T MU MD 00009 ST AEO Authorisation Requirements

139_3t_mu_md_00009_st_(archived_v2_0).pdf Superseded by T MU MD 00009 ST v3.0, 08/05/2017AEO Authorisation Requirements

T MU MD 00009 ST

Standard

Version 2.0

Issued Date: 01 December 2014

Effective Date: 05 January 2015

Important Warning

This document is one of a set of standards developed solely and specifically for use on the rail network owned or managed by the NSW

Government and its agencies. It is not suitable for any other purpose. You must not use or adapt it or rely upon it in any way unless you

are authorised in writing to do so by a relevant NSW Government agency.

If this document forms part of a contract with, or is a condition of approval by, a NSW Government agency, use of the document is

subject to the terms of the contract or approval.

This document may not be current. Current standards are available for download from the Asset Standards Authority website at

www.asa.transport.nsw.gov.au.

© State of NSW through Transport for NSW

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© State of NSW through Transport

for NSW

Standard governance

Owner: Manager Authorisation, Asset Standards Authority

Authoriser:

Principal Manager Authorisation and Audit, Asset Standards Authority

Approver:

Director, Asset Standards Authority on behalf of ASA Configuration Control Board

Document history

Version Summary of change

1.0 First issue under standard number TS 10502

2.0

Second issue

For queries regarding this document,

please email the ASA at standards@asa.transport.nsw.gov.au or visit www.asa.transport.nsw.gov.au

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Preface

The Asset Standards Authority (ASA) is an independent unit within Transport for NSW (TfNSW) and is the network design and standards authority for defined NSW transport assets. The ASA is responsible for developing engineering governance frameworks to support industry delivery in the assurance of design, safety, integrity, construction, and commissioning of transport assets for the whole asset life cycle. To achieve this, the ASA effectively discharges obligations as the authority for various technical, process, and planning matters across the asset life cycle. The ASA collaborates with industry using stakeholder engagement activities to assist in achieving its mission. These activities help align the ASA to broader government expectations of making it clearer, simpler, and more attractive to do business within the NSW transport industry, allowing the supply chain to deliver safe, efficient, and competent transport services. The ASA develops, maintains, controls, and publishes a suite of standards and other documentation for transport assets of TfNSW. Further, the ASA ensures that these standards are performance-based to create opportunities for innovation and improve access to a broader competitive supply chain. A principle function of the ASA is to set, maintain and administer the framework for assessment, authorisation, surveillance, review and audit of organisations that provide engineering services in relation to the asset life cycle of NSW transport assets. This is the second issue of this document. The changes to previous content include the following: removal of modelling and analysis section addition of requirements for human factors, environmental, noise and vibration amendment of configuration management requirements amendment of competence management section update of ISO 9001 mapping to AEO requirements update of asset management section number change from TS 10502 to T MU MD 00009 ST Superseded by T MU MD 00009 ST v3.0, 08/05/2017

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Table of contents

1. Introduction........................................................................

....................................................................5

2. Purpose........................................................................

...........................................................................5

2.1. Scope ........................................................................

............................................................................................. 5

2.2. Application........................................................................

..................................................................................... 5

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

...................................................6

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

...................................................7

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

..............................................8

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

.................................................8

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

.................................9

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

...........................................10

8.1. General engineering management........................................................................

............................................. 10

8.2. Asset management ........................................................................

..................................................................... 17

8.3. Standards management........................................................................

.............................................................. 18

8.4. Judgment of significance........................................................................

........................................................... 18

9. Systems engineering........................................................................

...................................................20

9.1. General systems engineering management ........................................................................

............................. 20

9.2. Requirements management ........................................................................

....................................................... 22

9.3. Interface management........................................................................

................................................................ 23

9.4. System architecture management........................................................................

............................................. 25

9.5. RAM management........................................................................

....................................................................... 26

9.6. Verification and validation........................................................................

.......................................................... 27

9.7. Human factors integration........................................................................

.......................................................... 28

9.8. Electromagnetic compatibility ........................................................................

................................................... 29

9.9. Systems safety assurance ........................................................................

......................................................... 32

10. Configuration management........................................................................

........................................34

11. Competence management........................................................................

..........................................36

12. Quality management ........................................................................

...................................................43

12.1. Knowledge management........................................................................

............................................................ 44

12.2. Record keeping ........................................................................

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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 use 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 in relation to the asset life cycle of NSW rail assets, on behalf of TfNSW.

2. Purpose

The ASA is the network design and standards authority for NSW rail assets and, through rights and powers conferred upon it by the Secretary Transport for NSW, mandates requirements on rail transport agencies and AEOs. This document forms part of these mandated requirements. This standard provides information outlining requirements that an engineering organisation is required to demonstrate compliance with, if it is to be engaged to provide engineering services in relation to the asset life cycle of NSW rail assets on behalf of TfNSW.

2.1. Scope

This standard tables the common requirements for engineering management arrangements including engineering competence management. The requirements tables includes a rationale for each requirement group, a statement of one or more requirements that 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 engineering services suppliers applying for authorisation to provide the services defined in T MU MD 00007 ST AEO Authorisation Governance Framework and T MU MD 00009 F1 AEO Engineering Services Scoping Matrix Template in relation to the asset life cycle of NSW rail assets.

The intended audience for this standard includes

TfNSW, TfNSW rail infrastructure managers,

TfNSW rail transport assets operators, and suppliers of engineering services to TfNSW in relation to rail assets. The requirements contained in this document may be used by an authorised 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. Superseded by T MU MD 00009 ST v3.0, 08/05/2017

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3. Reference documents

International standards

ISO 9001: 2008 Quality Management Systems - Requirements 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 ISO 55001: 2014 Asset management - Management systems - Requirements PAS 55-1: 2008 Asset Management Part 1: specification for the optimized management of physical assets

Transport for NSW standards

T MU MD 00003 GU Guide to Independent Safety Assessment T MU MD 00007 ST AEO Authorisation Governance Framework

T MU MD 00008 GU AEO Guide to Authorisation

T MU MD 00009 F1 AEO Engineering Services Scoping Matrix Template T MU HF 00001 ST Human Factors Integration - General Requirements T MU HF 00001 GU AEO Guide to Human Factors Integration TS 10503 AEO Guide to Engineering Competence Management

TS 10504 AEO Guide to Engineering Management

TS 10505 Guide to Requirements Definition and Analysis

TS 10506 Guide to Verification and Validation

TS 10507 Guide to Systems Integration

TS 20001 AEO System Safety Standard for New or Altered Assets

Legislation

NSW Environmental Planning and Assessment Act 1979

NSW Work Health and Safety Regulation 2011

Rail Safety National Law (NSW)

Other

TAE10 - Training and Education, Innovation and Business Industry Skills Council Superseded by T MU MD 00009 ST v3.0, 08/05/2017

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4. Terms and definitions

The following terms and definitions apply in this document: 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.

ASA Asset Standards Authority

asset life cycle stages involved in the management of the asset assurance a positive declaration intended to give confidence authorisation the conferring of authority, by an official instruction and supported by assessment and audit.

CMS competency management system

compliance the state or fact of according with, or meeting, rules or standards competent person as defined under the NSW Work Health and Safety Regulation 2011

COTS commercial off the shelf

EMC electromagnetic compatibility

EMI electromagnetic interference

framework a basic structure underlying a system, concept, or text governance the rules, processes, or laws by which the authorisation framework is operated HazID hazard identification

HazOp hazard and operability

ISO International Organisation for Standardization JAS/ANZ Joint Accreditation System of Australia and New Zealand

JOS judgment of significance

OMG Object Management Group

OSHA operational support hazard analysis

PAS publicly available specification

PHA preliminary hazard analysis

RAM reliability, availability, maintainability

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RIM railway infrastructure manager

RSO rolling stock operator

SEMP systems engineering management plan

SFAIRP so far as is reasonably practicable

SHA system hazard analysis

SMS safety management system

SQE safety, quality and environment

SSHA sub-system hazard analysis

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. staff all of the following employment categories: permanent or fulltime or fixed-term employees, part-time or casual employees, shift workers, daily hire and weekly hire employees, probationary employees, apprentices or trainees, employment agency staff or labour hire, contractors or sub-contractors

SysML systems modelling language

TfNSW Transport for New South Wales

UML unified modelling language

validation the process to ensure that the delivered system or asset meets client requirements verification the process to ensure that the output of each stage in the system life cycle meets the stage input requirements

5. Assessment of suppliers

A supplier of engineering services and products wishing to engage in work for TfNSW may be assessed and audited against AEO requirements irrespective of contractual status.

6. Contractual obligations

Compliance with the requirements described in this standard by a supplier of engineering services or products as part of achieving initial AEO status does not remove the responsibility of an AEO to continually demonstrate compliance as part of the normal TfNSW tendering and contract arrangements. Superseded by T MU MD 00009 ST v3.0, 08/05/2017

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7. AEO authorisation requirements

Safety, environment and quality management areas, and associated mandatory requirements and guidance are provided to assist an AEO in achieving relevant levels of compliance. Each mandatory requirement is mapped to one or more relevant clauses in the primary governing standard (ISO 9001) and may also be accompanied with guidance - supporting information to assist in interpreting adequate compliance. 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 AEOs cover the following engineering management areas: general engineering management systems engineering requirements management interface management system architecture management RAM management verification and validation human factors integration electromagnetic compatibility systems safety assurance configuration management competence management engineering assurance asset management environmental impact quality management Superseded by T MU MD 00009 ST v3.0, 08/05/2017

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8. Engineering management

Sections 8.1 through to Section 8.4 outline the engineering requirements that an organisation is required to demonstrate compliance with.

8.1. General engineering management

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

undertaking engineering activities. A robust 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. Req. ID Mandatory/Guidance Requirements ISO 9001

ENM1 Mandatory An AEO shall have arrangements for executing engineering services in a competent and systematic 7.1

way. 7 An AEO shall have engineering management methodologies appropriate to its engineering services N/A Guidance This is a summary requirement covering the entire engineering management section. N/A

The response does not need to cover all the other engineering management requirements in detail, but should

provide a top-level summarised conclusion. It is to be answered last - after the relevant specific requirements have been addressed

N/A Guidance Engineering management arrangements should typically be documented in an engineering management plan

(EMP) or manual N/A

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Req. ID Mandatory/Guidance Requirements ISO 9001

N/A 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 AEO, and the level of assurance required by the AEO. 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 N/A

N/A 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 N/A

N/A 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 N/A

ENM2 Mandatory An AEO shall ensure that its engineering services map to relevant phases of the TfNSW asset life

cycle model 7

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

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Req. ID Mandatory/Guidance Requirements ISO 9001

ENM3 Mandatory An AEO shall establish and maintain an engineering assurance process that aligns to the range of

engineering services and activities that the organisation intends to provide 7

ENM4 Mandatory An AEO shall demonstrate engineering assurance based on progressive stage gateway reviews 7

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

exploratory, pre-feasibility conceptualisation 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 N/A

N/A Guidance An AEO should be satisfied at each baseline gateway review that safety risk has been managed SFAIRP N/A

N/A Guidance The baseline stage gateways to apply will depend on the scope of engineering services offered over the asset

life cycle by the AEO N/A

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Req. ID Mandatory/Guidance Requirements ISO 9001

N/A 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 N/A N/A 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 N/A

N/A Guidance The engineering methodologies and processes that an AEO applies will depend upon the scope of

engineering services offered over the asset life cycle N/A

N/A Guidance AEOs should refer to TS 10504 AEO Guide to Engineering Management for further guidance on engineering

management for TfNSW projects N/A

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Req. ID Mandatory/Guidance Requirements ISO 9001

ENM5 Mandatory AEOs shall apply a risk-based approach to engineering assurance 7.2.1(a)

N/A Guidance Engineering services include design, construction, installation, testing, commissioning, maintenance and

disposal N/A

N/A Guidance Management of engineering risk across the rail network is a joint responsibility of all parties, including the

AEO and TfNSW N/A

N/A 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 N/A

N/A Guidance Design AEOs should have a staged design assurance process, containing the following suggested stages:

system concept review for AEOs 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 before commissioning

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

documentation and drawings N/A

ENM6 Mandatory Design AEOs shall have

commissioning stages capability to provide design support during construction, inspection, test and 7.5.1

ENM7 Mandatory Design AEOs shall have 'safety in design' as part of producing engineering designs 7.3

ENM8 Mandatory An AEO shall incorporate sustainability engineering services in design as relevant to the scope of the authorised 7.3 N/A

Guidance The objective of sustainability in design is to ensure that all relevant aspects of sustainability are considered in

the engineering activities applied across the full asset life cycle. Sustainability in design should aim to lower

life cycle costs, reduce environmental risks and negative impacts, and improve operational performance N/A

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Req. ID Mandatory/Guidance Requirements ISO 9001

N/A

Guidance The application of the sustainability in design process for a specific project would typically be described in a sustainability integration plan (SIP), although for simple projects it may be contained within the engineering

management plan.

For specific projects or issues, an AEO will often require sustainability specialist advice. This expertise may be

in-house or contracted N/A N/A Guidance Key considerations for sustainability in design are as follows: identify and record sustainability issues relevant to specific projects include sustainability early in the planning and design process

determine and justify the amount of sustainability work in line with the risk and complexity of specific

projects analyse, manage and control identified issues

include consideration of sustainability in engineering analyses. For example, in requirements definition,

life cycle analysis, operational concepts, or risk assessment provide a mechanism for closing out issues capture and record lessons learnt at the conclusion of projects N/A N/A

Guidance The scale of the sustainability work required will vary from 'significant' for novel and complex projects to

'minimal' for 'like for like' substitution of a piece of equipment N/A

ENM9 Mandatory An AEO shall consider environmental impact as relevant to the scope of the authorised engineering

services 7.3 N/A

Guidance The objective is to ensure that the environmental impact of the services is considered and incorporated in

decision-making and option selection N/A N/A

Guidance The scale of the environmental impact assessment work required will vary from 'significant' for complex

projects where there may be a significant environmental or social impact, to 'minimal' for 'like for like'

substitution of a piece of equipment. Compliance with the NSW Environmental Planning and Assessment Act

1979 will guide the scale of the work N/A

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Req. ID Mandatory/Guidance Requirements ISO 9001

N/A

Guidance The application of the environmental impact assessment process for a large project would typically be

described in an environmental impact assessment report (EIA). Often, the EIA will be done as a separate

task. In this case the AEO would be expected to provide input into the project EIA.

For simple projects, the impact assessment may be contained within the engineering management plan or

option selection report N/A N/A Guidance Key elements for environmental impact assessment are as follows: identify and assess environmental impacts and risks identify any mitigation measures make recommendations for any further environmental impact assessment include environmental impact consideration in engineering analyses (for example in requirements definition, option selection, operational concepts, risk assessment) provide a mechanism for closing out issues capture and record lessons learnt at the conclusion of projects N/A

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8.2. Asset management

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

asset integrity at a level that satisfies the original business requirements over the planned asset life. Req. ID Mandatory/Guidance Requirements ISO 9001

ENM10 Mandatory An AEO shall have management arrangements in place that align with the requirements of

ISO 55001: 2014 Asset management - Management systems - Requirements, or PAS 55-1:2008 Asset Management, as applicable to the scope of engineering services provided 4.1. 7.1.

N/A Guidance Not all AEOs will be required to have all asset management arrangements specified in ISO 55001, or PAS 55 in

place. An AEO that is responsible for the planning, acquisition, operation and maintenance of rail assets will

have to demonstrate that the asset management arrangements do align with ISO 55001 or PAS 55. An example of an organisation without direct asset management responsibility would be a design AEO operating in the acquisition and delivery phase of the asset life cycle N/A

N/A Guidance While ISO 55001: 2014 or PAS 55-1: 2008 focuses on asset management from the perspective of asset

owners, operators and maintainers, it also contains requirements that apply to AEOs that provide engineering

services associated with the acquisition and disposal of assets, which are usually under the control of a project.

An AEO providing engineering services during the project life cycle should therefore ensure that it complies

with ISO 55001: 2014 or PAS 55-1: 2008 requirements associated with asset acquisition and disposal. N/A

N/A 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 ISO 55001: 2014, or PAS 55-1, or an

equivalent relevant standard N/A

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8.3. Standards management

Standards management ensures that AEOs are working to the latest approved versions of engineering standards that are relevant to engineering services

provided. Req. ID Mandatory/Requirements ISO 9001

Guidance

ENM11 Mandatory An AEO 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 TfNSW include: 4.2.3.

TfNSW standards (including legacy RailCorp standards) Australian standards (referred to indirectly in TfNSW standards, or in their own right) international standards (ISO, IEC, EN, and similar) other standards that may be appropriate to the transport industry

N/A Guidance The engineering standards repository may take the form of a register with references to the latest versions of the N/A

relevant standards and where they are maintained, to ensure that the AEO is working to the latest standards

8.4. Judgment of significance

Req. ID Mandatory/Guidance Requirements ISO 9001

ENM12 Mandatory An AEO shall establish arrangements for assessing the significance of proposed engineering changes

arising from the delivery of its engineering services 4.2.3.

N/A Guidance This judgment of significance (JOS) should assess complexity and effects, including safety risk, of the change N/A

ENM13 Mandatory An AEO shall ensure that a competent person has accountability for assessing and approving the

engineering change 6.2.2(a) N/A

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 N/A

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Req. ID Mandatory/Guidance Requirements ISO 9001

N/A Guidance The attributes of a suitable judgement of significance related to a proposed engineering change include:

assessment of the need for the change risk level including safety risk RAM impacts updates to the configuration and technical data N/A

N/A Guidance The JOS arrangements should be considered in relation to configuration management, risk management,

requests for information, and engineering standards 'concessions' processes N/A

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9. Systems engineering

Sections 9.1 through to Section 9.9 outline the systems engineering requirements that an organisation is required to demonstrate compliance with.

9.1. General systems engineering management

The objective of systems engineering requirements is to use a scalable methodology that can manage 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. Reqt. ID Mandatory/Guidance Requirements ISO 9001

SEM1 Mandatory An AEO shall have a systems engineering approach to the planning and delivery of its engineering services or products 7.

N/A

Guidance This is a summary requirement.

The response does not need to cover all the other relevant requirements in detail, but should provide a

top-level summary. It is to be answered last - after the relevant specific requirements have been addressed N/A

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Reqt. ID Mandatory

/Guidance Requirements ISO 9001 N/A 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 N/A configuration management engineering competence management human factors integration electromagnetic compatibility systems safety assurance overall systems assurance asset management

N/A Guidance An AEO 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 N/A

N/A Guidance An AEO that provides multi-disciplinary services should document its systems engineering approach in a

systems engineering management plan or manual N/A

N/A Guidance An AEO 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 N/A

N/A Guidance An AEO 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 AEO. Smaller AEOs may choose this approach N/A

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Reqt. ID Mandatory

/Guidance Requirements ISO 9001

N/A Guidance An AEO may choose to scale the level of systems engineering relevant to the level of complexity, novelty and

risk associated with its services. AEOs may prepare a relatively simple engineering management plan for

standard, single discipline engineering projects, whereas AEOs 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 N/A

N/A Guidance AEOs should refer to TS 10504 AEO Guide to Engineering Management for further guidance on systems

engineering as a methodology for engineering management on TfNSW projects N/A

9.2. 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. Reqt. ID Mandatory/

Guidance Requirements ISO 9001

SEM2 Mandatory An AEO 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. N/A

Guidance The response does not need to cover all the other relevant requirements in details, but should provide a top level

summarised conclusion. N/A It is to be answered last - after the relevant specific requirements have been addressed

N/A 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 N/A N/A Guidance An AEO should have a process for identifying system and managed safety requirements, which should be specifically identified N/A

SEM3 Mandatory An AEO shall establish and maintain a requirements management tool or system 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.

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SEM4 Mandatory The requirements management tool or system shall be able to easily exchange all requirements

information using a common interchange format with other organisations 7.2.1(a)

N/A Guidance A common requirements interchange format is the Object Management Group requirements interchange format

(ReqIF), specified at www.omg.org N/A

N/A 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 AEO could manage requirements using a spreadsheet tool N/A

N/A Guidance Proprietary requirements management tools are available N/A N/A Guidance Further guidance is provided in TS 10505 Guide to Requirements Definition and Analysis

9.3. 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. Reqt. ID Mandatory/

Guidance Requirements ISO 9001

SEM5 Mandatory An AEO shall have interface management arrangements that set out the process, responsibilities,

structure, tools and deliverables 7.2.1(a) N/A

Guidance The response does not need to cover all the other relevant requirements in details, but should provide a top level N/A

summary. It is to be answered last - after the relevant specific requirements have been addressed

N/A 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 N/A

SEM6 Mandatory An AEO shall ensure that all interface requirements under the control of its engineering services are

identified, captured and managed 7.2.1(a)

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N/A Guidance An AEO 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 N/A

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

SEM7 Mandatory An AEO 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)

N/A Guidance An AEO 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 AEO is authorised N/A

SEM8 Mandatory An AEO shall identify and manage interface risks and outcomes that may undesired impact have a safety or other 7.3.

SEM9 Mandatory An AEO 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 7.2.1.

N/A Guidance Not all AEOs will be required to offer or demonstrate systems integration capability N/A

N/A Guidance Further guidance on interface management is provided in TS 10507 Guide to Systems Integration

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9.4. 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 then used for design decision-making and detailed system design development.

Reqt. ID Mandatory/

Guidance Requirements ISO 9001 SEM10 Mandatory A design AEO shall demonstrate that it has arrangements to manage the synthesis and development of

system level requirements into a credible system architecture 7.3.2. N/A Guidance System architecture development and management is typically done by AEOs during the concept and

development stages of the system or asset life cycle in conjunction with system modelling and analysis N/A N/A 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 N/A N/A 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 N/A N/A Guidance Depending on the scope and nature of systems and elements involved, typical architectural viewpoints may

include the 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 N/A N/A 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 N/A N/A Guidance An AEO may choose to procure established, validated, commercial architecture development and modelling tools

to support this service. Generally this is used for modelling complex systems N/A

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9.5. RAM management

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

evolving system architecture and design.

Reqt. ID Mandatory/

Guidance Requirements ISO 9001 SEM11 Mandatory An AEO shall demonstrate that it has RAM management arrangements in place, relevant to the

engineering services or products provided 7.3.5.

7.3.6. N/A Guidance An AEO providing fabrication, construction or installation services will not need to demonstrate reliability,

availability and maintainability management. An AEO offering system design or systems integration services

should have RAM management arrangements N/A N/A Guidance Where an AEO can be demonstrate that a new system to be developed and implemented is using standard type-

approved products in standard configurations, then it is likely that the level of reliability availability and

maintainability management required will be negligible N/A N/A Guidance However, if an AEO 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 AEO will be expected to

demonstrate that it does have reliability, availability and maintainability management arrangements N/A N/A 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 N/A N/A Guidance An AEO may choose to procure established and validated commercial reliability, availability and maintainability

modelling tools to support this service N/A N/A Guidance An AEO may choose to develop in-house reliability, availability and maintainability assurance tools, but their

outputs must be validated against known satisfaction benchmarks N/A

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9.6. 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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Guidance Requirements ISO 9001 SEM12 Mandatory An AEO 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. N/A Guidance Verification and validation management arrangements should typically include:

organisation, roles and responsibilities processes and procedures

tools N/A N/A 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 N/A N/A Guidance An AEO should provide appropriate verification and validation activities for safety requirements, depending on the

required integrity of the implemented safety functions N/A N/A Guidance An AEO may choose to procure established and validated commercial verification and validation management

tools to support this service N/A N/A Guidance An AEO may choose to develop in-house systems verification and validation tools N/A N/A Guidance Further guidance on the management of verification and validation is provided in TS 10506 Guide to Verification

and Validation N/A

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9.7. Human factors integration

The objective of human factors integration is to ensure that all relevant aspects of the human interaction within the system are considered in the engineering

activities applied across the full asset life cycle. The practical application of human factors knowledge contributes to enhanced design solutions and improved

operational and safety performance. Reqt. ID Mandatory/

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SEM13 Mandatory An Authorised Engineering Organisation shall manage all human factors relevant to the scope of the

authorised engineering services 7.2.1(a)

N/A Guidance Human factors integration is the process by which the application of human factors is managed. An Authorised

Engineering Organisation is expected to have such a process.

The application of the human factors integration process for a specific project would typically be described in a

human factors integration plan (HFIP), although for simple projects it may be contained within the engineering

management plan.

For specific projects

or issues an AEO will often require human factors specialist advice. This expertise may be in-house or contracted N/A

N/A Guidance Human factors integration should be a structured and documented process which as a minimum:

identifies the various user groups, their attributes and requirements identifies and records human factors issues relevant to specific projects

determines and justifies the level of human factors work in line with the risk and complexity of specific

projects analyses, manages and controls identified issues

includes human factors consideration in engineering analyses (for example in requirements definition,

operational concepts, hazard identification, risk assessment, FMECA, FTA etc) provides a mechanism for closing out issues captures and records lessons learnt at the conclusion of projects N/A

N/A Guidance Application of the human factors integration process should identify human factors issues - physical, cognitive

and organisational - including the opportunities for human error and their consequences N/A

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N/A Guidance The scale of the human factors work required will vary from significant for novel and complex projects to minimal

for 'like for like' substitution of a piece of equipment N/A

N/A Guidance Further guidance on human factors integration is provided in the T MU HF 00001 GU AEO Guide to Human

Factors Integration

SEM14 Mandatory Human factors integration tasks shall be done by a competent resource. The competency requirements

of the resource shall be determined by the needs of the specific project 6.2.

N/A Guidance For simpler projects, an Authorised Engineering Organisation may describe the manner in which it manages

human factors in an overall engineering management plan N/A

N/A Guidance For competence management human factors expertise is classified as part of the engineering resources of an

AEO N/A

9.8. Electromagnetic compatibility

All electrical or electronic systems that are not correctly designed, manufactured or installed can 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. Reqt. ID Mandatory/

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SEM15

Mandatory

An AEO 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 7.3.

SEM16 Mandatory An AEO 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 and electromagnetic compatibility 7.3.

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N/A Guidance An AEO providing fabrication, construction or installation services for non-electrical or electronic systems will not

need to demonstrate full electromagnetic compatibility management arrangements.

An AEO 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. N/A N/A 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 N/A

N/A 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 N/A

N/A Guidance An AEO that 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 should demonstrate electromagnetic compatibility management. N/A

N/A Guidance The system design or systems integrator AEO may choose to sub-contract a specialist electromagnetic

compatibility consultant to support its electromagnetic compatibility management arrangements N/A

N/A Guidance Any electrically conductive or magnetically permeative structure near electrical or electronic equipment can

excessively couple (transfer) EMI, if it is 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 N/A

N/A Guidance An AEO 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 N/A

N/A 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 N/A

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N/A 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 N/A

N/A Guidance An AEO 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 N/A

N/A Guidance Engineering design and specification activities associated with electromagnetic compatibility on railway assets

include: N/A 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

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9.9. 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 so far

as is reasonably practical (SFAIRP) in all engineering activities and disciplines over the full asset life cycle. Reqt. ID Mandatory/

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SEM17 Mandatory The AEO shall have system safety assurance arrangements in place, relevant to the engineering services

or products provided. These arrangements must include suitable planning activities and deliverables.

They must also demonstrate suitable and sufficient integration into the engineering services 4.1. N/A

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 en