TPO Approach to
Engineering Safety &
Systems Assurance in the
AEO World
Steve Ivey – Principal Manager Engineering Safety and Systems Assurance
Content
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Introduction
Requirements
Duty Holder Responsibility
Brave New World
Assurance Delivery
Assurance Framework
Assurance Tools
AEO and TPO Responsibilities
Assurance & Governance Plan
What’s Next
Introduction of AEO
• AEO model introduced by ASA
• Change in Focus for Engineering Branch of Transport
Projects
• Preferred Model of having ‘limited’ project involvement
• Requires a Change in Focus
• Performance Based
• Whole of Asset Life view
• TPO Risk Appetite
• Scalable
Requirements
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ASA Management Standards
Technical Information
Guidance Documents
Legislation
TfNSW and TPO Policies
Duty Holder Responsibility
• WHS legislation and RSNL principles to be satisfied
• In very broad terms the legislation places obligations on
designers, constructors and suppliers (duty holders) such
that when supplying a project the respective duty holders
must also supply the assurance that the ‘project’ is safe
• A second piece of legislation, the Transport Administration
Act, when also considered in broad terms places an
obligation on Transport Projects to deliver projects that
are safe and fit for purpose
Duty Holder Responsibility
• Legislation allows for a duty holder to satisfy its
obligations by placing reliance on assurances provided by
suitably qualified downstream duty holders
• AEO’s deliver the Assurance
• TPO are required to carry out due diligence review
Brave New World
• Changes Required
• New TPO Engineering Safety Assurance Framework and
associated Processes required for AEO projects
• Existing process to remain for AEOEP
Assurance Delivery
TfNSW
Checks that the Agreed Assurance plan is being implemented ‐ Diligence
3rd Party Assurance
Agreement (contract) on AEO proposed Assurance plan (progressive assurance)
Could include independence?
2nd Party Assurance
AEO
Systems Assurance Plan includes 1st and 2rd Party Assurance activities to support required project scope/requirements
1st part Assurance
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Assurance Framework
• A new Systems Assurance Framework has been
developed in TPO Engineering
• Less Prescriptive
• The Framework sets out a balanced approach for the
delivery of SA, which is more reliant upon the delivery of
assurance being predominantly provided by the AEO’s
• The total assurance required and provided should be
commensurate with the level of risk
Purpose
• Intended to be used as a guide in the form of high level
SA requirements
• Intended to provide a structured and systematic process
for the application of SA and greater consistency across
projects
• Developed to align with Configuration Management
Process
• Performance and Risk based
• Focus on Engineering Diligence
• Focus on Asset Lifecycle
Systems Assurance Framework
Assurance Tools
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AEO’s own assurance processes, plus:
ASA Authorisation of AEO’s
ASA Surveillance Audits and Inspections
Audit and Inspection
The use of an Independent Certifier
The use of ISA/ IPR
Engineering Diligence Review
TfNSW and AEO’s Safety Management Systems
Configuration Management Process
Stakeholder Consultation/Interface management
Regulator*
Assurance & Governance
Plan
• Plan is required to show that changes are controlled and
carried out in a structured way
• Intended to be a high level Plan to define the Assurance
and Governance arrangements
• Establishes minimum Assurance requirements
• Demonstrates the intent to TfNSW CMAAC (Gate 1)
• Describes organisations responsible for work and
assurance
• Overview of arrangements for addressing Key Risk areas
• Developed as early as possible and progressively evolve
AEO Responsibility
• Required to demonstrate that they have appropriate levels of competency and capacity to perform SA
• Align their SA outputs with TPO Assurance and
Governance requirements
• Required to utilise own processes for the development
and delivery of SA, demonstrate compliance and that
the risk is managed SFAIRP
• When required AEOs to appoint and manage
independent professional critical review (ISA) to verify
that SA processes are correct and implemented
• Engage with stakeholders to identify, recommend and
deliver appropriate assurance
TfNSW/TPO Responsibility
• TfNSW establish Assurance Governance Plan (see
next slide) that will govern SA processes to be adopted
by TPO and AEOs
• TPO to define minimum SA requirements to be met by
AEOs
• TPO to rely on AEO Processes for delivery of SA
• TPO to perform “Engineering Diligence review’, to
determine that ‘change’ is assured for the intended
purpose and that the risk is managed SFAIRP
• TPO perform regular surveillance and audit to ensure
SA performance acceptable
• TPO Project responsible for CCB Submissions
What's Next in 2015?
• New TPO Engineering Safety & Systems
Assurance Procedure for use on AEO projects
• Stakeholder Review of Process (May)
• Better Clarity on Engineering Safety & Systems
Assurance requirements for AEO projects
• Changes to make it easier for both TPO & AEOs • Aim to be published and rolled out formally in
QMS (June)
• Training
Questions ?
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