aeo authorisation requirements - transport for nsw · aeo authorisation requirements safety,...

© State of NSW through Transport for NSW of 35

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AEO Authorisation Requirements

TS 10502: 2013

Management standard

Version 1.0 Issued Date: 15 May 2013 Effective Date: 6 June 2013

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.

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

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AEO Authorisation Requirements Version 1.0

Effective Date: 6 June 2013


Standard Approval Owner: Principal Manager (Systems Engineering) Authorised by: Establishment Project Committee Approved by: Jim rouvanos A/Mod Director Asset Standards Authority

Document Control Version Summary of Change 1.0 First issue

For queries regarding this document

[email protected]

www.asa.transport.nsw.gov.au

mailto:[email protected]

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Preface

The Asset Standards Authority sets, maintains and administers the framework for assessment,

authorisation, surveillance, review and audit of organisations which provide engineering

services in relation to the asset life cycle of NSW rail assets.

From 1 July 2013, ASA Authorisation will be required to perform work in relation to the asset life

cycle of NSW Rail Assets

This document has been developed by the Asset Standards Authority Establishment team and

approved by the Asset Standards Authority Establishment Program Committee to specify the

requirements that organisations need to comply with if they intend to offer engineering services

to Transport for NSW.

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Table of contents

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

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

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

3. Reference documents.......................................................................................................................5

3.1 International standards ....................................................................................................................6 3.2 Australian standards, acts and regulations ...................................................................................6 3.3 TfNSW and ASA standards ..............................................................................................................6 3.4 Other references................................................................................................................................6

4. Terms and definitions.......................................................................................................................7

5. Assessment of suppliers................................................................................................................10

6. Contractual obligations ..................................................................................................................10

7. AEO authorisation requirements...................................................................................................10

8. Engineering management ..............................................................................................................12

8.1 General engineering management ................................................................................................12 8.2 Systems engineering ......................................................................................................................15 8.3 Requirements management ...........................................................................................................17 8.4 Interface management ....................................................................................................................17 8.5 Modelling and analysis ...................................................................................................................18 8.6 System architecture management.................................................................................................20 8.7 RAM management ...........................................................................................................................21 8.8 Verification and validation .............................................................................................................21 8.9 Configuration management ...........................................................................................................22 8.10 Competence management .............................................................................................................24 8.11 Human factors integration .............................................................................................................26 8.12 Electromagnetic compatibility .......................................................................................................27 8.13 Systems safety assurance .............................................................................................................29 8.14 Systems assurance.........................................................................................................................31 8.15 Asset management .........................................................................................................................32 8.16 Quality management.......................................................................................................................33 8.17 Knowledge management................................................................................................................33 8.18 Record keeping ...............................................................................................................................34 8.19 Standards management .................................................................................................................34 8.20 Judgement of significance.............................................................................................................35

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1. Introduction

Transport for New South Wales (TfNSW) is collaborating with industry to improve engineering

governance of rail projects and to utilise the skilled resources from both government and

industry organisations to greatest effect. One of the key initiatives is the process for enabling

Authorised Engineering Organisations (AEOs) to manage the competence of their engineering

staff internally, and to manage the assurance of their engineering services, on behalf of TfNSW.

2. Purpose

The Asset Standards Authority (ASA) is the network design and standards authority for NSW

rail assets and, through rights and powers conferred upon it by the Director General of TfNSW,

mandates requirements on Rail Transport Agencies and Authorised Engineering Organisations.

This document forms part of these mandated requirements.

AEO Authorisation Requirements provides information outlining the minimum requirements that

an engineering organisation is required to demonstrate compliance with, if it is to be engaged to

provide engineering services to TfNSW.

2.1 Scope

AEO Authorisation Requirements contains a table of requirements for engineering management

arrangements including engineering competence management.

The requirements table includes a rationale for each requirement, a statement of one or more

mandatory requirements that Authorised Engineering Organisations (AEOs) shall comply with,

and one or more guidance notes to assist in interpreting applicability to the AEO and

demonstration of adequate compliance.

Requirements in this document are independent of any TfNSW tender or contract requirements.

2.2 Application

This standard applies to suppliers applying for authorisation to provide the services defined in

AEO Authorisation Governance Framework.

The intended audience for this standard includes TfNSW, rail infrastructure managers, rail

transport operators, and suppliers of engineering services to the NSW rail network.

The requirements contained in this document may be used by an engineering organisation to

self-assure engineering outputs under its own engineering assurance system, and to manage

the competence of its staff under its own competence management system.

3. Reference documents

References in the text are to the latest editions unless specific editions are cited.

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3.1 International standards

ISO 9001:2008 Quality Management Systems - Requirements

ISO 10007:2003 Quality management systems - Guidelines for configuration management

ISO/IEC 15288:2008 Systems and software engineering - System life cycle processes

ISO/IEC 26702:2007 (formally IEEE STD 1220-2005) Systems engineering - Application and

management of the systems engineering process

PAS 55-1:2008 Asset Management Part 1: specification for the optimized management of

physical assets (soon to be superseded by ISO 55000)

PAS 55-2:2008 Asset management. Guidelines for the application of PAS 55-1

3.2 Australian standards, acts and regulations

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

2012

Work Health and Safety Regulation 2011 (NSW)

Work Health and Safety Act 2011 (NSW)

3.3 TfNSW and ASA standards

AEO Authorisation Governance Framework

AEO Guide to Authorisation

AEO Guide to Engineering Management

AEO Guide to Engineering Competence Management

Configuration Management Guide

AEO System Safety Standard

Guide to Requirements Definition and Analysis

Guide to Verification and Validation

AEO Guide to Human Factors Integration

Guide to Systems Integration (including Interface Management)

Guide to Reliability, Availability and Maintainability

TSR Q1 Quality Management (TfNSW Standard Requirements)

3.4 Other references

INCOSE Systems Engineering Handbook v3.2.2 (latest version)

INCOSE Systems Engineering Body of Knowledge (SEBoK) v1.0

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4. Terms and definitions

The following terms and definitions are used in this document:

acceptance the result of a competent person validating that a product (including a service)

satisfies a defined requirement. Acceptance means that a product is accepted for use and does

not detract from the accountability that the supplier has for the product or service.

accountable person the person who is accountable for the activity

accountable the obligation of an individual or organization to account for its activities, accept

responsibility for them, and to disclose the results in a transparent manner. The job role that is

ultimately responsible for the engineering service. Accountability cannot be delegated.

AEO authorised engineering organisation

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

that has been assessed and granted pre-approval to undertake work on TfNSW infrastructure

ALARP as low as reasonably practicable

AQF Australian Qualifications Framework

ASA Asset Standards Authority

AS/NZS Australian/New Zealand Standard

assurance a positive declaration intended to give confidence

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

assessment and audit

BMS business management system

CENELEC Comité Européen de Normalisation Électrotechnique

CI configuration item

CMMI capability maturity model integration

compliance the state or fact of according with, or meeting, rules or standards

EMC electromagnetic compatibility

EMI electromagnetic interference

EMP engineering management plan

EMS environmental management system

EN European norm

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engineering approval process whereby an authorised person certifies that engineering outputs

have been verified as meeting input specifications and requirements, and that the engineering

output has been completed in accordance with relevant regulations and standards, prior to

progressing to the next stage

framework a basic structure underlying a system, concept, or text

governance the rules, processes, or laws by which the authorisation framework is operated,

regulated, and controlled

HF human factors

ISO International Organisation for Standardization

OMG Object Management Group

Object Management Group an international consortium that maintains modelling standards,

including the Unified Modelling Language

PAS publicly available specification

RAM reliability, availability, maintainability

ReqIF requirements interchange format

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

someone) that the duty holder must fulfil. Responsibility can be delegated.

RIM railway infrastructure manager

RSO rolling stock operator

SEMP systems engineering management plan

SME subject matter expert

subject matter expert a person assessed or recognised as having the highest level of

competence (including knowledge, skills and practical experience) in a particular field or

discipline. This is typically a professional head of discipline or technical director.

SMS safety management system

SQE safety, quality and environment

supplier a supplier of engineering services or products. Defined as an 'applicant' until such time

as it has been granted AEO status, after which it is referred to as an AEO.

SysML Systems Modelling Language

TfNSW Transport for New South Wales

Tier 1 supplier a supplier of multi-phase, multi-discipline engineering services that is capable of

performing the principal contractor or systems integrator role on rail engineering projects

Tier 2 supplier a supplier of specialist engineering services sub-contracted to a Tier 1 supplier

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UML Unified Modelling Language

validation the process to ensure that the delivered system or asset meets client requirements

V and V verification and validation

verification the process to ensure that the output of each stage in the system life cycle meets

the stage input requirements

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5. Assessment of suppliers

A supplier of engineering services or products wishing to engage in work for TfNSW may be

assessed and audited against Authorised Engineering Organisation requirements irrespective of

contractual status.

6. Contractual obligations

Compliance with the requirements described in AEO Authorisation Requirements by a supplier

of engineering services or products as part of achieving initial Authorised Engineering

Organisation (AEO) status does not remove the responsibility for an AEO to continually

demonstrate compliance as part of the normal TfNSW tendering and contract arrangements.

Users of this management standard are bound by all relevant requirements of the law,

regardless of whether or not there is any specific reference to them in this standard.

7. AEO authorisation requirements

Safety, environment and quality management areas, and associated mandatory requirements

and guidance are provided to assist an Authorised Engineering Organisation in achieving

relevant levels of compliance.

Requirement types are defined as:

Mandatory – actual requirement statement that shall be complied with

Guidance – supporting information to assist in interpreting adequate compliance

Each mandatory requirement is mapped to one or more relevant clauses in the primary

governing standard (ISO 9001).

Where an AEO requirement does not map to a specific clause in ISO 9001, a reference is made

to clause 7.2.1 (a) of ISO 9001, which deals with customer-specific requirements.

Requirements for Authorised Engineering Organisations cover the following engineering

management areas:

general engineering management

systems engineering

requirements management

interface management

modelling and analysis

system architecture management

RAM management

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verification and validation

configuration management

competence management

human factors integration

electromagnetic compatibility

systems safety assurance

systems assurance

asset management

quality management

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8. Engineering management

8.1 General engineering management

The objective of engineering management requirements is to have systematic arrangements for managing resources, processes, systems, data and

facilities commissioned to undertake engineering activities. A robust principal system is required to provide assurance that engineering designs are

correct, integrated, and able to be constructed in a manner which is compliant with relevant standards, and which satisfies TfNSW requirements.

Mandatory/ Guidance

Requirements ISO 9001

Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall have competent and systematic way

arrangements for executing engineering services in a 7.1 ENM1

Mandatory An Authorised Engineering Organisation shall have engineering management methodologies appropriate to its engineering services

7 ENM2

Guidance Engineering management arrangements should typically be documented in an engineering management plan (EMP) or manual

Guidance Asset life cycle, phase-specific sub-plans or manuals typically support an engineering management plan. The number and scope of the sub-plans will depend upon the scope of the engineering services offered over the asset life cycle by an Authorised Engineering Organisation, and the level of assurance required by the Authorised Engineering Organisation. Sub-plans and manuals may include the following:

design management plan

construction management plan

manufacturing management plan

integration, test and commissioning plan

maintenance management plan

decommissioning management plan

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Mandatory/ Guidance


Proposed Reqt. ID

An engineering management plan is typically supported by the following asset life cycle cross-phase sub-plans or manuals depending on the scope of engineering services offered by the Authorised Engineering Organisation over the asset life cycle:

systems engineering sub-plan, including specific systems engineering activities

competence management plan

configuration management plan

engineering document management plan

system safety management plan

environmental management plan

quality management plan

risk management plan

Guidance Depending on the scope and complexity of engineering services, an Authorised Engineering Organisation may incorporate some or all sub-plans within a single engineering management plan. For example, a specialist supplier of geotechnical or potholing services will have a relatively simple engineering management plan compared to a supplier of multi-discipline, multi-phase services covering systems integration.

Mandatory An Authorised Engineering Organisation shall ensure that its engineering services map to relevant phases of the TfNSW asset life cycle model

7 ENM3

ENM4

ENM5

Guidance The TfNSW asset life cycle model is derived from ISO/IEC 15288-2008 and tailored to rail engineering work

Mandatory An Authorised Engineering Organisation shall establish and maintain an engineering assurance process that aligns to the range of engineering services and activities which the organisation intends to provide

7

Mandatory An Authorised Engineering Organisation shall demonstrate engineering assurance based on progressive stage gateway reviews

7

Guidance The baseline stage gateway reviews defined over the full system or asset life cycle are:

exploratory, pre-feasibility

concept

development, including planning and design up to final design

production, including manufacturing or fabrication, COTS procurement, installation and assembly

post-build, including integration, testing and commissioning

validation, including customer acceptance testing

handover, including as-built records and defects liability period

retirement, including decommissioning and disposal of redundant assets

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Mandatory/ Guidance


Proposed Reqt. ID

Guidance An Authorised Engineering Organisation should be satisfied at each baseline gateway review that safety risk has been managed ALARP

Guidance The baseline stage gateways to apply will depend on the scope of engineering services offered over the asset life cycle by the Authorised Engineering Organisation

Guidance Engineering management methodologies and processes for the full asset or system life cycle include the following:

stakeholder and user needs analysis

capability requirements definition and option development

feasibility studies

system requirements definition and reference design

preliminary design

detail or critical design

manufacture or fabrication

construction or installation

inspection and testing

commissioning

operations and maintenance

decommissioning and disposal

Guidance The engineering methodologies and processes that an Authorised Engineering Organisation applies will depend upon the scope of engineering services offered over the asset life cycle

Guidance Authorised Engineering Organisations should refer to AEO Guide to Engineering Management for further guidance on engineering management for TfNSW projects

Mandatory Authorised Engineering Organisations shall have a services and products

system, framework and process for assuring their engineering 7.3 ENM6

Mandatory Authorised Engineering Organisations shall apply a risk-based approach to engineering assurance 7.2.1(a) ENM7

Guidance Engineering services include design, construction, installation, testing, commissioning, maintenance and disposal

Guidance Management of engineering risk across the rail network is Authorised Engineering Organisation and TfNSW

a joint responsibility of all parties, including the

Guidance The level of risk associated with an engineering activity is related to technology, novelty, system size and complexity, amount of stage work, and quantity and type of system interfaces

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Mandatory/ Guidance


Proposed Reqt. ID

Guidance Design Authorised Engineering Organisations should have a staged design assurance process, containing the following suggested stages:

system concept review for Authorised Engineering Organisations involved in pre-feasibility and optioneering work

system definition review

preliminary design review

detailed or final design review

system verification review after inspection and test, but prior to commissioning

physical configuration audit after commissioning, to verify that as-built assets match all design data, documentation and drawings

Mandatory Design Authorised Engineering Organisations shall have capability to provide design support during construction, inspection, test and commissioning stages

7.5.1 ENM8

Mandatory Design Authorised Engineering Organisations shall have 'safety in design' as part of producing engineering designs

7.3 ENM9

Mandatory Design Authorised Engineering Organisations engineering designs

shall have 'sustainability in design' as part of producing 7.3 ENM10

8.2 Systems engineering

The objective of systems engineering requirements is to employ a scaleable methodology that is capable of managing the engineering of systems with

high levels of complexity, novelty and risk, in a manner which satisfies customer requirements over the full asset or system life cycle.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory Authorised Engineering Organisations shall have a systems engineering approach to the planning and delivery of its engineering services or products

7 SEM1

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Mandatory/ Guidance


Proposed Reqt. ID

Guidance Systems engineering management areas typically include:

requirements management

interface management and systems integration management

modelling and analysis

system architecture management, including modelling and synthesis of requirements

reliability availability maintainability (RAM) assurance

verification and validation

configuration management

engineering competence management

human factors integration

electromagnetic compatibility

systems safety assurance

overall systems assurance

asset management

Guidance Authorised Engineering Organisations should perform systems engineering activities in accordance with the requirements of ISO/IEC 15288-2008 or ISO/IEC 26702:2007, formerly IEEE 1220-2005, or equivalent

Guidance An Authorised Engineering Organisation which provides multi-disciplinary services should document its systems engineering approach in a systems engineering management plan or manual

Guidance An Authorised Engineering Organisation may choose to establish an enterprise-level systems engineering management plan (SEMP), which is tailored and applied to each project, rather than developing project-specific SEMPs without reference to an overarching 'standard' SEMP

Guidance An Authorised Engineering Organisation may choose to embed systems engineering principles and processes within an engineering management plan rather than write a dedicated systems engineering management plan. This choice will depend on the complexity and range of services offered by the Authorised Engineering Organisation. Smaller Authorised Engineering Organisations may choose this approach.

Guidance An Authorised Engineering Organisation may choose to scale the level of systems engineering relevant to the level of complexity, novelty and risk associated with its services. Authorised Engineering Organisations may prepare a relatively simple engineering management plan for standard, single-discipline engineering projects, whereas Authorised Engineering Organisations engaged in complex, multi-discipline, multi-phase projects with significant levels of systems integration will likely need to prepare an systems engineering management plan that covers all systems engineering areas.

Guidance Authorised Engineering Organisations should refer to AEO Guide to Engineering Management for further guidance on systems engineering as a methodology for engineering management on TfNSW projects

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8.3 Requirements management

The objective of requirements management is to have a systematic process for eliciting, defining, analysing, and allocating client and stakeholder

requirements, then managing traceability and compliance with those requirements over the full asset life cycle.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall have requirements management arrangements that set out process, responsibilities, structure, tools and deliverables for management of stakeholder requirements applicable to the scope of engineering services provided across the system life cycle

7.2 SEM2

Guidance Requirements management arrangements should be documented in a requirements management plan, but may be included as a section within an overall systems engineering management plan, depending on the scope and complexity of engineering services provided

Guidance Authorised Engineering Organisations should have a process for identifying system safety requirements, which should be specifically identified and managed

Mandatory An Authorised Engineering Organisation shall establish and maintain a requirements management tool that is capable of managing the categorisation, allocation, changes, traceability and verification of all requirements within its scope of control

4.2.4; 7.5.3

SEM3

Mandatory The requirements management tool shall be able to easily exchange all requirements information using a common interchange format with other organisations

7.2.1(a) SEM4

Guidance A common requirements interchange format is the Object Management Group requirements interchange format (ReqIF), specified at www.omg.org

Guidance It is not always necessary to implement a complex proprietary requirements management tool for simple projects. Depending on the project or system complexity, the Authorised Engineering Organisation could manage requirements using a spreadsheet tool.

Guidance There are a number of proprietary requirements management tools currently available.

Guidance Further guidance is provided in Guide to Requirements Definition and Analysis

8.4 Interface management

The objective of interface management requirements is to have a systematic process for identifying all interfaces, defining and analysing safety,

functional and performance requirements of relevant interfaces, agreeing on primary and secondary owners of such interfaces, and managing those

interfaces over the full system life cycle.

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Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall have interface management arrangements that set out the process, responsibilities, structure, tools and deliverables

7.2.1(a) SEM5

Guidance Interface management arrangements should be documented in an interface management plan, but may be included as a section within an overall systems engineering management plan or engineering management plan, depending on the scope and complexity of the engineering services provided

Mandatory An Authorised Engineering Organisation shall ensure that all interface requirements under the control of its engineering services are identified, captured and managed

7.2.1(a) SEM6

Guidance An Authorised Engineering Organisation which intends to offer multi-discipline engineering services including systems integration on engineering projects with multiple complex systems and interfaces should establish and maintain interface control documents and interface requirements specifications

Guidance For low complexity projects, an Authorised Engineering Organisation may establish a simple interface matrix with evidence of which party has primary responsibility for defining each interface, and how this will be managed

Mandatory An Authorised Engineering Organisation shall ensure that interface design reviews and checks are conducted at appropriate stages of the design process by competent subject matter experts

7.2.1(a) SEM7

Guidance An Authorised Engineering Organisation may develop and use standard interface checklists and templates and an interface register for typical interfaces to support the development and management of these interfaces over the system life cycle stages for which the Authorised Engineering Organisation is authorised

Mandatory Authorised Engineering Organisations shall identify and manage interface risks and outcomes that may have a safety impact

SEM8

Mandatory An Authorised Engineering Organisation that intends to offer rail systems integration services shall demonstrate that it has suitable management arrangements to plan and carry out the integration of all the declared systems

SEM9

Guidance Not all Authorised Engineering Organisations will be required to offer or demonstrate systems integration capability

Guidance Further guidance on interface management is provided in Guide to Systems Integration

8.5 Modelling and analysis

The objective of modelling and analysis requirements is to validate high level business and system requirements using baseline models prior to

commencing the detail design phase. Modelling and analysis requirements assist in mitigating the risk of costly rework or additional compensatory

design measures to achieve the required system functionality or performance.

Mandatory/ Requirements ISO Proposed Guidance 9001 Reqt. ID

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Mandatory/ Guidance


Proposed Reqt. ID

Guidance Modelling and analysis is typically performed by specialist design consultants during the exploratory, concept and development stages of the system or asset life cycle to support option selection. It is not typically expected that an Authorised Engineering Organisation engaged in construction or testing will conduct these modelling activities.

Guidance Where applicable, the Authorised Engineering Organisation should demonstrate modelling and analysis 7.2.1(a); arrangements that detail planning, process, responsibilities, structure, and tools 7.2.2;

7.3.5; 7.3.6

Guidance An Authorised Engineering Organisation may need to develop models to validate requirements set by the 7.2.1(a); stakeholders during the exploratory and concept stages, prior to commencing design 7.2.2;

7.3.5; 7.3.6

Guidance The modelling arrangements should be documented in a modelling and analysis plan or procedure, but may be included as a section within an overall systems engineering management plan or engineering management plan, depending on the scope and complexity of engineering services provided

Guidance An Authorised Engineering Organisation may choose to procure established and validated (COTS) modelling tools

commercial off the shelf

Guidance An Authorised Engineering Organisation may choose to develop in-house modelling tools, but their outputs will require an independent validation against known good results

Guidance Some typical modelling and analysis performed on rail engineering projects include:

virtual reality modelling of an overall railway concept

signalling headway performance modelling

communications network performance modelling

traction power supply modelling including HV feeders and associated protection

finite element analysis modelling for bridges, structures and rolling stock vehicle bodies

tunnel and station ventilation modelling

fire and smoke modelling for infrastructure and rolling stock

flood and drainage modelling

Guidance Modelling may be limited to high complexity assets or systems whose functionality and performance cannot be easily predicted by building prototypes, or by compliance to standards using existing approved products.

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8.6 System architecture management

The objective of system architecture management requirements is to synthesise or translate system-level functional and performance requirements into

a framework architecture that provides a range of perspectives, which are subsequently used as the basis for design decision-making and detailed

system design development.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory A design Authorised Engineering Organisation shall demonstrate that it has arrangements to manage the synthesis and development of system level requirements into a credible system architecture

7.3.2 SEM10

Guidance System architecture development and management is typically carried out by Authorised Engineering Organisations during the concept and development stages of the system or asset lifecycle in conjunction with system modelling and analysis.

Guidance System architecture management arrangements are typically documented in a system architecture management plan, but may be included as a section within an overall systems engineering management plan or engineering management plan, depending on the scope and complexity of engineering services provided on a project

Guidance Depending on the nature of the systems, the asset types involved, and the level of detail abstraction, the system architecture may be defined in standards and general arrangement drawings

Guidance Depending on the scope and nature of systems and elements involved, typical architectural viewpoints may includethe following:

functional architecture, a representation of each function and its embedding or relationship to other functions within and outside the system

logical architecture, representing logical relationships between functional elements of the system

physical architecture, representing the physical hardware that actually contains the functions defined in the functional architecture

geographic architecture, allocation of physical hardware assets to geographic locations

operational architecture, operational processes and interactions with internal and external users

Guidance For complex software programmable communications and control systems, evolving known best practice is to use the Unified Modelling Language (UML) or Systems Modelling Language (SysML) to define these systems using a range of standard architectural viewpoints and models

Guidance An Authorised Engineering Organisation may choose to procure established, validated, commercial architecture development and modelling tools to support this service. Generally this is used for modelling complex systems.

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8.7 RAM management

The objective of reliability, availability and maintainability (RAM) management is to ensure that the emergent RAM properties of the system can be

achieved by the evolving system architecture and design.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall demonstrate that it has RAM management arrangements in place, relevant to the engineering services or products provided

7.3.5; 7.3.6

SEM11

Guidance An Authorised Engineering Organisation providing fabrication, construction or installation services will not need to demonstrate reliability, availability and maintainability management. An Authorised Engineering Organisation offering system design or systems integration services should have these RAM management arrangements.

Guidance Where it can be demonstrated that a new system to be developed and implemented is using standard type-approved products in standard configurations, then it likely that the level of reliability availability and maintainability management will be negligible.

Guidance However, if an Authorised Engineering Organisation intends to engage in design or systems integration services involving development and delivery of systems in configurations that are not covered by existing standards, then the Authorised Engineering Organisation will be expected to demonstrate that it does have reliability, availability and maintainability management arrangements.

Guidance RAM management arrangements should be documented in a RAM plan or manual, but may be included as a section within an overall systems engineering management plan or engineering management plan, depending on the scope and complexity of engineering services provided

Guidance An Authorised Engineering Organisation may choose to procure established and validated commercial reliability, availability and maintainability modelling tools to support this service

Guidance An Authorised Engineering Organisation may choose to develop in-house reliability, availability and maintainability assurance tools, but their outputs will be required to demonstrate evidence of validation against known good results

Guidance Further guidance on the management of reliability, availability and maintainability is provided in Guide to Reliability, Availability and Maintainability

8.8 Verification and validation

The objective of verification and validation requirements is to ensure that the all requirements are proven to have been satisfactorily met, including

compliance with standards.

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Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall have arrangements for verification and validation management of the engineering services or products provided

7.3.5; 7.3.6; 7.5.1; 7.5.2

SEM12

Guidance Verification and validation management arrangements should typically include:

organisation, roles and responsibilities

processes and procedures

tools

Guidance Verification and validation management arrangements are typically documented in a verification and validation plan. However, they may form a section of a systems engineering management plan or overall engineering management plan, depending on the scope and complexity of engineering services provided.

Guidance An Authorised Engineering Organisation should provide appropriate verification and validation activities for safety requirements, depending on the required integrity of the implemented safety functions

Guidance An Authorised Engineering Organisation may choose to procure established and validated commercial verification and validation management tools to support this service

Guidance An Authorised Engineering Organisation may choose to develop in-house systems verification and validation tools

Guidance Further guidance on the management of verification and validation is provided in Guide to Verification and Validation

8.9 Configuration management

The objective of configuration management is to ensure that all changes to assets over the system life cycle are managed across a defined set of

baselines, including all related information and records.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall have configuration management arrangements in place, relevant to the engineering services or products provided

4.2.3; 4.2.4; 7.5.3

CFM1

Mandatory An Authorised Engineering Organisation shall apply configuration management to all new or altered assets under the scope of control of its engineering services

4.2.3; 4.2.4; 7.5.3

CFM2

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Guidance Configuration management arrangements should be in accordance with the requirements of ISO 10007

Guidance Configuration management arrangements should be documented in a configuration management plan, but may be included as a section within an overall systems engineering management plan, depending on the scope and complexity of engineering services provided.

Guidance Where an Authorised Engineering Organisation's engineering services are provided for relatively simple asset types, configuration management arrangements may be documented in an overall engineering management plan.

Mandatory An Authorised Engineering Organisation shall have arrangements to identify and record all configuration items under control of the Authorised Engineering Organisation providing the engineering services

4.2.4; 7.5.3

CFM3

Mandatory An Authorised Engineering Organisation shall have a system engineering services provided

of configuration audits at key stages relevant to the 8.2.2 CFM4

Mandatory An Authorised Engineering Organisation shall have a means to confirm the status of all configuration items under its control while providing the engineering services

7.5.3 CFM5

Mandatory An Authorised Engineering Organisation shall have configuration control of all changes to of the Authorised Engineering Organisation while providing the engineering services

assets under the control 4.2.4; 7.5.3

CFM6

Mandatory An Authorised Engineering Organisation shall control configuration change in relation to the network-level system within which the system under the Authorised Engineering Organisation's control must integrate

7.5.3 CFM7

Mandatory The configuration management functions shall be supported by managed by the Authorised Engineering Organisation

a tool that is suitable for the level of complexity 7.2.1(a) CFM8

Guidance The configuration management tool shall be able to exchange all configuration information easily in a non-proprietary format that is readable by TfNSW systems

7.2.1(a)

Mandatory The configuration management tool shall be appropriately scaled to the complexity of the system delivered by the Authorised Engineering Organisation engineering service

7.2.1(a) CFM9

Guidance For simpler assets, configuration data may be managed by spreadsheet, however for higher complexity rail systems a commercial enterprise tool is recommended

Guidance Further guidance on configuration management is provided in Configuration Management Guide

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8.10 Competence management

The objective of competence management is to ensure that only people who have the necessary knowledge, skills and experience to discharge their

duties in providing engineering services are employed. The objective of requirements for individual qualifications and depth of experience relating to

persons in key roles is to ensure that Authorised Engineering Organisations employ only suitably qualified persons in key roles in the provision of

engineering services to TfNSW.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall demonstrate that it employs people who have the necessary knowledge, skills and experience to competently and safely discharge their duties in providing engineering services

CPM1

Mandatory An Authorised Engineering Organisation shall have systematic and comprehensive arrangements for managing the competence of its engineering staff relevant to the engineering services provided.

6.2.2 CPM2

Guidance Competence management arrangements should cover the following areas:

recruitment, including identification, selection and induction of staff

identifying the competence requirements for tasks undertaken

training, including ongoing assessment and development of staff

assigning employees to engineering roles

keeping staff competence records

Guidance A competence management system should address the following elements:

job types, roles and skill types

range of competencies

mapping of skills and competency to job types and roles

mapping people to appropriate tasks

competency development plans of the organisation and staff

planning, development and execution of appropriate training and development programs

the manner in which an Authorised Engineering Organisation will utilise the skills and competencies to meet its objectives

development of suitable succession plans

planning for future changes to the organisation or environment

Guidance The competence management system should align with the principles set out in AEO Guide to Engineering Competence Management

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Guidance The competence management arrangements should be documented in a similar record that is always current

competence management plan or a

Mandatory Authorised Engineering Organisations shall implement a system for managing engineering staff competence that comprises a coherent arrangement of organisation roles, plans, processes, tools, and records, and that manages relative levels of skills, experience, and behaviours.

CPM3

Mandatory An Authorised Engineering Organisation shall define the skills and proficiency levels that are relevant to the tasks and activities employed in the provision of engineering services to TfNSW

CPM4

Mandatory An Authorised Engineering Organisation shall consider relevant external qualification standards to benchmark the skills to be assessed

CPM5

Guidance An Authorised Engineering Organisation may recognise prior learning and experience as a valid basiscompetence development and assessment, leading to an authority to perform a particular service

for

Mandatory An Authorised Engineering Organisation shall provide for the planning, implementation, recording, assessment and recognition of relevant continuing professional development activities to enhance the knowledge and skills of staff and the organisation as a whole

CPM6

Mandatory An Authorised Engineering Organisation shall maintain evidence that relevant industry competence requirements have been analysed and interpreted for the appropriate engineering services offered

CPM7

Mandatory An Authorised Engineering Organisation shall setcarrying out ‘key roles’ identified in the organisation

minimum acceptable competence requirements for posts 6.2.2(a) CPM8

Guidance Competence requirements for key roles should typically cover the following:

length of experience in specific roles

professional qualifications applicable to the role

training and certification requirements

specialist skills required for specialised tasks

Mandatory An Authorised Engineering Organisation shall identify and assess its engineering work activities and associated risks to determine those that have the potential to affect safe railway operations, or that may affect occupational health and safety of staff, passengers or the general public

CPM9

Mandatory An Authorised Engineering Organisation shall establish training and assessment requirements for staff that will deliver the engineering services

development needs and competence CPM10

Mandatory An Authorised responsibilities

Engineering Organisation shall define engineering competence management roles and M11CP

Mandatory An Authorised Engineering Organisation shall assign ownership and responsibility of engineering competence management to a suitably experienced individual

CPM12

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Mandatory Assessors shall have relevant engineering subject matter expertise, qualifications and assessment experience in the area being assessed

CPM13

14

15

16

17

18

19

20

21

Mandatory An Authorised Engineering Organisation shall maintain the competence of those managers and assessors operating the competence management system, and ensure that the managers and assessors understand their responsibilities

CPM

Mandatory An Authorised Engineering Organisation shall have arrangements in place to train, develop, and assess the competence of existing staff and new recruits using established methods and competence standards

CPM

Mandatory An Authorised Engineering Organisation shall maintain evidence of reviews of engineering staff competence records for audit purposes

CPM

Mandatory An Authorised Engineering Organisation shall maintain competence management records that contain appropriate and timely information about all competence aspects of a candidate

CPM

Mandatory An Authorised Engineering Organisation shall establish and maintain a register of all engineering staff and their competences

CPM

Mandatory An Authorised Engineering Organisation shall provide a job description containing roles, function, and abilities prior to commencing assessment of a candidate

CPM

Mandatory An Authorised Engineering Organisation shall establish timescales for periodic re-assessment of staff competence CPM

Mandatory An Authorised Engineering Organisation shall keep all engineering staff competence records in a secure location for the duration of the validity period

CPM

8.11 Human factors integration

The objective of human factors integration is to ensure that all relevant aspects of the human-machine interface are considered in the design and

validation of engineering activities and disciplines across the full asset life cycle. Human-related errors make a significant contribution to system safety

risk.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall manage all human factors relevant to the scope of authorised engineering services and disciplines provided to deliver the asset

7.2.1(a) SEM13

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Guidance An Authorised Engineering Organisation providing fabrication, construction or installation services will not need to demonstrate human factors integration. An Authorised Engineering Organisation offering system design or systems integration services, either as a technical advisor during the development of the reference design, or as part of a design and construct contract during project implementation, should have these arrangements.

Guidance The level of human factors integration is likely to be negligible where a new system to be developed and implemented using standard type-approved products in standard configurations can be demonstrated.

Guidance An Authorised Engineering Organisation is expected to demonstrate that it has human factors integration management arrangements, if the organisation intends to engage in design or systems integration services on projects involving development and delivery of novel systems in novel configurations that are not covered by existing standards

Guidance The system design or systems integrator Authorised Engineering Organisation may choose to buy in a specialist human factors consultant to support these arrangements

Guidance Human factors integration is usually addressed by Authorised Engineering Organisations involved in the specification and design stages of the asset life cycle, but it is also necessary to consider human factors during the integration, test and commissioning stages, in terms of planning, executing and recording human factors-related inspections and tests.

Guidance For simpler projects, an Authorised Engineering Organisation may describe the manner in which it manages human factors in an overall engineering management plan.

Guidance For complex projects, the Authorised Engineering Organisation may describe the manner in which it manages human factors in a human factors integration plan.


8.12 Electromagnetic compatibility

All electrical or electronic systems that are not correctly designed, manufactured or installed have the potential to cause electromagnetic interference

(EMI) to other equipment or services, or to be susceptible to EMI from a range of sources in the operational environment. The NSW railway operational

environment consists of a large number of critical, electromagnetically emissive and sensitive systems co-located in close proximity, including systems

used by other rail operators and external organisations. It is essential to manage electromagnetic compatibility (EMC) throughout the system life cycle,

from concept to commissioning and ongoing maintenance, to achieve and maintain total system functionality, performance and safety.


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Mandatory An Authorised Engineering Organisation engaged by TfNSW to undertake engineering activities involving the specification, design, integration or testing of electrical or electronic systems involving electromagnetic interference emitters (threats) or receivers (victims) shall have arrangements for managing electromagnetic compatibility.

SEM14

Mandatory An Authorised Engineering Organisation engaged by TfNSW to undertake engineering activities involving the specification, design, build, integration or modification of electrically conductive or magnetically permeative structures shall ensure that arrangements are in place for managing electromagnetic interference andelectromagnetic compatibility.

SEM15

Guidance An Authorised Engineering Organisation providing fabrication, construction or installation services for non-electrical or electronic systems will not need to demonstrate full electromagnetic compatibility management arrangements. An Authorised Engineering Organisation offering system design or systems integration services, either as a technical advisor during the development of the reference design, or as part of a design and construct contract during project implementation, should have electromagnetic compatibility management arrangements.

Guidance Electromagnetic interference can typically occur via four coupling mechanisms:

conductive interference, for example, stray earth currents from the traction earth return circuit

inductive, for example, currents induced by near-field alternating current power circuits

capacitive, for example, static discharge from high voltage circuits and coupling to lineside fences

radiative, for example, radiated electromagnetic waves

Guidance The level of electromagnetic compatibility management is expected to be negligible where it can be demonstrated that a new system will be designed and implemented using type-approved products in standard configurations.

Guidance An Authorised Engineering Organisation is expected to demonstrate that it has electromagnetic compatibility management arrangements if an Authorised Engineering Organisation intends to engage in design or systems integration services on projects involving development and delivery of novel electrical and electronic systems in novel configurations that are not covered by existing standards

Guidance The system design or systems integrator Authorised Engineering Organisation may choose to buy in a specialist electromagnetic compatibility consultant to support electromagnetic compatibility management arrangements

Guidance Any electrically conductive or magnetically permeative structure in the vicinity of electrical or electronic equipment has the potential to excessively couple (transfer) EMI, if not correctly designed, manufactured, modified, or installed. These structures typically include buried metal pipes, fences, towers, steel reinforced concrete structures of appreciable length such as viaducts, bridges, tunnels, platforms and concourses

Guidance An Authorised Engineering Organisation responsible for design and construction of these electrically conductive or magnetically permeative structures, usually civil engineers, should consult with the designers and installers of the electrical or electronic systems that may transfer EMI via these structures.

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Guidance These arrangements should enable the planning, analysis, execution, assurance and reporting of all electromagnetic compatibility-related activities on a project or system and document this in an electromagnetic compatibility management plan

Guidance Electromagnetic compatibility is typically achieved on most TfNSW rail projects through the following:

compliance to established standards and standard drawings for the configuration and relative positioning of electrical high voltage (HV) power feeders, overhead wiring (OHW) systems, low voltage (LV) power circuits, and various signalling, telecommunication and control systems

use of type-approved electrical and electronic systems and products

compliance with established earthing, bonding, screening, segregation, immunisation and electrolysis standards and codes of practice

Guidance An Authorised Engineering Organisation should demonstrate that it has systematically analysed the electromagnetic impact of any deviation from standard practice if is engaged to design, develop or introduce a new product or non-standard configuration

Guidance Engineering design and specification activities associated with electromagnetic compatibility on railway assets include:

earthing and bonding design for protection of both equipment and people

electromagnetic radiation analysis and design

electrolysis effects and their mitigation

lightning and other surge protection

Guidance Further guidance on the management of electromagneticElectromagnetic Compatibility

compatibility is provided in AEO Guide to

8.13 Systems safety assurance

The objective of system safety assurance is to ensure that the operational safety risks associated with the system are identified, managed and reduced

to as low as reasonably practicable (ALARP) in all engineering activities and disciplines over the full asset life cycle.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall have system safety assurance arrangements in place, relevant to the engineering services or products provided

SEM16

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Guidance The scope and depth of safety assurance arrangements should be scaled according to the range of engineering services and associated risk. A large multi-disciplinary engineering organisation that performs significant safety critical functions, including construction, testing and maintenance affecting the live operational railway will require a more comprehensive set of system safety management arrangements than a small niche consultancy providing single-discipline design services.

Guidance System safety assurance arrangements may also be documented in a safety management system (SMS). The scope and depth of an SMS will depend on the scope and depth of an Authorised Engineering Organisation'sengineering services. A small single discipline consultancy will have a small and simple SMS, whereas a large, multi-disciplinary engineering services or construction company will have a large and detailed SMS.

Mandatory An Authorised Engineering Organisation shall document how it plans to identify and manage associated with the changes to be introduced to the railway as a result of the services provided

safety risks SEM17

Guidance A safety change management plan is typically used to document how the Authorised Engineering Organisation will manage the safety risks associated with the changes that it introduces to the railway. This plan is alternatively referred to as a safety plan, safety management plan, or safety assurance plan

Mandatory An Authorised Engineering Organisation shall identify and analyse all hazards associated with the engineering services it provides

SEM18

Guidance Hazard identification and analysis techniques may include hazard identification (HazID), hazard and operability studies (HazOp), preliminary hazard analysis (PHA), system hazard analysis (SHA), sub-system hazard analysis(SSHA), and operational support hazard analysis (OSHA)

Mandatory An Authorised Engineering Organisation shall record and manage all identified hazards and associated hazard log

risks in a SEM19

Guidance The hazard log may be managed by a principle contractor, but it is still the responsibility of all AEOs operating under that principal contractor to manage the hazards and risks for which they are responsible

Mandatory An Authorised Engineering Organisation shall have arrangements in place for demonstrating that its engineering services manage safety risk in operation is to a level that is as low as reasonably practicable (ALARP)

SEM20

Mandatory An Authorised Engineering Organisation shall adopt risk-based decision making in supporting safe delivery of its engineering services

SEM21

Mandatory An Authorised Engineering Organisation shall prepare a safety argument that describes how it has managed the risks to ALARP and provide evidence to support this safety argument. The detail of the argument should be commensurate with the safety impact of the new or altered asset.

SEM22

Guidance The safety argument is typically presented in summary form using Goal Structuring Notation, and is included in a document called a 'safety case', alternatively referred to as a safety assurance report or statement

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Mandatory

Guidance

Guidance

Mandatory

Mandatory

Guidance


Proposed Reqt. ID

An Authorised Engineering Organisation shall have its safety engineering and assurance arrangements subject to independent safety assessment (ISA), where it is responsible for the introduction of new or novel systems that impact on the operational safety of the network, or where the scope and complexity of the project requires it.

SEM23

Independent safety assessment involves both an assessment of the product (by assessment) and process (by audit)

Depending on the contracting arrangements and the level of safety risk associated with the change to be implemented, either TfNSW or the Authorised Engineering Organisation may elect to commission an independent safety assessment

An Authorised Engineering Organisation shall demonstrate that it meetsconfiguration management committee (CMC) acceptance panel for safety

the requirements of the TfNSW SEM24

An Authorised Engineering Organisation shall demonstrate the capability to develop a structured safety argument for safety significant changes

SEM25

Further guidance on systems safety assurance is provided in AEO System Safety Standard

8.14 Systems assurance

Systems assurance is the total assurance that a system will satisfy all requirements and is fit for purpose as defined and agreed in those requirements.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall have systems assurance arrangements in place that are appropriate to the engineering services it provides within the system lifecycle

SEM26

Guidance Different types of Authorised Engineering Organisation, including designers, constructors, testers, systems integrators, and maintainers, will have a different focus on elements of systems assurance, depending on the engineering services offered.

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Guidance Systems assurance brings together the elements of:

quality assurance

verification and validation results

reliability, availability and maintainability (RAM) assurance

system safety assurance

compliance to procedures

compliance to standards

compliance to appropriate legislation

8.15 Asset management

The objective of asset management is to ensure that all management activities associated with acquisition, operation and maintenance of assets will

ensure that the asset integrity is maintained at a level that satisfies the original business requirements over the full asset life cycle.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall have management arrangements in place that align with the requirements of PAS 55-1:2008 Asset Management, as applicable to the scope of engineering services provided

ENM11

Guidance Not all Authorised Engineering Organisations will be required to have all asset management arrangements specified in PAS 55 in place. An Authorised Engineering Organisation which is responsible for the planning, acquisition, operation and maintenance of rail assets will have to demonstrate that the asset management arrangements do align with PAS 55. However, an Authorised Engineering Organisation which does not have direct asset management responsibility should still consider PAS 55 requirements in the delivery of their engineering services.

An example of an organisation without direct asset management responsibility would be a design Authorised Engineering Organisation operating in the acquisition and delivery phase of the asset lifecycle.

Guidance While PAS 55-1:2008 focuses on asset management from the perspective of asset owners, operators and maintainers, it also contains requirements that apply to Authorised Engineering Organisations that provide engineering services associated with the acquisition and disposal of assets, which are usually under the control of a project. An Authorised Engineering Organisation providing engineering services during the project lifecycle should therefore ensure that they comply with PAS 55-1:2008 requirements associated with asset acquisition and disposal.

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Guidance Rail infrastructure managers (RIM) and rolling stock operators (RSO) are the primary organisations that will need to have asset management arrangements in place that comply with PAS 55-1 or an equivalent relevant standard

Guidance Guidance on the appropriate application of PAS 55-1:2008 is application of PAS 55-1'

provided in PAS 55-2:2008 'Guidelines for the

Guidance The International Organisation for Standardization (ISO) is in the process of developing ISO 55001, which is expected to supersede PAS 55-1 in the near future

8.16 Quality management

The objective of quality management within the context of engineering management is to ensure that the quality of engineering services and products

over the full asset lifecycle are recorded, controlled and repeatable.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall establish and maintain a management system, which complies with the requirements of ISO 9001

QAM1

Guidance Where an Authorised Engineering Organisation can demonstrate certification to an equivalent quality management system standard, this will be assessed for suitability to assure the service or product quality in consultation with the ASA

8.17 Knowledge management

Knowledge management within the context of engineering management ensures that lessons learnt are recorded and shared to ensure that processes,

products or services are subject to continuous improvement.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall demonstrate the development and maintenance of knowledge management networks and the sharing of industry-relevant lessons learned and experience with the ASA

QAM2

Guidance This requirement aligns with one of the ASA objectives to engage with industry to share lessons learned and emerging best practice

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8.18 Record keeping

Engineering record keeping within the context of engineering management ensures that all formal records are retained for ease of reference and

retrieval by relevant users, as well as for compliance demonstration.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall establish and maintain as a minimum, records of the following:

competence management records, for example, assessments, development, logbooks, and CVs

engineering assurance records applicable to the authorised services, for example, construction, manufacturing, integration, testing, commissioning, maintenance and disposal

configuration data records in a common format that can be exchanged with other parties

quality assurance records, for example, inspections, audits, and reports

safety assurance records, for example, hazard logs, safety plans and safety reports

QAM3

Guidance Record keeping is a quality management requirement, and should be demonstrable by engineering organisations that have established a quality management system compliant with ISO 9001 or equivalent

8.19 Standards management

Standards management ensures that Authorised Engineering Organisations are working to the latest approved versions of re-engineering standards

that are relevant to engineering services provided.

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall establish and maintain a repository of the latest relevant engineering standards, guidance, codes of practice, and similar documents that are applicable to the engineering service areas and disciplines for which it seeks and obtains authorisation. Standards relevant to Transport for NSW include:

TfNSW/ASA standards (including legacy RailCorp standards)

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

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

other standards that may be appropriate to the transport industry

ENM12

Guidance The engineering standards repository may take the form of a register with references to the latest versions of the relevant standards and where they are maintained, to ensure that the AEO is working to latest standards

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8.20 Judgement of significance

Mandatory/ Guidance


Proposed Reqt. ID

Mandatory An Authorised Engineering Organisation shall establish arrangements for assessing the significance of proposed engineering changes arising from the delivery of its engineering services.

ENM13

Guidance This judgement of significance (JOS) should assess complexity and impact (including safety risk) of the change.

Mandatory An Authorised Engineering Organisation shall ensure that a competent person has accountability for assessing and approving the engineering change

ENM14

Guidance Where the significance is judged to be beyond the authority of the AEO, the AEO should escalate it via the normal contractual reporting arrangements to TfNSW for decision and approval of the change.

Guidance The attributes of a suitable judgement of significance decision related to a proposed engineering change include:

assessment of the need for the change

risk level (including safety)

RAM impacts

updates to the configuration/technical data

Guidance The JOS arrangements should be considered in relation to configuration management, risk management, requests for information, and engineering standards waiver processes

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