RM.8_Authority_RAM_Management_Plan.pdf

California High-Speed Rail Authority

Rail Operations and Delivery Branch

Authority Reliability, Availability and

Maintainability (RAM) Management Plan

PD-ROD-PL-04 Rev 4

August 2023

Authority RAM Management Plan

Page i of xiv

California High-Speed Rail System

Rail Operations and Delivery Branch Authority RAM Management Plan

Name Signature Date

Prepared by Marion Boucly 8/4/2023

Checked by Patrice Letard

Approved by Dominique Rulens

Validated by Bruce Armistead

Released by Wes Burns

08/09/2023

08/18/2023

09/25/2023

09/26/2023

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Revision Date Description Rev 0 10/07/2019 1st internal release Rev 1 12/09/2019 Formatting adjustments and revision after review by

Director of Engineering Released in Request For Proposal No.: HSR19-13

Rev 2 10/6/2021 Adjustments to improve accessibility of the document

(ADA)

Org. Chart updated in Section 3.1.2 Clarification of PM/CM responsibilities in Section 3.2.4 Clarification of ICE/ISE responsibilities in Section 3.2.5 Procedures developed in Section 5 Addition of the percentage of missed stops and late stops as RAM KPI in Section 6.3 Addition of the definition of RAM commitment in section 6.3 Clarification of the content of the Maintenance Manuals in Section 6.14 Reference to ALARP and GAMAB/GAME principles in section 6.26 Definition of Special Tools and Spare Parts added in Section 6.29 Note about O&M documents added to the list of deliverables for Track and System in Section 7.2

Rev 3 8/25/2022 Addition of reference to SDLC for Civil Work projects Term ‘Product Breakdown Structure’ replaced by ‘System Breakdown Structure’ (SBS) throughout the document Addition of procedure for Change management in Section 5.7 Requirements for RAM Allocation Report developed in Section 6.5 Requirements for Final Maintenance Concept developed in Section 6.13.

Requirements for Maintainability Demonstration Test Plan and Procedure developed in Section 6.24 Design Life and Durability Report added in Sections 4.2.4 and 6.32

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Addition of RAM deliverables milestones for Design/Bid/Build Civil Work projects in section 7.1

Rev 4 8/4/2023 Addition of PDS and RSES in Roles & Responsibilities Revision of the System Integration responsibilities and deliverables ‘Track and System’ replaced by ‘Rail Systems’ (including Track & OCS and Systems) List of deliverables for Stations Contractors and System RAM Manager added in Section 7

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TABLE OF CONTENTS

1 INTRODUCTION

1.1 Purpose & Objective

1.2 Document Hierarchy

1.3 Scope and Applicability

1.4 References and standards

2 RAM MANAGEMENT PROCESS MAPPING & TAILORING

2.1 Phases 1 to 5

2.2 Phases 6 & 7

2.3 Phases 8 to 10

2.4 Phases 11

2.5 Phases 12

3 RAM MANAGEMENT ORGANIZATION

3.1 Organization Chart

3.1.1 Program organization

3.1.2 Network Integration Organization

3.2 Roles and Responsibilities

3.2.1 California State Authority Roles & Responsibilities

3.2.2 RDP/RSES Roles & Responsibilities

3.2.3 Regional Consultants Roles & Responsibilities

3.2.4 PCM Roles & Responsibilities

3.2.5 ICE/ISE Roles & Responsibilities

3.2.6 Contractor Roles & Responsibilities

3.2.7 Other Roles & Responsibilities

4 HSR SYSTEM LIFE-CYCLE STAGES

4.1 Environmental Review & Preliminary Engineering (Phases 1 to 5)

4.1.1 Scope & Applicability

4.1.2 Contributing RAM Processes

4.1.3 Deliverables

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4.1.4 Activities

4.2 Final Design & Construction (Phases 6 and 7)

4.2.1 Scope & Applicability

4.2.2 Contributing RAM Processes

4.2.3 Deliverables

4.2.4 Activities

4.3 Final Integration, Testing & Certification (Phases 8 to 10)

4.3.1 Scope & Applicability

4.3.2 Contributing RAM Processes

4.3.3 Deliverables

4.3.4 Activities

4.4 Revenue Service (Phases 11 and 12)

4.4.1 Scope & Applicability

4.4.2 Contributing RAM Processes

4.4.3 Deliverables

4.4.4 Activities

5 PROCEDURES

5.1 RAM process for Civil Work Projects

5.2 V&V procedure for RAM submittals

5.2.1 V&V reports

5.2.2 Traceability in the Requirement Management (RM) Tool

5.3 Handover procedure

5.3.1 Quality Milestone Data Pack (QMDP)

5.3.2 Substantial Completion

5.3.3 Final Acceptance and Handover

5.4 Construction failure report procedure

5.4.1 Purpose

5.4.2 Roles and Responsibilities

5.4.3 Failure report content

5.5 Epidemic failure procedure

5.5.1 Agreement on epidemic failure rate limit:

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5.5.2 Identification of the epidemic failure:

5.5.3 Correction of the epidemic failure:

5.6 RAM performance correction procedure

5.7 Change management procedure for RAM submittals:

6 TOOLS & TECHNIQUES

6.1 RAM Specification Outline

6.2 Formal Design Review

6.3 RAM Key Performance Indicators

6.3.1 Service interruption and Service Failure

6.3.2 MTBSF

6.3.3 OTA

6.3.4 MTTRS

6.3.5 Percentage of late stops

6.3.6 Percentage of missed stops

6.3.7 RAM commitment

6.4 System Breakdown Structure

6.5 RAM Allocation Report

6.6 Historical Product Maintainability Report

6.7 Preliminary RAM Report

6.8 Preliminary Maintenance Concept

6.9 Reliability Centered Maintenance Report

6.10 Corrective Maintenance Analysis

6.11 Preventive Maintenance Analysis

6.12 RAM Prediction Report

6.13 Final Maintenance Concept

6.14 Maintenance Manual

6.15 Maintainability of Equipment

6.16 Failure Modes, Effects and Criticality Analysis

6.17 Failure rates and reliability calculation

6.18 Fault Tree Analysis

6.19 Reliability Block Diagram

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6.20 Markov Graph

6.21 Environmental Stress Screening

6.22 Pre-qualification reliability growth testing

6.23 FRACAS Implementation Plan

6.24 Maintainability Demonstration Test plan and Report

6.25 RAM Performance Demonstration Plan and Reports

6.26 Risk acceptance criteria

6.27 [Placeholder]

6.28 Risk reduction

6.29 Validation Plan for RAM requirements and RAM Validation Reports

6.30 Epidemic Failures

6.31 Special Tools and Spare Parts

6.32 Design Life and Durability Report

7 APPENDIX A – MILESTONES FOR CONTRACTORS RAM DELIVERABLES 92

7.1 A.1 Civil Work Contractors

7.1.1 Deliverables for CP1, CP2-3 and CP4 contracts

7.1.2 Deliverables for Design/Bid/Build Contractors

7.2 A.2 Rail Systems Contractors

7.3 A.3 Trainset Contractors

7.4 A.4 Stations Contractors

7.5 A.5 Integration Support Consultant

7.6 A.6 System RAM Manager

TABLE OF FIGURES

Figure 1 – HSR Life-Cycle (SEP)

Figure 2 - EN50126-1:2017 Life-cycle

Figure 3 - Program Org. Chart

Figure 4 - Network Integration Org. chart

Figure 5 - RCM Decision Tool flowchart

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Figure 6 – Epidemic failure rate equation

TABLE OF TABLES

Table 1 – Standards references

Table 2 - EN50126-1:2017 RAM tasks for lifecycle phases 1 to 12

Table 3 – Phases 1 to 5 tasks mapping

Table 4 – Phases 6 & 7 tasks mapping

Table 5 – Phases 8 to 10 tasks mapping

Table 6 – Phase 11 tasks mapping

Table 7 – Phase 12 tasks mapping

Table 8 - Historical Preventive Maintenance Task List

Table 9 - Historical Corrective Maintenance Summary

Table 10 – RCM Decision Tool Output Form

Table 11 - Corrective Maintenance Analysis Summary

Table 12 - Preventive Maintenance Summary

Table 13 - Scheduled Maintenance Tasks

Table 14 - Condition-Based Maintenance Tasks

Table 15 - Frequency class definition

Table 16 - Severity class definition

Table 17 - Criticality Matrix

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Acronyms and Abbreviations

Abbreviation Term

Authority California High-Speed Rail Authority

ALARP As Low As Reasonably Practicable

CAR Corrective Action Report

CHR Certification and Handover Reviews

CM Corrective Maintenance

CMA Corrective Maintenance Analysis

CRMP Contractor RAM Management Plan

CSR Construction Stage Reviews

EN Euro Norm

ESS Environmental Stress Screening

FDR Detailed Design Review

FMECA Failure Modes and Effects Criticality Analysis

FRACAS Failure Reporting And Corrective Action System

FRB Failure Review Board

FTA Fault Tree Analysis

GAMAB Globalement Au Moins Aussi Bon (“globally at least as good”)

GAME Globalement Au Moins Equivalent (“globally at least equivalent”)

HPMR Historical Product Maintainability Report

HSR California High-Speed Rail

HSR System California High-Speed Rail System

IEC International Electrotechnical Commission

KPI Key Performance Indicator

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LCC Lifecycle Cost

LLRU Lowest Level Replaceable Unit

LRU Line Replaceable Unit

MDTP Maintainability Demonstration Test Plan

MDTR Maintainability Demonstration Test Report

MIL-STD United States Military Standard

MTBSF Mean Time Between Service Failures

MTTR Mean Time To Repair

MTTRS Mean Time to Restore Service

NPRD Nonelectronic Parts Reliability Data

NTP Notice to Proceed

OCS Overhead Catenary System

O&M Operations and Maintenance

OTA On-Time Arrival

PDR Preliminary Design Review

PDS Program Delivery Support

PM Preventive Maintenance

PMA Preventive Maintenance Analysis

PRA Preliminary RAM Report

RA RAM Analysis

RAM Reliability, Availability, and Maintainability

RAMP Reliability, Availability, and Maintainability Management Plan

RAMS Reliability, Availability, Maintainability, and Safety

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RAR Reliability Allocation Report

RBD Reliability Block Diagram

RCM Reliability Centered Maintenance

RCMR Reliability Centered Maintenance Report

RDP Rail Delivery Partner

RSES Rail System Engineering Services

RiAC Reliability Information Analysis Center

RM Requirements Management

SCR System Certification & Acceptance Review

SDLC System Development Life-Cycle

SEP Systems Engineering Plan

SIR System Integration Testing Review

SONO Statement of Non-Objection

SSR System Requirement Review

STR System Start-Up Testing Review

V&V Verification and Validation

Definitions

The following definitions apply within the context of RAM Management.

Term Definition

Availability Availability is the percentage of time a system, assembly, or component is in service and/or able to perform its required function.

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Term Definition

Corrective

Maintenance

Corrective Maintenance (CM) is the non-scheduled maintenance carried out after failure recognition, whose purpose is to restore a component of HSR System so it can perform its required function.

Defect Defect is a flaw, weakness or quality issue in a component, sub-system or system that constitute a non-conformance with the requirements.

Delay threshold Delay Threshold is a maximum time following the scheduled arrival time after which a train is counted as delayed. Delay

Threshold for a station stop is the time after which the station stop is counted as a Service Interruption.

Down Time Down Time is a time interval during which a component, sub-system or system is in a down or degraded state and/or not able to perform its required function.

Failure Failure is the loss of ability to perform as required (a failure is an event).

Failure Mode Failure mode is the predicted or observed results of a failure

Maintainability Maintainability is the ability to be retained in, or restored to, a state to perform as required, under given conditions of use and maintenance

Maintenance Maintenance is the combination of all technical and administrative actions, including supervision actions, intended to retain a component of the HSR System in, or restore it to, a state in which it is able to perform its required function.

Maintenance ratio

Maintenance ratio is the number of calendar hours of restoration time per hour of item operation and is used in the calculation of the MTTRS.

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Maintenance window

Maintenance Window is a time period scheduled in advance when no revenue trains operate, allowing maintenance employees to work on track or systems.

Mean Time

Between Service

Failures

Mean Time Between Service Failures (MTBSF) is the mean operating time in revenue service hours between failures causing a service interruption.

Mean Time to

Restore Service

Mean Time to Restore Service (MTTRS) is the mean time in man-hours to restore regularly scheduled service after a service interrupting failure, including time to identify and bypass or correct the failure.

On-Time Arrival On-Time Arrival (OTA) is the percentage of train stops that occur with no more than 2-minute delay after the scheduled time, with

Trainset and Stations in a condition suitable for passenger service.

Preventive

Maintenance

Preventive Maintenance (PM) is the scheduled maintenance carried out at pre-determined intervals or according to prescribed criteria whose purpose is to minimize interruption of revenue service.

RAM

Commitment

RAM commitments for MTBSF, MTTRS, OTA, percentage of

Missed Stops and percentage of Late Stops established by the

Contractor.

RAM Program RAM Program is a documented set of scheduled activities, resources and events serving to implement the organizational structure, responsibilities, procedures, activities, capabilities and resources that together ensure that HSR System will achieve its

RAM requirements.

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Reliability Reliability is the ability to perform as required, without failure, for a given time interval, under given conditions

Service Failure Service failure is a failure causing one or more service interruptions.

Service

Interruption

A Service Interruption occurs when a train:

• Arrives more than two minutes late at any station stop (late stops)

• Does not arrive at a station stop (missed stops)

• Arrives at a station stop with the Trainset or Station in a condition not suitable for service (quality failure)

• Has to run in a more restrictive operating mode than would have otherwise been the case.

System Lifecycle System Lifecycle consists of all activities which occur from first

HSR planning phase, through development, implementation, and operation and maintenance until, the final decommissioning and disposing of HSR System.

Up Time Up Time is a time interval during which a component, sub-system or system is in an up state and fully able to perform its required function.

1 INTRODUCTION

1.1 Purpose & Objective

The purpose of the Authority RAM Management Plan (RAMP) is to describe the RAM approach implemented on the California High-Speed Rail System (System) to achieve the goals defined in the RAM Program Policy.

The RAMP describes the RAM organization/responsibilities, tasks, deliverables, activities, procedures, tools and techniques implemented to ensure that the System provides scheduled passenger service with adequate levels of on-time performance, utility, and comfort.

The RAMP provides guidance and requirements for all HSR systems, Trainset, facilities, civil work, equipment, and for all work stages including design, construction, installation, system integration, testing and commissioning, operation and maintenance, reporting, and upgrades and modifications.

1.2 Document Hierarchy

The Authority RAM Management Plan is a sub-plan of the System Engineering Plan

(SEP). The SEP covers the process included in the scope of Network Integration and

Program Compliance section:

• Configuration Management;

• Requirements Management (including. V&V);

• Reliability, Availability, and Maintainability (RAM) Management;

• Integration Management;

• System Certification; and,

• Audits & Inspections.

The Authority RAM Management Plan is introduced by the RAM Program Policy.

1.3 Scope and Applicability

The Authority RAM Management Plan applies to the California High-Speed Rail

Program (Program) and California High-Speed Rail Projects (Projects), and by extension, design-build and Design-Build-Maintain contracts in accordance with provisions of the respective, executed Contract documents.

The RAMP is a Program Management Plan covering the complete life-cycle as described in the System Engineering Plan and System Development Life Cycle requirements.

The HSR life-cycle covers the following stages and steps:

• Environmental Review & Preliminary Engineering Stage including:

o Program Planning and System & Requirements Analysis;

o Preliminary Engineering for Procurement;

o Contract Packaging; and, o Procurement.

• Final Design & Construction Stage including:

o Final Design;

o Construction & Production;

o Inspection & Testing; and, o Contract Acceptance.

• Management: Final Integration, Testing & Certification Stage including:

o Contract Integration;

o System (Startup) Testing;

o Operation (Pre-Revenue) Testing; and, o System Certification.

• Revenue Service Stage including:

o Transfer to Concessionaire; and, o Operations & Maintenance.

Figure 1 – HSR Life-Cycle (SEP)

1.4 References and standards

References:

• RAM Program Policy - PD-ROD-PO-04

• System Engineering Plan - PD-ROD-PL-00

• Program Management Plan - Rev 0.0 (October 2018)

• Requirements Management Plan - PD-ROD-PL-02

• Certification Management Plan - PD-ROD-PL-05

• Configuration Management Plan - PD-ROD-PL-01

• Interface Management Plan - PD-ROD-PL-03

• Audit and Inspection Plan - PD-ROD-PL-06

• System Development Life Cycle requirements

Standards:

STANDARD TITLE REFERENCE

Railway applications - The specification and demonstration of Reliability, Availability, Maintainability and Safety (RAMS) - Part 1:

Basic requirements and generic process

EN 50126 – 1

(2017)

Reliability, Availability, Maintainability and Safety (RAMS) - Part 2:

Guide to the application of EN 50126-1 for safety

EN 50126 – 2

(2017)

Reliability, Availability, Maintainability and Safety (RAMS) - Part 3:

Guide to the application of EN 50126-1 for rolling stock RAM

EN 50126 – 3

(2008)

Railway applications — Communication, signaling and processing systems — Software for railway control and protection systems

EN 50128 (2011)

Railway applications – Communications, signaling and processing systems – Safety related electronic systems for signaling

EN 50129 (2018)

Reliability testing – Compliance tests for constant failure rate and constant failure intensity

EN 61124 (2012)

Dependability management - Part 3-11: Application guide - Reliability centered maintenance

IEC 60300-3-11

(2009)

Reliability data handbook - Universal model for reliability prediction of electronics components, PCBs and equipment

IEC 62380 (2004)

Equipment reliability testing - Part 4: Statistical procedures for exponential distribution - Point estimates, confidence intervals, prediction intervals and tolerance intervals.

IEC 60605-4 (2001)

Analysis techniques for system reliability – Procedures for failure mode and effects analysis

IEC 60812 (2018)

Presentation of reliability, maintainability, and availability predictions IEC 60863 (1986)

Fault Tree Analysis IEC 61025 (2007)

Analysis techniques for dependability – Reliability block diagram method

IEC 61078 (2016)

Application of Markov Techniques IEC 61165 (2006)

Design Review IEC 61160 (2005)

Maintainability of equipment - Part 2: Maintainability requirements and studies during the design and development phase

IEC 60706-2 (2006)

STANDARD TITLE REFERENCE

Reliability Program for Systems and Equipment, Development and Production

MIL-STD-785B

Maintainability Verification / Demonstration / Evaluation MIL-STD-471A

Reliability Test Methods, Plans, and Environments for Engineering Development, Qualification, and Production

MIL-HDBK-781A

Environmental Stress Screening (ESS) of electronic equipment MIL HDBK 344A

Table 1 – Standards references

2 RAM MANAGEMENT PROCESS MAPPING & TAILORING

The European Committee for Electrotechnical Standardization (CENELEC) standard EN

50126-1:2017 Railway applications - The specification and demonstration of Reliability, Availability, Maintainability and Safety (RAMS) is the basis for HSR RAM Program, specification and demonstration.

This standard, which governs RAMS development and certification for worldwide rail projects, guides the development of the Authority RAM Program Policy and RAM

Management Plan.

The Standard EN 50126-1:2017 (Section 6.2) defines a complete system lifecycle and the RAM tasks to be performed for each phase of this lifecycle.

Below is the lifecycle “V” representation and the list of RAM tasks extracted from this standard.

Figure 2 - EN50126-1:2017 Life-cycle

Phase Phase Clause General tasks RAM tasks

1 Concept 7.2 Investigate scope, context and purpose of the system.

Investigate the environment of the system.

Investigate the general RAM implications of the system.

Investigate previous RAM requirements and past RAM performance of similiar/related systems.

Investigate current RAM policy and targets of the relevant railway duty holders.

Define the scope of the RAM management requirements for subsequent system life cycle RAM tasks.

2 System definition and operational context

7.3 Define the system and its mission profile.

Define the system boundary.

Define the scope of operational requirements.

Establish the organization.

Establish the RAM policy.

Establish the RAM plan.

3 Risk analysis and evaluation

7.4 Perform Risk Analysis.

Update RAM Plan.

4 Specification of system requirements

7.5 Specify system requirements Establish RAM requirements specification.

Update the RAM plan.

Establish validation plan for RAM requirements.

5 Architecture and apportionment of system requirements

7.6 Define the system architecture.

Identify the requirements for integration of pre-existing subsystems/components.

Define acceptance criteria and processes for subsystems/components.

Allocate RAM requirements to subsystems/components.

Update the RAM plan.

Update validation plan for RAM requirements.

6 Design and implementation

7.7 Design subsystems/components.

Prepare operation and maintenance procedures.

Define training measures for operation and maintenance.

Define and establish manufacturing process for producing subsystems and components.

Define and establish system integration process.

Prepare installation and commissioning procedures.

Plan RAM tasks of further phases.

Perform RAM analysis.

Update the RAM plan.

Update validation plan for RAM requirements.

7 Manufacture 7.8 Implement and operate manufacturing process.

Establish RAM assurance arrangements.

Update the RAM plan.

Update validation plan for RAM requirements.

8 Integration 7.9 Integrate subsystems and components.

Demonstrate system functionality.

Test and analyse system.

Arrange system support arrangements.

Establish integration report for RAM requirements.

Update the RAM plan.

Update validation plan for RAM requirements.

9 System Validation

7.10 Establish validation report.

Establish process for the acquisition and evaluation of operational and maintenance data.

Establish RAM validation report.

10 System acceptance

7.11 Record an acceptance record.

Verify the acceptance record.

Assess RAM validation.

11 Operation, maintenance and performance monitoring

7.12 Provide all information necessary to

formulate plans/procedures for operation and maintenance.

Implement operation and maintenance procedures.

Record changes in the system configuration.

Implement and maintain FRACAS process for the acquisition and recording of RAM performance data.

Maintain FRACAS and periodically review

FRACAS

records.

Establish records to trace the RAM tasks undertaken.

Reports of RAM performance analysis and evaluation.

12 Decommissioning 7.13 Establish decommissioning plan and related report.

Identify the RAM impact of decommissioning and disposal.

Table 2 - EN50126-1:2017 RAM tasks for lifecycle phases 1 to 12

The following sections review the standard EN 50126-1:2017 RAM Tasks, and maps them to the RAM Tasks performed for the HSR Program.

References to HSR RAM tasks are provided where further information is provided on how the standard processes are applied in the HSR program.

Note: HSR Program Scope refers to the HSR program level; processes included in this scope need to be completed by contractors on the project level as described in the following sections.

2.1 Phases 1 to 5

Phase 1 - Concept

Phase 2 - System definition and operational context

Phase 3 - Risk analysis and evaluation

Phase 4 - Specification of system requirements

Phase 5 - Architecture and apportionment of system requirements

EN 50126-1:2017 RAM Tasks HSR Program Scope HSR RAM Tasks

Investigate the general RAM implications of the system

Network Integration Section 4.1.4.1

Investigate previous RAM requirements and past RAM performance of similar/related systems

Network Integration Section 4.1.4.2

Investigate current RAM Policy and targets of the relevant railway duty holders

Network Integration Section 4.1.4.3

Define the scope of the RAM management requirements for subsequent system life cycle RAM tasks

Network Integration Section 4.1.4.4

Establish and update the RAM Policy Network Integration Section 4.1.4.5

Establish the RAM Plan Network Integration Section 4.1.4.6

Perform risk analysis Network Integration Section 4.1.4.7

Establish RAM requirements specification Network Integration Section 4.1.4.8

Establish and update validation plan for RAM requirements

Network Integration Section 4.1.4.9

Allocate RAM requirements to subsystems/components

Network Integration Section 4.1.4.10

Table 3 – Phases 1 to 5 tasks mapping

2.2 Phases 6 & 7

Phase 6 - Design and Implementation

Phase 7 - Manufacture

EN 50126-1:2017 RAM Tasks HSR Program Scope HSR RAM Tasks

Plan RAM Tasks of further phases Network Integration Section 4.2.4.1

Perform RAM analysis Network Integration Section 4.2.4.2

Establish RAM assurance arrangements

Network Integration Section 4.2.4.3

Update the RAM Plan Network Integration Section 4.1.4.6

Update validation plan for RAM requirements

Network Integration Section 4.1.4.9

Table 4 – Phases 6 & 7 tasks mapping

2.3 Phases 8 to 10

Phase 8 - Integration

Phase 9 - System Validation

Phase 10 - System Acceptance

EN 50126-1:2017 RAM Tasks HSR Program Scope HSR RAM Tasks

Establish integration report for RAM requirements

Network Integration Section 4.3.4.1

Establish RAM validation report Network Integration Section 4.3.4.2

Assess RAM Validation Network Integration Section 4.3.4.3

Table 5 – Phases 8 to 10 tasks mapping

2.4 Phases 11

Phase 11 - Operation, maintenance and performance monitoring

EN 50126-1:2017 RAM Tasks HSR Program Scope HSR RAM Tasks

Implement and maintain FRACAS process for the acquisition and recording of RAM performance data

Network Integration Section 4.4.4.1

Maintain FRACAS and periodically review FRACAS records

Network Integration Section 4.4.4.2

Establish records to trace the RAM tasks undertaken

Network Integration Section 4.4.4.3

Report of RAM performance analysis and evaluation

Network Integration Section 4.4.4.4

Table 6 – Phase 11 tasks mapping

2.5 Phases 12

Phase 12 - Decommissioning

EN 50126-1:2017 RAM Tasks HSR Program Scope HSR RAM Tasks

Identify the RAM impact of decommissioning and disposal

Network Integration Section 4.4.4.5

Table 7 – Phase 12 tasks mapping

3 RAM MANAGEMENT ORGANIZATION

3.1 Organization Chart

3.1.1 Program organization

To achieve the RAM Program Policy goals, Authority and Contractors have key roles in the management and development of the RAM activities.

The key roles involved in the RAM activities are part of the following groups:

• State of California;

• Authority Program support:

o Rail Delivery Partner (RDP), including Network Integration and program Compliance section;

o Rail System Engineering Services (RSES);

o Program Delivery Support (PDS);

• Project and Construction Management (PCM);

• Construction Manager (CM);

• Independent Check Engineer/Independent Site Engineer (ICE/ISE);

• Civil Work Contractors;

• Rail Systems Contractors (including Track and OCS Contractor and Systems

Contractor);

• Trainset Contractor;

• Station Contractors; and,

• Operator.

Figure 3 - Program Org. Chart

The RAM key roles and responsibilities are detailed in Section 3.2.

3.1.2 Network Integration Organization

Figure 4 - Network Integration Org. chart

As per Authority Program Management Plan, RAM Management is part of the Network

Integration and Program Compliance Section of the Rail and Operation Delivery Branch.

The roles and responsibilities for all the Network Integration and Program Compliance disciplines are detailed in the System Engineering Plan.

The Rail and Operation Delivery Branch also includes the Asset Management, Rail

Engineering and Operation and Maintenance sections. These sections have interfaces with the RAM Management as they can provide support to, provide inputs to and/or use outputs from the development of the RAM activities. The Rail and Operation Delivery

Branch is part of the Program Delivery Office.

The RAM Management also interfaces with the Early Train Operator (ETO), which is part of the Financial Office.

The roles and responsibilities of the ETO, Asset Management, Rail Engineering and

Operation and Maintenance Sections are defined in the Program Management Plan.

3.2 Roles and Responsibilities

3.2.1 California State Authority Roles & Responsibilities

As per Authority Program Management Plan, State personnel lead the Authority and are accountable for its success. The State is primarily accountable for leadership and direction of the Authority, including formulation of program strategy, policy development and implementation, and building an organizational culture that prizes high-performance teams.

In this role of leadership and direction, State Authority validates the RAM Program

Goals and Policy.

3.2.2 RDP/RSES Roles & Responsibilities

The Authority is supported by program support consultants (RDP, RSES, PDS) and numerous subcontractors working for these consultants. Although the State is accountable for the Authority’s overall program execution, RDP/RSES, as the

Authority’s delivery partner, provides specific program technical and managerial expertise and staff resources to deliver the Authority’s goals.

The RDP/RSES provides the resources for the Network Integration and Program

Compliance Section of the Rail and Operation Delivery Branch. And, as per Section

3.1.2, Network Integration and Program Compliance section is responsible for the HSR

RAM Management.

The responsibilities for RAM Management are assumed by 2 roles inside Network

Integration:

• Deputy Director of Network Integration & Program Compliance; and,

• System RAM Manager.

3.2.2.1 Deputy Director of Network Integration & Program Compliance

The Deputy Director of Network Integration & Program Compliance has the following

HSR Program responsibilities:

• Monitor the progress and report on the status of RAM activities to the Deputy

Director of Rail System Delivery;

• Ensure sufficient RDP resources are assigned to complete the RAM activities within schedule;

• Approve and distribute HSR Program RAM Documentation;

• Cooperate with the Director of System Safety and Security to ensure the interface between RAM and System Safety activities;

• Cooperate with the Program Delivery Quality Manager to ensure compliance of the RAM activities with the Quality Processes;

• Coordinate testing, verification, validation, and certification of the System, (including the testing, verification, and validation of all RAM requirements) with the support of the ETO;

• Represent RAM authority for Executive Committees;

• Provide guidance and support to the System RAM Manager; and,

• Approve the audits plans and schedules.

3.2.2.2 System RAM Manager

The System RAM Manager has the following HSR Program responsibilities:

• Plan RAM Management, including:

o Develop Authority RAM Program Policy;

o Develop Authority RAM Management Plan;

o Report the progress on System RAM activities to the Deputy Director of

Network Integration & Program Compliance; and, o Perform Audits on PCM and Contractors when needed.

• Develop RAM Preliminary Concepts, including:

o Review previously achieved RAM performance & data (historical data);

o Identify RAM needs and establish a system-wide RAM Program;

o Identify existing constraints on RAM performance; and, o Perform preliminary RAM analysis.

• Develop RAM Requirements, including:

o Define and develop HSR System RAM Targets;

o Develop HSR System RAM Requirements; and, o Allocate RAM Targets and Requirements (to Procurement Contracts).

• Continue RAM Analysis, including:

o Validate the HSR System RAM deliverables to be provided by the

Integration Support Consultant; and, o Oversee external RAM interfaces between Contractors.

• Monitor RAM Performance in Service, including:

o Oversee HSR System RAM performance demonstration; and, o Consolidate HSR System RAM Performance Reports.

The System RAM Manager has the following HSR Project responsibilities:

• Develop Contractor RAM Design Criteria & Performance Requirements;

• Prepare Contractor RAM Management (process) language;

• Review Contractor RAM Management Plan(s);

• Use the Document Control System implemented by the Authority for:

o Processing and transferring RAM submittals to the Authority;

o Recording and addressing comments on RAM submittals;

o Monitoring and recording RAM submittals status.

• Perform Due Diligence Checking (DDC) on Contractor RAM submittals;

• Perform Due Diligence Checking (DDC) on Contractor RM Tool for RAM requirements;

• Monitor and report progress on the status of the Contractors RAM activities;

• Perform and/or support audits on Contractors RAM processes;

• Serve as the HSR RAM Point of Contact and Provide Guidance, as appropriate;

and,

• Check compliance with the RAM requirements prior to final acceptance.

3.2.2.3 Integration Support Consultant:

The Authority will be supported by the Integration Support Consultant to perform the

System Integration.

The Integration Support Consultant shall

• Be responsible for the coordination and integration of the Interfacing Parties and any other parties identified during the course of the Work, including the coordination and integration of the external RAM interfaces;

• Support the System RAM Manager in the management of external RAM interfaces between Contractors;

• Perform Due Diligence Checking (DDC) on Contractors RAM submittals; and,

• Provide HSR System RAM deliverables, to be validated by the System RAM

Manager.

3.2.3 Regional Consultants Roles & Responsibilities

Regional Consultants shall incorporate the RAM requirements in the development of the preliminary design they provide.

3.2.4 PCM Roles & Responsibilities

As per Authority Program Management Plan, Project and Construction Management services (PCMs) consist of an individual prime contractor and numerous subcontractors to oversee each Construction Package (CP). Each PCM operates under the direction of a Design-Build Oversight Manager. Although the State is accountable for overall CP project management, the PCM is responsible for providing project-specific design-build technical expertise and management and staff resources to deliver each CP project.

The PCM ensures that project management, controls and reporting align to the

Authority’s program management, controls and reporting.

3.2.4.1 Civil Work Projects

On Civil Work Projects, the PCMs have the following HSR Project responsibilities:

• Overseeing design-build contract compliance with RAM requirements;

• Perform Due Diligence Checking (DDC) on Contractor RAM submittals;

• Manage the Document Control System to:

o Process and transfer RAM submittals to the Authority;

o Record and address comments on RAM submittals;

o Monitor and record RAM submittals status;

• Perform and/or support audits on Contractors RAM processes;

• Monitor and report status on corrective actions following audits on Contractors

RAM processes; and,

• Monitor and report progress on the status of the Contractors RAM activities.

The roles and responsibilities of the PCM on Civil Work Project is detailed in the Project and Construction Management Manual.

3.2.4.2 Rail Systems and Trainset Projects

On Rail Systems Projects and Trainset Project, the roles of Project and Construction management will be supported by the Rail and Operations Delivery Branch and the

Construction Manager (CM). The responsibilities of Project Management will be included in the Rail and Operation Delivery Branch and the scope of Construction

Management will be included in the Construction Manager’s responsibilities.

On Rail Systems Projects and Trainset Project, the CMs have the following HSR Project responsibilities:

• Check design-build contract compliance with RAM requirements;

• Perform full technical review of the Contractor RAM submittals;

• Manage the Document Control System to:

o Process and transfer RAM submittals to the Authority;

o Record and address comments on RAM submittals;

o Monitor and record RAM submittals status;

• Perform and/or support audits on Contractors RAM processes;

• Monitor and report status on corrective actions following audits on Contractors

RAM processes; and,

• Monitor and report progress on the status of the Contractors RAM activities.

The roles and responsibilities of the CM are defined in the CM Contract and detailed in the Construction Management Manuals.

3.2.5 ICE/ISE Roles & Responsibilities

On Civil Work projects, an Independent Checking Engineer (during design development from preliminary to final) and Independent Site Engineer (during construction, inspection, testing, and acceptance) shall review, assess and evaluate the Contractor’s

Work on behalf of the Authority in order to certify that the Work meets the requirements in the Design-Build Contract.

The Independent Checking Engineer and Independent Site Engineer shall:

• Provide an Assessment Report for each RAM deliverable; and,

• Assess compliance of the Work with all the RAM requirements.

3.2.6 Contractor Roles & Responsibilities

In this document, the designation ‘Contractor’ applies to any entity under contract with the Authority providing design or construction services for HSR.

Each Contractor and Supplier shall establish an organization including a RAM section appropriately staffed in number to cover all the tasks and with RAM qualified engineers.

The Contractor RAM Team shall:

• Establish a RAM Program for the covered section, structure, system, and/or equipment, including developing and providing a Contractor RAM Management

Plan;

• Ensure that the Project is designed, built and documented per the RAM requirements set in the Contract and demonstrate compliance in an RM Tool as per SDLC requirements;

• Ensure that the Project is designed, built and documented per the RAM requirements set in the Contract and demonstrate compliance in an RM Tool as per SDLC requirements;

• Ensure the coordination between the Project Schedule and the RAM schedule;

• Ensure that its suppliers and subcontractors perform all needed work to fulfill the

RAM requirements;

• Perform RAM analyses in each engineering phase and provide RAM submittals;

• Answer to Authority’s comments and update RAM submittals accordingly;

• Maintain RAM deliverables up to date;

• Coordinate RAM activities with System Safety, Quality, O&M, V&V, and other;

• Monitor progress and report status on the RAM activities to the Authority;

• Attend and address audits performed by the Authority on Contractor RAM processes:

o Attend all the meetings and interviews requested by the Auditor;

o Provide all evidences required during the Audits;

o Address the RAM related findings issued in Audit Reports; and, o Report to the Authority on the corrective actions.

3.2.7 Other Roles & Responsibilities

Intentionally left blank.

4 HSR SYSTEM LIFE-CYCLE STAGES

4.1 Environmental Review & Preliminary Engineering (Phases 1 to 5)

4.1.1 Scope & Applicability

This section describes the application of RAM Management to the following steps of the

Environmental Review & Preliminary Engineering stage:

• Program Planning and System & Requirements Analysis;

• Preliminary Engineering for Procurement;

• Contract Packaging; and,

• Procurement.

The HSR RAM tasks to be performed during the Environmental Review & Preliminary

Engineering stage are the tasks associated to phases 1 to 5 in the standard EN50126-

1:2017.

The RAM objectives for these phases are:

• Phase 1 – Concept:

o Develop a sufficient understanding of the system to ensure a proper performance of all subsequent RAM life cycle activities.

• Phase 2 – System definition and operational context:

o Define the system and its mission profile;

o Define the boundary of the system;

o Establish the operational requirements influencing the characteristics of the system;

o Define the scope of system risk analysis;

o Establish the initial RAM Plan for the system;

o Define the function to be provided by the system; and, o Define the organization for RAM management of the system.

• Phase 3 – Risk analysis:

o Identify and classify hazards / RAM equivalents associated with the system;

o Select risk acceptance principles;

o Define and apply risk acceptance criteria;

o Assess risks; and, o Establish a process for on-going risk management.

• Phase 4 – Specification of system requirements:

o Specify the overall RAM requirement for the system under consideration;

o Specify the overall demonstration and criteria for acceptance of RAM of the system; and, o Provide a comprehensive and identified set of requirements for the subsequent life cycle phases.

• Phase 5 – Architecture and apportionment of system requirements:

o Apportion the system RAM requirements to the designated sub-systems and components;

o Design subsystems and components that work together as a system which fulfils the required functions at the system level;

o Describe the RAM requirements and specify the interfaces for all subsystems and components derived from the RAM requirements (which prepares later integration activities);

o Define the acceptance criteria to demonstrate fulfilment of the RAM requirements for the system, sub-systems, equipment in subsequent lifecycle phases; and, o Identify and evaluate the significance of the interactions between the subsystems.

4.1.2 Contributing RAM Processes

As described in Section 2, the tasks to be performed during phases 1 through 5 are:

• Phase 1 – Concept:

o Investigate the general RAM Implication of the System;

o Investigate previous RAM requirements and past RAM performance of similar/related systems;

o Investigate current RAM Policy and targets of the relevant railway duty holders; and, o Define the scope of the RAM management requirements for subsequent system life cycle RAM tasks.

• Phase 2 – System Definition and Operational Context:

o Establish the RAM Policy; and, o Establish the RAM Plan.

• Phase 3 – Risk Analysis and evaluation:

o Perform Risk Analysis; and, o Update RAM Plan.

• Phase 4 – Specification of System Requirements:

o Establish RAM requirements specification;

o Update the RAM Plan; and, o Establish validation plan for RAM requirements.

• Phase 5 – Architecture and Apportionment of System Requirements:

o Allocate RAM requirements to subsystems/components;

o Update the RAM Plan; and, o Update validation plan for RAM requirements.

4.1.3 Deliverables

• The deliverables to be provided by the Authority during Phase 1 through Phase 5 are:

o Authority RAM Policy;

o Authority RAM Management Plan;

o Authority RAM Allocation Report;

o Design Criteria Manual - RAM Chapter;

o RAM requirements for Construction Package;

o RAM requirements for Rail Systems; and, o RAM requirements for Trainset.

• The deliverables to be provided by the Integration Support Consultant during

Phase1 through 5 are:

o System Integration RAM Management Plan; and, o Mission Profile for RAM analysis.

• The deliverables to be provided by the Contractors during Phase 1 through

Phase 5 are:

o Contractor RAM Management Plan;

o Validation Plan for RAM requirements;

o RAM Validation Report;

o RAM Allocation Report;

o RAM related risk analysis;

o Historical Product Maintainability Report; and, o Preliminary Maintenance Concept.

The Integration Support Consultant and Contractors shall provide the required deliverables as per the schedule provided in Appendix A and as per their respective

Project Contractual Requirements.

4.1.4 Activities

4.1.4.1 Investigate the general RAM Implication of the System

The Deputy Director of Network Integration & Program Compliance:

• Collects information on Legislation and Regulation applicable to the HSR System impacting the RAM Performances;

• Provide supporting information related to RAM performance for the strategic delivery branch to make financial and strategic decision for the HSR Program

(performance based payments, State commitment on performance);

• Identifies interactions of the System with other systems that could impact the system RAM performances; and,

• Identifies the potential impact of the RAM activities on the Program Schedule.

The Contractor shall:

• Collect information on legislation and regulation applicable to the Project impacting the RAM performances;

• Evaluate the financial impact of the RAM performance in the Project; and,

• Identifies the potential impact of the RAM activities on the Project schedule.

4.1.4.2 Investigate previous RAM requirements and past RAM performance of similar/related systems

The System RAM Manager:

• Collects and analyses previous RAM requirements and RAM performances achieved on systems similar to the HSR System.

The Contractor shall:

• Collect and review data on RAM performance achieved on operating Systems similar to their Scope of Work;

• Evaluate Past Experience Data including, but not limited to:

o Recurrent and critical failure modes on systems similar to the HSR

System;

o Design provisions recommended through RAM analyses performed on systems similar to the HSR System;

o Good practices and lessons learned on RAM Management from other

Projects; and,

• Provide RAM data on previous application of the Scope Items in an Historical

Product Maintainability Report (see Tools & Techniques, section 6.6)

4.1.4.3 Investigate current RAM Policy and targets of the relevant railway duty holders

The HSR System is the first high-speed rail system operated in California, therefore the

Authority had no current RAM Policy and RAM Targets applicable to high-speed rail prior to the ones established for the HSR System.

4.1.4.4 Define the scope of the RAM management requirements for subsequent system life cycle RAM tasks

The system RAM Manager defines the scope of the RAM Management requirements for subsequent life cycle RAM tasks based on the scope, context and purpose of the system.

4.1.4.5 Establish the RAM Policy

The RAM Program Policy is developed by the System RAM Manager and approved by the Deputy Director of Network Integration & Program Compliance.

The Authority RAM Program Policy establishes the standards, organizations and plans that will ensure the coordination and the completion of the RAM activities for the HSR

Program.

The Authority RAM Program Policy sets the principles that are developed in the

Authority RAM Management Plan.

4.1.4.6 Establish the RAM Plan

4.1.4.6.1 Establish RAM Program

The System RAM Manager develops and implements the Authority RAM Management

Plan, which:

• Develops the principles set in the RAM Program Policy;Is consistent with the standard EN 50126-1:2017;

• Defines the HSR RAM Program scope, tasks, techniques, deliverables and milestone;

• Provides the organization, roles and responsibilities supporting the RAM activities; and,

• Provides guidance and requirements for all parties involved in the achievement of the HSR System RAM performances.

The Integration Support Consultant shall develop and implement a System Integration

RAM Management Plan. The System Integration RAM Management Plan shall:

• Be compliant with all applicable legislation and regulation;

• Be consistent with EN 50126-1:2017 and with the Authority RAM Management

Plan;

• Define the System Integration RAM Program scope, responsibilities, tasks, techniques, deliverables, and milestones;

• Provide a System Integration RAM schedule, which identifies specific tasks, with start and completion dates, and explains how these tasks are coordinated and integrated with the Projects schedules;

• Provide the organization of personnel responsible for performing the System

Integration RAM Program (including resumes demonstrating the qualification and experience of the RAM Team);

• Define interfaces and coordination with other parties; and,

• Be updated as specified in EN50126-1:2017.

The Contractor shall develop and implement a Contractor RAM Management Plan. The

Contractor RAM Management Plan shall:

• Be compliant with all applicable legislation and regulation;

• Be consistent with EN 50126-1:2017 and with the Authority RAM Management

Plan;

• Define the Project RAM Program scope, tasks, techniques, deliverables, and milestones;

• Provide a Project RAM schedule, which identifies specific tasks, with start and completion dates, and explains how these tasks are coordinated and integrated with the Project schedules;

• Provide the organization of personnel responsible for performing the Project

RAM Program (including resumes demonstrating the qualification and experience of the RAM Team);

• Identify RAM targets;

• State methodology of the tasks to comply with the RAM requirements and describe the process of certification of the RAM compliance (see Procedure section 5.3);

• Describe demonstration testing plans for verification of compliance with RAM requirements;

• Describe monitoring and control of subcontractors and suppliers;

• Define interfaces and coordination with other assurance activities such as safety and quality assurance;

• Provide supporting field reliability, availability, and maintainability data and estimates; and,

• Be updated as specified in EN50126-1:2017.

4.1.4.6.2 Establish RAM management

The Deputy Director of Network Integration & Program Compliance establishes the HSR

RAM Management, including:

• An organization of qualified resources fit to perform and manage the HSR

Program RAM activities;

• A system of reporting and monitoring of the Program RAM activities and schedule, including measurable performance metrics;

• A system of reporting and monitoring of the Projects RAM activities and schedule, including measurable performance metrics; and,

• A Document Control System to manage the HSR Program RAM deliverables.

The Integration Support Consultant shall establish a System Integration RAM

Management, including:

• An organization of qualified resources fit to perform and manage the System

Integration RAM activities;

• A system of reporting and monitoring of the System Integration RAM activities and schedule;

• A system of reporting and monitoring of the Projects RAM activities and schedule, including measurable performance metrics; and,

• An Interface Management System to manage the external RAM interfaces between the different Projects.

The Contractor shall establish a Project RAM Management, including:

• An organization of qualified resources fit to perform and manage the Project

RAM activities;

• A formal process including the RAM organization into the design reviews (see

Tools & Technique, section 6.2);

• A system of reporting and monitoring of the Project RAM activities and schedule, including measurable performance metrics;

• A system of reporting and monitoring of the Project sub-contractors RAM activities and schedule, including measurable performance metrics;

• A system of gate reviews to ensure that all the RAM activities and deliverables due for one Project Phase are performed before…