Competency Pathways - Control Systems · 2019. 5. 23. · Competency Pathways - Control Systems . Version 1.0 . Issued date: 08 July 2015 . ... are performance based to create opportunities

T MU CY 04000 ST

Standard

Competency Pathways - Control Systems

Version 1.0

Issued date: 08 July 2015

Effective date: 01 October 2015

Important Warning This document is one of a set of standards developed solely and specifically for use on public transport assets which are vested in or owned, managed, controlled, commissioned or funded by the NSW Government, a NSW Government agency or a Transport Agency (as defined in the Asset Standards Authority Charter). It is not suitable for any other purpose. You must not use or adapt it or rely upon it in any way unless you are authorised in writing to do so by a relevant NSW Government agency. If this document forms part of a contract with, or is a condition of approval by a NSW Government agency, use of the document is subject to the terms of the contract or approval. This document may not be current. Current standards are available for download from the Asset Standards Authority website at www.asa.transport.nsw.gov.au. © State of NSW through Transport for NSW

T MU CY 04000 ST Competency Pathways - Control Systems

Version 1.0 Effective date: 01 October 2015

Standard governance

Owner: Manager Competency Systems (Delegate), Asset Standards Authority

Authoriser: Principal Manager Industry and Technical Development, Asset Standards Authority

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

Document history

Version Summary of Changes

1.0 First Issue

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

© State of NSW through Transport for NSW



Preface

The Asset Standards Authority (ASA) is an independent unit within Transport for NSW (TfNSW)

and is the network design and standards authority for defined NSW transport assets.

The ASA is responsible for developing engineering governance frameworks to support industry

delivery in the assurance of design, safety, integrity, construction, and commissioning of

transport assets for the whole asset life cycle. In order to achieve this, the ASA effectively

discharges obligations as the authority for various technical, process, and planning matters

across the asset life cycle.

The ASA collaborates with industry using stakeholder engagement activities to assist in

achieving its mission. These activities help align the ASA to broader government expectations

of making it clearer, simpler, and more attractive to do business within the NSW transport

industry, allowing the supply chain to deliver safe, efficient, and competent transport services.

The ASA develops, maintains, controls, and publishes a suite of standards and other

documentation for transport assets of TfNSW. Further, the ASA ensures that these standards

are performance based to create opportunities for innovation and improve access to a broader

competitive supply chain.

This standard has been developed in response to an identified industry-wide need for

assistance in articulating and assessing competency of certain control systems functions

undertaken on the TfNSW network. This standard recognises three pathways for attainment

and recognition of competence against certain functions. It also specifies the minimum generic

competency elements and evidence criteria, relevant to these functions, which are

transferable across AEOs.

The functions selected to be addressed within this standard primarily exist across the

Infrastructure Design, Data Design and Testing and Commissioning areas of Control Systems.

The exhaustive functions that exist across the asset life cycle are not intended to be covered.

The pathways and competency standard is subject to review at regular intervals as the industry

changes. This document is to be read in conjunction with TfNSW AEO Guide to Engineering

Competence Management and TfNSW Competency Standards Guidelines and Glossary.

© State of NSW through Transport for NSW Page 3 of 43



Table of contents

1. Introduction ................................................................................................................................. 5

2. Purpose........................................................................................................................................ 5

2.1. Scope .................................................................................................................................................... 6

2.2. Application ............................................................................................................................................ 7

3. Reference documents ................................................................................................................ 7

4. Terms and definitions ................................................................................................................ 8

5. Context and supporting documentation .................................................................................. 9

6. Proficiency levels ....................................................................................................................... 9

7. Control system infrastructure ................................................................................................... 9

7.1. Description ......................................................................................................................................... 10

7.2. Functions ............................................................................................................................................ 10

7.3. Pathways ............................................................................................................................................ 11

Appendix A Control systems function life cycle model ............................................................. 12

Appendix B Control systems infrastructure design and construct competency pathways summary ...................................................................................................................................... 13

Appendix C Control systems infrastructure design and construct competency standard ... 16

C.1. Control system infrastructure design and construct generic competencies ............................ 16

C.2. Range of variables ............................................................................................................................ 35




1. Introduction

Every AEO has a responsibility to ensure that engineering activities undertaken by an AEO on

behalf of TfNSW shall be performed by suitably trained and experienced personnel, that is,

personnel designated as being 'competent' persons. This is to meet legislative and regulatory

obligations of the Rail Safety National Law 2012 NSW, and the NSW Work Health and Safety

Act 2011 No. 10, as well as the requirements outlined by the TfNSW AEO Guide to Engineering

Competence Management.

TfNSW has identified an absence of nationally recognised qualifications or competency

standards for certain specialised functions within control systems. This has prompted the

development of this standard which sets the generic competency expectations which are

transferable between AEOs and assist them in their responsibilities of managing competency

of personnel.

2. Purpose

This standard establishes the competency pathways and generic competency requirements of

personnel to be recognised as competent to perform functions within the control systems

discipline on the TfNSW rail network. One of the goals of the standard is that these generic

competencies are transferable between AEOs.

This standard provides additional information to an AEO for the development of its auditable

competency management system (CMS). It also provides guidance to enable assessment of

personnel who are required to demonstrate competency.

The competency elements and associated evidence criteria presented within the appendices of

this standard encompass competency requirements of functions within a role. AEOs should

determine applicability of each competency element based on the scope of work being carried

out by the project and tailor the criteria accordingly. AEOs may choose to specify more than

what is documented within this standard on a commercial basis.

The pathways and associated competency standards are provided for those functions where

there is limited information available to enable AEOs to develop reasonable assessment

criteria. They are not intended to cover the exhaustive list of functions that exist over the full

asset life cycle.




2.1. Scope

This document will be updated progressively to include competency pathways and generic

competency standards relevant to the following functions within train control systems:

• infrastructure design

• infrastructure design check/review

• infrastructure design verification

• infrastructure design approve

• infrastructure construct/install

• data design

• data check/review

• data design approval

• data design verification

• data configuration

• test and commission

These functions sit within the ‘Acquire ‘and ‘Operate / Maintain’ phases of the Asset Life Cycle

Model as indicated within Appendix A.

This standard provides pathways tailored to the following groups:

New entrants

This pathway will identify the pre-requisite qualifications and training requirements for those

personnel with little to no experience in control systems or rail who wish to forge a career in

train control systems.

Skilled and experienced

Personnel with current or previous experience working on the TfNSW rail network and can

demonstrate domain or product knowledge, or both. It provides a function-specific

competency standard including evidence criteria to guide assessment of personnel.




Transferable skills

Personnel who are able to demonstrate they have some of the skills and knowledge required

to carry out these functions but with domain or product skillset gaps, or both. This includes

personnel with national or international experience with control systems proficiency, or both.

2.2. Application

This standard is required to provide anyone working on the TfNSW rail network with

information on function-specific minimum generic competency requirements, so that

personnel can be assessed and deemed as competent in a complete and consistent manner.

As a part of the AEO accreditation process, it is expected that an AEO has its own competency

assessment process as described in the AEO Guide to Engineering Competence Management.

This guide should be incorporated into this process as described in the TfNSW Competency

Standards Guidelines and Glossary document.

The AEO may tailor the competency standard requirements to meet project or industry needs

in consultation with relevant stakeholders to align to project requirements. Any modification

of the competency standard in Appendix A shall be justified and will be auditable. ASA will

establish and maintain consistency among AEOs’ assessments using the audit mechanism.

This standard is limited to the generic competency standards only and does not cover specific

domain or product knowledge which may be required by the AEO for network specific licensing

and accreditation (for example, requirements set by an O&M or RIM).

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.

International standards

ISO 9001:2008 Quality Management System

Australian standards

Rail Safety National Law (NSW) pursuant to the Rail Safety (Adoption of National Law) Act 2012

(NSW)

Work Health and Safety Act 2011 (NSW)

Work Health and Safety Regulation 2011 (NSW) © State of NSW through Transport for NSW Page 7 of 43



Australian Qualifications Framework (AQF) 2013

Vocational education and training (VET)

Transport for NSW standards

AEO Authorisation Governance Framework

TfNSW Competency Standards Guidelines and Glossary

TS 10503: 2013 AEO Guide to Engineering Competence Management

QSDP1 Procedures and Work Instructions Index

4. Terms and definitions

The following terms and definitions apply in this document:

AEO Authorised Engineering Organisation

ASA Asset Standards Authority

authorisation the conferring of authority, by means of an official instruction and supported by

assessment and audit

authorised engineering organisation a supplier of a defined engineering service or product

that has been assessed and granted AEO status by TfNSW

commissioning the systematic process of ensuring that all equipment and systems perform

interactively according to the design intent and the operational and user requirements

CMS competency management system

competent person a person identified or certified within an organisation to have required

skills and knowledge to perform specified tasks

control system infrastructure the collection of network, IT and telemetry equipment,

products, interfaces and systems used within the control systems. It includes hardware,

software, firmware and other associated equipment and products

domain knowledge specific to an application or industry, as opposed to generic knowledge

that is independent of the details of any particular application or industry

EMC electromagnetic capability

O&M Operator and Maintainer

RPEQ Registered Professional Engineer of Queensland © State of NSW through Transport for NSW Page 8 of 43



responsible a duty or obligation to satisfactorily perform or complete a task (assigned by

someone, or created by one's own promise or circumstances) that one must fulfil, and which

has a consequent penalty for failure. Responsibility can be delegated.

RIM rail infrastructure manager

SME subject matter expert

TfNSW Transport for New South Wales

TfNSW OD Transport for New South Wales Organisational Development

5. Context and supporting documentation

The TfNSW Competency Standards Guidelines and Glossary document supports this

Competency Standard. It provides further guidance on how the competency standards are

intended to be used and incorporated by AEOs into a CMS and for assessing competency of

personnel. It also provides context, drivers and definitions behind the standards that serve a

point of reference for AEOs and other key stakeholders.

6. Proficiency levels

In line with AEO Guide to Engineering Competence Management, it is mandatory that AEOs

shall define the proficiency levels relevant for these functions. The following proficiency levels

are suggested as appropriate to be used with this standard:

Level 1: can perform the identified competency independently and without supervision in

complex activities. Can produce quality outcomes based on the relevant standards and AEO’s

process and procedures.

Level 2: can perform the identified competency for less complex activities without supervision

or can perform the identified competency in complex activities under supervision or both. Can

produce quality outcomes based on the relevant standards and AEO’s process and procedures.

7. Control system infrastructure

The control system infrastructure is described below:




7.1. Description

Control System Infrastructure may comprise three main areas:

networking: establishes communication between components within the control systems with

specified availability, reliability, safety and security. It contains a number of components such

as router, switches, firewalls and their connections and configurations.

information technology: provides a platform to run control systems software components.

Components include servers, workstations, interfaces, special hardware components, their

standard operating environment components such as operating systems and configurations.

signalling and telemetry: provides interfaces to vital signalling systems. It contains a number

of components such as SCADA systems, modems, their standard operating environment

components such as operating systems and configurations, protection of vital systems.

The following elements are common to all three main areas:

• reliability, availability, maintainability and safety (RAMS)

• redundancy and disaster recovery

• power interfaces

• environmental interfaces, such as humidity, temperature range and so on

• rack and cubicle

• electrical protection and insulation

• earthing

• cabling

• EMC

7.2. Functions

The following definitions apply to the functions that exist within the Control Systems asset life

cycle and have been derived from international engineering standards.

Design process of defining requirements or creating a solution or modifying the existing

solution, based on the identified requirements of that phase

Check/Review document based process of examination in order to determine the adequacy of

the output items of a specific development phase fulfils the requirements of that phase




Verification process of examination followed by a judgement based on evidence that output

items of a specific development phase fulfils the requirements of that phase with respect to

completeness, correctness and consistency

Approve process based examination in order to make sure all required steps have been

completed of that phase according to the approved quality requirements

Construct / Install process of realisation of the design by building one or more products or set

up the product to be functional as specified within the design phase

7.3. Pathways

A summary of the following control systems competency pathways are included in Appendix B.

7.3.1. New entrants to train control systems

Refer to Appendix B for entrant level qualification pre-requisites relevant to each function. In

addition to the pre-requisite requirements, personnel must gain training and experience

against the standard in Appendix C. To demonstrate competence TfNSW requires that design

checker/reviewers and design verifiers have previously worked in the capacity of a fully

competent designer as defined by this standard, before being recognised as competent to

work.

7.3.2. Existing skilled or experienced personnel

Personnel who have recent and relevant experience working on the TfNSW rail network must

be able to demonstrate competence as specified in Appendix C.

7.3.3. Transferable skills

Personnel who have been employed nationally or internationally and who hold control

systems skill and experience must demonstrate competence against the standard documented

in Appendix C.




Appendix A Control systems function life cycle model Figure 1 shows the control systems function life cycle model.

Figure 1 – Control systems function life cycle model

Key

Pathways developed for these functions

Pathways to be developed for these functions

Asset Management Disposal

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Concept Design Integrate, Test & CommissionInstallFeasibility




Appendix B Control systems infrastructure design and construct competency pathways summary

See Table 1 for a summary of the control systems infrastructure design and construct

competency pathways.

Table 1 – Competency pathways summary

Pathway Level Qualifications and Prerequisites

Desi

gner

Chec

ker /

Re

view

er

and

Desi

gn /

Ve

rifie

r

Cons

truc

tor /

In

stal

ler

1 New Entrant to train control systems

Appropriate qualification for example; Certificate IV qualification in electrical, communication, rail signalling or similar technology

O This pathway is not applicable for new entrants

M

Appropriate qualification for example; tertiary qualification in electrical, communication, rail signalling or similar technology

M This pathway is not applicable for new entrants

O

Professional membership (RPEQ or equivalent - electrical, IT, control systems, or telecommunications)

M This pathway is not applicable for new entrant

M

Training with an existing AEO under supervision of a fully competent Designer to develop experience to meet requirements within Appendix C.


M

Competency assessment to demonstrate meeting evidence criteria in Appendix C*


M

2 Existing skilled and experienced

Competency assessment to demonstrate meeting evidence criteria in Appendix C

M M M





Desi

gner

Chec

ker /

Re

view

er

and

Desi

gn /

Ve

rifie

r

Cons

truc

tor /

In

stal

ler

Appropriate qualification for example; Certificate IV qualification in electrical, communication, rail signalling or similar technology

O O O

Appropriate qualification for example; tertiary qualification in electrical, communication, rail signalling or similar technology

O O O

Professional membership (RPEQ or equivalent - electrical, IT, control systems, or telecommunications)

O O O

Work under guidance of competent person to confirm competence.

A A A

3 Transferable skills

Mentorship program with existing AEO under guidance of fully competent designer

M M M

Competency assessment to demonstrate meeting evidence criteria in Appendix C*

M M M

Appropriate qualification for example; Certificate IV qualification or international equivalent in electrical, communication, rail signalling or similar technology

O O O

Appropriate qualification for example; tertiary qualification or international equivalent in electrical, communication, rail signalling or similar technology

O O O

Professional membership (RPEQ or equivalent – electrical, IT, control systems, or telecommunications)

O O NA





Desi

gner

Chec

ker /

Re

view

er

and

Desi

gn /

Ve

rifie

r

Cons

truc

tor /

In

stal

ler

Training with an existing AEO under supervision of a fully competent person to close skill gaps.

A A A

Summary key:

M mandatory

O optional

A assessment based

NA not applicable

*Note: A nationally recognised graduate certificate level qualification AQF 8 is

currently under development by TfNSW OD and will be offered at an agreed provider

in 2016. This course is designed to expedite development of competency evidence to

fulfil the criteria under Appendix C.




Appendix C Control systems infrastructure design and construct competency standard

See Section C.1 for competency standard and Section C.2 for the range of variables to guide

the user to domain and product knowledge or other items which may be relevant. Refer to

TfNSW Competency Guidelines and Glossary for further guidance on how to use Appendix C.

C.1. Control system infrastructure design and construct generic competencies Competency standards for design and construct for control systems infrastructure are shown

in Table 2, below. Differing levels of responsibility apply from designer through to

checker/verifier. The evidence criteria described may be the same across different function,

however the proficiency levels should be considered. Assessor’s must seek evidence to reflect

the size and complexity of the work being undertaken to ensure the candidate has the breadth

of experience and expertise to enable them to carry out that function in a competent manner.

Table 2 – ASA control system infrastructure design and construct generic competencies

Functions

Elements

Item

Evidence criteria

Desi

gn

Chec

k/ R

evie

w

Verif

y

Appr

ove

Cons

truc

t / In

stal

l

Sugg

este

d Va

riabl

e/s

Asso

ciat

ed (C

2.)

1 Establishes design assurance requirements

1.1 Identifies and consults all stakeholders relevant to the project scope, and identifies impact to other projects.

Y Y Y N N 3

1.2 Ensures the document package is current, complete, applicable, accurate, and clear and where there are discrepancies take corrective action.

Y Y Y N N 2, 4, 5, 12




Functions

Elements

Item

Evidence criteria

Desi

gn

Chec

k/ R

evie

w

Verif

y

Appr

ove

Cons

truc

t / In

stal

l

Sugg

este

d Va

riabl

e/s

Asso

ciat

ed (C

2.)

1.3 Identifies, documents and schedules activities required to complete the work.

Y N N Y N 1, 2, 4, 12

1.4 Maintains quality of documents through records management throughout the project life

Y Y Y Y N 2, 4, 5, 13

2 Establishes control systems documentation

2.1 Creates concept and feasibility documents including supporting evidence for design decisions.

Y Y Y N N 2, 4, 13

2.2 Interprets and analyses project scope, relevant Functional and Interface Specifications, other documents determining the impacts of the project on existing control systems and respective interfaces as well as existing projects.

Y Y Y N N 2, 3, 4, 13

2.3 Identifies applicable AEO processes and procedures, relevant standards to the project scope, gaps in the relevant standards and addresses gaps as a risk and mitigates as appropriate and compliant.

Y Y Y Y N 1, 2, 12

2.4 Identifies system hazards, updates existing or creates new hazard logs including hazard mitigations and determines impacts on the project

Y Y Y N N 2, 3, 4, 13

2.5 Identifies the need for and prepares safety cases in accordance with required processes and procedures.

Y Y Y N N 2, 3, 4, 14, 12.13




Functions

Elements

Item

Evidence criteria

Desi

gn

Chec

k/ R

evie

w

Verif

y

Appr

ove

Cons

truc

t / In

stal

l

Sugg

este

d Va

riabl

e/s

Asso

ciat

ed (C

2.)

2.6 Creates and updates project risk registers, identifies mitigations and actions accordingly.

Y Y Y N N 2, 3, 4, 12,13

2.7 Identifies and communicates the need for new standards, modification of existing standards, “concessions”, “type approval” process, modification of existing interfaces, and creation of new interfaces as per ASA guidelines, processes and procedures.

Y Y Y N N 2, 3, 4, 12,13

2.8 Evaluates changes required to existing control system(s), scope of work for new system, and relevant implementation issues, including the test, training and support environments.

Y Y Y N N 2, 3, 4, 12.13

2.9 Identifies project staging, integration and deployment strategies, project deliverables for control system design and configuration, considering all assumptions, constraints and interdependencies.

Y Y Y N N 2, 3, 4, 12,13

2.10 Contributes to the control systems functional specification document.

Y N N N N 2, 3, 4, 12,13

2.11 Contributes to the development of RAM requirements or parameters or determines the impact of project on existing RAM parameters or requirements.

Y Y Y N N 2, 3, 4, 12,13




Functions

Elements

Item

Evidence criteria

Desi

gn

Chec

k/ R

evie

w

Verif

y

Appr

ove

Cons

truc

t / In

stal

l

Sugg

este

d Va

riabl

e/s

Asso

ciat

ed (C

2.)

3 Establishes infrastructure design and construction requirements

3.1 Identifies and allocates infrastructure related requirements from the Project Scope and Control Systems Functional Specification to:

• determine the functionality required by existing or new infrastructure components

• determine what infrastructure needs to be installed, modified and disposed of to ensure all operation, maintenance, training, support and disposal requirements have been addressed

• identify and update RAM requirements

• ensure hardware specification factors are incorporated and accommodated

• establish whether components outside the standard operating environment will be required

• identify hazards or allocate hazards or both related to the infrastructure

Y Y Y N N 2, 3, 4, 12, 13, 14




Functions

Elements

Item

Evidence criteria

Desi

gn

Chec

k/ R

evie

w

Verif

y

Appr

ove

Cons

truc

t / In

stal

l

Sugg

este

d Va

riabl

e/s

Asso

ciat

ed (C

2.)

3.2 Analyses control systems functional specifications, control systems circuit books and any other relevant input documents to identify and confirm:

• staging requirements for the design

• impacts on and of other projects

• impacts on testing, training and support systems

• other relevant implementation issues

Y Y Y N N 2, 3, 4, 12,13,14

3.3 Identifies and analyses infrastructure interfaces and the system integration at a detailed level. Identifies project, system, and safety hazards and creates or updates safety cases accordingly.

Y Y Y N N 2, 3, 4, 12,13,

14




Functions

Elements

Item

Evidence criteria

Desi

gn

Chec

k/ R

evie

w

Verif

y

Appr

ove

Cons

truc

t / In

stal

l

Sugg

este

d Va

riabl

e/s

Asso

ciat

ed (C

2.)

3.4 Conducts site surveys to:

• confirm location and current state of documented infrastructure

• confirm that existing “As-Built” are current

• evaluate the capacity and compatibility of existing system to accommodate the proposed changes

• identify site hazards and potential obstacles in meeting design requirements

• confirm requirements for meeting design specifications

Y Y Y N N 2, 3, 4, 12,13,

14,15




Functions

Elements

Item

Evidence criteria

Desi

gn

Chec

k/ R

evie

w

Verif

y

Appr

ove

Cons

truc

t / In

stal

l

Sugg

este

d Va

riabl

e/s

Asso

ciat

ed (C

2.)

4 Develops a design and construction solution that meets project requirements

4.1 Identifies, interprets and analyses the relevant design, industry and regulatory standards and design the infrastructure solutions to comply.

Y Y Y N N 2, 3, 4, 12

4.2 Analyses previously produced project documents to determine:

• the complexities and risks of the interfaces and interdependencies with existing control systems infrastructure and rail operations

• design options and solutions

• applicable RAMS requirements design constraints and construction limitations

• appropriate precedent designs that could be replicated for the current project

• protection and isolation of the safety critical systems

• potential business continuity problems and mitigation

Y Y Y N N 2, 3, 4, 12,13,14

4.3 Applies knowledge of engineering design concepts, principles, theories and techniques to explore possibilities, solve design problems and develop credible solutions which properly address the critical design issues and assumptions.

Y Y Y N N 4,12, 13,14




Functions

Elements

Item

Evidence criteria

Desi

gn

Chec

k/ R

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2.)

4.4 Evaluates the feasibility of all possible design solutions and selects the optimum design which meets identified design, construction, maintenance, and business constraints.

Y Y Y N N 4, 12, 13,14

4.5 Identifies designs and develops preliminary tests in order to mitigate previously identified risks, safety and interface issues.

Y Y Y N N 4, 12, 13,14

4.6 Assesses whether or not ”type approval” is required for any assets and initiate type approval

Y N N N N 4, 12, 13,14

4.7 Initiates “ASA concession” process if the design does not comply with standards.

Y N N N N 4, 12, 13,14

4.8 Identifies analyses and documents all new or modified configuration data applicable to the new or modified systems for the infrastructure.

Y Y Y

N

N 4, 12, 13,14

4.9 Documents the design, using appropriate software tools to produce detailed diagrams and drawings.

Y N N N N 1, 4, 12, 13,14




Functions

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2.)

4.10 Validates design quality and completeness, ensuring that:

• it meets the requirements of the Control Systems Functional Specification

• it complies with all relevant standards

Y Y Y N N 4, 12, 13,14

4.11 Presents the design solution, ensuring all stakeholders understand the merits of the design, and how it meets the project requirements.

Y N N N N 4, 12, 13,14

5 Develops the installation work packages and test plans

5.1 Interprets and analyses design deliverables and consults with key stakeholders using higher level design documentation in order to develop the installation work packages and test plans.

Y Y Y N N 4, 12, 13,14, 15,16




Functions

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2.)

5.2 Before installation, undertakes site inspections to:

• confirm previously identified and identify new WHS factors which could impact the installation process

• determine the impact of site works undertaken since the previous inspection, and the potential impact of scheduled site works on the proposed installation

• identify business continuity issues including the “booking in” and “booking out” of equipment and systems

• identify the current status of the test, training and support systems

Y Y Y N N 4, 12, 13,14, 15,16

5.3 Identifies and details impacts on existing and new infrastructure components during the installation

Y Y Y N N 4, 12,13,14,15,16

5.4 Validates the RAM and system safety requirements for the proposed installation.

Y Y Y N N 4, 12,13,14,15,16

5.5 Incorporates project and WHS risks into the installation packages including the rollback procedures and protection of the safety critical infrastructure.

Y Y Y N N 4, 12,13,14,15,16




Functions

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2.)

5.6 Determines and details testing requirements prior to and throughout the installation process, including dependencies on previously tested infrastructure.

Y Y Y N N 4, 12,13,14,15,16

5.7 Determines the timeframe allowed for the installation, including the changes required for the test, training and support systems is sufficient.

Y Y Y N N 4, 12,13,14,15,16

5.8 Sequences tasks in a logical and systematic manner, ensuring operational readiness using knowledge of:

• hardware construction principles,

• methodology system installation and configuration requirements, and

• interdependencies on other work groups.

Y Y Y N N 4, 12,13,14,15,16

5.9 Ensures the installation packages will meet project requirements, minimise disruption to rail operations, align with the test and release plan, and are achievable given other operational constraints.

Y Y Y N N 4, 12, 13,14,15,16




Functions

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2.)

5.10 Documents the test plan using appropriate templates, accurate referencing of input documents, and following the required process for communicating changes to the plan.

Y Y Y N N 4,12, 13,14,15,16

6 Undertakes peer or independent review or both

6.1 Validates the design package, including:

• the hazards and project risks and RAM

• requirements of all referenced documents

• suitability of the stages of the project and their requirements over the asset life cycle

• compliance with relevant standards, AEO processes and procedures

• constructability, operation, maintenance and sustainability

• impact on existing and new interfaces, including infrastructure, and other projects

• lessons learned from previous projects have been incorporated

N Y Y N N 2, 4, 12,13

6.2 Provides constructive feedback to the designer, questioning and challenging decisions made.

N Y Y N N 2, 4, 12,13




Functions

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2.)

6.3 Verifies amendments are incorporated through repeated checking until the design and all relevant documentation meet quality requirements.

N Y Y N N 2, 4, 12,13

7 Procures and tests infrastructure components

7.1 Analyses job specifications and drawings to determine and record the hardware, equipment and installation services that will need to be procured from external sources.

N Y Y N Y 12,13

7.2 Undertakes comprehensive practical feasibility tests to determine whether new hardware is compatible with existing control systems infrastructure.

N Y Y N Y 12,13

7.3 Completes the type approval process according to the standards and AEO’s processes and procedures.

N Y Y N Y 12,13

7.4 For installation services which need to be procured, determines the design, supply and test requirements, and documents these for tender submission.

N Y Y Y Y 12,13

8 Approves 8.1 Confirms that the approval of the design package is within the scope of one’s authority as per relevant processes, standards and guidelines

N N N Y N 12,13




Functions

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2.)

8.2 Applies a systematic and detailed approach to approving the design by ensuring that the work performed:

• has been designed and checked or verified as per standards and AEO’s processes and procedures meets both the project and the design requirements and specifications

• complies with regulatory and other legal requirements

• addresses all interface issues

• is properly documented, including a record of verification and validation

N N N Y N 12,13

8.3 Confirms that safety cases or safety arguments or both have been completed according to standards

N N N Y N 12,13

8.4 Confirms that the ‘type approval’ and ‘ASA concession’ process has been completed according to standards

N N N Y N 12,13

8.5 Confirms that all outstanding issues have been mitigated

N N N Y N 12,13




Functions

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9 Establishes and prepare installation requirements

9.1 Interprets the approved design, installation work packages and test plan, and other relevant documentation confirming:

• the scope of installation work required

• roles and responsibilities in the installation process

• whether a site inspection will be required

• the tools, equipment, plant and testing devices required for the installation process

• Impact on business continuity plan

• Impact on the safety critical systems

• the removal / disposal issues

N Y Y N Y 2, 12,13,14,15,16,17

9.2 Prepares required documentation for work on site, and distributes documents to appropriate people for approval and use.

N Y Y Y Y 12,13,14,15,16

9.3 Installs and configures equipment according to design documentation, manufacturer’s instructions, and configuration guidelines.

N N N N Y 12,13,14,15,16




Functions

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10 Maintains quality control during installation works

10.1 Performs testing activities and system health checks throughout the installation process, as specified in the installation packages.

N Y Y N Y 12,15,16

10.2 Completes required documentation for installation activities to indicate work has been completed according to specifications and required standards.

N Y Y N Y 12,17

11 Decommissions and removes existing infrastructure

11.1 Identifies infrastructure components and parts to be decommissioned and removed in accordance with drawings, specifications and the installation packages.

N Y Y N Y 12,15,16

11.2 “Books out” identified components after the communication and confirmation with stakeholder/users.

N Y Y N Y 12,13,15,16

11.3 Decommissions and dismantles infrastructure components and parts according to manufacturer guidelines and installation requirements ensuring the safety critical systems are protected using the required engineering techniques

N Y Y N Y 12,13,15,16




Functions

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2.)

11.4 Marks or tags dismantled components and parts, and documents them as removed to enable correct and efficient reassembly, if required.

N Y Y N Y 12,13,15,16

12 Installs and configures infrastructure components and parts

12.1 Determines infrastructure component dimensions, position and layout by observation, and calculation from information given in drawings, specifications and instructions.

N Y Y N Y 12,15,16

12.2 Assembles and connects infrastructure components in accordance with manufacturer instructions, technical drawings, standards and specifications, and the requirements of the installation packages ensuring the safety critical systems are protected using earthing and galvanic isolation principles.

N Y Y N Y 12,15,16

12.3 Identifies any anomalies in the installation documentation, or inadequacies of the design to meet functional requirements, or both and report these with recommendations for change or action.

N Y Y N Y 12,15,16

12.4 Undertakes testing and monitoring activities, as stipulated in the installation packages.

N N N N Y 12,15,16




Functions

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2.)

12.5 Compares test results against expected outcomes, and interprets and documents results.

N Y Y N Y 12,13

12.6 Diagnoses and rectifies faults and follows installation procedures for handling failed test results.

N Y Y N Y 12,13

12.7 “Books in” or initiates the “book in” process for the successfully installed, integrated and tested equipment or systems.

N N N N Y 12,13,15,16

13 Completes post installation activities

13.1 Returns the site to a working state N N N N Y 12,13,15,16

13.2 Completes required post installation documentation and submits it to designated personnel for final “as built” signoff, copying and filing.

N Y Y Y Y 12,13,15,16,17

14 Verifies installed infrastructure

14.1 Undertakes quality reviews of the installation verifying that all requirements included in the design specification have been achieved and that the project is ready for final commissioning.

N Y Y N Y 4,12,15,16

14.2 Reviews the scope and results of all tests carried out as part of the installation packages.

N Y Y N Y 4, 12,15,16

14.3 Reviews and confirms the adequacy of delivered design documents and support documents including operating and maintenance manuals.

N Y Y Y Y 4, 12,15,16




Functions

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2.)

14.4 Identifies anomalies in the installation documentation or inadequacies of the design to meet functional requirements, or both, and report these to the site supervisor with recommendations for change or action.

N Y Y Y Y 4, 12,15,16

14.5 Identifies and implements corrective actions necessary for final acceptance of the project or product.

N Y Y Y Y 4, 12,15,16

15 Audits installed infrastructure

15.1 Validates the “as-built” configuration of the new or altered asset against specification requirements and the design documentation, ensuring that the physical installation conforms to the approved design and thus the basis for formal acceptance of the project.

N Y Y N Y 4, 12,15,16

15.2 Reviews the “as-built” documentation ensuring that it is an accurate and complete record of the final configuration of the built asset, and has been signed, copied and filed.

N Y Y N Y 4, 12,15,16

15.3 Reviews all project documentation ensuring that correct processes have been followed and accurately documented.

N Y Y Y Y 4, 12,15,16




Functions

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15.4 Conducts site audits ensuring all equipment has either been returned to stock or disposed of.

N Y Y N Y 4, 12,15,16

C.2. Range of variables Variables listed in this appendix are not exhaustive and can constantly change and evolve. In

addition, some variables may not be appropriate or applicable to all AEOs or projects. Any

modification of criteria listed in this standard must be justified and will be auditable. ASA will

establish and maintain consistency among AEOs’ assessments using the audit mechanism.

C.2.1 Software tools

The software tools should include:

• MS Office suite (Visio, Project, Access, Excel, Word) or similar

C.2.2 Core documents

The core documents should include:

• system requirement specifications

• business requirement specifications

• stakeholder requirements

• safety requirements

• security requirements

• interface requirements




• RAM requirements

• stakeholder Signoff

• change requests

• “as built” documents

• circuit books

• concessions

• type approvals

• organisation’s processes and procedures

• hazard logs

• lessons learned from previous projects

• signalling circuit books

• functional specification

• test and release strategy

• signalling plans

• control tables

C.2.3 Stakeholders

The stakeholders include:

• AEO Configuration Design Group

• AEO Test Management Group

• AEO Integration Group

• AEO Training Group

• AEO Maintenance and Support Group

• other control systems

• Sydney Trains

ᴑ Engineering Standards and Integrity (ESI)

ᴑ Rail Operations Centre (ROC) © State of NSW through Transport for NSW Page 36 of 43



ᴑ Operations

ᴑ Timetabling

ᴑ Train Planning

ᴑ Train Location System

ᴑ Station Passenger Information

ᴑ Control Systems Operations

ᴑ Communication Group

• ASA

• TPD

• TfNSW

• Asset Maintainer

C.2.4 Design and configuration specifications requirements

The items noted are a collection of other variable items (variable item 5 to item 13). Variable

items cover the full capability of the Networking, Telemetry and I.T. control system areas, are

suggested only and applicability of each is at the discretion of the AEO.

The design and configuration specifications requirements should include:

• computer design specifications

• rack design specifications

• desk design specifications

• LAN/WAN design specifications

• environment layout design specifications

• power design specifications

• telemetry/interlocking interface design specifications

C.2.5 Computer design specifications

The computer design specifications should include:

• types of computer required © State of NSW through Transport for NSW Page 37 of 43



• number of computer required

• RAMS

• spare capacity specification

• hardware specifications, software specifications (OS and other applications)

• network interface specifications

• system interface specifications,

• power and protection specifications

• local or remote monitoring and management specifications

• telemetry / signalling / serial interface specifications

• security specifications

• environmental specifications

C.2.6 Rack design specifications

The rack design specifications should include:

• dimension definition

• number of racks required


• power and earthing specification

• cable management

• ergonomics

• EMC

• security

C.2.7 Desk design specifications

The desk design specifications should include:

• type of desk and dimensions

• number of desks





• cable management

• ergonomics power and earthing specification

• security

C.2.8 LAN/WAN design specifications

The LAN/WAN design specifications should include:

• types of routers, switches and firewalls required, for example; no. of ports and capacity

• number of routers, switches and firewalls required

• types of cables required

• number of cables required

• RAM

• hardware specifications

• software specifications

• security specifications

• safety specification

• power interface specifications

• interface specifications

• remote or local monitoring and management specifications

• redundancy specifications

C.2.9 Environment layout design specifications

The environment layout design specifications should include:

• racks layout design

• workstation layout design

• cable trays layout design

• HVAC layout specifications




• lighting layout design

• human factors and ergonomics

• capacity planning

• evacuation points

• maintenance points

• redundancy and diversity planning

• disaster recovery

• electromagnetic compatibility

C.2.10 Power design specifications

The power design specifications should include:

• types of power equipment required such as:

ᴑ UPS (uninterrupted power supply)

ᴑ distribution board

ᴑ PSC (power change over switch)

ᴑ circuits / cables

• quantity of equipment required

• RAMS


• power outlet specifications

• protection specifications such as:

ᴑ lighting, surge protection

ᴑ galvanic insulation

ᴑ isolation

ᴑ earthing/grounding

ᴑ bonding

• remote or local monitoring specifications © State of NSW through Transport for NSW Page 40 of 43



C.2.11 Telemetry/Interlocking interface design specifications

The telemetry/interlocking interface design specifications should include:

• types of telemetry equipment

• numbers of telemetry equipment required


• software / firmware specifications

• RAMS

• interface specifications, including the communication port and link

• power interface specifications

• protection specifications, for example; optical isolation and surge protections

• earthing and bonding

• galvanic isolation

• surge protection

• modems

C.2.12 Relevant standards

The relevant standards should include:

• ASA standards

• workplace health and safety standards

• rail safety legislation and requirements

• international standards

• Australian standards

• RISSB standards

• TfNSW standards

• AEO’s standards




C.2.13 Design deliverables

The design deliverables should include:

• control systems functional requirements specification

• control systems infrastructure functional requirements specification

• interface requirements specifications

• RAMS

• hazard logs

• risk assessment

• safety case

• user requirements

• submission for type approval documentation

• submission for concessions

• submission for standard modifications

• procurement documentation

• equipment evaluation documentation

• equipment configuration documentation

• circuit books

• design, supply and test documentation

• design, implementation and test (DIT) plan

• configuration files

• change reports

C.2.14 SMS documents

The SMS documents should include:

• safe work method statements (SWMS)

• safe work instructions (SWIs)




• manual hazard assessments

C.2.15 Required documentation for work on site

The required documentation for work on site should include:

• notification of site work

• work permit

• pre-work briefing

ᴑ site specific safety management plan (SMP)

• safe work method statements (SWMS)

• safe work instructions (SWIs)

C.2.16 Required documentation for installation activities

The required documentation for installation activities should include:

• approved circuit book drawings

• checklists for installed equipment

• site deployment plan

• site acceptance/commissioning tests

• approved rollback plan

• work package

C.2.17 Post installation documents

The post installation documents should include:

• marked up and signed circuit books

• completed checklists for installed equipment

• test results

• status report

• updated configuration files
