment (which may form part of the engineering change process, and may be

incorporated into an engineering change note (ECN) form) and the associated engineering design

change.

JoS could also be carried out by the Principal, who can organise SME reviews on the designs

produced by the design AEO to achieve standards compliance and some wording around this

could be included.

It is not acceptable for a non-technical manager (for example, a commercial, financial or human

resource manager) to approve the JoS assessment for an engineering design change.

16.5. Output The output of the JoS will be a risk impact assessment associated with the change, along with a

supporting argument as to the risk controls in place to eliminate or minimise the risks associated

with the predicted impacts.

The option not to proceed is not the design AEO's responsibility. The design AEO may make their

concerns known to the Principal, but the design AEO's expected response should be to use the

JoS to determine the appropriate amount and type of assurance. This may amount to full or

partial third-party independent review, or any other appropriate assurance measure.




17. Design risk T MU MD 00009 ST AEO Authorisation Requirements places the following requirement on AEOs:

• ENM13 [was ENM5]: “AEOs shall apply a risk-based approach to engineering assurance”

Design risk includes all risks that may materialise as a result of the design and supporting design

decisions. Design risk is not limited to safety risk. For example, a design may lead to a risk that

locks the client into a single-source supplier, or to a design that is very difficult to construct, due to

poor site access.

It is recommended that AEOs apply a risk-based approach to engineering assurance. A strictly

compliance-based approach (that is, compliance to standards) is necessary but not sufficient to

demonstrate a comprehensive approach to design, or wider engineering, assurance.

Section 17.1 to Section 17.5 describes how design-related risks are identified and controlled on a

project as part of overall engineering design assurance.

17.1. Input Triggers for design risk may arise from a number of sources, including but not limited to the

following:

• business requirements (such as service capacity not achievable without significant cost)

• system requirements (such as system RAM target not achievable with current technology)

• stakeholder inputs during the design process (such as conflicting or gold-plated

requirements)

• high levels of novelty, including new type approvals on a project

• high levels of complexity, including complex multiple interfaces

• internal design decisions resulting from options analysis and selection

• designer competency or resource availability

• tight time-scales (for example, leading to ‘cutting corners’ with design assurance)

• complex design sub-consultancy arrangements (such as AEO versus non-AEO sub-

contractors)

17.2. Activity Control of design-related risks is managed by a range of activities, as discussed in sections

17.2.1 to 17.2.3. Note that these sections refer to safety risks as a sub-set of general design

risks. General design risk is usually handled via a broad design issue process. The design issues

should be maintained in a design issues log sometimes referred to as RAID: risks, assumptions,

issues and dependencies. The design process should endeavour to close these by referring to

the safety risk process, or resolving them, or they become assumptions, dependencies and




constraints (ADCs) as part of safety assurance. Resolution of design issues is not always done in

hazard workshops.

17.2.1. Hazard identification and analysis All reasonably foreseeable design-related hazards should be identified and analysed. The hazard

identification is typically carried out in the form of facilitated hazard identification workshops

involving all relevant subject matter experts (SMEs). While it can be done as part of the hazard

identification, it may be practical and necessary to arrange a follow-on facilitated workshop to

analyse the identified hazards in terms of causes and consequences.

17.2.2. Risk assessment Using the identified hazards, a risk assessment will aid in eliciting the details related to a

particular risk. This can include identifying what the risk is, assessing the severity of its

consequence and the likelihood of that consequence occurring. This risk assessment may be

qualitative (based on a predefined risk matrix aligned with the TfNSW risk matrix) or quantitative

(statistical or fault-tree analysis) for higher complexity and novelty designs. Qualitative risk

assessment should be conducted using the TfNSW risk criteria described in T MU MD 20002 ST

Risk Criteria for Use by Organisations Providing Engineering Services.

17.2.3. Risk register The DM should establish a design risk register (which includes all design-related risks, and is not

limited to safety risks). The DM should ensure that this register is maintained throughout the

project life cycle, and ensure that all controls are implemented or transferred to the appropriate

control owners. It is possible that for simpler projects the design risks could be combined with

other risk registers (such as construction risk registers), but this will depend on the scale and

complexity of the project.

17.3. Applicable standards and guides The following ASA standards provide further requirements and guidance on design risk:

• T MU AM 01001 ST Life Cycle Costing




further guidance management of design-related risk, including but not limited to safety risk:





17.4. Responsibility The DM is responsible for preparing the integrated design report, which may include all risks

(including safety), or if required by the contract, a dedicated design risk report or risk summary

report or safety assurance argument (including safety risk).

DMs, where appropriate, are responsible for identifying risks resulting from the design and which

cannot be eliminated, and should advise the PM.

17.5. Output The design risk management process will typically produce the following outputs:

• hazard identification and risk assessment with assigned controls and control owners

• design risk register (possibly as part of a wider project risk register)

• design safety report

• risk summary report

• safety assurance argument or report (for safety-significant projects)

18. Value engineering Value engineering (VE) is a systematic method to improve the ‘value’ of assets over the full asset

life by examining the asset’s function and value. Value is the ratio of function to cost. Value can

therefore be increased by either improving the function or reducing the cost per function.

If a new or altered asset is introduced, a life cycle cost should be developed, along with the

options available to ensure that the best value is achieved.

VE can be applied to process improvement (for example, design, construction, testing process)

as well as to product selection and asset configuration design options.

The design AEO should ensure that they engage with the client contracting party within the NSW

transport cluster to ensure compliance with contract-specific VE procedural requirements.

18.1. Input The following typically form inputs to the VE process:

• multiple design options for VE analysis, particularly in the feasibility and concept phase

• predefined VE or value-for-money (VfM) criteria for consistent analysis

• VfM workbook (for example, spreadsheet or dedicated VE or VfM tool)




18.2. Activity As applicable to multi-discipline rail infrastructure design, a VE exercise may involve the following

activities:

• identify the issue or opportunity that could benefit from VE activity

• identify alternative options that could achieve the same function(s) at different costs

• capture these design options into a design decision register (or equivalent)

• analyse and score each option against predefined criteria in a VfM workbook:

o risk analysis (including but not limited to safety risk)

o capital (material and labour) costs analysis (design, construct, test)

o operating (material and labour) costs analysis (operate, maintain)

o RAM analysis

o spares or supportability analysis

o operability or usability analysis

• calculate the best value (BV) option, based on capital and operating cost (whole-of-life)

• present VE opportunity for acceptance:

o If the TfNSW contracting model permits (for example, alliance ‘Limb 3’ cost models),

then certain VE decisions may be accepted within the project delivery organisation.

Limb 3 costs are the additional reward costs that an alliance can claim from the client by

demonstrating value-for-money (VfM) via innovations that go beyond the contractual

compliance requirements.

o If the VE has potential to have a wider impact on the transport network, then it should

be submitted to TfNSW for acceptance, usually via a configuration control board (CCB).

18.3. Applicable standards and guides The following ASA standard provides further requirements and guidance on value engineering:

• T MU AM 01001 ST Life Cycle Costing

18.4. Responsibility The DM is responsible for ensuring that VE or VfM is considered during the design development

process. The DM may facilitate VE workshops involving design SMEs and relevant stakeholders

to identify options, analyse these against defined criteria, and select the best value (BV) option.

Asset-specific design SMEs are responsible for applying their asset knowledge to the VE or VfM

process to achieve the BV outcome.




18.5. Timing VE or VfM analysis and selection should take place as early as possible in the design process

when multiple options are available, that is, feasibility and concept stages, prior to commencing

detailed design.

18.6. Output Value engineering (VE) report and best value (BV) single design option for further development.

19. Engineering design assurance In accordance with ASA standards, it is recommended that an AEO establish and maintain an

assurance process that aligns to the range of engineering services and activities it intends to

provide.

Section 19.1 to Section 19.5 describes the range of activities that support the assurance of

engineering designs for multi-discipline rail infrastructure projects. It includes the use of stage

gate reviews to provide progressive design assurance up to ‘approved for construction’ (AFC),

and post-AFC assurance of design changes up to commissioning and acceptance.

19.1. Inputs Inputs to the design assurance activity include, but are not limited to the following:

• applicable standards (as a basis for assurance)

• requirement specifications (as a basis for assurance)

• outputs of previous design phase (to assure proper allocation and traceability of design)

• risk register (in particular risk controls identified as part of safety in design)

• design review register (including actions arising from previous design reviews)

• survey results

• design calculations, models and associated analysis

• design drawings and CAD or BIM models

• design reports

19.2. Activity Rail infrastructure engineering design assurance activities may require the reviews covered in

Section 19.2.1 to 19.2.10, to assure that designs meet their requirements, are fit for purpose, and

are safe.




The sample design process diagrams in Appendices A.1 and A.2 illustrate some of the typical

design assurance activities and reviews carried out across the design life cycle on a project.

19.2.1. Sustainability review To ensure that the design process promotes optimal outcomes for the external environment and

considers a project’s effects on biodiversity, neighbouring communities and urban landscapes,

the designs may need to be reviewed by the TfNSW design sustainability review panel (DSRP) to

ensure that they meet TfNSW’s urban design and sustainability goals.

The DSRP is a means to assist TfNSW and its contracted design AEOs to effectively achieve

sustainability goals in transport design, particularly during the concept phase of a project.

19.2.2. Constructability review The construction or installation AEO contractor (often the principal contractor on the project who

sub-contracts the design) should provide construction input to the developing design.

This constructability review of the design includes identifying long lead items to be ordered, ease

of transportability of materials and equipment from factory to site, site topology and geography,

ease of site access, easements and hazardous utility crossings, site establishment, the use of

specialist site construction plant and equipment on site, management of special materials on site,

demand for specialist construction staff, and removal of materials.

The use of BIM or DE models produced by the designer enable the constructor to plan the virtual

construction of the assets in advance in order to refine construction methodology and sequence,

as well as planning the logistics associated with deploying staff, plant machines and materials to

site in the most efficient manner. This can be done well before actual construction begins.

19.2.3. Maintainability review In order to ensure that the maintainer (rail infrastructure manager or RIM) will be ready and able

to maintain the system to its required performance levels over its design life, the DM should

engage a suitable representative of the maintainer to participate in maintainability reviews.

These reviews will identify maintenance response times, spares holding, logistic and travel delays

to get to site to repair faulty equipment, accessibility to repair fault equipment, including ‘working

at height’ and ‘confined spaces’ hazards, maintenance competency needs, and overall system

mean time to repair (MTTR). This review is often conducted in conjunction with, or as part of,

human factors integration.

19.2.4. Operability review The infrastructure operational and maintenance personnel (for example, signal controller,

electrical control officer, station operator, maintenance depot operator, stabling yard operator) as

well as train operator (driver) may need to review the design to ensure that all elements of the

design involving an operator interface are operable.




The DM should facilitate operability reviews where appropriate, with technical support from the

relevant designer and in consultation with the affected operator stakeholder. This review is often

conducted in conjunction with, or as part of, human factors integration.

19.2.5. Disposability review Infrastructure maintainers and environmental representatives may review a design to ensure that

all systems, components, and materials specified in the design can be disposed of in a safe, cost-

effective, and environmentally-friendly manner at the end of the design life.

19.2.6. Judgement of significance (JoS) review Refer to Section 16 for JoS assessments.

19.2.7. Technical reviews and stage gates The technical reviews and associated stage gates described below are based on legacy stages

that have been used on past rail infrastructure design projects under the RailCorp and TfNSW

program delivery control.

These stages were derived from best engineering practice in other industry sectors such as

aerospace and defence, and remain valid today.

However, the AEO may choose to name its own stage gates and the pass/fail criteria to proceed

to the next stage, for those elements of the design under the direct control of the AEO

engineering design assurance arrangements.

System concept review (SCR)

The operators and support staff may review the concept in the system concept review (SCR) to

influence the specifications and contract performance requirements before the request for tender

(RFT) is released. These reviews are carried out during the feasibility stage and help determine

whether the operational, engineering and support requirements for the asset have been fully

defined and that the requirements of the proposed RFT provide a sound and comprehensive

statement of the product and services required within a contract.

System definition review (SDR)

The system definition review (SDR) is normally conducted shortly after the contract is awarded.

The SDR will allow the contractor to verify that the detailed requirements of the contract task have

been assessed and understood, subsequent to the contract being let, and that any significant

areas of uncertainty are resolved, before work commences on the detailed design. It permits the

contractor to assess the task, to complete a preliminary design synthesis and to develop a

preliminary concept design for the item or installation.




Preliminary design review (PDR)

The preliminary design review (PDR) provides the basis for determining that the preliminary

design accurately reflects the functional and performance requirements established in the

technical specifications and in the functional baseline initially documented at the conclusion of the

system definition review. The PDR also provides the first real opportunity to review and assess

the proposed means of fulfilling other contractual obligations, such as the provision of integrated

support elements and initial proposals for test and verification of the final product.

Critical design review (CDR)

The critical design review (CDR) is an extension of the process begun at the PDR (above), but

involves the review of detailed design and support proposals. It covers all aspects of the

specification and support requirements of the contract and represents the most comprehensive

review in the project cycle. The CDR leads to definition of the preliminary product baseline, which

establishes the configuration of the product for construction or manufacture during the next

phase.

More specifically, designs are ready for CDR submission when they are as follows:

• 100% complete, correct, detailed and coordinated

• all stakeholder comments satisfactorily addressed

• interdisciplinary review certification is complete

• design verification certification is complete

• requirements compliance matrices are complete (for design phase)

• safety assurance documentation and evidence are complete

• AEO’s Certificate of Compliance (or other agreed assurance certification) is ready

• all supporting information in final form and ready for status to be changed to AFC on approval

of CCB stage gate 3 application by the relevant CCB authority

Approved for construction (AFC)

The AFC is the final sign off before construction can commence. This follows the CDR stage,

when review comments would have been gathered from the stakeholder and technical review,

which are consolidated into a CDR comments register, to be addressed by the project team.

Once all comments are closed, the design will be formally marked up as ‘AFC’ and would need to

be signed off by the relevant delegated design authority or an independent verifier before

construction. Any configuration changes during the construction may also require a separate AFC

design sign-off.

All agreed design comment response outcomes should be incorporated and drawings (CAD

models) updated to a final set to be marked up as AFC following CCB stage gate 3 approval and

issue of the CCAN number that needs to be added to the drawing title box.




System verification review (SVR)

The system verification review (SVR) examines the testing process and results to verify that

performance and other requirements in the specifications are met. The SVR does not involve the

testing itself but takes place after all the testing and verification processes required under the

contract have been completed. It provides the basis to review any aspects of performance, which

have not been met, and to establish the requirements for and timing of corrective action

necessary for final acceptance of the project or product.

Physical configuration audit (PCA)

The PCA compares the ‘as-built’ configuration of the asset developed under the project to the

design documentation to ensure that it conforms to the documentation or that any differences can

be reconciled. The PCA provides the formal means to ensure the asset has been delivered in

accordance with the design documentation and offers the opportunity to review ‘as-built’

documents, ensuring it aligns to the ‘as-built’ configuration.

19.2.8. Design verification and validation Verification is an incremental assurance activity performed at each design life cycle phase.

Verification assures that a system is well designed, error-free, and compliant with all specified

requirements.

Verification activities should be planned at the start of the project. Verification responsibilities,

timescales and authorities should be clearly defined within the project plan or a dedicated

verification plan.

Design verification should be undertaken within a formal documented quality system. Design

verification activities should be identified in a plan and carried out in a documented, controlled

and authorised manner at whichever phase they occur within the design life cycle.

The DM with support from DLs should define and plan design verification responsibilities,

timescales and authorities within the design management plan (DMP) or a related verification

plan.

Verification should be performed by a third party independent of the designer or designers. The

level of independence depends on the system integrity level. For low integrity non-safety-critical

systems, verification is usually performed by personnel not directly involved with the specific task,

but working in the same organisation as the designer. For high integrity safety-critical systems,

the third party should usually be a different organisation.

Design verification should be supported by evidence from formal design reviews identified within

the design management plan.

Inputs to design verification should be as follows:

• input documents to the phase to be verified




• output documents, including review details, from the phase to be verified

• quality and safety plans, project plans, configuration management plans

• all procedures, work instructions, standards, specifications and statutory regulations relevant

to the phase to be verified

Prior to commencing the next design phase, verification should confirm that the current design

phase results are complete and in agreement with the project scope, that they conform to the

agreed business and system requirements, and have been correctly documented and stored in

accordance with specified procedures. Verification should ensure the following:

• the defined requirements meet stated TfNSW needs and requirements

• the concept (or reference) design meets all TfNSW requirements and does not contain

superfluous, non-specified functions beyond the stated requirements

• the specified detailed design satisfies the concept design requirements and does not contain

superfluous, non-specified functions beyond the scope of the concept design

• the manufactured component parts meet their design requirements, are built to the specified

standards and satisfy their test criteria

• as the components are integrated, the progressively higher level sub-assemblies meet their

design requirements, are built to the specified standards and satisfy their test criteria

• the final integrated system meets the top-level design requirements, is built to the specified

standard, and satisfies the test criteria

Verification is performed at each phase of the design life cycle to ensure that the output of that

phase is complete and consistent with previous phases. When verification is complete, validation

commences.

Outputs from design verification should be as follows:

• verification (and validation) plan at the end of the requirements definition phase

• verification check sheets and reports at the end of each design phase

The DM should initiate corrective action if the results of verification are unsatisfactory. Any

changes should follow the procedure outlined in Section 23.2.1.

If there is an approved design change in any phase of the design life cycle, the output of earlier

design phases that are affected as a result of the change should be re-verified to ensure that the

‘as-built’ design continues to meet agreed TfNSW requirements.

Verification should take due account of requirements to undertake tests and assessment of the

hazards associated with the system, including statutory regulations relating to its use, including

safety, environmental, sustainability, Building Code of Australia (BCA), Disability Discrimination

Act 1992 (DDA) and product liability.




Where appropriate during the design control process, statistical analysis techniques may be

utilised during verification to confirm the product capabilities and characteristics.

Design validation is the process of assuring, either by means of modelling, simulation, mock-ups

or testing, that the design solution meets the original business (or user) requirement. This may

occur at any stage of the design development. However, the final key validation activity is

performed prior to commissioning the railway into operation.

19.2.9. Design approval Design approval is an essential part of the process of ensuring that all design work is as follows:

• has been completed by suitably trained and experienced people

• conforms to approved regulations, standards and industry codes of practice

• has been verified as meeting the requirements of the specification for the task, including

safety and environmental requirements

• has been documented in a way that will support manufacture, construction and maintenance

and will provide a traceable record of verification and validation actions

The design approval process for each discipline should be documented in a design management

plan (DMP) submitted by the design AEO.

The DL should provide technical design approval as a pre-requisite to release of design records

and data for acceptance or for construction.

The DM may complete a design release checklist (DRC, see Appendix B.12) or similar record

and store this in a document register prior to release of the designs for the next phase.

The DM may establish a design submissions register for tracking all design submissions.

When suitably qualified and experienced design specialists have checked and verified the design,

the DM will need to approve its release to the next stage of the project.

The design AEO should use the project administrative process between the design AEO and the

TfNSW Rail Delivery team, for design approval at various stages of the project.

By internal AEO design authority

Within the AEO organisation, a person with suitable delegation of authority and accountability

based on verifiable knowledge, skill and experience will be required to approve designs to be

issued for construction, as well as released to the infrastructure asset owner at system

acceptance and project handover.

By external third party AEO design authority

For high risk, high integrity system designs, the client may establish a procurement model and

assurance arrangement that requires design approval by an independent design authority that

holds design AEO status, but is not part of the same organisation as the designer. Additionally,




for safety-critical designs, an independent safety assessor (ISA), who may not necessarily be a

design expert, may be appointed to assess the robustness of the safety assurance argument and

audit the safety assurance process followed in developing and assuring the design. Regardless of

what verification arrangements may be in place, the original design AEO remains responsible for

the integrity of the design and its assurance.

By external third party agencies

Depending on the scope of the project, external third parties and critical stakeholders may also be

required to provide specialist design approvals, including the following:

• Building Code of Australia (BCA) – BCA consultants

• Disability Discrimination Act (DDA) – DDA consultants

• heritage for compliance with heritage requirements

• environmental for compliance with environmental requirements

• fire department – for fire and life safety systems and building compliance to regulations

• police department for law enforcement access and criminal and accident investigation

• local council (infrastructure owners and operators), road and utility owners

• electrical and gas energy suppliers (infrastructure owners and operators) – utility owner

• telecommunications companies (infrastructure owners and operators) – utility owner

19.2.10. Design acceptance by client Finally (depending on the procurement and contracting model, JV, PPP or alliance), the client will

need to accept designs after they have been verified and approved. The client will be an

authorised TfNSW representative or an operating agency (such as Sydney Trains).

19.3. Applicable standards and guides The following ASA standards provide further requirements and guidance on design assurance:

• T MU AM 01005 ST Asset Handover Requirements


• TS 10506 AEO Guide to Verification and Validation


further guidance on engineering design assurance techniques:

• EPA 280 Design Acceptance

• EPA 280 FM01 Statement of No Objection Concept Design

• EPA 280 FM02 Statement of No Objection Construction




• EPD 0010 Design Approval

• EPD 0011 Design Verification

• EPD 0012 Design Validation

• EPD 0013 Technical Reviews

• TMA 413 Technical Reviews Manual

19.4. Responsibilities The DM has overall responsibility for ensuring that an appropriate project design assurance

process and organisation is established and maintained throughout the design stage up to AFC,

and that it is scaled to provide ongoing design assurance during the post-AFC stage.

The DM is responsible for managing the design assurance process, but does not require asset-

specific design competency. The DM is responsible for engaging relevant stakeholders, including

constructors, operators and maintainers for specialist reviews.

DLs are responsible for identifying and nominating competent asset-specific design assurance

resources (checkers and verifiers), and for assuring their ongoing competency and design

authority. DLs retain design authority in terms of identifying applicable standards and providing

advice and final decision on how to interpret standards.

The design checkers and design verifiers are responsible for carrying out the actual design

checking and verification activity, and should have the necessary proficiency levels within their

asset-specific discipline competencies, as outlined in Table 2, Section 8.2.

19.5. Output Outputs of the design assurance activity include, but are not limited to the following:

• checked, verified and signed off design calculations, models and associated analysis

• checked, verified and signed off design drawings and CAD or BIM models

• checked, verified and signed off design reports

• design check and verification records (could be paper forms or electronic records)

• design changes

20. Design documentation and records management As with any government organisation, TfNSW is required to comply with the NSW State Records

Act 1998 and related legislation. This Act requires TfNSW to establish and maintain a records

management system in compliance with standards, codes of best practice and guidelines issued

by State Records. The Act requires TfNSW to do the following:

• establish and maintain full and accurate records of its activities




• establish and maintain a records management procedure

• protect its records, ensuring their safe custody and proper preservation

• arrange for monitoring and reporting on the records management procedure

• provide State Records access to its records so as to monitor compliance with the

requirements of the Act

• maintain accessibility of technology dependent records over time

These requirements translate to the TfNSW supply chain to ensure that it provides all appropriate

design documentation to TfNSW in order to fulfil its obligations under the Act.

Accurate and complete configuration documents and design records are critical for effective

configuration management.

Design documentation and records may include, but are not necessarily limited to the following:

• design management plan (DMP), project management plan (PMP), safety assurance plan

(SAP)

• design models, simulations and analysis reports

• design drawings, CAD or BIM models and files

• design calculation records (example shown in Appendix B.7)

• design verification records (example shown in Appendix B.8)

• interdisciplinary design check certificates (example shown in Appendix B.9)

• design hazard log (example shown in Appendix B.11)

• design release checklists (example shown in Appendix B.12)

• design reports (example shown in Appendix B.13)

• product or equipment specifications (for example, HV switchgear, rectifier-transformer)

• detailed design bill of materials (an example is shown in Appendix B.17)

20.1. Activity The DM needs to consider criteria for design records management, and a system for managing

document metadata, as discussed in Section 20.1.1 and Section 20.1.2.

20.1.1. Design records management criteria Configuration documents and design records should be prepared and maintained in accordance

with the following criteria:

• consistent standard and format for common document types

• reference that uniquely identifies record within the set




• properly registered and controlled within the defined area of responsibility

20.1.2. Manage document metadata Metadata is structured information concerning an information asset such as a dataset, document,

file or system. Metadata enables searching of asset information that can be used and managed.

These can include (but are not limited to) fields such as engineering disciplines, asset class,

document number, revision or version number and location.

Each design record (including configuration records) should bear a unique identification, including

but not limited to the following:

• document number

• issue and revision status or amendment level

• date of issue

• title

• number of pages or sheets comprising the document

• project reference (where applicable)

• creator (person, unit or organisation responsible for producing the item)

20.2. Applicable standards and guides The following ASA documents provide further requirements and guidance on design records and

documentation management:

• AS ISO 15489.1 Records management – Part 1: General

• T MU AM 01012 ST Engineering Document Requirements


• T MU MD 00006 F1 Metadata Spreadsheet for Engineering Drawings

• T MU MD 00006 TI Technical information for CAD and Engineering Drawings

• CAD Resources – 06 – Electrical


further guidance on design documentation and records management:

• EPD 0017 Design Documentation and Records

20.3. Responsibility The DM is responsible for the management of all design records and documentation, and for

ensuring that these records are controlled and handed over to the asset custodian.




Asset information (including design records) custodians are responsible for the following:

• secure storage and management of engineering documents in a single asset information

repository that supports the metadata requirements outlined in T MU AM 01012 ST

• ensuring that a suitable asset information repository is made available for engineering

records submitted electronically and that relevant stakeholders are provided access and

training for its use

20.4. Output The following design documentation and records management outputs are typically produced:

• design submission packages to the virtual planroom (VPR)

• configuration change requests (CCR)

• asset information uploads to the asset register

21. Dependability in design Dependability in design is an attribute of the design that assures that the rail infrastructure system

will deliver the functionality and performance that was specified in system requirements over a

specified design life. Dependability in design encompasses a range of attributes including safety,

RAM, sustainability and security.

21.1. Input The following artefacts provide inputs to the development of dependable design solutions:

• business requirements specification (BRS)

• system requirements specification (SRS)

• manufacturer’s reliability figures

• stakeholder inputs during the design process

o maintainers

o operators

o safety assurance

o integrators




21.2. Activity For the purposes of this guide, dependability in design refers to the following areas that contribute

to overall system dependability:

• safety in design, while often considered part of dependability, is covered earlier in this guide

(Section 15)

• sustainable design

• RAM

• security (including human security, physical asset security and cyber security)

21.2.1. Sustainable design T MU MD 00009 ST AEO Authorisation Requirements places the following requirement on AEOs:

• ENM7 [was ENM8/9]: " An AEO shall incorporate sustainability in design principles as

relevant to the scope of the authorised engineering services"

Sustainability in design seeks to reduce negative environmental impacts and identify

opportunities for improvement. It should be considered early in the design process to ensure that

sustainability opportunities are maximised throughout the life of the asset.

The basic objectives of sustainability are to reduce consumption of non-renewable resources,

minimise waste, and create healthy, productive environments.

An AEO should incorporate sustainability in design as relevant to the scope of the authorised

engineering services. An AEO is also expected to consider environmental impact as relevant to

the scope of the authorised engineering services.

Detailed guidance on TfNSW sustainability requirements for rail and how they can be met is

provided in the NSW Sustainable Design Guidelines for Rail, which discusses the following seven

sustainability themes:

• energy and greenhouse gases

• climate resilience

• materials and waste

• biodiversity and heritage

• water

• pollution control

• community benefit




21.2.2. Reliability, availability, maintainability (RAM)

T MU MD 00009 ST AEO Authorisation Requirements places the following requirement on AEOs:

• ENM8 [was SEM11]: " An AEO shall demonstrate that it has RAM management

arrangements in place, relevant to the engineering services or products provided"

Reliability, availability, and maintainability (RAM) are system design attributes that have

significant impacts on the sustainment or total life cycle costs (LCC) of a developed system.

Early consideration of RAM in rail system design is an essential criterion for successful rail

system planning and acquisition within TfNSW.

A design AEO is expected to demonstrate that it has RAM management arrangements in place,

relevant to the engineering services or products provided.

Designing for reliability, availability and maintainability is an iterative process in which the

designer considers subsystem elements and their configuration options against the system

performance targets and is traded off against performance, cost, time and risk (PCTR).

RAM-based design involves several key steps, as follows:

• Establish a mathematical model (or models) to represent the subsystems selected for the

design, which can be reliability block diagrams (RBDs) or fault trees. This is used to test the

predicted performance of selected equipment against target levels.

• Establish the predicted reliability or maintainability level for each subsystem, where this is

not provided for existing type-approved products and systems. Performance targets

established for systems and subsystems are commonly referred to as reliability budgets.

• Select physical subsystem configuration targets established in the RAM requirements

allocation.

• Test the predicted level of performance against the targets and identify shortfalls.

• Introduce improvements to the design or to the proposed subsystem configuration in order to

meet the required target.

Safety and its direct relationship to RAM is treated as an integral part of overall system design,

and it is included in the performance targets described above, and is discussed in more detail in

Section 15.

As part of the design process, the targets are set so that the system is compliant with the relevant

standards.

For civil, structural and track disciplines the activities above may not be appropriate, where

durability analysis is typically applied. The above activities are more applicable to the signalling,

telecommunications, control systems and electrical disciplines.




21.2.2.1 Integrated support analysis

An integrated support analysis helps identify and document the support requirements for new or

altered assets, including when assets are to be removed. The activity can be initiated at any time

during the life cycle of an asset. It is part of the design process, beginning with the concept stage

and continuing through the detailed design, taking into account life cycle safety risks, reliability

and costs. Integrated support requirements can also form part of the scope for design verification,

validation, approval and acceptance.

Integrated support elements may include (but are not limited to) the following:

• technical maintenance plan

• operating plan

• facilities, tools and support equipment

• personnel requirements

• inventory

• training and competency

• packaging, handling, storage and transportation

• training manuals

• computer support

21.2.2.2 Failure modes, effects and criticality analysis (FMECA) FMECA is a standard tool for identifying and prioritising the failure potential of a design. It is

usually conducted during the developmental stage in order to prioritise design actions aimed at

their (failure potential) removal during that stage.

Removal of high-risk failure modes early in the design process has significant economic

advantages and will usually more than justify the additional investment necessary to conduct a

FMECA during the acquisition phase.

21.2.2.3 Maintenance requirements analysis (MRA) The determination of maintenance requirements is a significant process, which consists of both

preventive and corrective maintenance procedures. These procedures are related to both the

physical and functional configurations of items in a system, and recognise that the operating

context or environment of equipment is a critical contributor to system maintenance needs.

Reliability-centred maintenance (RCM) analysis is a 'world class' standardised maintenance

requirements analysis (MRA) process now accepted by, and applied across all TfNSW

engineering disciplines for the development of system-preventive maintenance requirements.




The RCM process derives from the application of failure modes, effects and criticality analysis

(FMECA) and recognises that preventive maintenance can only, at best, enable assets to achieve

their built-in level of reliability.

More details are provided in AM 9995 PM Maintenance Requirements Analysis Manual.

21.2.2.4 Maintenance manuals input

If maintenance manuals are required as a deliverable for a new or altered asset, the designer will

need to ensure that the original design intent of the asset continues to be met over its operational

lifetime.

The designer will need to provide input in terms of required functionality and performance, and

expectations on the maintenance frequency and effort to maintain the designed performance.

21.2.2.5 Technical maintenance plans (TMP) input

The design process should identify whether the development of a TMP is required, and if so,

whether an update to an existing TMP or a brand new TMP is required. This will be determined in

accordance with T MU AM 01003 ST Development of Technical Maintenance Plans.

The technical maintenance plan is prepared by identifying what and which items are to be

maintained, which maintenance tasks are to be performed, and when and where the maintenance

tasks are to be performed. A supplementary report outlining the analysis conducted, the findings

and the rationale behind the recommendations accompanies the technical maintenance plan.

21.2.3. Security design The design process should take security into consideration and aim to have it implemented from

the ground up where applicable. Security includes human security (staff and customers), asset

security, and cyber security.

Security-centric designs, for example, can apply concepts such as crime prevention through

environmental design (CPTED) which emphasises that good design and effective use of the

physical environment can lead to a reduction in fear and incidence of crime against people or

property.

Good security design should integrate asset security requirements and associated technologies

into a design that creates high-quality spaces, especially in the public domain.

The design AEO should organise security risk workshops to include all relevant stakeholders

where security is expected to affect design scope. Late involvement of security stakeholders may

lead to costly design changes later in the project.




21.2.4. Human factors integration

T MU MD 00009 ST AEO Authorisation Requirements places the following requirement on AEOs:

• ENM9 [was SEM13/14]: "An AEO shall manage all HF relevant to the scope of the

authorised engineering services"

Human factors integration (HFI) activities are conducted to ensure that the design of the overall

system is optimised so that the system can be operated and maintained safely, efficiently and

effectively.

Therefore HFI has a significant impact on the likelihood that the system will meet its performance

requirements. In order to conduct HFI activities it is necessary to engage with the users of the

system so that the task requirements can be understood. For this reason the Human Factors

Integration Manager is often tasked with the overall responsibility for consultation with users

across all project disciplines.

A design AEO is expected to demonstrate that it has appropriate HFI considerations in place

relevant to the engineering services or products provided.

HFI design activities require the following steps:

• establish and document the context of the use of the system

• identify, record and manage any potential HF issues

• analyse, manage and control the identified HF issues

• assess the system design, including the adequacy of any identified HF controls

• adopt and test the effectiveness of the HF controls

• consult and communicate with all stakeholders and end user groups

Typically in more complex projects a human factors integration plan will be required. Human

factors issues are often captured within a human factors issue register or as part of the project

hazard log.

In the analysis phase, and depending on the nature of the project, some or all of the following

activities may be required:

• task analysis

• anthropometric analysis

• review of the provision of information, audibility and intelligibility of messages

• analysis of alarms and alerts

• review of controls, displays, workplace and task design

• review of glare, reflections or lines of sight

• review of customer seatings, information, handholds and rails, wayfinding, and so on




• incorporation of DDA and Disability Standards for Accessible Public Transport 2002

(DSAPT) requirements

21.3. Applicable standards and guides The following international and national standards and guides provide additional guidance:

• EN 50126-1: 1999 Railway applications – The specification and demonstration of Reliability,

Availability, Maintainability and Safety (RAMS) - Part 1: Basic requirements and generic

process

• EN 50128: 2011 Railway applications – Communication, signalling and processing systems

– Software for railway control and protection systems

• EN 50129: 2003 Railway applications – Communication, signalling and processing systems

– safety related electronic systems for signalling

• AS/IEC 61508 Functional safety of electrical/electronic/programmable electronic safety-

related systems (E/E/PE, or E/E/PES)

• AS 4292.1-2006 Railway safety management Part 1: General requirements

• Safe Work Australia - Safe design of structures code of practice (Jul 2014)

• Safe Work Australia – Guidance on the Principles of Safe Design for Work

The following TfNSW documents provide further requirements and guidance on dependability:

• T HR SY 10000 GU Overview of Rail Security Standards and Interpretation Guide

• T MU AM 01002 MA Maintenance Requirements Analysis Manual

• T MU AM 01003 F1 Blank FMECA Sheet

• T MU AM 01003 ST Development of Technical Maintenance Plans

• T MU AM 01003 F2 Blank Service Schedule Form

• T MU AM 01003 F3 Blank TMP Form

• T MU AM 01003 F4 Technical Maintenance Plan Review and Authorisation Form

• T MU AM 01004 ST Maintenance Service Schedule Classification and Compliance

• T MU AM 01008 ST Technical Maintenance Plans and Coding System

• T MU AM 01009 TI Technical Maintenance Coding Register

• T MU AM 06002 GU AEO Guide to Reliability, Availability and Maintainability

• T MU HF 00001 ST Human Factors Integration – General Requirements

• T MU MD 20000 GU Risk Tolerability, Quantified Risk Assessment and its Role in the

Assurance of Change






• TN 058: 2016 Clarification of cyber security risk management

• NSW Sustainable Design Guidelines for Rail version 2.0

• NSW Sustainable Design Guidelines for Rail version 2.0 Appendix D

• NSW Sustainable Design Guidelines for Rail version 2.0 Appendix E

• NSW Sustainable Design Guidelines for Rail version 2.0 Checklist

• 9TP-SD-081 TfNSW Climate Risk Assessment Guidelines


further guidance on dependability considerations in design:


• EPD 0009 Reliability, Availability and Maintainability (RAM)

• EPD 0018 Integrated Support Requirements

• EPD 0019 Maintenance Requirements Analysis

• AM 9995 PM Maintenance Requirements Analysis Manual

21.4. Responsibility The DL is responsible for the following:

• ensuring designs consider integrated support requirements

The designer is responsible for the following:

• ensuring that integrated support requirements are considered as an integral part of all tasks

that affect the approved configuration of the asset

• developing or updating manuals for operations, maintenance, testing, spares and the like,

and documentation on the technical requirements

A safety in design (SiD) specialist should facilitate SiD workshops.

Safety responsibilities (particularly for design) should be defined and agreed. These may be

recorded in a project safety responsibilities matrix (see the example in Appendix B.18).

21.5. Timing Consideration of dependability in rail infrastructure system design is a progressive activity that

commences in draft in the concept phase, and extends through to final design and AFC.




21.6. Output Consideration of dependability aspects of the system design produces the following outputs:

• safety in design reports

• design hazard log

• RAM reports

• integrated support analysis reports

• maintenance requirements analysis reports

• FMECA study reports

• maintenance schedules as inputs to maintenance manuals

• new or updated technical maintenance plans (TMPs)

• sustainability in design reports

• security assessment reports (including physical asset, human, and cybersecurity)

22. Interface design The nature of multi-discipline rail infrastructure systems and projects is that there are many

system or technical interfaces to consider as part of the integrated design. This involves the

engagement of multiple specialist design disciplines working in a coordinated fashion under the

direction of the DM.

T MU MD 00009 ST AEO Authorisation Requirements places the following interface management

requirements on AEOs, and design AEOs in particular, with requirements references and

remapped requirements in square brackets:

• ENM4 [was SEM5]: An AEO shall have interface management arrangements that set out the

process, responsibilities, structure, tools and deliverables.

• ENM4 [was SEM6]: An AEO shall ensure that all interface requirements under the control of

its engineering services are identified, captured and managed, (and) that interface design

reviews and checks are conducted at appropriate stages of the design process by competent

subject matter experts.

• ENM4 [was SEM7]: An AEO shall ensure that interface design reviews and checks are

conducted at appropriate stages of the design process by competent subject matter experts.

• ENM4 [was SEM8]: An AEO shall identify and manage interface risks and outcomes that

may have a safety or otherwise undesired impact.




22.1. Input The following items typically form inputs to the system or technical interface design activity:

• stakeholder interface inputs during the design process

• stakeholder interface specifications (for example, council and utility service connections)

• stakeholder scope of works

• existing standards and interface agreements

• draft interface control documents (ICDs)

• draft system architecture (functional and physical interfaces)

• concept/reference design (further developed physical interfaces)

• preliminary design (subsystem physical interfaces)

22.2. Activity DMs need to devise a plan for managing, identifying, analysing and controlling a project design’s

interfacing systems and elements.

22.2.1. Plan interface management An interface management plan should be prepared to specify the processes for the identification,

analysis and control of interfacing systems and elements, both internally and with external

parties.

22.2.2. Identify, define and analyse interface The following steps should be followed to identify and analyse interfaces:

• define the interfaces – whether they are functional, physical or informational

• identify the interface sources – from existing standards, agreements, the stakeholders,

architecture, scope of works, specification, concept and reference design, environmental and

third parties

• analyse and characterise the interfaces – for example; physical or clearance, energy, data,

communications, human

• capture the interfaces in a matrix – provides a high-level overview of the known interfaces for

the system of interest to form the basis or framework for interface management




22.2.3. Control interfaces

An interface review is a formal meeting held between interested stakeholders and affected design

teams on a multi-disciplinary project. It may sometimes be combined with an interdisciplinary

design review.

An interface review is performed to ensure that all aspects of one or more selected interfaces are

considered and discussed, all interface problems are resolved, and decisions are recorded.

The review may also result in the identification of new interfaces, or may identify new properties

or issues associated with interfaces already captured.

22.3. Applicable standards and guides The following ASA documents provide further requirements and guidance on interface design:

• T MU AM 06006 ST Systems Engineering

• T MU AM 06006 GU Systems Engineering Guide


• TS 10507 AEO Guide to Systems Integration


further guidance interface definition and design management:

• EPD 0007 Interface Definition and Management

22.4. Responsibility The systems integrator's role encompasses the following responsibilities:

• develop the systems integration strategy and program

• lead the implementation of the systems integration strategy

• provide high level support of the interface management process

• formally approve the interface management plan

• champion the interdisciplinary design review process

• assure systems integration and interface management success in line with the project

program

• communicate any systems integration and interface issues to the client and other interested

external parties




The designer is responsible for developing or modifying railway infrastructure designs, and should

ensure the following:

• that the requirements of all defined or common interfaces are taken into account as part of

the design process

• having delegated design verification, authority should ensure that all interface requirements

have been taken into account in the design and should verify conformance

The interface manager (or project role responsible for interface management) is responsible for

the following:

• creating and maintaining the interface management plan

• create and maintain the ‘live’ interface register

• produce the interface control document template

• facilitate regular interface meetings

• establish and document reviews of the interface register

• maintain the interface management program

Note: Interface management could be a part of design management and as such the

DM role could include interface management responsibilities.

The asset manager is responsible for the following:

• identifying changes in the conditions of operational use of rail infrastructure assets, and for

ensuring that these are subject to engineering assessment before they are introduced

• ensuring that the requirements of all stakeholders, including external agencies having some

form of interface with rail infrastructure or operation, are identified when submitting

configuration change requests

The DM’s role encompasses the following activities:

• ensure that interface requirements are developed within the system and element designs

• ensure that interface control documents are produced where required

• ensure the commitment of the design team to interface management

• provide input into the interdisciplinary design review process

22.5. Timing Interface identification, analysis and design should commence in the concept stage or as early as

possible, in order to ensure that the overall system concept design will result in a fully integrated

design solution with no interface mismatches.




22.6. Output The following outputs are typically produced from interface design activities:

• interface register

• interface management plan

• interface control documents

• interface requirements

• interdisciplinary design check (IDC) certificates

• interface test requirements or specifications

23. Design configuration control As the system design evolves from early concept design through to as-built design, it will undergo

many changes during the interim stages. These changes need to be tightly controlled in order to

assure that the configuration of the integrated system design remains valid.

As outlined in T MU MD 00009 ST AEO Authorisation Requirements, TfNSW expects that an

AEO should have a documented approach, including identifiable roles and responsibilities for the

management of all proposed or existing configuration items under its control.

There should be arrangements for identifying stakeholders and managing their engagement

during changes.

An AEO should have appropriate tools for managing the change control process.

There should also be arrangements in place for ensuring that configuration items match

documentation.

These requirements can be interpreted and applied to the design process and to design-related

configuration items produced during the design and post-AFC stages up to commissioning.

23.1. Input The following items are typical inputs to the design configuration control activity:


• design configuration change request, for example, design change requests or notes

• request for information (RFI)

23.2. Activity The activities in Section 23.2.1 to Section 23.2.6 relate to design configuration control.




23.2.1. Design change

Designs may be subject to change over the lifetime of the project, including during the concept,

preliminary and detailed design phases. While not desirable, design changes may also occur

during the construction, integration, testing and commissioning phases.

The AEO should review and check design changes to determine impacts. Depending on when a

design change is raised, re-testing may be required. The outputs of a design change can impact

any other phase of the design life cycle, including previous phases.

Design changes should be controlled by a repeatable process, which may include the following:

• TfNSW client stakeholder or sponsor-initiated changes to contract work scope

• requests for information raised within the project by the constructor

• design change requests or notes raised within the project

• changes in standards or legislation

Outputs from the design change process may include the following:

• updated calculations, drawings, CAD or BIM models

• updated specifications

• updated management plans and reports

• authorised change of contract requirements as agreed with the TfNSW sponsor

• formal notification of changes through the design change control procedures

• authorisation of change review documentation

• design change documentation, including reasons for decisions

• safety change assessment

• updated hazard log

23.2.2. Design configuration items Design configuration items (CIs) include all artefacts produced by the designer, checker, verifier

and CAD operator that may be subject to change, and whose changes need to be controlled in

order to assure the integrity of the new or altered asset over the project life cycle.

Design configuration items may include, but are not necessarily limited to the following:

• design calculations, models, simulations and analysis reports

• design drawings, CAD, BIM or DE models and files

• design calculation records (see example in B.7)

• design verification records (see example in B.8)




• interdisciplinary design check certificates (see example in B.9)

• design hazard log (see example in B.11)

• design release checklists (see example in B.12)

• design reports (see example in B.13)

• product or equipment specifications (for example, HV switchgear, rectifier-transformer)

• detailed design bill of materials (see example in B.17)

23.2.3. Design configuration status The version status of all design configuration items should be recorded.

23.2.4. Design configuration gates Under the TfNSW AEO Governance Framework, design AEOs are responsible for managing

design configuration through concept, preliminary and detailed design to AFC status by means of

internal configuration gate reviews. These AEO-managed internal configuration gate reviews

occur after TfNSW TNAC gate 2 (initial design) and prior to gate 3 (for construction), as illustrated

in Figure 1.

23.2.5. Configuration control boards

TfNSW has established a hierarchy of delegated configuration control arrangements as defined in

Figure 1 of the T MU AM 04001 PL TfNSW Configuration Management Plan:

• tier 1 configuration control is achieved via the TfNSW TNAC

• tier 2 configuration control is achieved via department level configuration control boards

(CCBs) established by the project delivery organisation

• tier 3 configuration control is delegated to the design AEO to manage

23.2.6. Design configuration baselines As mentioned above, design change can occur during and after design production. The AEO

should establish a set of design baselines, as follows:

• concept design baseline (mandatory - aligns with TNAC gate 2, Figure 1)

• preliminary design baseline (optional)

• detailed design (100% complete, subject to comments closure for AFC) baseline (optional)

• AFC design baseline (mandatory - aligns with TNAC gate 3, Figure 1)

• construction complete design baseline (mandatory - aligns with TNAC gate 4, Figure 1)

• testing and commissioning complete design baseline (optional)




• work-as-executed (WaE) design baseline (mandatory - aligns with TNAC gate 5, Figure 1)

23.3. Applicable standards and guides The following ASA documents provide further requirements and guidance on design and general

asset configuration control:

• T MU AM 04001 PL TfNSW Configuration Management Plan

• T MU AM 04002 GU TfNSW Configuration Management and Asset Assurance Committee

Submissions Guide

• T MU AM 04003 GU Configuration Management Guide


further guidance configuration and change control of design:

• EPD 0014 Managing Configuration Change

• SPA 217 Configuration Information Specification

23.4. Responsibility Responsibility for configuration control (including design configuration) at the TfNSW multi-modal

transport network level is assigned to the Transport Network Assurance Committee (TNAC) that

is chaired by the ASA’s executive director, with members drawn from director level and above

roles across the NSW transport cluster.

The TNAC has oversight of due process followed during the planning and acquisition of new or

altered assets (rail infrastructure in this case) at gates 0, 1, 2 and 5. The TNAC does not carry out

detailed technical review of design content, but ensures that the artefacts demonstrating good

engineering governance and assurance have been produced.

Therefore, responsibility for direct design control on a rail infrastructure project is delegated from

the TNAC down to project-specific configuration control boards (CCBs), who manage design

changes throughout the preliminary and detailed design phases, and any additional design

changes that may occur during post-AFC activities up to project completion.

While a project may appoint a configuration manager to manage all configuration items (CI),

including design CIs, responsibility rests with each designer for taking reasonable steps under his

control to ensure that their competent design changes are proposed, reviewed, accepted and

recorded by whatever parties are allocated contractual responsibility for this.

Overall design configuration control responsibility for ensuring that design changes are proposed,

reviewed, accepted and recorded could also lie with the DM or PM.




23.5. Timing Design changes and therefore design configuration control, occurs throughout the project design

life cycle from concept design through to commissioning.

23.6. Output Typical outputs from design configuration control activities may include the following:

• design configuration item lists (CILs)

• design configuration baselines (for example, concept, AFC, as-built)

• design change requests or design change notes (DCR or DCN) – approved

• design configuration or change status reports

24. Engineering specifications For all design tasks undertaken, an engineering specification is essential and is required to

provide a design basis for the asset(s) and thereby become part of the configuration

documentation for the approved design.

Specifications can generally be divided into two categories, as shown in Figure 4:

• Performance or functional specifications that focus on the functions and performance

requirements of the final design. Performance specifications do not include a high level of

information covering the detailed design requirements for the item; that is, they do not

specify ‘how’ to carry out the design task.

• Detailed specifications are generally used for developed assets, systems, processes or

products. They provide a detailed description of the design solution.

Performance Specification

Detailed/ Technical

Specification

Software Development Specification

Interface Specification

(Hardware) Product

Specification

Software Product

Specification


Figure 4: Engineering specifications

The specification process may be simplified on many projects by introducing a discipline-wise

design basis report (DBR). The DBR is prepared by the designer and typically includes the scope

of works in accordance with the contract and subsequent variations (if any), relevant standards,



referenced documents, key inputs and assumptions, interface coordination methodology and

engineering specifications for the design.

The DBR is signed-off by the designer, checker, verifier, DL and DM, and is to be used for

developing the design. This is standard industry practice, easy to follow and has full traceability.

The DBR may be reviewed by the Principal to provide early input. Every revision of this document

needs to be signed-off by the DM, which enables them to control changes. The DBR can be used

for validating the design and identifying any nonconformances.

24.1. Input The following inputs are provided to the preparation of engineering specifications:

• customer or user requirements

• stakeholder engagement meeting workshops to elicit business requirements

• stakeholder engagement meeting workshops to elicit system requirements


24.2. Activity In the absence of a client specification, or where the client-supplied specification is inadequate, a

design brief should be prepared by each relevant discipline for the design task involved. This

should be coordinated by the DM, and the final brief should be signed off by all relevant DLs. The

design brief should include statement of design intent, engineering and interface specifications

and the maintenance of specifications, as discussed in Section 24.2.1 to Section 24.2.5.

24.2.1. Prepare design brief A design brief is functionally equivalent to a client specification and once agreed by the client, will

have the same status as a client specification.

The design brief should include all standards and requirements in applicable legislation and

regulations as well as all key design parameters necessary to execute the task. These include the

intended conditions and limitations of use for approval by the client.

Full definitions of the proposed design requirements are essential for compliance with the

responsibilities of a designer under relevant rail safety and work health and safety (WHS)

legislation and regulations. In addition, the AEO has a responsibility to produce designs for

TfNSW that are ‘fit for purpose’ for the intended use and design staff should clearly establish and

document planned performance and usage requirements in order to meet this obligation.




24.2.2. Capture statement of design intent

The designer is responsible for capturing the statement of design intent from the client, which

may be provided in the form of a formal document by TfNSW, or depending on the contracting

arrangements, may be developed collaboratively via client and stakeholder workshops.

24.2.3. Prepare specifications The designer is responsible for preparing the engineering specifications, which will typically be a

detailed synthesis of higher level specifications. For example, if the input is a functional and

performance specification provided by TfNSW, then through the design synthesis process

outlined in Section 14, the designer will develop a detailed (solution) design, which may be

supported by one or more detailed technical specifications for hardware, software and interfaces.

These specifications will in turn trigger further design development until a detailed design is

completed, supported by very detailed product specifications.

Specifications should provide details on quality metrics, ownership, and history and rational

behind individual requirements. Requirements should be linked to proposed verification methods

(for example, analyse, inspect, test, demonstrate). Specifications should also consider states (for

example on, off, alarm) and modes (for example normal, degraded, emergency, maintenance).

24.2.4. Prepare interface specification As part of the interface design activity outlined in Section 22, the designer may be required to

produce high-level interface control documents (feasibility stage), which in turn will be developed

into interface requirements specifications (concept and preliminary design stage), and finally

should be developed into detailed interface specifications (mechanical, physical, electrical or

data).

24.2.5. Maintenance of specifications Specifications form part of the permanent design record for an item and are to be maintained as

part of the current approved configuration documentation for the asset or system.

Specifications should only be changed or amended where there is a permanent change intended

in the design requirements for the item; for example, a change in operating temperature range. In

such cases, the implications or effect of the change should also be included; for example, to all

equipment manufactured or purchased after a specific date or with serial numbers after 'NNN'.

Temporary variations from specification requirements, for example where a specific batch or

design does not meet one or more requirements of the specification but is assessed as

acceptable for the intended use, should be documented as a variation, deviation or concession.




24.3. Applicable standards and guides The following legacy RailCorp document (to be withdrawn or superseded in future) provides

further guidance type, hierarchy and development of various engineering specifications:

• EPD 0004 Engineering Specifications

24.4. Responsibility The DM is responsible for ensuring that all design tasks are fully specified. In the absence of an

adequate client specification, DMs should coordinate with design disciplines in preparing a design

brief for cross-checking with the client.

The DL is responsible for the following:

• ensuring that specifications of the appropriate type are either provided by the client or

prepared by design staff for all design tasks

• approving all specifications for designs and new standard equipment

Designers are responsible for the following actions:

• ensuring that a clear specification is available for all design tasks before work commences

on the design

• notifying their DL of any inconsistencies or omissions from the specification, including any

aspect that may affect the durability, conditions of use or fitness for purpose against the

intended application

24.5. Timing Timing occurs prior to detailed design stage for design work package specifications. On

completion, the design detail for product specifications goes to the procurement organisation.

24.6. Output Possible outputs include but are not limited to the following:

• performance or functional specification (for example, interlocking functional specification)

• detailed specification (for example, specification for structural steel)

• product specification (for example, traction substation rectifier-transformer specification)

• interface specification (for example, data interface and protocol specification for SDH node)




25. Design support during construction The designer's responsibility on a project does not end with the delivery of approved for

construction (AFC) designs. The designer is expected to provide ongoing post-AFC design

support, up to commissioning and possibly beyond during the defects and liability phase.

In short, TfNSW expects design AEOs to demonstrate capability and availability to provide design

support during construction, inspection, test and commissioning and acceptance activities.

25.1. Input The design AEO will provide AFC designs and product specifications as an input to the post-AFC

phases of the project.

Inputs to post-AFC design support activities will include requests for information (RFIs) and

engineering change requests (ECRs) from the constructor that may trigger a design change.

25.2. Activity The design AEO should provide the following post-AFC design support during fabrication and

manufacturing (factory-based), construction and installation (site-based), systems integration and

test (site-based), and final commissioning and acceptance.

25.2.1. Fabrication and manufacturing phase The design AEO may provide the following technical support:

• witness or carry out first article inspections (FAI), which are typically visual inspections of the

quality of a random sample of physical products or components from a batch production run

• witness or carry out factory acceptance tests (FAT), which are typically carried out using

some form of test instrumentation on the factory floor

• clarify engineering and product specifications with the manufacturer or fabricator (for

example, pre-cast concrete viaduct sections or tunnel segments)

25.2.2. Construction or installation phase The design AEO may be required to provide the following support during construction:

• design input to inspection and test plans (ITPs) to define acceptance levels

• site visits to inspect the construction works to assure that the original design intent is met

• witness and provide design insight into results of site acceptance testing (SAT)

• respond to request for information (RFI) or technical query (TQ) raised

• respond to, or raise, engineering change requests (ECRs) and change notes

• provide design advice during construction to ensure correct interpretation of design intent




• update construction copies of designs in CAD or BIM that may be updated by the constructor

25.2.3. Systems integration and test phase The designer should provide design input during the detailed design phase to the tester, who

prepares the inspection and test plans (ITPs) and test procedures, including more specifically all

integration tests at module, assembly and sub-system level. Appendix B.14 provides a sample

register of typical rail infrastructure ITPs for a large multi-discipline rail infrastructure project.

The design AEO may be required to provide the following support during systems integration and

testing:

• witness systems integration testing (SIT) to assure that the constructed asset still meets the

original design intent when integrated with other assets

• provide design advice during Integration to ensure correct interpretation of intent

• update test copies of designs that may be updated by the test engineer

25.2.4. Commissioning or acceptance phase The design AEO may be required to provide the following support during commissioning:

• witness and provide design insight and advice into actual results of commissioning testing

• provide design advice during commissioning to ensure correct interpretation of design intent

• update designs to work-as-executed (WaE) due to changes made during testing and submit

to the appropriate design repository, such as the virtual planroom (VPR) or equivalent

25.3. Applicable standards and guides The following ASA documents provide further requirements and guidance on the planning and

provision of post-AFC design support:



additional guidance design support activities during the construction phase of a project:


• EPD 0014 Managing Configuration Change

• EPD 0017 Design Documentation and Records

• EPD 0018 Integrated Support Requirements

• ESI 0021 Provision of Technical Maintenance Plans by External Organisations

• TMA 0494 Work as Executed Procedure

• TMA 0495 Infrastructure Services Data Policy




25.4. Responsibility The DM is responsible for ensuring that sufficient design support is planned, budgeted and

provided for in the post-AFC phase up to commissioning and handback, as well as for finalising

the work-as-executed drawings and CAD models for handover to the VPR. Design support may

extend beyond handback up to final completion (after expiry of the defects and liability phase).

25.5. Timing The goal of the design team as a whole is to provide an AFC design that fully meets its

requirements, is fit for purpose, and is safe.

The intent should be to have minimal or no post-AFC design changes, and good stakeholder and

design assurance can help achieve this. In reality, projects will experience unexpected scenarios

where a post-AFC design change may be required, and the intent is that this change should have

as low an impact on the project and overall asset life cycle as possible.

The earlier a design change is triggered during post-AFC construction, the better; preferably

during material procurement and fabrication, and prior to site establishment and construction.

25.6. Output Typical post-AFC design support outputs for a rail infrastructure project may include the following:

• designer responses to requests for information (RFIs) from the constructor

• designer-produced and signed-off design change notes (DCNs)

• designer sign-off of completed inspection and test plans or checklists (ITP/ITCs)

• design, check and verification sign-off of construction phase mark-ups

• design, check and verification sign-off of test and commission phase mark-ups

• design, check and verification sign-off of as-built (WaE) designs

26. Integrated design approach A design approach is presented to integrate individual rail infrastructure asset disciplines (such as

signalling, overhead wiring (OHW), track, civil, electrical, and telecommunications). It identifies

key links between asset-specific design processes, and facilitates the planning and task

scheduling process for multi-disciplinary rail infrastructure engineering projects.

The approach presents notes for tailoring to each of the asset disciplines of signalling, control

systems, traction substations, track and civil engineering (of which there are a number of sub-

disciplines), LV and HV power distribution, OHW and telecommunications. Appendix A.3 presents

a role activity diagram (RAD) model for a typical multi-disciplinary rail infrastructure project.




The approach assumes a rail infrastructure project on a TfNSW electrified line, involving the

replacement, remodelling or upgrade of a combination of one or more of the following:

• signalling systems

• control systems (signalling and electrical SCADA)

• telecommunications systems

• track and switches and crossings

• lineside civil (combined services route), structures and buildings

• LV and HV power supplies and dc traction substations

• overhead wiring (OHW) equipment

To use this model for a specific multidisciplinary project, the DM will facilitate interdisciplinary

design checks (IDC), involving the relevant DLs. The IDC may use the integrated design

approach illustrated in Appendix A.3 as a start, together with the notes below on tailoring the

approach to the individual relevant asset disciplines, to develop a project-specific integrated

design schedule.

26.1. Process model description Large rail infrastructure projects may comprise a number of asset-specific design work packages

that can be individually developed into design solutions.

The design development phases (concept, preliminary and detail design) will progress within

each discipline in accordance with established standards, procedures and processes.

The designer should initially establish the configuration and condition of the current infrastructure

(the as-built system to be changed or upgraded or replaced, and its existing environment).

The three main stages in the integrated design development process typically involve the

following:

• concept design (involving option selection)

• preliminary design (involving single option development of high-level design)

• detailed design (which is required before approval for construction - AFC)

These design stages may have a range of deliverables, supporting investigations and analyses,

and may require interim reviews and some rework. This integrated design process model is

primarily concerned with interdisciplinary interfaces, and does not provide detail of the individual

asset discipline-specific design processes and activities.

It is common in rail design for a technical adviser (TA) to prepare a concept design which, upon

being sanctioned by the stakeholders, becomes the reference design forming the basis for

procurement of a D&C contractor. The designer is therefore required to understand the

contractual significance of their output, particularly during concept design.




Preliminary design is a stage of detailed design, and should define what goes precisely where

and how everything needs to be inter-related and inter-connected, leaving not much more than

final dimensions and detailed specifications to be to be added to achieve 100% design.

Exchange of requirements and information between asset disciplines should be managed during

the integrated design development. These, together with IDCs, define the interdisciplinary

dependencies of the design activities. The main exchanges should occur during concept or

preliminary design to avoid the need for detail design rework. The preliminary design for each

discipline will have established what is required from the other disciplines, and it will provide

much of the information that other disciplines require to progress their designs.

Assumptions and dependencies may be necessary at the preliminary design stage, so further

design information exchanges will be required later, before completion of the detailed design.

IDCs should be conducted prior to final review and approval at the end of each design stage. The

DM may arrange IDCs with the DLs. After completing IDCs, relevant asset DLs sign off the

design release checklist (DRC) for review and acceptance at the end of each stage.

Section 26.2 to Section 26.7 considers how the processes of each of the design disciplines fit

within the generic integrated design approach. Three stages of the generic process are

considered for each discipline.

26.2. Signalling and control This section summarises key signalling design activities. Note, however, that each project may

have a unique set of scope requirements. Section 26.2.1 to Section 26.2.3 describes an

illustrative example.

26.2.1. Concept design Before commencing the signalling concept design, the following activities are conducted to

establish the configuration and condition of the current infrastructure:

• Gathering of source records, including, as appropriate, the track design, the existing (as

built) signalling plan and a recent kilometrage and gradient survey.

• Signalling correlation - the level of detail of the correlation at this stage may be limited to the

level of the signalling plan. Further correlation activity, such as correlation of wiring detail,

may be conducted later in the process after decisions have been made on what existing

equipment is to be retained or adapted. This may be specified in a signalling functional

specification (SFS). The records will need to be updated as required at an appropriate stage.

• Signalling infrastructure condition survey - this may be conducted in parallel with correlation

to support decisions on existing equipment to be retained or replaced.

The signalling concept design includes production of a signalling functional specification (SFS), a

‘draft’ signalling plan (or a dimensioned sketch where no change to the signalling plan is

proposed), an initial signal sighting report and an initial detailed site survey (DSS).




The output of this stage, a preferred design option, may be a multi-disciplinary project solution, so

the ‘select option’ activities in Appendix A.3 are shown as linked. It may be necessary to present

design options to the client at this stage.

26.2.2. Preliminary design After the design option has been selected and the requirements defined, requirements are placed

on, and information required from, other discipline designs. The selection of an option also allows

applicable standards to be identified, and the effects of the proposed work on other equipment

and the environment and any special risks to be assessed.

For signalling, the preliminary design is the production of the ‘final’ signalling plan, for which

approval is required. Track layout and equipment siting details are required from track

engineering before the signalling plan can be progressed, so the signalling plan production is a

joint activity between these two disciplines.

Completion of the signalling plan allows finalisation of the signal sighting report and the collation

of other information, such as a list of signal routes, required to produce a reference design

containing sufficient information to enable detailed design. This requires the preliminary track

design, so is shown as a joint design activity.

The signalling plan is subject to IDC before review and approval.

26.2.3. Detailed design Signalling plan approval is followed by detailed design, which can be broadly divided into

engineering details and control tables.

Although the basis of production of the detailed design is the approved signalling plan, there is a

range of documents that will be produced in the development of the detail drawings. These

depend on the scale and complexity of the project but may include a signalling design

specification.

The integrated design process does not consider the detail of the deliverables at this stage, but

should identify where information is required from other disciplines (or validation of assumptions

made previously) to complete the detailed design, such as bonding requirements from the OHW

electrification engineer.

The detailed design may also provide information, such as insulated rail joint (IRJ) positions,

which are required by other disciplines (for example, track engineer) to complete their designs.

The mechanism for this exchange of information is typically consultation and review of an

integrated earthing and bonding plan, or track insulation plan. These exchanges should be

incorporated in the integrated design process model when applied to a specific project.

Detailed designs are subject to interdisciplinary design check (IDC) before submission to the

critical design review (CDR) to review and approve for construction (AFC).




26.3. Track, structures and buildings This discipline covers three broad areas: track work (including formation and drainage), ancillary

structures (supporting signalling, electrification, telecoms and operations equipment, and

including bases and retaining walls and under track crossings), and buildings (for example, relay

rooms, equipment rooms, substations, control centres, maintenance and stabling facilities).

For the purpose of brevity, these disciplines have been grouped together and summarised here

with particular attention to assets on or near the line, but it is important to note that each of the

following disciplines has a range of activities to be undertaken over the entire design life cycle:

• structures (for example OHW structures, signal gantries, radio communication towers)

• track

• drainage and hydrology

• geotechnical

• civil earthworks

• roads and pavements

• buildings and stations

• building services (LV electrical, HVAC, lighting, plumbing, security, ICT and data services)

• architecture and landscaping

• survey (track survey, geodetic, cadastral, laser)

Note, however, that each project may have a unique set of scope requirements: Section 26.3.1 to

Section 26.3.3 describes an illustrative example.

26.3.1. Concept design For track engineering, the main item of concept design is the production of a track layout plan

containing track layout and equipment siting details (for example turnouts, crossovers, catch

points, buffer stops). Before commencing, source records are obtained from TfNSW or its rail

agencies (RIM) to establish the current track infrastructure configuration. Track alignment and

land surveys are also conducted, as an input to the track layout design.

Civil engineering has a significant impact on equipment siting. Geotechnical investigations and

assessments of the impact to track equipment siting are therefore required as part of the track

layout design.

The geotechnical investigation can only be conducted, however, after the outline site layout is

obtained from the signalling discipline, which most directly relates to the operational requirements

set by the rail service planners. The selection of an option also allows applicable standards to be

identified, and the effects of the proposed work on other equipment, new and existing, and the

environment and any special risks to be assessed. If possible, this is done by involving both




disciplines at the concept and feasibility (option selection) stage, as indicated in Section 26.3.2. If

not, assumptions may have to be made at this stage.

26.3.2. Preliminary design After the site layout has been obtained, the geotechnical investigation can be conducted and

track and equipment siting details confirmed. This information is required before the signalling

plan can be finalised, so the signalling plan production is a joint activity between these disciplines.

The track layout and siting details are also required for the outline design of the ancillaries such

as OHW and signal structures (gantries, cantilevers, cable bridges) and equipment location

platforms (equipment rooms and cabinets).

In addition to interdisciplinary activities, consultation may be required with TfNSW, architects and

third parties such as council and landowners.

In parallel with the signalling plan production, requirements on the ancillary structures are

obtained from other disciplines. These include provisional lineside equipment and cable

requirements (for gantry, location base, platform and under line crossing (ULX) design) and

equipment performance requirements (for support structure design in terms of space, position

and weight).

The buildings work stream requires information from signalling, electrical and communications

disciplines about requirements for accommodating new and existing control equipment that will

become redundant. Information is also required about existing structures from source documents

and site surveys to allow evaluation of building design options such as the use of latent spare

capacity and strengthening of existing structures.

The main design activity of this stage covers the production of preliminary design drawings for

track, structures and buildings (and other civil-related design disciplines listed in Section 26.3).

These preliminary designs are subject to interdisciplinary design check (IDC) prior to being

submitted to the DLs for review and approval. The grouping of the designs into these three areas

is the general case, and may differ in detail and scope for each project.

Following IDC involving the DLs, the relevant preliminary designs are signed off before

submission of the design documents to the preliminary design review (PDR) and authority (within

the AEO, unless otherwise defined under TfNSW contract) to proceed to detailed design.

26.3.3. Detailed design

Successful passing of PDR is followed by detailed design in accordance with the signed-off

preliminary track, structural and building designs. Detailed design requires validation of any

assumptions made about other discipline designs in the preliminary designs. In particular, final

insulated rail joint (IRJ) or axle counter head positions are required from the signalling

engineering details for the track detail design.

In addition to IDCs, detailed design includes design checks as specified as part of approval.




Certificates of design and checking are signed and submitted for AFC, after all CDR comments

are satisfactorily addressed, agreed and closed.

26.4. Low voltage power supplies This discipline designs low voltage (not exceeding 1 kV ac and 1500 V dc) power supplies, and

the associated critical power distribution system required to drive signalling and communications

and SCADA equipment such as track circuits, signals, points, interlocking and data, voice or

video backbone systems, and low voltage (LV) ancillary supplies to stations and buildings (for

example, lighting and heating, ventilation and air-conditioning (HVAC).

Note, however that each project may have a unique set of scope requirements: Section 26.4.1 to

Section 26.4.3 describes an illustrative example of typical design activities and deliverables

produced at specific stages in the project delivery cycle.

26.4.1. Concept design Data are collected from source records and site surveys about the existing LV supply points and

loads, including location and electrical characteristics. This information is required for the main

concept design activity, which is the LV power distribution architecture design. This involves

design option selections on LV power supply topology, voltage, protection and earthing.

Selection of these options should be based on the design options selected for the other

disciplines. In particular, load requirements are required from the signalling concept design, as

well as lighting and HVAC. Specifically, information is required from signalling on the type of

system to be utilised (centralised or distributed, relay or computer interlocking), the ratings of

individual pieces of equipment, their physical location, and information about the pattern of

operational demand. RAMS requirements are also required, either from signalling designers or

from client targets.

Assumptions should be made if these data are not available at the time of option selection.

26.4.2. Preliminary design Assumptions and hence the LV power distribution architecture are confirmed, after requirements

from other disciplines are available. Requirements for lineside LV power distribution systems

(lineside equipment and cables such as siting of locations, under track crossings, and so on) can

then be provided to civil engineers for design of the combined services route (CSR).

The main LV power design activity at this stage is the LV power supplies preliminary design. In

addition to descriptions and justifications for the topology (including the use of UPS equipment,

level of redundancy), voltage and earthing arrangements and other configuration items are

documented, such as protection and sectioning arrangements and remote monitoring as

applicable.




The LV power preliminary design is subject to IDC with other disciplines before submission to the

DLs to review and approve before submission of the design to the PDR, and authority to proceed

to detailed design.

26.4.3. Detailed design PDR is followed by detailed design of the LV supply feeder cubicles, power supply points and

lineside LV power feeder cables as appropriate. This integrated design process is not concerned

with the detail of these activities, which for this purpose may be grouped together.

Certificates of design and checking are signed and submitted to the client for AFC, after CDR

comments are addressed.

26.5. HV and traction power supplies The high voltage distribution and traction power supply discipline designs the HV and dc traction

power to the electrified lines, which covers the incoming HV ac feeder distribution lines (132 kV,

66 kV, 33 kV, and 11 kV), substations or sectioning huts, and the 1500 V dc feeders from the

traction substation to the OHW system.

Note, however, that each project may have a unique set of scope requirements. Section 26.5.1 to

Section 26.5.3 describes an illustrative example.

26.5.1. Concept design

The design option selection for HV and traction power supplies is based on the selected design

options for the other disciplines (in particular track and signalling), and the following activities to

establish the configuration and condition of the current traction power infrastructure:

• gathering of source records, including the following

o proposed traction substation location details

o existing traction substation or sectioning hut drawings

o HV electrical reticulation and operating diagrams

o line profiles, route diagrams

o power studies

o existing survey information

o asset management plan for the area

o maintenance records

o potential environmental constraints

• inspection of the proposed traction substation location and existing rail line configuration and

possible alternate routes




The primary outputs of the concept design are proposed operating diagrams, line routes and

substation layout, and summary of major design issues for the preliminary design.

Design options are then reviewed to determine the preferred option.

26.5.2. Preliminary design After the preferred design option has been selected and its requirements defined, then design

information is requested from, and provided to, the other disciplines to allow the design to

proceed. Interfaces with other disciplines include survey (of the sites of existing and proposed HV

infrastructure), geotechnical (ground condition), architectural (site layout, building, fencing

landscaping design), civil (substation drainage, retaining walls, building foundations and

structure), signalling (route of dc returns) and OHW (route of dc feeders).

The electrical traction power design is subject to IDC before submission to the electrical DL to

review and approve.

26.5.3. Detailed design Approval of the preliminary design is followed by detailed design of the HV or traction substation

and feeder design. Detailed designs are subject to IDC followed by review and approval by the

DLs before submission to the client for AFC and after CDR comments are addressed.

26.6. Overhead wiring This discipline includes the electrical traction equipment on dc overhead electrified lines, but

excludes dc traction power supplies within the traction sub-stations, which are covered by the HV

and traction power supplies design discipline discussed in Section 26.5. Note, however, that each

project may have a unique set of scope requirements: Section 26.6.1 to Section 26.6.3 describes

an illustrative example.

26.6.1. Concept design The design option selection for OHW is based on the selected design options of the other

disciplines and the following activities to establish the configuration and condition of the current

infrastructure:

• gathering of source records, including OHW bonding details

• OHW inspection and bonding correlation (this activity includes updating of bonding

correlation drawings as necessary)

26.6.2. Preliminary design After the preferred design options for the disciplines have been selected, requirements and

constraints from other disciplines, such as signal sighting forms, and survey of existing services

are gathered as inputs to the OHW preliminary design.




The OHW preliminary design provides provisional information for the preliminary designs of other

disciplines, such as interfacing with gantry or lineside OHW structures design requirements. The

remaining part of OHW outline design is shown in Appendix A.3 as OHW preliminary design, and

comprises any further activities required to prepare a preliminary OHW design.

An IDC is conducted before submitting the preliminary design to the DLs for review and approval

prior to release for PDR to proceed to detailed design.

26.6.3. Detailed design After all OHW traction-bonding requirements are established, these are provided to signalling as

an input to the signalling detailed design. OHW detailed design progresses in accordance with

the preliminary design. Detailed design requires validation of assumptions made about other

disciplines in the preliminary design.

In addition to IDCs, detailed design includes OHW internal design checks as specified as part of

design review and approval. Certificates of detail design and checking are signed and submitted

to the client for AFC, after CDR comments are addressed.

26.7. Telecommunications This section summarises key telecommunications (otherwise known as operational technology)

design activities. Note however, that each project may have a unique set of scope requirements.

Section 26.7.1 to Section 26.7.3 describes an illustrative example.

26.7.1. Concept design The telecommunications design option selection is based on the selected design options of the

other disciplines (in particular signalling and electrical control) and on data from source records

and a telecommunications inspection. The latter includes investigations of existing fibre, copper

or radio telecoms equipment or services, which may be re-used or recovered, including the

location of network termination points. The results are documented in a telecoms survey report or

similar.

Telecommunications design options are then reviewed to determine the preferred option.

26.7.2. Preliminary design The preliminary design is the telecoms systems architecture design. This stage is required before

the civil discipline can be given an indication of the lineside equipment and cabling required (for

design of communications equipment rooms, location bases, telephone locations, ULX, CSR, and

so on).

Applicable standards are identified and the possible interference (space, electromagnetic) of the

proposed system and services with existing systems or services is assessed. The telecoms




systems architecture design is subject to IDCs before submission to DLs, in order to review and

approve prior to release so that PDR proceeds to detailed design.

26.7.3. Detailed design PDR acceptance is followed by detailed circuit design of the backbone transmission system (for

example SDH, ATM, MPLS), fibre and copper cable subsystem including joint pits, telephone

concentrator system and voice radio subsystem as appropriate. This integrated design process is

not concerned with the detail of these activities which for this purpose may be grouped together.




Appendix A Suggested design process diagrams A.1. Sample design process (per stage, per discipline)

This ‘swim-lane’ diagram (Figure 5) illustrates a typical design process (per stage) that may be followed by each asset-specific discipline. It maps typical design activities to each stage of the design process, as well as allocating

responsibility to specific design roles. On the left side, design roles include DM, DL, designer, design checker, and design verifier. Along the top, the design process typically followed per stage of design development is divided into

plan design, produce design, review and check, verify, and approve and release design. The process follows a logical sequence beginning with planning of design work and allocating relevant and competent design resources,

followed by actual production of an initial design package or deliverable, which is then passed to a design reviewer or checker that is usually of a higher technical proficiency level, and finally to a design verifier who holds the highest

technical proficiency in the relevant specific discipline. Once verified, the design package is approved for release to the next design stage.

Design Process (per stage, per discipline/package)

Des

ign

Ver

ifier

Des

ign

Che

cker

Des

igne

rD

isci

plin

e Le

ader

(DL)

Des

ign

Man

ager

(DM

)P

hase

Update

Rework

Prepare/Brief Project Design

Scope

Nominate design/check/verify resource

per DWP

Assess design resources as competent for specific DWP

Assign design/check/verify resources to each DWP

Prepare Design Work

Package Register

Prepare Design Work

Package (DWP)

Design package status:“In Preparation”

Authorise competent

design resources

Produce/Update design

YesNo

Sign off as Designer plus assumptions or comments

Yes

No

Review/Check design

Mark-up design with checkers

comments/ corrections

Sign-off as Design Check and endorse assumptions or comments

VerificationBrief OK?

No

Populate Verification Defect Log

(VDL)

Facilitate Inter Disciplinary Check (IDC)

Prepare Design

Verification Record (DVR)

Authorise Design

Verification Record

Verify designDesign

VerificationOK?

Design package status:“Ready for Verification”

Design package status:“Ready for IDC”

Design package status:“Verification in Progress”

Sign-off on Verification

Record and all items raised and closed

Sign-off Design and endorse as

Verifier

Prep Design Release for

DWP

Design package status:“Ready for Approval”

Yes

Approve design

package for release

Design package status:“Approved”

Design package status:“Ready for Design”

Design package status:“Design in Progress”

design inputs & DWPs

OK?

Yes

Design CheckOK?

Yes

No

Add IDC/VDL details to

design inputs

Provide design response to each design

input and IDC/SID item

Hazard Log

No

DL inputs

SME inputs

Plan Design Produce Design Review/Check Design Verify Design Approve/Release Design

Design Self-Check

OK?

Sign-off Design and assumptions as Designer

Sign-off Design and assumptions as Checker

Facilitate Safety In

Design (SID) Review

Design inputs


Figure 5: Sample design process (per stage, per discipline)



A.2. Sample design process (all stages) This ‘swim-lane’ diagram (Figure 6) illustrates a typical design process at a higher level (all stages) than the sub-stages in Appendix A.1 that may be followed by each asset-specific discipline. It maps high-level design activities to

each stage of the project design process, as well as allocating responsibility to specific design roles. On the left side, design roles include the DM, DL, designer, design checker, and design verifier as well as the client assurance

entity. Along the top, the design process is divided into stages that map to the overall project life cycle: concept design, preliminary design, detailed design, approved for construction (AFC), and post-AFC design support. These

main design life cycle stages are further sub-divided into the design production sub-stages as previously illustrated in Figure 5 in Appendix A.1.

Engineering & Design Process (High level)

Clie

nt A

ssur

ance

Des

ign

Ver

ifier

Des

ign

Che

cker

Des

igne

rD

isci

plin

e Le

ader

(DL)

Des

ign

Man

ager

(DM

)P

hase

ReworkReworkReworkReworkReworkRework

Plan design pack scope, schedule, budget & resources

Select/assign competent designers,

checkers, & verifiers

Produce/Update/Self-

check Concept Design

Review/Check Concept Design

Verify Concept/

Reference Design

Arrange SDR Stage Gate

Review


check Preliminary

Design

Perform Safe Design,

Environmental, Constrctability

workshops

Facilitate IDC, VfM, involving

DLs/SMEs

Review/Check Preliminary

Design



workshops


DLs/SMEs

Verify Preliminary

Design

Arrange PDR Stage Gate

Review


check Detailed Design

Check Detailed Design



workshops


DLs/SMEs

Verify Detailed Design

Arrange CDR Stage Gate

Review

Produce/Update/Self-check AFC

Design

Check AFC Design

Accept AFC Design

(TNAC Gate 3)

co-operate

desi

gner

s

com

men

ts

com

men

ts

Acc

epte

d w

ith c

omm

ents

com

men

ts

com

men

ts

Acc

epte

d w

ith c

omm

ents

com

men

ts

com

men

ts

Acc

epte

d w

ith C

omm

ents

com

men

ts

com

men

ts

com

men

ts

Update/Self-check design

with Construction

mark-ups

Update/Self-check design with Testing

mark-ups

Check updated Design (for

Testing)

Check updated Design (As

Tested)

Approve & Release updated

design for Testing

Approve & Release final

WasEX design (As-Built)

Approve AFC Design for

release

com

men

tsco

mm

ents

com

men

ts

Construction &

TestInitiated changes

Com

missioning

Initiated changes

Conduct System

Verification Review (SVR)

Conduct Physical

Configuration Audit (PCA)

AcceptAsset As-Built Drawings into

Plan Room (TNAC Gate 5)

com

men

ts

Designinputs

Accept Ready to Test

(TNAC Gate 4)

Perform Optioneering (options ID,

development & selection)

Verify Detailed Design

(all comments closed)

Concept Design Preliminary Design Detailed Design Approved for Construction Post AFC Design Support


Figure 6: Sample design process (all stages)



A.3. Sample integrated design approach Figure 7 shows a sample integrated rail infrastructure design process.

Post-AFC Implementation

DetailedDesign

PreliminaryDesign

System Concept

AEO DESIGN LEAD SIGNALLING TRACK LV POWER OHW TELECOMSHV/TRACTION POWERCONTROL SYSTEMCLIENT

PROCUREMENT, MANUFACTURING/FABRICATION, INSTALLATION/ASSEMBLY, INTEGRATION, TESTING & COMMISSIONING

Obtain Source Records

Lineside Outline Design

Obtain Lineside Structures Requirements

Cable Route & Structures Layout

Survey Existing Buildings

Control Equipment Reqts

Cable/Services Performance Requirements

Detail Design (Circuit Book)

Obtain Track Bonding Reqts

Prelim DesignStage Gate


Participate in IDC

Produce Track Reference Design

Interdisciplinary Design Check (IDC)

Prelim Track Insulation Plan (TIP

Track Formation & Drainage Outline Design

Produce Final Signal Sighting Report

Provide Track Layout Details

Provide Track Layout Details

Produce “Interim” Signalling Plan

Produce Outline Ground Plan

Preliminary Signal Sighting

Track Alignment & Land Surveys

Track Layout Plan

Select PreferredTrack Alignment

Accept RefDesign

Select PreferredSignalling Layout

Signalling Functional Specification

Signalling Infra Condition Assessment

Signalling CorrelationSurvey

Single Option

Generate Control Tables

Provide IRJ Positions

Interdisciplinary Design Check (IDC)

Obtain Approval for Construction (AFC)

Issue AFC Signalling Drawings

Accept AFC Designs

Obtain Signalling Source Records

LV Power Distrib Architecture

LV Power Site Surveys

Lineside Detail Design

Buildings Outline Design

Track, Formation & Drainage Detail Design

Obtain IRJ Positions

LV Power Room & Lineside Feed Detail Design

LV Power Supply Outline Design

Provide LV Equip & Cable Reqts

LV Power Requirements

LV Power Load Protectn & RAM

Select LV Power Config

OHW Inspection and Bonding Correlation

Produce OHW Detail Design

OHW Outline Design

Provide Gantry Requirements

OHW Structure Locations

Produce OHW Outline Design

OHW check of Signal Sighting

Telecom Asset Report

Telecom Asset Inspection

Data/Voice/Video Detail design

Lineside Equip & Cable Reqts

Telecom Equip Locations

Telecom Data/Channels

OHW Bonding Requirements

Telecom System Arch

Select Telecom Config

Select OHW Config

Participate in IDC

Participate in IDC

Participate in IDC

Participate in IDC





Participate in IDC

Participate in IDC

Participate in IDC

Participate in IDC

Participate in IDC

Participate in IDC

ObtainAFC

Issue AFC Telecoms Drawings

Issue AFC OHW Drawings

Issue AFC LV Power Drawings

Issue AFC Buildings Drawings

Issue AFC Lineside Drawings

Issue AFC Track Drawings

Buildings Detail Design

Participate in IDC


ObtainAFC

ObtainAFC

ObtainAFC

ObtainAFC

ObtainAFC

Obtain Telecom Source Records

Obtain OHW Source Records

Obtain LV Power Source Records

Obtain Building Source Records

Obtain Track Source Records

Substation & AC Feeder Distrib Architecture

HV Power Site Surveys

Substation & Feeder Detail Design

HV Power Supply Outline Design

HV Power Load Protectn & RAM

Select HV Power Config

Participate in IDC


Participate in IDC

Issue AFC LV Power Drawings

ObtainAFC

Obtain HV Power Source Records

Produce “Final” Signalling Plan

Generate & Simulate/Verify Data

Final Track Insulation Plan

Cable Route Plan

Combined Services Route

Detail Circuit Design

Produce VDU Layouts

Select PreferredSystem Config

Control System Functional Architecture

Control System Assessment/ Survey

Participate in IDC

ObtainAFC

Issue AFC Control System Drawings

Design “Final” VDU Layouts

Generate bit allocations & prepare data


Participate in IDC

SourceRecords

CMAACGATE 2

CMAACGATE 3

CIVIL/STRUCTURES STATION/BUILDINGS

Figure 7: Sample integrated rail infrastructure design process




Appendix B Sample design forms and templates Appendix B provides a comprehensive set of sample forms, registers and templates that may

be produced as part of the design process. They provide guidance on possible content and

structure for planning project design for railway infrastructure DMs and design teams. The forms

and templates are not mandated on the AEO and do not necessarily represent a preferred

format for presentation.

B.1. Sample project design management plan The following is a sample project design management plan:

1. Executive summary

2. Introduction

2.1. Project background

2.2. Primary objectives of this plan

2.3. Interfaces with other plans

3. Definitions and acronyms

4. Design organisation

4.1. Design organisation chart

4.2. Design resources and competency

4.3. Design authorisation for carrying out railway designs

4.4. Design roles and responsibilities

5. Design responsibilities, authorities and competencies

6. Relevant design stakeholders

7. The project

7.1. Scope of work

7.2. Scope of design services - design phase

7.2.1. Design disciplines

7.2.2. Design phase services

7.3. Scope of design services - construction and commissioning phase

7.3.1. Procurement support services

7.3.2. Manufacturing and fabrication support services

7.3.3. Construction support services

7.3.4. Commissioning support services

7.4. Technical review process (could be 30% or 70% or 100% review)

7.4.1. Systems definition review (SDR or 30%)

7.4.2. Preliminary design review (PDR or 70%)

7.4.3. Final or critical design review (FDR or CDR or 100%)

7.4.4. Approved for construction (AFC)

7.4.5. Post-AFC design reviews

7.5. Design work package deliverables

7.5.1. Design report




7.5.2. Design drawings

7.5.3. Design models and calculation records

7.5.4. Specifications and other reports

7.5.5. As-built documentation

8. Design development

8.1. Design procedures

8.2. Design documentation and drawings

8.3. Design calculation and checking procedures

8.4. Interdisciplinary design review and checks

8.5. Design reviews and verification

8.5.1. Internal design verification

8.5.2. Independent design verification

8.6. Design change management

8.6.1. Design changes (contractor-initiated)

8.6.2. Design changes (client or third party)

8.7. Design issues

8.7.1. Design standards

8.7.2. Safety in design

8.7.3. Sustainability in design

8.7.4. Temporary works design

8.7.5. Drafting or CAD or BIM standards

9. Communication management

9.1. Communication types

9.2. Project-wide meetings

9.3. Design management meetings

9.4. Interface management meetings

9.5. Design management reporting

9.6. Design correspondence

9.6.1. Incoming correspondence

9.6.2. Outgoing correspondence

9.6.3. Internal correspondence

10. Project design controls

10.1. Variations and design scope changes

10.2. Design programming

10.3. Design progress reporting

10.4. Design cost management

10.5. Design resource management

11. Document statistics, identification and control

11.1. Document and data control

11.2. Designer responsibility for document control

11.3. Client responsibility for document control

11.4. Document numbering




11.5. Document management system

11.6. Design data management

12. Design quality assurance

12.1. External design quality audits

12.2. Internal design quality audits

13. Design safety and risk management

14. Appendix A: Design scope drawing

15. Appendix B: Design basis (list of system functional or performance requirements)

16. Appendix C: Design organisation chart

17. Appendix D: Design program or schedule

18. Appendix E: Design work package register and scheduled delivery dates

19. Appendix F: Design procedures workflow diagrams

20. Appendix G: Design control forms

21. Appendix H: Table of relevant engineering standards




B.2. Sample design work package form Table 3 is a sample design work package form.

Table 3 - Sample design work package (DWP) identification

Design Work Package (DWP) identification Project ID LGCUP Project Description Lidcombe – Granville Corridor Upgrade Program

DWP No. DWP/T/003 DWP Description Track alignment design (LGCUP, DM, kmp22.2 to 29.3) Rev. A

Design work package (DWP) details (to be completed by design manager)

Design Discipline

SIGNALS OHW ELECTRICAL TRACK CIVIL/STRUCTURES TRACTION POWER C&CS SURVEY GEOTECH SECURITY ARCHITECTURE ROADS BUILDING/STATIONS

DRAINAGE/HYDROLOGY

Life cycle stage

FEASIBILITY CONCEPT PRELIMINARY DESIGN DETAILED DESIGN IMPLEMENT FINALISE

Submission Purpose

PROPOSAL INFO CORRELATION REVIEW/ACCEPT 3RD PARTY REVIEW / ACCEPT SDR PDR CDR AFC STAGING TESTING COMMISSIONING AS-BUILT DESIGN INPUT

DWP Status IN PREPARATION READY TO DESIGN DESIGN IN PROGRESS READY FOR IDC READY TO VERIFIY VERIFICATION IN PROGRESS READY TO APPROVE APPROVED

Design resource allocation

ROLE DESIGNER CHECKER INDEPENDENT VERIFIER APPROVER

Resource name:

Design authority granted: YES N/A YES N/A YES N/A YES N/A

Cost centre code:

Design work instructions (design manager to complete)

Task 1 Task 2 Task 3

Design work package authorisation

DWP prepared by (design manager): DWP authorised by (discipline lead):

Name

Signature

Date

Name

Signature

Date

Design work package inputs

ITEM DESCRIPTION DOCUMENT REFERENCE REV

001

002

003

Continuation sheet(s) attached? YES NO

Design work package progress record

DESIGNER CHECKER VERIFIER APPROVER

Name

Signature

Date




B.3. Sample design work package register Table 4 is a sample design work package register.

Table 4 - Sample design work package register

DWP no. Project life cycle stage

Design discipline

Submission purpose

Design work package description

Rev Owner Design package status

Planned dates Actual dates

Start Finish Start Finish

DWP/S/001 System definition Signals SDR Signalling plan & control tables 01 PM Planned 11/06/16 18/06/16 12/06/16 29/06/16

DWP/O/002 Concept OHW SCR OHW line diagram 01 NH In progress 15/06/16 23/06/16 17/06/16 29/06/16

DWP/T/003 Preliminary design Track PDR Preliminary track alignment 01 DC Ready for review 17/06/16 23/06/16 18/06/16 29/06/16




B.4. Sample request for information form Table 5 is a sample request for information (RFI) identification form.

Table 5 - Sample request for information form

Request for Information (RFI) identification

Project no. PN-001 Project name The big rail infrastructure project RFI no. RFI-001

Issued to Design AEO For attention Designer name Respond by DD/MM/YY

Raised by Constructor AEO Reviewed by Design manager Date sent DD/MM/YY

RFI subject Confirmation by constructor to deviate from design, or other design-related query

RFI details (to be completed by RFI initiator)

Background: Insert text here describing the background of the issue that requires clarification by the designer Question: Insert text here describing the issue itself that requires clarification by the designer

Attachment to RFI? NO YES No. of pages: ................

RFI response (to be completed by the designer)

Designer to insert text here with design response, clarifying the issue and providing design advice to the constructor or supplier

Attachment to response? NO YES No. of pages: ................

Response by Designer name Discipline Discipline type Date responded DD/MM/YY

RFI close-out (to be completed by design manager)

RFI response reviewed and close-out actions agreed? Yes – Close-out date: ............................

No – Follow-up action or RFI reference:

Closed by Constructor AEO representative Role Role description Date closed DD/MM/YY




B.5. Sample request for information register Table 6 is a sample request for information register.

Table 6 - Sample request for information register

RFI no.:

Date issued

Issued by:

Issued to:

RFI contact details RFI description Response required date:

Response received date:

RFI status

Comments

RFI-001 01/03/16 JS PM [email protected] Relocation of OHW mast structure 001002 from designed location 08/03/16 10/03/16 Closed Signal sighting confirms no adverse effect by relocating

RFI-002 04/05/16 JB DM [email protected] Replace stainless steel fittings with galvanised steel fittings 11/05/16 awaiting Open Awaiting response from structural designer

RFI-003 05/06/16 EF DM [email protected] Run 100m of CSR in danger zone instead of over embankment 11/06/16 13/06/16 Closed Rejected due to ongoing higher whole-of-life costs






B.6. Sample design comments register Table 7 is a sample design comments register.

Table 7 - Sample design comments register

Project no. <Text> Project description

<Text> Design phase <Concept/Prelim/Detailed> Ver. 01

Item Design document or record title

Page #, para #, dwg #

Design discipline

Commenter name

Comment date

Comment Response / action for resolution

Action by Closure date

Comment status

1 Civil concept design report Page 3, Para 5 Geotechnical J Citizen 05/06/16 Sub-surface conditions are not suitable for proposed piling design

Revise piling design J Soap Open

2 General arrangement drawing Dwg # XXX, Sheet 2 Geotechnical J Citizen 08/08/16 Add comment/clarification/correction here Add required response /action E Fudd Agreed




B.7. Sample design calculation record form Table 8 is a sample design calculation record form.

Table 8 - Sample design calculation record form

Design Calculation Record (DCR) identification Project ID Project description

DCR no. DCR description Rev.


DWP no. DWP Description Rev.

Design discipline

SIGNALS OHW ELECTRICAL TRACK CIVIL/STRUCTURES TRACTION POWER C&CS SURVEY GEOTECH SECURITY ARCHITECTURE ROADS BUILDING/STATIONS DRAINAGE/HYDROLOGY

Life cycle stage


Submission purpose


Design objective

1. 2.

Design assumptions

1. 2.

Design inputs and standards

1. 2.

Design calculations

DCR Authorisation

DCR checked by (design checker) DCR authorised by (discipline lead)

Name: Signature: Date: Name: Signature: Date:

Attached – additional calculation records, modelling and analysis

I confirm that the required design calculation has been carried out and that any errors, omissions or inconsistencies have been corrected and satisfactorily closed out.

DESIGNER CHECKER VERIFIER APPROVER

Name

Signature

Date




B.8. Sample design verification record form Table 9, Table 10 and Table 11 are three parts of a sample design verification record form.

Table 9 - Sample design verification record form – part one

Design Verification Record (DVR) identification

Project ID Project Description

DVR No. DVR Description Rev.


DWP No. DWP description: Rev.

Design discipline


Life cycle stage


Submission purpose


Design verification scope (completed by discipline lead)

Design documents / drawings/ records to be verified

Document / drawing description Rev Date Document / drawing description Rev Date

Proposed design verification methodology (to be completed by discipline lead)

Technical review Design checking (peer same team) Independent design checking Comparison with proven design Check calculations / estimates Develop test, simulation, modelling

Inspection / test Readable / complete /accurate check Independent spot calcs / estimates Independent proof calcs / estimates Check inputs Confirm system integration

Qualification test / demonstrate Check standards compliance Check physical attributes Other (details)_____________

DVR Authorisation

Verification brief prepared by (discipline lead) Verification brief authorised by (design manager)

Name: Signature: Date: Name: Signature: Date:




Table 10 - Sample design verification record form – part two

Design Verification Record (part 2) Actual design verification scope and methodology (to be completed by verifier)

Actual design verification scope and methodology: Per verification brief scope (see design verification brief, part 1) Other (if varied from verification brief, provide details below)

Design Verification Report

Design verification method result Design verification method result

Design inputs are adequate and consistent Design complies with local and statutory requirements

Design complies with, and is traceable to inputs Design methods, references, systems and equipment used are current

Design complies with client requirements Design is of satisfactory standard and appropriate to requirements

Safety In design has been considered Multidisciplinary interfaces have been coordinated

Sustainability in design has been considered Constructability and maintainability review passed Design risks have been identified and managed Design is economical and value-for-money

Design complies with standards, guides and codes Design consistent with other project design and construct activities

Attached – verifier’s calculation records

I confirm that the required verification has been carried out and that any errors, omissions or inconsistencies have been corrected in the deliverable and all issues recorded in the verification defect log (VDL) have been satisfactorily closed out.

Name: Signature: Verifier position:

Date:




Table 11 - Sample design verification record form – part three

Design Verification Defect Log (part 3)

Verification log summary

Verifier comment category

A Safety: a potential for an unsafe condition; wrong-side failures are included here. Non-safety: contrary to standards (excluding category A), but do not normally result in an unsafe condition; right-side failures are included here. Verifier

comment item status

Open

B Agreed

C Closed

D Transfer

Verification log details

NO. DOC /DWG / CALC REFERENCE VERIFIER COMMENTS AFFECTED

SHEET(S) CATEGORY DESIGNER RESPONSE / TREATMENT PROPOSAL

ITEM STATUS

DESIGNER INITIALS

VERIFIER INITIALS




B.9. Sample interdisciplinary design check form Table 12 - Sample interdisciplinary design check form

Interdisciplinary Design Check (IDC) identification

Project ID Project Description

IDC No. IDC Description Rev.

Design package details (to be completed by the design manager) DWP no. DWP description Rev.

Core discipline

SIGNALS OHW ELECTRICAL TRACK CIVIL / STRUCTURES TRACTION POWER C and CS SURVEY GEOTECH SECURITY ARCHITECTURE ROADS BUILDING / STATIONS DRAINAGE / HYDROLOGY

Life cycle stage FEASIBILITY CONCEPT PRELIMNARY DESIGN DETAILED DESIGN IMPLEMENT FINALISE

Submission purpose

PROPOSAL INFO CORRELATION REVIEW / ACCEPTANCE 3RD PARTY REVIEW / ACCEPT SDR PDR CDR AFC STAGING TESTING COMMISSIONING AS-BUILT DESIGN INPUT

Other affected disciplines (affected by core design discipline) OTHER DESIGN DISCIPLINES POTENTIALLY AFFECTED BY CORE DESIGN DISCIPLINE

DESIGN AFFECTED

DESIGN CHECKED

FULL NAME (DISCIPLINE LEAD)

SIGNED (DL)

DATE

CIVIL AND OHW STRUCTURES YES YES

TRACKWORK YES YES

SIGNALLING YES YES

TELECOMUNICATIONS YES YES

ELECTRICAL SUBSTATIONS YES YES

ELECTRICAL EARTHING AND BONDING YES YES

ELECTRICAL HV/DC FEEDERS YES YES

ENVIRONMENTAL YES YES

OVERHEAD WIRING YES YES

CONTROL SYSTEMS YES YES

GEOTECH or GROUND ENGINEERING YES YES

DRAINAGE YES YES

HYDROLOGY YES YES

WATER SUPPLY YES YES

WASTE WATER (SEWAGE) YES YES

ROADS, PAVEMENTS, EARTHWORKS YES YES

BUILDINGS AND STATIONS YES YES

ARCHITECTS YES YES

SECURITY YES YES

SURVEY (LAND, CADASTRAL) YES YES

BUILDING SERVICES YES YES

OTHER (SPECIFY) YES YES

IDC CERTIFICATION AND APPROVAL

I certify that all required actions have been completed satisfactorily and that the interdisciplinary design check is complete

DESIGNER (CORE) DESIGN CHECKER DESIGN VERIFIER DESIGN MANAGER

NAME

SIGNATURE

DATE




B.10. Sample interdisciplinary design checklists Table 13 is a sample interdisciplinary design checklist for civil and structures.

Table 13 - Sample interdisciplinary design checklist – civil and structures

Civil and structures Responsible designer Signal

Track

Telecom

Electrical

OH

W

Civil

Lineside cess - walkway (and so on)

Plan layout drawings X X X X X X

Cess and walkway details X X X X X X

Trackside sign mounting details X X X X X

Trackside fencing details X X

Under line crossing (ULX) details X X X X X X

Track details X X

Buildings (outside rail corridor)

Planning consent drawing X

General arrangement and penetration drawing X X X X X X

Internal layout drawings X X X X

Architectural details X

Finishes and door and window schedules X

Foundation detail drawings X

Steelwork detail drawings X

Reo (steel reinforcement) schedules X

Access road and fencing drawings X X X X X X

Equipment buildings (in rail corridor)

Location plan drawings X X X X X X

General arrangement and penetration drawings X X X X

Foundation drawings X X

Rebar schedules X

Retaining wall X X X X X X

Water supply and drainage X X

Track drainage

1:500 plan drawings X X X X X

1:500 horizontal / 1:50 vertical section drawings X X

Interceptor - pump chamber X

Standard detail drawings X X X X X

Station platforms

General arrangement drawings X X X X X X




Civil and structures Responsible designer

Signal

Track

Telecom

Electrical

OH

W

Civil

Platform construction detail drawings

X

X

Platform drainage drawings X

Station and platform sign details X X X

Station lighting drawings X X

Signal structures foundations (masts and gantries)

Foundations affecting existing structure X X X X X

Foundation location drawings X X X X X

Foundation detail drawings X

Rebar schedules X

Post detail drawings X X

Post and foundation schedules X X

Gantry general arrangement drawings X X X X X

Gantry steelwork detail drawings X X

Cross-sections

Typical track cross-section drawings X X X X X

Cuttings and embankments

General arrangement drawing X X X X X

Detail drawings X

Rebar schedules X X




Table 14 is a sample interdisciplinary design checklist for track.

Table 14 - Sample interdisciplinary design checklist – track

Track Responsible designer

Signal

Track

Telecom

Electrical

OH

W

Civil

Design deliverable

Track layout plans X X X X X

Track interface definition X X X X X

Typical and particular cross-section plans X

Horizontal alignment plans X X X X

Vertical alignment plans X X X X

General arrangements (switches and crossings) plans X X X X X

Notification of nonconformances X

Staging plans X X X X X X

Report on line speed documents X X X X

Manufacturer’s drawings for switches and crossings X X

Final gauging evaluation reports X X X X X X

Manufacturer’s plans X

Hand-back documentation X

Track services checklist (SPC 203 Appendix A) X X X X

Plan presentation - tangential timber and plating layouts X X

Plan presentation - conventional timber and plating layouts X X

Track components documentation X

Permanent speed designs X X X

Transit space documentation X X X X

Detailed site survey (DSS) documentation X X X X X X

Track setting out details




Table 15 is a sample interdisciplinary design checklist for overhead wiring.

Table 15 - Sample interdisciplinary design checklist – overhead wiring

Overhead wiring (OHW) Responsible designer

Signal

Track

Telecom

Electrical

OH

W

Civil

Design deliverable

Proposed sectioning diagram X X X X

Proposed tension length diagram X X X

Wire run schedule X

OHW design hazard and risk assessment register X

Configuration change request X

System definition report X X X X X X

Concept design report X X X X X X

Preliminary design report X X X X X X

Critical design report X X X X X X

Final design report X X X X X X

Dilapidation survey report X

Geotechnical report X X

Contamination report X X

Environmental proforma 1 and proforma 2 X X

Services search report (SSR) X

Staging and construction plan X X X X X X

OHW structure set out plan X X X X X X

OHW layout plan X X X X X X

OHW profiles X

OHW cross-sections X

Non-standard anchor arrangements X

Bonding arrangements X X X X X

CCALC sheets X

CCON and QA sheets X

Dropper tables X

Overlap droppers X

‘MinCont’ output sheets X

Drop vertical length and position tables X X

Overlap design details X

Non-standard support and registration construction schedules X

Non-standard temperature and tension charts X

Bonding - schedule X X X X X





Signal

Track

Telecom

Electrical

OH

W

Civil

Bridge earthing and bonding conformance report X X X X X

Pantograph gauge clearance checks X X

Survey data X X

OHW loading diagrams X X

OHW structure drawings X X

OHWS steel and foundation schedule X X

Existing OHW structure assessment report X X

Auxiliary feeder support and registration assembly drawings X

Auxiliary feeder schedule X X

Bridge drawings X X

Switching drawings X X

Feeding drawings X X

OHW adjustment schedule X

OHW bill of materials X X

OHW structure bill of materials X X

Electrical operating diagrams - advice of alteration X X

Construction and operational documents

Major feeding diagram X X

Section diagrams X X X X X

Isolation diagrams and instructions X X

Section proving documents X X X

Track possession diagrams X

Wire wear survey report X

Balance weight anchor assessments X X

Component inspection and reconditioning documents X

Section insulator damage notifications X

O and M documentation X X

Serial or batch number schedules X

Acceptance records X

Schedule of recovered materials X

Schedule of spares X

Track datum certificates X X

Commissioning work

Electrical continuity X X

Electrical insulation (2 kV) X X





Signal

Track

Telecom

Electrical

OH

W

Civil

High potential test (6 kV) X X

OHW inspection X X X X X

Train running tests X X




Table 16 is a sample interdisciplinary design checklist for signalling and control.

Table 16 - Sample interdisciplinary design checklist – signalling and control

Signalling and control Responsible designer

Track

OH

W

Signals

Electrical

Civil

Telecom

Planning and general specification and V and V records

Signalling system safety plan X

Generic product verification and validation plan X

Generic application verification and validation plan X

Specific application verification and validation plan X

RAM (reliability, availability, maintainability) plan X

Specification and apportionment of safety requirements X X X X X X

System / interface hazard analysis X X X X X X

Operating hazard analysis X X X X X X

Hazard log X X X X X X

RAMS documents

RAM report X X X X X X

Safety assurance report X X X X X X

PRODUCT

Technical specifications

Signalling system technical specification X

Signalling subsystem specification(s) X

Description of hardware changes X

Signal head requirement specification X

Signal head technical specification X

Software design description (SDD) X

Train detection technical specifications (track circuits or axle counters) X

Point machine technical specification X

Point machine requirement specification X

Point machine design description X

Software requirements specification X

Software design specification X

Verification and Validation records

Cross-acceptance safety case X

Test plan on hardware changes X

System reliability and availability analysis X

Reliability calculations X

Failure mode and effects analysis X





Track

OH

W

Signals

Electrical

Civil

Telecom

EMC test plan X

EMC test report X

Software functional test plan and procedure X

Software module test report X

Software functional test report X

Software static analysis report X

Software dynamic analysis report X

Regression test specification X

Product test plan X

Product test report X

Software regression testing plan X

Software regression testing report X

Factory acceptance test reports X

GENERIC/SPECIFIC application

Signalling technical specifications

Signalling system application specification X X X

Hardware requirement specification - signalling X

Signalling power supply technical specification and list of loads / location X X

Fringe signal box interface technical specification X

Signalling cables characteristics X

Stage work strategy specification X

Testing and commissioning strategy specification X

Signalling system V and V documents

Validation report on system test plan and procedures X

System test report X

Signalling function requirements and design specs

Safety logic first level specification X

Safety logic detail design specification X

Review of the man-machine interface and its application X

Control tables requirements specifications X

Signalling V and V documents about functional specs

Safety logic first level specification report X

MMI software requirement specification report X

Verification report on safety logic detail design specification X

Safety plan X





Track

OH

W

Signals

Electrical

Civil

Telecom

Signalling design and configuration tools documents

System design, configuration, testing and modification X

Signalling plan symbols library X

Symbols list for signaller display panel X

Description of control tables database X

Signalling preliminary design

Safety network – connection diagram X

Diagnostic network – connection diagram X

Safety network – technical proposal X

Diagnostic network – technical proposal X

Locations key map X

Signalling plan X X X X X X

Cable route drawings X X X X X X

Control tables X

Signalling detailed design

Wiring diagrams (new equipment ) X

Wiring diagrams ( existing equipment) X

Track insulation / bonding plan X X X X

Signaller's route list X

Materials schedule X

Operating notice text and diagrams X

Signalling V and V plans

Signalling plan verification report X

Signaller display panel verification report X

Lineside signalling equipment interface records

Signal interface – block diagram X

Route indicator interface – block diagram X

Shunting signal interface – block diagram X

Track circuit interface – block diagram X

Train stop interface – block diagram X

Point machine interface – block diagram X

Train stop – interface requirement specification X

Point machine – interface requirement specification X

Main signal – interface requirement specification X

Route indicator – interface requirement specification X





Track

OH

W

Signals

Electrical

Civil

Telecom

Repeater – interface requirement specification X

Point machine control block diagram (crossover). X

Control centre : SCC interface - proposed final solution X

Border location interface – installation and wiring diagram X

Level crossing interface - installation and wiring diagram X

Main signal interface - installation and wiring diagram X

Train stop interface - installation and wiring diagram X

Route indicator interface - installation and wiring diagram X

Single point machine interface - installation and wiring diagram X

Crossover point machine interface installation and wiring diagram X

Track circuit interface - installation and wiring diagram X

Axle counter interface - installation and wiring diagram X

ETCS/CBTC interface - installation and wiring diagram X

Shunt signal interface - installation and wiring diagram X

Configuration documents

Lineside equipment list location X

Configuration V and V documents

Safety logic configuration test plan / procedures X

Human-machine interface (HMI) configuration test plan / procedures X

Source file verification report X

Movements verification report X

Conflicting routes verification report X

Control table verification report X

Configuration database verification report X

Executable code verification report X

Configuration test report X

Control centre room layouts

Control centre room layout X X X X

SER rack layout

SER layout X X X X

SER rack layout X

User and maintenance manual

User manual - signalling X

Hardware document - signalling X

Software document - signalling X





Track

OH

W

Signals

Electrical

Civil

Telecom

System maintenance manual (SMM) – signalling X

SIGNALLING CONTROL

Control system specifications

Control system specification (CSS) X

Interface requirements specifications (IRS) X X X

Automatic route setting (ARS) requirement specification X X

Control system test plan / procedures (CSTP) X

System on-site test specification X

Factory acceptance test specifications (FATS) X

Site acceptance test report (SATS) X

Control centre procurement management plan X

Control centre operator workstations rack drawings X

Control centre LAN rack drawings X

Control centre server computer rack drawings X

Control centre communication server computer rack drawings X

Control centre and equipment rooms LAN address plan X

Controls and indications list (requirements only) X

Control centre earthing plan (requirements only) X

Peripheral equipment – cable plan (requirements only) X

Peripheral equipment – earthing plan (requirements only) X

Signal control system training documentation X

Control system hardware specifications

Hardware requirement specification X

Hardware unit test procedures X

Site acceptance test specifications X

Factory acceptance test specifications X

Hardware document X

Control system software specifications

Software requirement specification X

Software unit test procedures X

Local area network (LAN) address plan X

Controls and indications list X

Software document X

Train describer symbols library for signaller display X

Train describer maps for signaller display system X





Track

OH

W

Signals

Electrical

Civil

Telecom

Detailed software design description X

Source code listings X

Control system operations and maintenance manual

Signal operator user manual X

Fringe operator user manual X

Maintenance operator user manual X

Remote operator user manual X

Training and simulation user manual X




Table 17 is a sample interdisciplinary design checklist for telecommunications.

Table 17 - Sample interdisciplinary design checklist – telecommunications

Telecommunications Responsible designer

Track

OH

W

Signal

Electrical

Civil

Telecom

Communications cable diagrams X

Copper cable termination details X

Copper cable MDF layout X

Copper cable MDF jumpering details X

Optical fibre termination / splicing details X X

Optical fibre patch panel layouts X X

Telephone system schematics X

Telephone installation detail X

Telephone labelling int. /ext. X

Transmission system schematics X

Transmission rack layouts X

Transmission channel allocation schedule X X

Data system schematics X

Data system allocations X X

48 V dc power supply and interconnection X X

48 V dc power rack layouts X

Telecoms system test plan X

Telecoms equipment FAT procedure X

Telecoms equipment SAT procedure X

Telecoms system commissioning test procedure X

Telecoms system test results / report X

Telecoms system V and V report X

Telecoms system asset register X

Telecoms system cable route drawings X X X X X X

Telecoms system cable schedule X X




Table 18 is a sample interdisciplinary design checklist for electrical.

Table 18 - Sample interdisciplinary design checklist – electrical

Electrical (high voltage distribution, low voltage, traction) Responsible designer

Signal

Track

Telecom

Electrical

OH

W

Civil

Drawings / schematics / schedules

Trough routing drawings (combined services route) X X X X X X

Trough standard details (combined services route) X X X X X X

Trough sizing calculations (combined services route) X X X X X X

Cable route drawings (LV power: 415 V ac, 240 V ac) X X X X

Cable standard details X X X X

Cable schedules X X X X

Combination drawings X X

Cable calculations X

Electrical load list (signalling, communications, electric, OHW) X X X X

Earthing coordination drawing X X X X X

Earthing and bonding schematic X X X X X

Civil requirement drawings (electric buildings and structures, including OHW structures (gantries, cantilever and portal structures))

X X

Subcontractors’ drawings, operator and maintainer manuals X X X X X X

Lighting layouts (yards and stations) X X

Lighting calculations (yards and stations) X

Single line power distribution drawing X X X X

Traction earth plate details X X X X

Energy authority main supply arrangement drawing X X X

Equipment layout drawing X X X

Building electrical designs and drawings

LV power distribution drawing X X X

Internal lighting distribution drawing (including emergency lighting) X X X

External lighting distribution drawing X X X

Access control distribution drawing X

Fire alarm distribution drawing X

Building management system distribution drawing X

HVAC distribution drawing X X X X

Electrical equipment specifications

Signalling supply point specification X X X

UPS specification X X X

Switch gear (changeover panel) specification X X X




Electrical (high voltage distribution, low voltage, traction) Responsible designer

Signal

Track

Telecom

Electrical

OH

W

Civil

Building services specification X

X

X

X

Emergency generator specification X

LV earthing specification X X X X

HV switchboard specification X

Transformer specification X

Electrical spares schedules X

Energy authority supply information X X X X X X

dc traction power equipment specification X X

Electrical SCADA system

SCADA drawings, documents, condition monitoring info X X X X

SCADA I/O requirements X X X X

SCADA architecture X X

SCADA subcontractor documentation X X

SCADA termination drawings X X

ac operating diagram X

dc operating diagram X X

Risk and hazards analysis X X X X X X

Reliability model X

System staging design X X X X X X

HV ac feeder OHTL diagram X X




B.11. Sample hazard log This sample hazard log (Table 19) is referred to in Section 15, Section 20 and Section 21.6.

Table 19 – Sample hazard log

Hazard Information Existing Risk Controls Original Risk

Exposed Group

Proposed Additional Risk Control

Residual Risk

Action

HL Ref

Node / element

Hazard description Causes Consequence (including loss analysis)

Type of risk (safety, environ, business)

Existing controls Control owner

Like

lihoo

d Co

nseq

uenc

e

Risk

Lev

el

Mem

ber o

f pub

lic

Pass

enge

r Em

ploy

ees

Cont

ract

or

Additional controls: A - Need remedial action B - Need review or action C - Only cost effective action D - No further action #2 Li

kelih

ood

Cons

eque

nce

Risk

Notes and comments Action ref.

Action statement

Time frame

Status Owner

Combined Services Route

H01 Cable Route (11 / 33 kV)

Difficult, unsafe access for maintenance areas along cable route

Design does not address maintainability of cable route

Knocks and scrapes - minor injuries

Safety 1. Critical design review Civil designer L3 C2 D √ √ 1. Design cable route to allow space for the maintenance activities.

2. Sufficient space between new route and existing infrastructure (safe working access) in CSR layout drawings.

L2 C2 D 11kV feeder follow linear (if possible) routes and away from immediate dangerous locations and/or existing structures/services

A01 Open Designer

H02 Proximity of existing aerial 11 kV and 33 kV feeders during construction of pad mount concrete slabs

Design process has selected this on the basis of unavoidable clearance throughout this site

Accidental contact by plant with live 11 kV/33 kV - electrocution - fatality

Safety 2. Design pad mounts to be as far from the centreline under the feeders as possible. (minimum safe approach distance 3 m)

Civil constructor

L3 C3 C √ √ 1. Prepare clearance diagram for plant operators. 2. Arrange isolation of 11 kV lines 3. Restrictors and spotters on site 4. Mark the overhead line for high visibility to avoid accidental contact by plant 5. Provide height gauge

L2 C3 D Isolation of 11 kV feeder and 33 kV prior to construction not possible because long duration isolation impacts signal supplies. By time of pad mount commissioning the feeders will be underground.

A02 Most of these controls are construction risk controls.

Check blowout clearance for existing feeder during pad mount construction.

Open Designer/ PM

H03 Flooding / water ingress into cable culverts of the pad mount substations via conduit routes

Poor sealant for cable conduits and penetration into cable culverts

1. Cables submerged in water will degrade faster 2. Catastrophic cable failure before design life expiry 3. Burns / injury / fatality

Safety / Business

1. Select conduit sealing / sealant types to address ingress 2. Geo membrane around cable culverts 3. Use subsoil drainage surrounding cable culverts 4. Use plasticisers in concrete to prevent moisture ingress 5. Waterproofing of concrete joints 6. Pump and sump

Civil designer L3 C2 D √ √ L3 C2 D A03 Open

H04 EPR under fault conditions outside limits for nearby signals and communications cables and equipment

HV incoming feeder earth faults

1. Maintenance staff exposed to elevated potentials - electrocution - fatality. 2. Equipment damage

Safety/ Business

1. Design cable route to standards 2. Substation earth grid

E&B designer L3 C3 C √ √ √ 1. Substation placed further from existing signalling cable routes & equipment 2. Insulation panel in the fence

L2 C3 D Move hazard away from cable route to substation earthing. Calculated EPR level already way below safe touch level, so consider removing hazard. Pad mount will be less than 2 m from boundary fence.

A04 Open

Note: Hazard Logs often include assumptions, dependencies and constraints, as well as derived safety requirements. However for the purposes of readability these have not been explicitly included in this sample.




B.12. Sample design release checklist Table 20 is a sample design release checklist.

Table 20 - Sample design release checklist

Design release checklist (DRC) identification Project ID Project Description DRC No. DRC Description Rev.

Design work package (DWP) details (to be completed by design manager) DWP No. DWP Description Rev.

Design Discipline


Life cycle stage FEASIBILITY CONCEPT PRELIMINARY DESIGN DETAILED DESIGN IMPLEMENT FINALISE

Submission Purpose


Design release checklist

DESIGN ACTIVITY TO BE CHECKED AND VERIFIED REQUIRED / APPLICABLE COMPLETE INITIAL DATE

SRS signed off by all relevant authorised stakeholders MANDATORY YES DD/MM/YY

Design authority granted to designers, checkers and verifiers YES YES

System requirements analysis, functional analysis and allocation fully detailed, mapped and traceable to client need

YES YES

Design requirements, including assumptions, dependencies and constraints reviewed for suitability, agreed and recorded

YES YES

Design process documented and auditable trail describes the decisions made to select the design option(s)

YES YES

All discipline leads (DLs) have completed inputs into the design, and evidence of these inputs into the integrated design

YES YES

Initial safety change assessment (ISCA) completed and signed YES YES

Safety-in-design process followed: hazards identified, risks analysed, controls assigned, and hazard log maintained

YES YES

Design package self-checked by designer MANDATORY YES

Concept design baseline independently reviewed YES YES

Preliminary design baseline independently reviewed YES YES

Detailed design baseline independently reviewed YES YES

Interface design requirements verified YES YES

Interdisciplinary design checks completed & signed by all DLs YES YES

Independent design verification records signed YES YES

Statutory approvals and licences obtained, as applicable YES YES

Format of documents/drawings/models correct for stated purpose

YES YES

Constructability review completed YES YES

Maintainability review completed YES YES

Sustainability-in-design review completed YES YES

Operability review completed (as applicable) YES YES

Design certification and approval I certify that all required actions have been completed satisfactorily and that the design is ready for release for the stated purpose.




NAME SIGNATURE ROLE DATE

DISCIPLINE LEAD

DESIGN MANAGER




B.13. Sample design report (suggested contents) 1. Executive summary

2. Introduction

2.1. Project background

2.2. Purpose (of project)

2.3. Scope of design

2.4. Purpose (of this report)

3. Acronyms and definitions

4. References

4.1. International standards

4.2. ASA standards

4.3. Other references

5. System requirements

5.1. Integrated system requirements

5.2. Specific subsystem requirements

6. Assumptions, dependencies and constraints

7. System description

8. Calculation and simulation software

9. Safety in design

10. Sustainability in design

11. Planning and environmental approvals

12. Value engineering

12.1. Life cycle cost analysis

12.2. Reliability and maintainability analysis

12.3. Design life analysis

12.4. Durability analysis

12.5. Maintenance cycle

12.6. Maintainability criteria

13. Design validation

14. Constructability review and analysis

15. Statutory approvals

15.1. BCA compliance

15.2. DDA compliance

15.3. Fire and life safety

15.4. Local council approvals

16. Design and construction packages

16.1. Concept design

16.2. Preliminary design

16.3. Detailed design and AFC

16.4. As-built or Work-as-Executed




17. Asset management information

17.1. FMECA report

17.2. Operations and maintenance manuals

17.3. Asset register

17.4. Specifications and drawings

17.5. Safety change plan

17.6. Safety assurance statement/report

17.7. Operations plan

17.8. Technical maintenance plan

17.9. Tools, facilities and equipment list




B.14. Sample inspection and test plan and certificate register This register (Table 21) provides some suggested scope and guidance on inputs that the designer may be required to provide for the system integrator or tester to develop ITPs and ITCs on a multi-discipline rail infrastructure

project. Note that while the designer (design AEO) provides design input into the preparation of ITPs, the construction contractor (who is generally the principal contractor in most cases) is responsible for ITP planning, preparation

and management.

Table 21 - Sample inspection and test plan and certificate register

Inspection and test plans (ITPs) Inspection and test certificate (ITC) description Responsible party Inspection and test procedure

reference

Inspection and test certificate

reference

Rev Date signed Inspection

or test type System Subsystem Equipment (assembly / module / component-level)

Factory acceptance test (FAT)

Electrical power supply system

High voltage (HV) power supply system

66 kV switchboard FAT ITC



11 kV ring main unit (RMU) FAT ITC

66 / 11 kV or 33 / 11 kV transformer FAT ITC

11 kV / 433 V transformer FAT ITC

125 V battery and charger FAT ITC

48 V battery and charger FAT ITC

33 kV cable FAT ITC

11 kV cable FAT ITC

Traction power supply system Rectifier transformer FAT ITC

4 or 5 MW fuseless rectifier FAT ITC

1500 V dc reactor FAT ITC

Harmonic filter FAT ITC

Rail earth contactor FAT ITC

1500 V DC feeder circuit breaker FAT ITC

1500 V DC rectifier circuit breaker FAT ITC

Common equipment panel FAT ITC

Trackside isolator FAT ITC

Low voltage (LV) power supply system

LV main switchboard FAT ITC

LV distribution board FAT ITC

LV isolating transformer FAT ITC

LV cable - surface, buried and tunnel (LSZH) FAT ITC

Earthing, EMR, electrolysis Earthing, EMR and electrolysis FAT ITC

Mechanical system

Fire safety system Substation gas suppression system FAT ITC

Sectioning hut gas suppression system FAT ITC

S and T room gas suppression system FAT ITC

Communication system

Telephone system General admin phone FAT ITC

Traction power phone FAT ITC





reference


reference



Signal post phone FAT ITC

Help point phone FAT ITC

Communications backbone SDH system FAT ITC

ATM system FAT ITC

TDM system FAT ITC

48 V dc battery and rectifier FAT ITC

Optical fibre cable FAT ITC

OHW system Insulators Insulators FAT ITC

Contact wire Contact wire FAT ITC

Steel parts or structures Steel parts or structures FAT ITC

Insulated plates and sleeves Insulated plates and sleeves FAT ITC

Miscellaneous hardware Miscellaneous OHW hardware FAT ITC

Nuts and bolts Nuts and bolts FAT ITC

Catenary Catenary FAT ITC

Signalling system Point machines Point machines (type A) FAT ITC

Point machines (type B) FAT ITC

Train stops Train stops FAT ITC

Signals and indicators Main signals (LED) FAT ITC

Shunt signals (LED) FAT ITC

Staff warning lights (LED) FAT ITC

Platform indicators (LED) FAT ITC

Signs and speed boards Signs and speed boards FAT ITC

Track circuits High voltage impulse TC FAT ITC

Jointless track circuit FAT ITC

Prewired racks Prewired racks (per site) FAT ITC

Wayside cabinets Wayside cabinets FAT ITC

Interlocking system CBI system hardware FAT ITC

CBI slave data FAT ITC

Signal control system data FAT ITC

Signals power equipment 120 V ac switchboard FAT ITC

Emergency power changeover panel FAT ITC

12 V dc battery charger FAT ITC

24 V dc converter FAT ITC

50 V dc converter FAT ITC

2 kVA uninterruptible power supply FAT ITC





reference


reference



Cables and wires (outdoor) Cables and wires (outdoor) FAT ITC

Cables and wires (indoor) Cables and wires (indoor) FAT ITC

Relays Vital relays FAT ITC

Non-vital relays FAT ITC

Protection devices IVAP surge protector FAT ITC

Earth leakage detector FAT ITC

Surge arrestors FAT ITC

Immunisation modules FAT ITC

Data communications equipment Fibre optic modem sets FAT ITC

RJ45 patch panel FAT ITC

Fibre optic patch panel FAT ITC

Serial link isolator unit FAT ITC

Mechanical equipment Signal post FAT ITC

Signal platform FAT ITC

Train stop brackets FAT ITC

Tuning or matching unit bracket FAT ITC

Impedance bond bracket FAT ITC

Bonding equipment Impedance bond 2000P FAT ITC

Impedance bond 2000R FAT ITC

Pneumatic system Pneumatic compressor FAT ITC

Pneumatic valves FAT ITC

Pneumatic drop-off hoses FAT ITC

Pneumatic fittings FAT ITC

Low air pressure sensor or alarm FAT ITC

Pressure pipe pressure test FAT ITC

Pneumatic test rig FAT ITC

Maintenance PC Microlok software tool FAT ITC

Internal PC modem FAT ITC

Ethernet connection FAT ITC

Control systems Signal control system Signal control system FAT ITC

Electrical SCADA system Electrical SCADA RTU system FAT ITC

Control cables FAT ITC

Civil: buildings Traction substation Foundation slab FAT ITC

Building structural elements FAT ITC

S and T equipment room Foundation slab FAT ITC





reference


reference



Building FAT ITC

Civil: structures OHW structure OHW gantry structural elements FAT ITC

OHW cantilever structural elements FAT ITC

Signal structure Signal gantry structural elements FAT ITC

Signal post assembly FAT ITC

Bridge Bridge component FAT ITC

Viaduct Viaduct component FAT ITC

Tunnel Tunnel component FAT ITC

Retaining wall Retaining wall component FAT ITC

Culvert Culvert component FAT ITC

Mast or tower Mast structural component FAT ITC

Civil: track Plain line rail Plain line rail FAT ITC

Switch and crossing Switch and crossing assembly FAT ITC

Sleepers Sleepers FAT ITC

Track fastenings Track fastenings FAT ITC

Track lubricators Track lubricators FAT ITC

Installation inspection (INS)



66 kV, 33 kV and 11 kV ac feeder cable / OHW installation pre-energisation

66 kV Switchboard installation and pre-energisation

33 kV switchboard installation and pre-energisation

11 kV switchboard Installation and pre-energisation

11 kV ring main unit installation and pre-energisation

66 / 11 kV or 33 / 11 kV transformer installation and pre-energisation

11 kV / 433 V transformer installation and pre-energisation

125 V battery and charger inspection installation and pre-energisation

48 V battery and charger inspection installation and pre-energisation

Traction power system SCADA RTU system installation and pre-energisation

Rectifier transformer installation and pre-energisation

Rectifier power and control cubicles installation and pre-energisation

dc negative reactor installation and pre-energisation

dc circuit breaker switchboard and base frame (rectifier and feeder DCCB and harmonic filter) installation and pre-energisation

Common equipment panel installation and pre-energisation

Rail earth contactor installation and pre-energisation

dc trackside isolators installation and pre-energisation


600 V / 415 V auxiliary power transformer installation and pre-energisation

LV main switchboard installation and pre-energisation





reference


reference



Distribution boards (building services, normal and essential)

UPS units installation and pre-energisation

Signalling power change-over board installation and pre-energisation

Signalling step-down transformer installation and pre-energisation

Isolating transformers installation and pre-energisation

Power cabling systems HV cable ladder / conduit / pit system

dc traction power cable ladder / conduit/ pit system

LV and control cable ladder / conduit/ pit system

Communication cable ladder / conduit / pit system

Cables HV cable pre-installation

HV cable pre-energisation and termination

dc traction power cable pre-energisation and termination

LV and control cable pre-energisation and termination

Communication cable pre-energisation and termination

Earthing, EMR, electrolysis HV / LV earth grid and bar installation and pre-energisation

Signalling earth grid and bar installation and pre-energisation

Electrolysis isolation joint installation and pre-energisation

Cable tray earthing installation and pre-energisation

Earthing bonds installation and pre-energisation

General electrical systems Lighting installation and pre-energisation

Power socket outlets installation and pre-energisation

Ventilation and exhaust system installation and pre-energisation

Security system Standard fit-out CCTV, lighting, fences, gates, locks, signs

Control systems Electrical SCADA system Electrical SCADA RTU system installation and pre-energisation

Operations check (OP)



66 kV switchboard operation check



11 kV ring main unit operation check

66 / 11 kV or 33 / 11 kV transformer operation check

11 kV / 433 V transformer operation check

125 V battery and charger operation check

48 V battery and charger operation check

66k V ac feeder and bus-section protection check

33 kV ac feeder and bus-section protection check

Ring main unit (RMU) protection check





reference


reference



33 / 11 kV or 66 kV / 11 kV transformer feeder protection check

11 kV / 433 V transformer feeder protection check

Traction power system SCADA RTU system operation check

Rectifier transformer operation check

dc negative reactor operation check

Rectifier power and control cubicles operation check

dc circuit breaker switchboard and base frame (rectifier and feeder DCCB and harmonic filter)

dc circuit breaker operation and current setting check

Common equipment panel operation check

Rail earth contactor operation check

1500 V dc trackside isolators operation check


600 V / 415 V auxiliary power transformer operation check

LV main switchboard operation check

Distribution boards (building services, normal and essential) operation check

UPS units operation check

Signalling power change-over board operation check

Signalling step-down transformer operation check

Isolating transformers operation check

Earthing, EMR, electrolysis Electrolysis protection test

General electrical systems Lighting operation check

240 V socket outlets operation check

Ventilation and exhaust system operation check

Mechanical system

Fire safety system Gas suppression system for substation operation check

Gas suppression system for sectioning hut operation check

Gas suppression system for S and T equipment room operation check

Fire detection system operation check

Communication system

Telephone General admin phone operation check

Traction power phone operation check

Signal post phone operation check

Help point phone operation check

Communications backbone SDH system operation check

ATM system operation check

TDM system operation check

48 V dc battery and rectifier operation check

Optical fibre cable operation check





reference


reference



OHW system Wire run Structural steel elements operation check

OHW construction book operation check

OHW chainage marker plate label operation check

Overhead wiring operation check

Signalling system Point machines Point machines (type A) operation check

Point machines (type B) operation check

Signals Main signals operation check

Shunt signals operation check

Staff warning lights operation check

Platform indicators operation check

Signs / speed boards Lineside signs or boards operation check

Track circuits High voltage impulse track circuit operation check

Jointless track circuit operation check

Jointless track circuit operation check

Prewired racks Signalling equipment rack operation check

Wayside cabinets Wayside signals location case operation check

Interlocking Interlocking equipment (office) operation check

Interlocking equipment (field) operation check

Signals power equipment 120 V ac switchboard operation check

Emergency power changeover panel operation check

12 V dc battery charger operation check

24 V dc converter operation check

50 V dc converter operation check

2 kVA UPS operation check

Main cables (outdoor) Outdoor main cables operation check

Tail cables Outdoor equipment tail cables operation check

Cables and wires (indoor) Indoor cable and wire operation check

Relays Vital relays operation check

Non-vital relays operation check

Protection devices IVAP surge protector operation check

Earth leakage detector operation check

Surge arrestors operation check

EMI immunisation modules operation check

Signalling data communications Fibre modem operation check

RJ45 patch panel operation check





reference


reference



Serial link isolator unit operation check

Mechanical equipment Signal post operation check

Signal platform operation check

Train stop brackets operation check

Track circuit tuning unit bracket operation check

Impedance bond bracket operation check

Bonding equipment Impedance bond operation check

Pneumatic system Train stop air compressor operation check

Pneumatic valves operation check

Pneumatic drop-off hoses operation check

Pneumatic fittings operation check

Low air pressure sensor or alarm operation check

Pressure pipe pressure test operation check

Pneumatic test rig operation check

Maintenance PC Microlok software tool operation check

Internal PC modem operation check

Ethernet connection operation check

Control systems Signal control system Signal control system operation check

Electrical SCADA system Electrical SCADA RTU system operation check

Civil: buildings Traction substation N/A

Traction sectioning hut N/A

S and T equipment room N/A

Civil: structures OHW gantry N/A

OHW cantilever N/A

Signal gantry N/A

Civil: track Plain line rail N/A

Switches and crossings N/A

Sleepers N/A

Fastenings N/A

Lubricators N/A

Site acceptance test (SAT)

Electrical power supply system SAT


66 kV switchboard SAT ITC



11 kV ring main unit SAT ITC

66 / 11 kV transformer SAT ITC





reference


reference



33 / 11kV transformer SAT ITC

11 kV / 433 V transformer SAT ITC

125 V battery and charger SAT ITC

48 V battery and charger SAT ITC

33 kV cable SAT ITC

11 kV cable SAT ITC

Traction power system Rectifier transformer SAT ITC

4 or 5 MW fuseless rectifier SAT ITC

dc negative reactor SAT ITC

Harmonic filter SAT ITC

Rail earth contactor SAT ITC

DC circuit breaker switchboard SAT ITC

1500 V dc rectifier circuit breaker SAT ITC

Common equipment panel SAT ITC

Trackside isolator SAT ITC


LV switchboard power factor correction SAT ITC

UPS system load bank SAT ITC

Lighting lux level verification SAT ITC

LV main switchboard SAT ITC

LV transformer SAT ITC

LV cable SAT ITC

Earthing, EMR, electrolysis HV or LV earth grid resistance and step / touch potential SAT ITC

Signalling earth grid resistance and step / touch potential SAT ITC

Mechanical system SAT

Fire safety system Fire detection and communication system SAT ITC

Gas suppression system SAT ITC

Facility hydrant system SAT ITC

Building HVAC Signalling equipment room HVAC SAT ITC

Pneumatic system Train stop pneumatic compressor SAT ITC

Communication system SAT

Telephones General phones SAT ITC

Traction power phone SAT ITC

Signal post phone

Communications backbone SDH system SAT ITC

ATM system SAT ITC

TDM system SAT ITC

48 V dc battery and rectifier SAT ITC





reference


reference



Optical fibre cable SAT ITC

OHW system SAT Insulators OHW insulator SAT ITC

Contact wire OHW stringing SAT ITC

Steel parts or structures N/A

Insulated plates and sleeves N/A

Miscellaneous hardware N/A

Nuts and bolts N/A

Catenary N/A

Signalling system SAT

Point machines Electro-mechanical drive SAT ITC

Electro-pneumatic drive SAT ITC

Electro-hydraulic drive SAT ITC

Train stops Train stop SAT ITC

Signals Main signals SAT ITC

Shunt signals SAT ITC

Staff warning lights SAT ITC

Platform indicators SAT ITC

Signs and speed boards N/A

Track circuits High voltage impulse TC SAT ITC

Audio frequency TC SAT ITC

Digital TC SAT ITC

Axle counters Evaluator SAT ITC

Electronic counting point SAT ITC

Counting heads SAT ITC

Prewired racks Relay or CBI

Wayside cabinets Relay or CBI

Interlockings Relay or CBI

Power equipment 120 V ac switchboard

Emergency changeover panel

12 V dc battery charger

24 V dc converter

50 V dc converter

2 kVA UPS

Main cables (outdoor) Outdoor main cable SAT ITC

Tail cables Tail cable SAT ITC

Cables and wires (indoor) Indoor cable SAT ITC





reference


reference



Relays Vital relays SAT ITC

Non-vital relays SAT ITC

Protection devices IVAP surge protector

Earth leakage detector

Surge arrestors

Immunisation modules

Data communications equipment Fibre modem

RJ45 patch panel

Serial link isolator unit

Mechanical equipment Signal post

Signal platform

Train stop brackets

Tuning unit bracket

Impedance bond bracket

Bonding equipment Impedance bond

Air compressor

Pneumatic valves

Pneumatic drop-off hoses

Pneumatic fittings

Low air pressure sensor or alarm

Pressure pipe pressure test

Pneumatic test rig

Maintenance PC Microlok software tool

Internal PC modem

Ethernet connection

Control systems SAT

Signal control system Signal control system (office) SAT ITC

Signal control system (field) SAT ITC

Electrical SCADA System Electrical SCADA system (office) SAT ITC

Electrical SCADA system (field) SAT ITC

Civil: buildings Traction substation N/A

S and T equipment room N/A

Civil: structures SAT

OHW gantry OHW gantry (prefabricated) SAT ITC

Signal gantry Signal gantry (prefabricated) SAT ITC

Civil: track SAT Plain line rail Rail SAT ITC

Switches and crossings Switches and crossings SAT ITC





reference


reference



Sleepers Sleepers SAT ITC

Fastenings N/A

Lubricators Lubricators SAT ITC

System integration test (SIT)

General SIT Kinematic envelope SIT Structural envelope check SIT ITC

Electrical power supply system SIT

Electrical component failover SIT Power supply failover SIT ITC

HV switchboard SIT HV ac switchboard and SCADA SIT ITC

Traction SIT ITP Traction dc equipment and SCADA SIT ITC

Earthing, EMR, electrolysis Earthing, bonding and EMR SIT ITC

Mechanical system SIT

Fire safety system Fire detection and communication system SAT ITC

Gas suppression system SAT ITC

Facility hydrant system SAT ITC

Building HVAC SIT Building HVAC system SIT ITC

Pneumatic system SIT Train stop pneumatic system SIT ITC

Communication system SIT

Communications SIT Communications FOMs or modems SIT ITC

Telephones SIT General phones SIT IC

Traction and IP phone SIT Traction and IP phone SIT ITC

Backbone SIT SDH system SIT ITC

ATM system SIT ATM system SIT ITC

TDM system SIT TDM system SIT ITC

OHW system SIT OHW final configuration SIT OHW final configuration check SIT ITC

Signalling system SIT

Signalling system SIT Signalling system SIT ITC

Control systems SIT

Electrical SCADA SIT HV and dc traction power and OHW SIT ITC

C and CS SCADA SIT SCADA HMI SIT ITC

Civil: buildings N/A N/A

Civil: structures N/A N/A

Civil: track N/A N/A




B.15. Sample inspection and test plan and certificate form This ITP form (Table 22) provides a suggested scope and guidance on designer input (see yellow highlight) that may be required for a tester to develop ITPs and ITCs on a multi-discipline rail infrastructure project.

Table 22 - Sample inspection and test plan and certificate form

ITP no: ITP010-01-01P Inspection and test plan and certificate Area: Blue Line, Valhalla Junction

Rev: 01 <Project number and name> Location: Substation 234, East End, Down Main

Date: DD/MM/YYYY High voltage traction power supply subsystem Km point: 47.5km

Notification key: W=Witness opportunity for client; H=Hold point until approved by client; S=Surveillance; N=Notification

Responsibility key: DM=Design Manager; CM=Construction Manager; SF=Site Foreman; GR=Geotechnical Representative; PE=Professional Engineer; SC=Sub Contractor; SE=Site Engineer; SR=Surveyor; QA=Quality Assurance

Inspection and test planning Responsibility Inspection and test results

No ITP/ITC reference

Activity / scope area description

Function / feature to be verified

Acceptance criteria

Applicable standard(s)

Inspection or test

method

Inspection or test frequency

Instruments or tools required Resp.

Notification Inspection / test results / defects log / comments

Instrument calibrate

date

Inspect/ test date

Inspect / test status

Inspect / test

initials ST QA DM CM

1 ITP010-01-01-01 33 kV switchboard

Main incoming CB over-current trip

MCB trips at <xx>kA in <yy> ms

EP 01 00 00 01 SP FAT

for each MCB Current clamp meter - 10 kA maximum

SE W W N Passed - tripped at 10.25 kA in 250 ms

01/04/15 03/03/16 Complete RF

Function 2 Criterion 2 FAT Instrument 2 W W N Passed 01/04/15 03/03/16 Complete RF

Function N Criterion N FAT Instrument N W W N Failed 01/04/15 03/03/16 Open RF

2 ITP010-01-01-02 11 kV switchboard

Function 1 Criterion 2 EP 01 00 00 02 SP FAT Sample 1 in 10 Various CM H N Not Started

Function 2 Criterion 1 FAT N

Function N Criterion N INS W N

3 ITP010-01-01-03 11 kV ring main unit

Function 1 Criterion 2 EP 01 00 00 03 SP FAT Sample 1 in 10 Various PE W N Partial

Function 2 Criterion 1 FAT Instrument 2 S N Partial

Function N Criterion N OP Instrument N N N Partial

INSPECTION AND TEST PLAN APPROVAL

INSPECTION AND TEST RESULTS APPROVAL

Prepared by: Reviewed by: Checked by: Approved by: Supplier: Test Manager: Designer: QA Manager:

Name Name Name Name Name Name Name Name

Sign Sign Sign Sign Sign Sign Sign Sign

Date Date Date Date Date Date Date Date




B.16. Sample engineering standards change log Table 23 is a sample engineering standards change log.

Table 23 - Sample engineering standards change log

Ref Standard change note

Standard reference number

Standard governing authority

Standard description/title Rev Summary description of changes to standard

Publish date

Comply date

Impact (Y/N)

Scope of impact Impact assessed

(Y/N)

Assessed by

Comply status

Change request

no.

Change approved

(Y/N)

001 TS 10764: 2016

ESC 220 ASA/TfNSW Track: rail and rail joints 4.8 Withdrawal of expired technical note TN 007: 2013

14/09/16 14/03/17 N None Y Track engineer

Comply CR-001 Y

002 XYZ-NNN AS 4292.1:2006 AS/NZ Railway safety management - general requirements

2006 Changes to some legislative requirements

05/01/06 05/01/06 Y Implement additional safety control XXX

Y Safety manager

Comply CR-002 Y

003 XYZ-NNN AS/NZS ISO 31000:2009

ISO Risk management – Principles and guidelines

2009 Changes to XXX requirements 20/11/09 20/11/09 N No impact as already implemented controls

Y Risk manager

Non-Comply

CR-003 N




B.17. Sample design bill of materials The sample bill of materials (BOM) below (Table 24) is an edited extract from a larger BOM produced on an actual recently completed rail program, and is for the telecommunication TDM sub-system.

Table 24 - Sample design bill of materials

Item no.

Material item description Asset discipline Part no. Qty Price cat

Unit price

Total cost

Product OEM

Product supplier

Booking code

Procure lead time

MTBF (hours)

Installed population

Storage location

Availability (%)

Type of purchase (VO/PO)

VO/PO number

Total actual PO cost

Date ordered

Design engineer

1 SINGLE SHELF 8 UCS DC EMC

Communications backbone - TDM

90-0010-13 2 B OEM XYZ Contractor X 41 3 months 1.46E+06 11 Depot X 99.881 PO 07/02/17 J Soap

2 FXS (LGS) (12) 600 (4-3/1-6) A


90-0029-05 2 C OEM XYZ Contractor X 41 3 months 2.50E+05 9 Depot X 97.587 PO 07/02/17 J Soap

3 EXP CARD (16+) Communications backbone - TDM


4 RS232 SYNC/ASYNC DCC(6) Communications backbone - TDM


5 BT-2 CARD/CABLE KIT Communications backbone - TDM


6 BT-2 CARRIER ASSEMBLY Communications backbone - TDM


7 RS232 DIST PANEL (EU-TC) Communications backbone - TDM


8 2.048 E1 MBPS CARD (120 OHM)



9 E1-120 OHM LIM MODULE Communications backbone - TDM


10 SYS CTL CARD 3 Communications backbone - TDM


11 FANTRAY TRIPLE EMC 19IN Communications backbone - TDM


12 FXS (LGS) CHANNEL UNIT-2 Communications backbone - TDM


13 E&M 2/4W CHANNEL UNIT-2 Communications backbone - TDM


14 COMMON CARRIER CARD Communications backbone - TDM


15 DMM-3 GEN 1118.0 Communications backbone - TDM


16 PWR TRAY -48/60VDC Communications backbone - TDM


17 External ring generator assembly



18 Ring generator PSU Communications backbone - TDM


19 External ring generator CBL KIT


90-6052-01 2 A OEM XYZ Contractor X 41 3 months 3.08E+07 1 Depot X 100.000 PO 07/02/17 J Soap




B.18. Sample project safety responsibilities matrix Table 25 - Sample project safety responsibilities matrix

Legend: 'R': Responsible for activity and production of the deliverable 'A': Accountable for ensuring that deliverable is produced in accordance with SID requirements 'S': Support (e.g. resources) in activity and production of the deliverable 'C': Consulted on information, advice, subject matter expertise, reviews deliverable 'I': Informed of result and/or receives an information copy of the deliverable 'E': Endorses deliverable '-': None - No direct involvement in deliverable

Project Director/M

anager

Risk and O

pportunity Manager

Quality M

anager

Engineering Manager (E

M)

Project Estimator

Safety/Systems Assurance M

anager

Safety In Design Facilitator

Safety Change Adviser

Project Design M

anager

Discipline Leader (Signalling)

Discipline Leader (Electrical)

Discipline Leader (C

ivil & Structures)

Discipline Leader (O

HW

)

Discipline Leader (Track)

Design E

ngineers (Signalling)

Design E

ngineers (Electrical)

Design E

ngineers (Civil & Structures)

Design E

ngineers (OH

W)

Design E

ngineers (Track)

Construction M

anager (Signalling)

Construction M

anager (Electrical)

Construction M

anager (Civil/Structure)

Construction M

anager (OH

W)

Construction M

anager (Track)

Project Site Engineer (S

ignalling)

Project Site Engineer (E

lectrical)

Project Site Engineer (C

ivil / Structure)

Project Site Engineer (O

HW

)

Project Site Engineer (Track)

Com

missioning M

anager

Testing Manager (s)

Asset Maintainer R

epresentative)s)

Operator R

epresentative(s)

TfNSW

Safety R

isk Representative

Independent Safety Assessor (ISA)

National R

ail Safety R

egulator

Safety management activities & deliverables Project management team

Project safety assurance Project design team Project construction team Test &

comm TfNSW client

team External parties

Raise project ISCA - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - C C A - E

Prepare project safety change plan (SCP) A I I C - R S S C C C C C C I I I I I I I I I I - - - - - S C - - E E -

Prepare ISA remit and appoint ISA (if needed) A - - C I R I S C - - - - - - - - - - - - - - - - - - - - - - - - E C -

Maintain project safety risk register (PSRR) - C I C - R I R S S S S S S S S S S S I I I I I I I I I I I I I I - I -

Define safety requirements I I I C - R I R S S S S S S S S S S S C C C C C I I I I I C C C C I C -

Conduct HAZID or HAZOP workshops - I - C - R I R S S S S S S S S S S S C C C C C I I I I I C C C C I - -

Conduct preliminary hazard analysis (PHA) - I - C - R I R S S S S S S S S S S S C C C C C I I I I I C C C C - - -

Establish and manage project hazard log (PHL) - I I C - R I R S S S S S S S S S S S I I I I I I I I I I S S - - I C -

Perform HF work determination - I - C I R I R S - - - - - - - - - - - - - - - - - - - - - - - C E - -

Conduct safety in design (SID) workshops I C I C I S S S R S S S S S S S S S S C C C C C I I I I I C C C C I - -

Conduct system hazard analysis (SHA) - I - C - R I R S S S S S S S S S S S C C C C C - - - - - C C C C - - -

Conduct interface hazard analysis (IHA) - I - C - R I R S S S S S S S S S S S C C C C C - - - - - C C C C - - -

Conduct failure modes effects analysis (FMEA) I I - C - R I R S S S S S S S S S S S C C C C C - - - - - C C C I I - -

Communicate safety-related Information R R S S S R R R S S S S S S S S S S S S S S S S S S S S S S S R R R R -

Coordinate safety-related activities I I I C - R I R R S S S S S I I I I I R R R R R C C C C C I I R R I I -

Manage system design configuration I I I C - C I C R S S S S S - - - - - S S S S S C C C C C E E C I - - -

Manage safety-related design changes I I I C I C I C R S S S S S S S S S S R R R R R C C C C C S S C C I I -

Prepare project safety risk assessment reports I C I C - R I R S S S S S S - - - - - S S S S S C C C C C S S - - I E -

Prepare safety assurance statement (SAS) I I I C - R I R S S S S S S - - - - - S S S S S C C C C C S S I I E E -

Prepare safety assurance report (SAR) I I I C - R I R S S S S S S - - - - - S S S S S C C C C C S S I I E E -

Obtain safety approvals (product or application) I I I C - R I R S S S S S S - - - - - S S S S S C C C C C S S E E E E E

Conduct post implementation review (PIR) A I I C - R I R S S S S S S - - - - - S S S S S S S S S S C C C C E E -

Conduct independent safety assessment (ISA) I I - C - S I S S - - - - - - - - - - S S S S S - - - - - - - - - E R I

Note: Project safety roles and responsibilities depend on project size, scale, novelty and complexity (e.g. on smaller project the Project Director / Manager may be involved / responsible for HAZID / HAZOP / safety requirements and so on).




B.19. Standards concession register Table 26 is a sample standards concession register.

Table 26 - Standards concession register

Date request sent

Concession number

Requestor name

Requesting organisation / AEO

Email subject Standard affected Discipline Referred

to

Response deadline

Action & correspondence

log

Action with Type of concession (permanent/ temporary/ interim)

Concession expiry date (if applicable)

Granted (Yes/No)

Date of request closure

Status (open/ closed/ withdrawn/ cancelled)

13-Mar-14 SW 0090: 2014

Joe Citizen Sydney Trains Hornsby Maintenance Centre Loop Road Type Approval

EP 08 00 00 01 SP Electrical Lead Electrical Engineer

27-Mar-14 DD/MM/YYYY: Action log #1

DD/MM/YYYY: Action log #2


SME

13-Mar-14 SW 0092: 2014

Joe Citizen Sydney Trains Hornsby Maintenance Centre Loop Road Type Approval

EP 08 00 00 01 SP Electrical Lead Electrical Engineer

27-Mar-14 DD/MM/YYYY: Action log #1



SME

28-Mar-14 SW 0104: 2014

Bob the Builder

TPD GTI Glenfield South SS DC Harmonic Filter

EP 03 00 00 01 T1 Electrical Lead Electrical Engineer

11-Apr-14 DD/MM/YYYY: Action log #1



Requestor


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