L1-CHE-PRO-004 v4 - Type Approval Procedure

TYPE APPROVAL PROCEDURE
L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018
Approval
Amendment Record
Approval Date Version Description

Initial issue under MTM. Replaces Connex documents cml-
15/06/2012 1
8.13-PR-002 & cml-8.21-PO-168
30/11/2012 2 Document revised and updated to simplify process
07/09/2015 3 Document revised and updated. (Major update).
Minor update to section 3. Update allows for other systems
08/02/2018 4 assurance procedures to satisfy Type Approval requirements
subject to formal agreement.
Approving Manager: Chief Engineer Approval Date: 08/02/2018 Next Review Date: 08/02/2021
PRINTOUT MAY NOT BE UP-TO-DATE; REFER TO METRO INTRANET FOR THE LATEST VERSION Page 1 of 20
Table of Contents
1. Procedure.......................................................................................................................... 3
2. Purpose ............................................................................................................................. 3
3. Scope ................................................................................................................................ 3
4. Abbreviations and Acronyms .......................................................................................... 4
5. Definitions ......................................................................................................................... 5
6. Reference and Legislation ............................................................................................... 6
7. Related Documents .......................................................................................................... 6
8. Type Approval Categories ............................................................................................... 6
9. Type Approval Process .................................................................................................... 7

9.1 Process Flow Chart ................................................................................................................ 7
9.2 Request for a Type Approval .................................................................................................. 9
9.3 TA Go/NoGo Decision by Process Engineering ..................................................................... 9
9.4 Type Approval with a Trial .................................................................................................... 10
9.4.1 Provisional Type Approval .................................................................................................... 10
9.4.2 Full Type Approval ................................................................................................................ 11
9.4.2.1 Successful Trial..................................................................................................... 11
9.4.2.2 Unsuccessful Trial................................................................................................. 11
9.5 Full Type Approval without a Trial ........................................................................................ 12

9.6 Engineering Product Approval .............................................................................................. 13
9.7 Grandfather Rights Approval ................................................................................................ 13
10. Records ........................................................................................................................... 13
Appendix A - Type Approval Request Form ............................................................................. 14
Appendix B – Guide to Type Approval Request Form ............................................................. 18
Table of Figures
Figure 1 - Type Approval Process flow ....................................................................................... 8
1. Procedure
This document describes the Type Approval process that is required to qualify and approve
assets (products) for use on the Metro Trains Melbourne (MTM) managed rail network.
A Type Approval (TA) is required for any new products that are proposed for use on the
MTM rail network that are deemed safety or service critical. Once a product is Type
Approved, it will be added the Approved Engineering Product List (AEPL) as a ‘Qualified
Product’.
Any new products proposed for use on the MTM rail network that are not deemed safety or
service critical may be approved via the less rigorous ‘Engineering Product Approval’
process. Once a product is Engineering Product Approved, it will be added the AEPL as an
‘Approved Product’.
Note: In the case where an engineering approved product is proposed for use in a service
or safety critical application, the product will be required to be qualified via the Formal TA
process.
Legacy assets that where introduced to the rail network prior to the MTM franchise being
awarded in 2009 are considered to have legacy ‘Grandfather Rights’ and may be given
approval at the discretion of relevant Head of Engineering (HoE) via Grandfather Rights
process detailed in this document.
Note: In the case where a legacy item is modified or used in a new application ‘Grandfather
Rights’ are not applicable.
2. Purpose
The purpose of this procedure is to ensure So Far As Is Reasonably Practicable
(SFAIRP) that the product being introduced to the network is fit-for-purpose, safe,
compatible, reliable and all possible risks have been mitigated and controlled prior to its
introduction into MTM’s Rail network.
This procedure also provides prospective suppliers an insight into understanding MTM’s
expectations for Type Approving products.
Funding for the development of the TA Request\Review\Approval for an MTM sponsored
product will be the responsibility of the requesting party (i.e. work order number) e.g.
Maintenance and Renewals, MTM Projects.
Funding for the development of the TA Request\Review\Approval for an external sponsored
product will be the responsibility of the requesting organisation.
3. Scope
This procedure is applicable to all new Infrastructure operational assets that are introduced
to the MTM railway, whether supplied by the Rail industry, custom-built or approved by
other Accredited Rail Transport Operators (ARTO).
Compliance with this procedure is not required for any enabling equipment (tools) such as
hammers or drills; however a TA is required for permanent or semi-permanent equipment,
e.g. a TA will be required where safe working or test equipment interface with MTM rail
network, however this may be waived at the discretion of applicable HoE or Chief Engineer
(CE).
It is acknowledged that various internationally recognised systems assurance standards

and procedures aim to achieve identical objectives i.e. ensuring the asset is designed and
constructed considering all critical factors related to safety, reliability, maintainability and
operability within the intended environment. Products or systems that have been developed
through such procedures and standards can opt to follow these in lieu of the procedure
described in this document subject to formal agreement with the Chief Engineer (CE) by
providing clear justification as to how the proposed alternate approach satisfies the core
objective of MTM’s Type Approval process.
Note: In the future, it is intended to also cover new Rolling Stock assets for TA. Current
Rolling Stock TAs are conducted via the MTM Engineering Change (EC) process. (A
Rolling Stock EC is initially raised to conduct a Trial. If the Trial is successful, then another
Rolling Stock EC is raised to implement the actual change covered by the Trial.)
4. Abbreviations and Acronyms

AEPL Approved Engineering Products List
ARTO Accredited Rail Transport Operators
CE Chief Engineer
EC Engineering Change
HoE Head of Engineering
MDBF Mean Distance Between Failures
MoC Management of Change
MSDS Material Safety Data Sheet
MTBF Mean Time Between Failures
MTM Metro Trains Melbourne
MTTR Mean Time To Repair
PTA Provisional Type Approval
Requestor Person or Organisation making the request for a Type Approval
SCA Service Critical Asset
SCI Safety Critical Item
SFAIRP So Far As Is Reasonably Practical
SIL Safety Integrity Level
SME Subject Matter Expert
TA Type Approval
TAC Type Approval Certificate
TARM Type Approval Recommendation Memorandum
5. Definitions
Approved Products that qualify for inclusion in the Approved Engineering
Products Product List (AEPL) after having been:
• approved via the Full Type Approval process; or
• approved via the Provisional Type Approval process for

specified period of time and only used under specified
conditions; or
• approved via the Engineering Product Approval process; or
• approved via the Grandfather Rights Approval process.
Approved Products are allowed for use on the Rail Network however
their use will be limited by the conditions detailed on the TA certificate.
Desktop Analysis Is an activity performed by SME(s) nominated by Head(s) of

Engineering (applicable to the candidate product) to determine
whether MTM’s requirements have been satisfied to issue a
Provisional Type Approval (whether a trial is required) or Full Type
Approval (TA). It involves assessing the product’s compliance with
specific standards, specifications and confirming that it has been
manufactured to acceptable quality standards. It also includes a
determination of the product’s final Acceptance Criteria. Depending
on the outcome of the Desktop Analysis, a recommendation may be
made to grant Provisional or Full TA.
Full Type Approval A product that has been formally assessed to be ‘qualified’ as fit for
purpose for a defined application within MTM rail network, with, or
without, stated conditions and limitations.
Grandfather Rights A category of TA for existing products within the MTM rail network that
have no current, existing TA. Products with Grandfather Rights may
be used, maintained and renewed. These products may only be used
in new works or upgraded installations at the discretion of the CE or
delegate.
Legacy Assets All products that were introduced into the metropolitan rail network
prior to the MTM franchise.
Products Rolling Stock and Infrastructure operational assets including systems,

sub-systems and equipment that are required to be compliant to
MTM’s operation, functional and technical standards and
specifications. It includes commercially available products, modified
commercially off the shelf products and products yet to be developed
for MTM.
Provisional Type A product that has been formally assessed and accepted for trial
Approval purposes only.
Qualified Products Items that have been successfully approved via the Full Type
Approval process.
Safety Critical Item A product that has been assessed to be a Safety Critical Item by the
Safety Critical Item Procedure (L1-ASY-PRO-002).
Service Critical A product that has been assessed to be a Service Critical Asset by
Asset the Service Critical Assets Procedure, (L1-ASY-PRO-003).
Stakeholder Any Division or Department within MTM i.e. Infrastructure, Rolling

Stock, Network Strategy and Development, Projects, Safety
Environment and Risk, Operations and Commercial that is interested
in the outcome of a TA request.
Subject Matter A subject matter expert (SME) is a domain expert in a particular area
Expert or topic and is nominated by the CE or delegate.
6. Reference and Legislation

L1-CHE-PRO-031 Engineering Change Procedure
L1-ASY-PRO-002 Safety Critical Item Procedure
L1-ASY-PRO-003 Service Critical Assets Procedure
L1-SQE-PRO-001 Management of Change Process
L1-SQE-PRO-002 Risk Management Procedure
EN-50128 Railway applications - Communications, signalling and processing

systems - Software for railway control and protection systems
7. Related Documents
L4-CHE-FOR-009 Type Approval Requisition Form.
L4-CHE-FOR-033 Type Approval Recommendation Memorandum.
8. Type Approval Categories

The process below defines four (4) different categories to grant a product approved status
and be added to the AEPL:
1) ‘Full Type Approval’ (Qualified Product);
2) ‘Provisional Type Approval’ (Approved Product);
3) ‘Engineering Product Approval’ (Approved Product); and
4) Approval via ‘Grandfather Rights Approval’ (Approved Product).
The AEPL also has a fifth category of ‘Rejected’ for products that have failed acceptance
via any of the above mentioned approval categories. A product may be rejected for various
reasons, including but not limited to, the two examples below:
• Product not fit for purpose; and
• Inadequate supporting data.
If feasible (i.e. inadequate supporting data) the product may be resubmitted for approval
once the re-submission is in an adequate state. Any product categorised as Rejected is not
permitted to be used to the MTM rail network.
All proposed products that are candidates for type approval for use on the MTM rail network
and have been determined to be either a Safety Critical Item (SCI) or a Service Critical
Asset (SCA) shall require a Full TA.
In the case where an unapproved product requires access to the MTM rail network for the
purpose of a trial, a Provisional TA shall be requested. A Provisional TA will only be
approved for a finite time and will generally have conditions and restrictions applied to
the product.
9. Type Approval Process
9.1 Process Flow Chart

The flowchart in Figure 1 below depicts the four different paths that can be taken to have a
product approved for use on MTM rail network.
• The Grey boxes indicate a generic step that is not unique to an approval path.
• The Blue boxes depict the ‘Full TA path.
• The Red boxes depict the ‘Provisional TA’ path.
• The Green boxes depict the ‘Engineering Product Approval’ path.
• The Yellow boxes depict the ‘Grandfather Rights Approval’ path.
New Is *ProducPs
SPMrP Approve Product *ProducPs which
which fMil
fMil Po
Po Ne
Ne Mpproved
Mpproved Ny Ny Phe
Phe CE
CE or
or
ProducP Service relevMnP
No Yes Via ‘Type relevMnP HoEHoE Mre
Mre PoPo Ne
Ne re-evMluMPed
re-evMluMPed Po Po dePermine
dePermine
or SMfePy whePher
Is Approval’ process whePher Phe Phe TA
TA MpplicMPion
MpplicMPion willwill Ne
Ne re-suNmiPPed
re-suNmiPPed or
or
CriPicMl? wiPhdrMwn.
Product New or wiPhdrMwn.
IfIf Phe
Phe producP
producP hMs
hMs Neen
Neen rejecPed
rejecPed iPiP shMll
shMll Ne
Ne Mdded
Mdded Po
Po
Existing on MTM SME to Conduct
Network? Desktop Analysis Phe
Phe AEPI
AEPI MsMs MM ‘RejecPed’
‘RejecPed’ producP.
producP.
No*
Is Engineering Does the Provide Cull

ExisPing M TriMl No weview and CE approve the Yes Type Approval
required? Decision product? Certificate
No*
Approve Yes
ProducP viM Yes
‘GrMndfMPher
RighPs’ Engineering
WMs TriMl
waise MoC and EC Perform Trial No weview and
Successful?
Decision
No*
Does the
Provide Provisional Type
CE approve the Yes &
Approval Certificate
Does product?
Phe relevMnP Does
Engineering HeMd Approve Product
Phe relevMnP
Mpprove Phe Via ‘Engineering SME to Conduct
Engineering HeMd Yes
producP? Product Approval’ Desktop Analysis
Mpprove Phe
process
producP?
No*
Yes UpdMPe
AEPI
Figure 1 - Type Approval Process flow
9.2 Request for a Type Approval

A request for a type approval is performed by the Requestor.
The Requestor shall:-
1) Use the Type Approval Requisition Form (L4-CHE-FOR-009) for the Type Approval
Request. Refer to Appendix A - Type Approval Request Form and Appendix B –
Guide to Type Approval Request Form for details.
2) Assess the Safety Criticality of the product by using the Safety Critical Item Procedure
(L1-ASY-PRO-002) and add the result to the Type Approval Requisition Form.
3) Assess the Service Criticality of the product by using the Service Critical Assets
Procedure, (L1-ASY-PRO-003) and add the result to the Type Approval Requisition
Form.
4) Provide the information identified on the Type Approval Requisition Form in the form of
an information pack.
5) Submit the completed Type Approval Request Form (L4-CHE-FOR-009) inclusive of the
information pack via email to the Process Engineering group at
typeapproval@metrotrains.com.au.
9.3 TA Go/NoGo Decision by Process Engineering

Process Engineering shall:-
1) Create and manage a Type Approval folder structure to store all relevant Type Approval
information. All Type Approval information shall be kept within this structure.
2) Upon receipt of the Type Approval Request Form (L4-CHE-FOR-009) duly completed
by the requestor, check for completeness of information provided by the Requestor.
3) Reject the Type Approval Request Form (L4-CHE-FOR-009) if the supplied information
is not satisfactory and return the form to the Requestor for his update. This process
shall iterate until Process Engineering is satisfied with the information provided by the
Requestor.
4) If the supplied information is satisfactory, consult with the CE and HoEs and
stakeholders to determine the appropriate Type Approval category. The CE and HoEs
shall either accept or reject the TA request.
5) If accepted, the CE and HoEs shall appoint or delegate an appropriate SME(s) to
perform the agreed category of Type Approval (refer to sections 9.4 to 9.7 inclusive for
details).
6) Create a unique TA number.
7) Complete the “Registration” section off the Type Approval Request Form (L4-CHE-
FOR-009) and advise the SME via email to perform the chosen category of the Type
Approval process inclusive of a link to the folder location for the Type Approval.
9.4 Type Approval with a Trial
9.4.1 Provisional Type Approval

When Process Engineering has determined a product requires a Provisional TA (Safety
and/or Service critical Item and requiring a Trial), the appointed SME shall:-
1) Perform a Desktop Analysis (Engineering Review) to ensure that all the relevant,
supporting information/data has been supplied in a TA Data Pack and that the quality of
the provided data is deemed satisfactory, taking into account all affected stakeholders.
2) Perform a mandatory Risk Assessment (as per L1-SQE-PRO-002).
3) Upon completion of the Desktop Analysis:-
a) Determine the purpose and success criteria for the trial.
b) Complete a Provisional Type Approval Recommendation Memorandum (L4-CHE-
FOR-033), detailing their recommendation for Provisional Type Approval and any
conditions, restrictions or limitations on the approval of the product.
c) Complete a Provisional Type Approval Certificate (TAC), using the information
contained on the TARM.
4) Arrange for the Provisional TARM to be endorsed by all affected Engineering
Managers, the Process Engineering Manager and then subsequently approved by all
relevant Heads of Engineering.
5) Present the completed Provisional TAC to the CE for his approval, supported by the
signed TARM. If the CE signs Provisional TAC, the product is Provisionally Approved.
6) If the product is Provisionally Approved, add it to the AEPL as a ‘Provisionally Qualified’
product and shall not publish it on the MTM intranet.
7) If the product has been rejected, add it to the AEPL as a ‘Rejected’ product.
If a Provisional TA has been granted, the Requestor shall:-
8) Raise a Management of Change (MoC), Form 1 and Form 2 and EC for the trial. The
EC must include the purpose and the success criteria of the trial.
9) Once the EC is approved, a trial can be conducted.
Note: All successful Provisional TAs are granted for a finite time only. Once the trial has
concluded, the product must be removed from MTMs rail network. The expiry date and any
caveats will be identified on the Provisional TA certificate.
Note: A successful TA only qualifies the product for use on the MTM network. Any
alteration to MTMs network can ONLY be made via an authorised EC which is preceded by
an approved MoC Form 1 and Form2.
9.4.2 Full Type Approval
9.4.2.1 Successful Trial

After a successful trial, the SME shall:-
1) Update the Provisional Desktop Analysis with any and all information gained
during the trial.
2) Update the Provisional mandatory Risk Assessment (as per L1-SQE-PRO-
002).
3) Upon completion of the updated Desktop Analysis:-
a) Complete a Type Approval Recommendation Memorandum (L4-CHE-
FOR-033), detailing their recommendation for Type Approval and any
conditions, restrictions or limitations on the approval of the product.
b) Complete a TAC, using the information contained on the TARM.
4) Arrange for the TARM to be endorsed by all affected Engineering Managers,
the Process Engineering Manager and then subsequently approved by all
relevant Heads of Engineering.
5) Present the completed TAC to the CE for his approval, supported by the
signed TARM. If the CE signs the TAC, the product is approved.
6) If the product is approved, it shall be added to the AEPL as a ‘Qualified’
product and published on the MTM intranet.
7) If the product has been rejected it shall be added to the AEPL as a ‘Rejected’
product.
9.4.2.2 Unsuccessful Trial

After an unsuccessful trial, the SME shall determine whether:
1) The Provisional TA is rejected and withdrawn.
2) The success criteria should be re-evaluated or
3) Product modification is required prior to Type Approval.
If the Provisional TA is rejected and withdrawn, the SME shall:-
4) Update the Provisional Desktop Analysis with any and all information gained
during the trial and detailing the reasons why the trial was unsuccessful.
5) Update the Provisional mandatory Risk Assessment (as per
L1-SQE-PRO-002).
6) Upon completion of the updated Desktop Analysis, complete a Type
Approval Recommendation Memorandum (L4-CHE-FOR-033), detailing the
recommendation for the Type Approval rejection.
7) Arrange for the TARM to be endorsed as rejected by all affected Engineering
Managers, the Process Engineering Manager and then by all relevant Heads
of Engineering.
If the success criteria are to be re-evaluated, the SME shall:-

8) Determine the revised success criteria for the trial.
9) Re-evaluate the trial based on the revised success criteria.
10) If successful, refer to section “9.4.2.1 Successful Trial”.
If Product modification is required, the SME shall:-
11) Reject and withdraw the Provisional Type Approval
12) Be involved with the new Type Approval process once the modified Product
is available from the supplier.
Note: A successful TA only qualifies the product for use on the MTM network.
Any alteration to MTMs network can ONLY be made via an authorised EC which
is preceded by an approved MoC Form 1 and Form2.
9.5 Full Type Approval without a Trial

When Process Engineering has determined a product requires a TA (Safety and/or
Service critical item and does not require a trial), the appointed SME shall:-
2) Perform a mandatory Risk Assessment (as per L1-SQE-PRO-002).
3) Upon completion of the Desktop Analysis:-
a) Complete a Type Approval Recommendation Memorandum (L4-CHE-FOR-033),
detailing their recommendation for Type Approval and any conditions, restrictions or
limitations on the approval of the product.
b) Complete a TAC, using the information contained on the TARM.
4) Arrange for the TARM to be endorsed by all affected Engineering Managers, the
Process Engineering Manager and then subsequently approved by all relevant Heads
of Engineering.
5) Present the completed TAC supported by the signed TARM to the CE for his approval.
If the CE signs the TAC, the product is approved.
6) If the product is approved, it shall be added to the AEPL as a ‘Qualified’ product and
published on the MTM intranet.
7) If the product has been rejected it shall be added to the AEPL as a ‘Rejected’ product.
Note: A successful TA only qualifies the product for use on the MTM network. Any
alteration to MTMs network can ONLY be made via an authorised EC which is preceded by
an approved MoC Form 1 and Form2.
9.6 Engineering Product Approval

When Process Engineering has determined a product requires Engineering Product
approval (not Safety nor Service critical), the appointed SME shall:-
2) Consult with the relevant HoE to determine if a Risk Assessment. Perform the Risk
Assessment (as per L1-SQE-PRO-002).
3) Upon completion of the Desktop Analysis, complete a Type Approval Recommendation
Memorandum (L4-CHE-FOR-033), detailing their recommendation for Engineering
Product Approval and any conditions, restrictions or limitations on the approval of the
product.
of Engineering.
5) If the product is approved, it shall be added to the AEPL as an “Approved” product and
published on the relevant MTM internet web page.
6) If the product has been rejected it shall be added to the AEPL as a “Rejected” product.
9.7 Grandfather Rights Approval

When Process Engineering has determined a product requires Approval by Grandfather
Rights, the appointed SME shall:-
1) Complete a Type Approval Recommendation Memorandum (L4-CHE-FOR-033),
detailing their recommendation for Grandfather Rights inclusive of any conditions,
restrictions or limitations on the approval of the product.
of Engineering.
3) If the product is approved, it shall be added to the AEPL as an “Approved” product and
published on the relevant MTM internet web page.
4) If the product has been rejected it shall be added to the AEPL as a “Rejected” product.
Notes:
a) Approval via Grandfather Rights only applies to legacy (existing) products that have
been in use on the Melbourne metropolitan rail network prior to MTM being awarded the
franchise (30/11/2009).
b) Products with Grandfather Rights may be used, maintained and renewed. These
products may only be used in new works or upgraded installations at the discretion of
the CE or delegate.
c) A Risk assessment is not required for products seeking Grandfather Rights approval.
10. Records
Engineering Systems (Process Engineering team) shall file original approved and rejected
TAs, and all related supporting documents as master copies. The TA register and TA
certificates will be made available on the MTM Intranet by Process Engineering.
Appendix A - Type Approval Request Form
Appendix B – Guide to Type Approval Request Form
This appendix provides guidance on completing the TA Request Form and is considered to define
the evaluation entry criteria required to conduct a Desktop Analysis for products to be qualified for
Full/Provisional Type Approval, Engineering Product Approval and Grandfather Rights approval.
The User is required to consider any other criteria which may also be applicable to the
product/application under review/consideration.
To adequately carry out an evaluation, it is important to gain understanding of the product’s
performance in the intended application. Comprehensive information on the product’s design,
operation and maintenance should be supplied.
Sections a through to c in the blue section of the form are filled out by the Process Engineering
group.
Sections d through to f in the section of the form are filled out by the Requestor.
Sections g through to p in the grey section of the form, are filled out by either the Requestor or a
third party (e.g. contractor).
a. TA Request Number
TA Request number is issued by Engineering Systems team after the TA request form has
been initially submitted and received. Performed by Process Engineering.
b. Registered Date
The Date the request was registered. Performed by Process Engineering.
c. Type of Approval Requested

The type of approval being requested, e.g. Type Approval, Engineering Product Approval,
Grandfather Rights. Performed by Process Engineering.
d. Request Raised By
The contact details of the requestor of the TA request including the work order number that
will fund the development of the TA and the TA approval of the product.
e. Product Information
The product particulars e.g. Name, Model, a description of the product. The Application
field refers to where or how the product is to be used on the network, e.g. Single Person
Operated Train System.
f. SCI/SCA Rating of Asset Impacted

Safety and Service critical ratings for the product or the system of which the product will be
part.
g. Product / Functional Description

Product Specification. Referencing supporting documentation that identifies the products
parameters and limitations, e.g. dimensional data, maximum power rating, temperature
rating, IP Rating, vibration, acoustic noise, Electromagnetic Compatibility, Technical
Environmental Specifications, Interfaces, etc.
h. Functional and Performance Analysis

• Is the product fit for purpose? Has the product been assessed against the requirements
for its proposed application?
• Service Life. What is the product’s expected life? This may be described in hours, years
or distance.
• Shelf Life. How long can the product be in storage before being used without any
adverse impact or loss of intended designed effectiveness?
• Service History. The product’s service history within other railway operations location,
including application, quantity and period in service.
• MTBF or MDBF.
• MTTR.
Note: This does not take into account travel time; however, MTM needs to ensure that the
stated MTTR still conforms with MTM’s service level agreements as per Schedule 10 of the
2009 Franchise agreement.
i. Compliance Confirmation
Indicate which of the following Specifications and Standards the product conforms to:
• MTM Technical, Functional & Operational Specifications.
• MTM Standards.
• Victorian Rail Industry Operators Group Standards (VRIOGS).
• Australian Standards.
• Other Relevant Standards.
j. Use in other Rail Networks

Evidence the product has been of used in:
• Similar Railway Operations.
• Similar Railway Environment.
• Similar Applications.
k. Risk Assessment
It is mandatory that, as part of a Full/Provisional TA request a risk assessment shall be
conducted (in accordance with the Risk Management Procedure- L1-SQE-PRO-002) and
attached to the TA Request.
l. Safety Analysis
• Evidence of Fail Safe Capability. In the case of a failure, will the product create or
potentially present a safety hazard?
• Safety Integrity Level. Identify if the product has SIL as described by EN-50128.
• Independent Safety Case. A rail industry recognised, independently endorsed Safety
Case for the product.
m. Occupational Health & Safety

• Material Safety Data Sheet (MSDS). Identification of all applicable MSDS
documentation.
• Operator, Maintainer, Passenger and Public Safety. Evidence the product does not
pose any hazard to the Operator, Maintainer, Passenger and Public e.g. Human
Factors, Safety, manual handling etc.
n. Environmental Impact
• Environmental impacts analysis. Evidence the product does not pose any
environmental risk or hazard e.g. flora or fauna.
Note: This is different to technical environmental specifications.

• Security (Vandalism/Terrorism). Evidence the product minimise any security risk due to
Vandalism/Terrorism.
o. Product/Supplier Certification
• Quality Assurance Compliance Certificate provided? Confirm that the manufacturer has
an AS/NZS 9001 certified quality assurance system.
Note: Any certification such as Certificates of Conformance may be required to be
supplied every time the product is purchased e.g. when spares are purchased to
replenish stock levels.
• Product Certification and testing e.g. in-house or external testing, compliance e.g. RCM
(formerly ‘A tick’ and ‘C tick’).
p. Qualifications
Identification of any special or new qualifications that may be required to
operate/install/maintain the product. This may include training from a manufacturer/supplier
or a formal qualification that is to be obtained through registered training organisation.
q. Maintainability and Supportability
• System Impact of product maintenance or repair. Can maintenance and repair be
carried out without shutting down the rest of the system?
• Supportability. The level of technical support available in Australia and overseas.
• The lead time(s) and cost of spare parts, listing of essential spare parts including cost
and lead time(s).
• Special Tools (safe working or test equipment) that interface with MTM rail network at
the discretion of applicable HoE or CE.
r. Product Documentation
• Installation documentation, documentation describing installation process and
considerations that should be taken into account e.g. special tooling. This should also
include any document regarding commissioning of the product.
• Operation & Maintenance Manuals, documentation describing how to operate and
maintain the product.
• Drawings, product and dimensional drawings.
s. Other
Any other information deemed necessary/vital for the TA of the nominated candidate
product.

L1-CHE-PRO-004 v4 - Type Approval Procedure

Uploaded by

Document Information

Original Description:

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

L1-CHE-PRO-004 v4 - Type Approval Procedure

Uploaded by

Copyright:

Available Formats

TYPE APPROVAL PROCEDURE

L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018

Approval Date Version Description

L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018

4. Abbreviations and Acronyms .......................................................................................... 4

6. Reference and Legislation ............................................................................................... 6

7. Related Documents .......................................................................................................... 6

8. Type Approval Categories ............................................................................................... 6

9. Type Approval Process .................................................................................................... 7

9.5 Full Type Approval without a Trial ........................................................................................ 12

10. Records ........................................................................................................................... 13

Appendix A - Type Approval Request Form ............................................................................. 14

Appendix B – Guide to Type Approval Request Form ............................................................. 18

Figure 1 - Type Approval Process flow ....................................................................................... 8

L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018

L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018

It is acknowledged that various internationally recognised systems assurance standards

4. Abbreviations and Acronyms

ARTO Accredited Rail Transport Operators

HoE Head of Engineering

MDBF Mean Distance Between Failures

MoC Management of Change

MSDS Material Safety Data Sheet

MTBF Mean Time Between Failures

MTM Metro Trains Melbourne

MTTR Mean Time To Repair

PTA Provisional Type Approval

Requestor Person or Organisation making the request for a Type Approval

SCA Service Critical Asset

SCI Safety Critical Item

SFAIRP So Far As Is Reasonably Practical

SIL Safety Integrity Level

SME Subject Matter Expert

TAC Type Approval Certificate

TARM Type Approval Recommendation Memorandum

L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018

• approved via the Full Type Approval process; or

• approved via the Provisional Type Approval process for

• approved via the Engineering Product Approval process; or

• approved via the Grandfather Rights Approval process.

Desktop Analysis Is an activity performed by SME(s) nominated by Head(s) of

Products Rolling Stock and Infrastructure operational assets including systems,

L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018

Stakeholder Any Division or Department within MTM i.e. Infrastructure, Rolling

6. Reference and Legislation

L1-ASY-PRO-002 Safety Critical Item Procedure

L1-ASY-PRO-003 Service Critical Assets Procedure

L1-SQE-PRO-001 Management of Change Process

L1-SQE-PRO-002 Risk Management Procedure

EN-50128 Railway applications - Communications, signalling and processing

L4-CHE-FOR-033 Type Approval Recommendation Memorandum.

8. Type Approval Categories

L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018

9. Type Approval Process

9.1 Process Flow Chart

L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018

Is Engineering Does the Provide Cull

Figure 1 - Type Approval Process flow

L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018

9.2 Request for a Type Approval

9.3 TA Go/NoGo Decision by Process Engineering

L1-CHE-PRO-004 Version: 4 Effective from: 8th February 2018

9.4 Type Approval with a Trial