TS 10765 - Concessions to ASA Requirements · 2019-05-21 · The ASA Charter lause 24(b)(C ) requires Transport Agencies to implement and comply with ASA requirements. Where a Transport

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Technical Note TN 112: 2014

Subject: Clarification on application of Responsible Body for concession requests

Issued date 17 December 2014 Effective dates 17 December 2014 to 17 December 2015

For queries regarding this document [email protected]

www.asa.transport.nsw.gov.au

1. Request for Concession endorsement

Section 5.4 of TS 10765 Concessions to ASA Requirements requires that a requestor for a

concession to an ASA requirement be an Authorised Engineering Organisation (AEO) except

for concessions relating to rolling stock design. It further requires that the Responsible Body

managing the contract endorses the request prior to submitting to ASA. The purpose of this

technical note is to clarify the requirement for the Responsible Body endorsement of the

concession requests described in the following sections.

1.1 Concession requests from within TfNSW Cluster

The ASA Charter (Clause 24(b)) requires Transport Agencies to implement and comply with

ASA requirements. Where a Transport Agency entrusted to deliver a project foresees that a

particular requirement of the ASA cannot be reasonably met, it may request a concession from

ASA. In such situations, the requestor need not be an AEO. Rather, the Transport Agency as

the Responsible Body acts as the requestor for the concession. In such cases the Responsible

Body endorsement is not required.

Asset Standards Authority © State of NSW through Transport for NSW Page 1 of 2

mailto:[email protected]

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

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1.2 Concession requests from third parties

Third parties whose work affects the operation of railways owned, operated or managed by

TfNSW or who have their services within defined rail corridors owned, operated or managed by

TfNSW are obliged to comply with ASA requirements through planning instruments or through

TfNSW property easement contracts. When requesting a concession to ASA requirement the

requestor shall be an AEO and the Responsible Body shall be the property manager for the

respective rail corridor (e.g. Rail Corridor Management Group for RailCorp network).

Authorisation

Signature

Technical content prepared by

Interdisciplinary coordination checked by

Authorised for release

Name Jagath Peiris David Spiteri Graham Bradshaw

Position Manager Network Standards

Chief Engineer Rail Principal Manager Network Standards & Services

Asset Standards Authority © State of NSW through Transport for NSW Page 2 of 2

Concessions to ASA Requirements

TS 10765 : 2014

Management standard

Version 1.0 Issued Date: 24 January 2014 Effective Date: 01 March 2014

Important Warning

This document is one of a set of standards developed solely and specifically for use on the rail network owned or managed by the NSW Government and its agencies. 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 Page 1 of 13

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

TS 10765 : 2014 Concessions to ASA Requirements

Version 1.0 Effective Date: 01 March 2014


Standards Approval Owner: J Peiris, Network Standards Manager Authorised by: G Bradshaw, Principal Manager, Network Standards & Services Approved by: J Modrouvanos, Director Asset Standards Authority on behalf of the ASA

Configuration Control Board

Document Control Version Summary of Change 1.0 First issue

For queries regarding this document

[email protected]

www.asa.transport.nsw.gov.au

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Preface

The Asset Standards Authority (ASA) develops controls, maintains and publishes standards and

documentation for transport assets for New South Wales, using expertise from the engineering

functions of the ASA and industry.

The Asset Standards Authority publications include the network and asset standards for NSW

Rail Assets, the requirements for condition, performance and maintenance reporting of assets,

requirements for network safety assurance, safety-related processes for human factors

integration, configuration control processes, as well as guidance material in relation to

organisation-level competency frameworks, promoting sustainable development of technical

and engineering capability.

This standard describes the ASA process for allowing parties obliged to comply with its

requirements to deviate from them under stated circumstances.

This management standard has been developed by the Asset Standards Authority. It has been

internally reviewed and approved for use across the Asset Standards Authority publications by

the Asset Standards Authority Configuration Control Board.

This standard replaces the RailCorp Waiver Process and supersedes the following RaiCorp

standards:

EPA 243 Engineering Standards Waivers, version 1.0, issued June 2011

TMG J049 Signal Engineering Waivers, version 2.0, issued May 2010

EP 00 00 00 17 TP Electrical Engineering Waiver Management, version 1.2, issued

March 2013

TMM P227 Telecommunications Engineering Waiver Management, version 1.0, issued

August 2010

EPA 243 FM01 Engineering standards waivers request form; version 1.0 issued

26/07/2011

This management standard is a first issue.

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Table of contents

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

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

2.1 Scope..................................................................................................................................................5 2.2 Application.........................................................................................................................................5

3. Reference documents.......................................................................................................................6

4. Terms and definitions.......................................................................................................................6

5. Concession process .........................................................................................................................7

5.1 Full concession process ..................................................................................................................7 5.2 Interim concession process.............................................................................................................7 5.3 Process overview..............................................................................................................................7 5.4 Concession requestor ......................................................................................................................9 5.5 Request for a concession ................................................................................................................9 5.6 Responsible body endorsement....................................................................................................10 5.7 Submission of concession requests.............................................................................................10 5.8 Assessment of concession applications......................................................................................10 5.9 Granting a concession....................................................................................................................11 5.10 Interim concessions........................................................................................................................12

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1. Introduction

The Asset Standards Authority (ASA) produces, maintains and publishes engineering and asset

based standards which are mandated on Authorised Engineering Organisations (AEOs) and on

rolling stock operators, owners and manufacturers who either operate or supply rolling stock to

operate on the TfNSW rail network, to ensure that their services and products are capable of

meeting minimum safety and performance levels.

It is expected that every effort will be made to comply with ASA requirements. However, the

ASA recognises that due to the complexity of both the rail network and its operational

environment it is not always possible to achieve full compliance with the ASA standards

requirements. In these exceptional circumstances the ASA may grant a concession to a

particular requirement in a standard through completion of the process described in this

standard.

2. Purpose

The purpose of this standard is to specify the following:

the circumstances under which an AEO or a rolling stock operator, manufacturer or

owner can request a concession to an ASA requirement

the roles and responsibilities of parties involved in the concession process

the conditions under which the ASA grants concession

the types of concessions available

the requirements and process for requesting, granting and reporting on concessions

2.1 Scope

The concession process described in this standard refers to concessions to all ASA

requirements, as published and managed by the ASA.

The following is outside the scope of this standard:

requirements specified in the Train Operation Conditions (TOC) Manual (TS TOC).

Concessions to requirements in the TOC Manual are managed in accordance with the

TOC waiver process

2.2 Application

This standard only applies to concessions to requirements that meet the following conditions:

the requirements are contained in externally published ASA documents such as network

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the requirements are contained in Australian, National or International Standards

nominated by ASA as reference standards and through that nomination have become

ASA requirements.

3. Reference documents

TS 10765 F1 Request for concession to ASA requirement

TS 10765 F2 Notice of concession to ASA requirement

TS TOC Train Operating Conditions (TOC) Manual

TS 10765 F3 ASA Contact Details for Interim Concessions

4. Terms and definitions

The following definitions apply in this document:

AEO Authorised Engineering Organisation

ASA Asset Standards Authority

BAU business as usual

CCB configuration control board

CM configuration management

concession a written authority issued by the ASA that approves a non compliance with an

externally published ASA requirement

requestor an Authorised Engineering Organisation performing work on the TfNSW transport

network that requests a concession from a requirement published in an ASA document

responsible body the business unit within the TfNSW cluster responsible for the management

of the contract with the AEO requesting the concession

SFAIRP so far as is reasonably practicable

SME subject matter expert

TERM Transport Enterprise Risk Management; a risk management framework used by TfNSW

TfNSW Cluster all divisions of Transport for NSW and its transport agencies but excludes

the ASA

TOC train operating conditions

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5. Concession process The ASA recognises that there are a small number of scenarios which would require a

concession to be granted. The scenarios include the following:

operators and maintainers undertaking planned work; where the full concession process

applies

operators and maintainers undertaking emergency work at short notice; where an interim

concession process applies

project delivery teams undertaking planned work; where the full concession process

applies

project delivery teams undertaking emergency work at short notice; where an interim

concessions process applies

5.1 Full concession process

The full concession process described in this standard applies to planned work by AEOs, rolling

stock operators, manufacturers and owners. Under normal circumstances it is expected that the

majority of concessions will be processed through this route.

5.2 Interim concession process

The interim concession process described in section 5.10 applies to emergency work that is

unplanned and need completion at short notice.

5.3 Process overview

An overview of the full and interim concession process is shown in Figure 1.

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Figure 1 – Overview of establishment and change management of controlled ASA

requirements

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5.4 Concession requestor

The requestor for a concession to an ASA requirement shall be an AEO providing an

asset-related service or product to TfNSW under a contract, or a rolling stock operator,

manufacturer, or owner either operating or supplying rolling stock for operating on the TfNSW

rail network. The request shall be within the scope of the AEO's authorisation or the rolling

stock operator's access agreement where the request relates to a contract with TfNSW.

To minimise the possibility of aborted work due to misinterpretation of a requirement or

proposing an unacceptable alternative, every requestor is encouraged to consult with the

relevant discipline ASA Lead Engineer at an early stage of development of the concession

application.

A list of ASA contacts is set out in TS 10765 F3 ASA Contact Details for Interim Concessions.

5.5 Request for a concession

Requests for concessions shall be accompanied by the following documentation:

a completed standard TS 10765 F1 Request for concession to ASA requirement form

together with all information and supporting artefacts relevant to the request

justification of why compliance with the requirement is not reasonably practicable. The

justification shall include an options report that provides a clear explanation of the issues

encountered and which options were considered, including detailed description and

logical scientific reasoning in its justification of the alternative non-complying proposal.

This justification is required even when a proposal is an improvement (eg. safety,

environment, economic etc) to an existing situation but still falls short of meeting the

requirement

a risk assessment prepared by a competent person that demonstrates the residual risk

associated with the non-compliance is mitigated to SFAIRP. The risk assessment shall be

of a level commensurate with the level of risk. The risk assessment must identify and

assess all risks associated with the asset in its operational state that will be impacted by

the concession. For each risk its impact from the concession should be addressed and it

should be demonstrated that the risk has been reduced SFAIRP. An overall structured

argument shall be presented supported by evidence demonstrating that in implementing

the concession safety will be ensured SFAIRP. Where there is a significant level of risk,

the risk argument shall be independently verified. At its discretion, the ASA may request

independent verification. Refer to TS 20001 System Safety Standards for New or Altered

Assets that provides guidance on the expected level of rigor required with regards safety

and risk management.

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5.6 Responsible body endorsement

Endorsement of an application for a concession by the responsible body, is only required on

concession requests in project situations on defined scopes of work. The responsible body

shall assess and endorse the concession request from a contract and project perspective

before forwarding to the ASA.

Responsible body endorsement signifies that project stakeholder interests have been properly

investigated and addressed, and that the proposed non compliance and risk controls do not

give rise to new risks or outcomes including life cycle cost increases considered unacceptable

by project stakeholders.

The responsible body shall check the concession request to ensure that all required information

is included in the request. The representative of the responsible body shall be at a senior level

and have defined authority and responsibility to endorse such requests.

Non-project-based concession applications do not require responsible body endorsement for

applications concerning ongoing works or operations so long as there is no conflict with

contractual obligations to TfNSW.

5.7 Submission of concession requests

Concession requests shall be submitted to ASA electronically via email to

[email protected] in an open industry standard form such as PDF.

5.8 Assessment of concession applications

The ASA will assess all formally-received concession applications.

Interim concession requests are described in section 5.10.

5.8.1 Acknowledgement and ASA response time

The ASA will acknowledge receipt of concession requests and, where full documentation has

been submitted, will advise its determination within ten working days of receipt depending on

the complexity of issues associated with the concession.

The ASA may request additional information or further assessments when assessing the

request for a concession.

5.8.2 Register of concessions

The ASA will keep a register of concessions that will include the following:

a unique concession request number allocated on receipt of each request, and used in all

communications relating to the request

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5.8.3 Review of request

The request will be assessed by an ASA SME from the relevant discipline in consultation with

the ASA safety and risk assurance team. ASA assessment involves reviewing that the following

have been performed:

interfaces for the change have been properly identified

appropriate stakeholders have been identified and consulted

appropriate risk identification and transfer of risks

identification of risk control owners, definition of their roles and responsibilities and that

appropriate communication protocols are in place to inform all affected parties

The assessment is to establish that the requestor has sufficiently demonstrated the following:

that it is not reasonably practicable to achieve compliance

the residual risk associated with the non-compliance is tolerable

sufficient steps, including additional control measures to mitigate the risks associated with

the non-compliance to SFAIRP, have been specified

sufficient stakeholder consultation has been performed and the stakeholders have

generally accepted the alternative proposed

The ASA's reviewers and assessors shall be satisfied that the requestor has done everything

SFAIRP to ensure safety in operation and the residual risks associated with the non compliance

are tolerable. The reviewers and assessors may recommend additional risk controls where

necessary.

5.9 Granting a concession

The ASA will inform requestors of the outcome of its assessment of formal concession requests.

5.9.1 Authorisation

As the authorisation of a concession to an ASA requirement is a risk acceptance, only a person

with delegated authority from the ASA Configuration Control Board (CCB) is authorised to issue

a concession. The concession notice shall be approved by the ASA SME who performs the

review, endorsed by the relevant Principal Manager or the Chief Engineer Rail for the risk

acceptance and endorsed by the Principal Manager Network Standards and Services for

process compliance and authorisation for issue.

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5.9.2 Notice of concession

A concession to an ASA requirement shall only be issued on TS 10765 F2 Notice of concession

to ASA requirements form. The notice of concession shall state all conditions under which the

concession has been granted; i.e. risk controls proposed by the requestor, any additional risk

controls imposed by the ASA, and where not granted, the reasons for rejection. The

assessment notice shall be forwarded to the requestor with a copy to the responsible body as

appropriate.

5.9.3 Implementation and management

Where a concession has been granted, the requestor shall execute the work in accordance with

the notice of concession. This includes fulfilling any additional conditions or implementing any

additional controls imposed by the ASA with its granting of the concession. The responsible

body shall make arrangements for the conditions of approval to be maintained throughout the

life of the system or asset to which the concession applies or as specified in the notice of

concession.

5.9.4 Reporting on concessions

The Principal Manager Network Standards and Services shall report to the ASA CCB the details

of concessions issued to ASA requirements in each reporting period. Each Principal Manager

and the Chief Engineer Rail shall report to the ASA CCB on interim concessions issued to ASA

requirements under their purview in the reporting period. The reporting shall also highlight any

action arising from the issue of concessions such as trends and validity of requirements

constantly being changed for their on going use.

Reporting on concessions will be linked to the performance management of network standards

and the reporting on interim concessions will be linked to the the ASA's AEO performance

management system and the TfNSW contractor performance management system.

5.10 Interim concessions

Interim concessions apply to construction and maintenance activities where latent conditions,

unplanned circumstances or operational needs can render the meeting of ASA requirements not

reasonably practicable and, to mitigate the risks of non compliance, a concession would be

required urgently from the ASA. In such situations, the responsible AEO may request an interim

concession from the relevant discipline Lead Engineer in ASA. Contact details are provided in

TS 10765 F3 ASA Contact details for Interim Concessions. In project situations such requests

shall be rare and shall be the exception rather than the norm.

Project requests for interim concessions require justification and additional reporting as outlined

in section 5.9.4 . See also section 5.10.1 for interim concessions in project situations. Sup

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Interim concession requests shall be made directly to the relevant Lead Engineer by emailing

details of the concession being sought to the respective email address given in TS 10765 F3

Contact details for interim concessions. An interim concession may be granted by the Lead

Engineer and the notice of the interim concession shall be in writing and a record kept. The

notice shall be copied to the ASA Principal Manager Network Standards and Services and to

the ASA Chief Engineer Rail for information.

The notice of interim concession shall also be emailed to the ASA standards team at

[email protected].

An interim concession is only valid for a period of up to ten working days from its issue date and

shall be formalised through the issue of a formal notice of concession.

The requestor shall apply for a formal concession by submitting the required documentation as

soon as possible but within the validity period of the interim concession.

5.10.1 Interim concessions in project situations

Where interim concessions are issued in project situations, the project manager shall justify why

the need for the interim concession arose and report on the implementation of the change and

risk controls approved by the ASA in the interim concession notice. The report shall also cover

lessons learnt, identification of continuous improvement with the view to mitigate further

occurrence. This report shall be submitted to the Principal Manager Network Standards and

Services within two working days of change implementation. This requirement is in addition to

the requirement for submission of full documentation required for formalising the interim

concession.

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TS 10765 - Concessions to ASA Requirements · 2019-05-21 · The ASA Charter lause 24(b)(C ) requires Transport Agencies to implement and comply with ASA requirements. Where a Transport

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