T-Mu-Md-00009-St-V3.0 - AEO Authorisation Requirements

T MU MD 00009 ST
Standard
AEO Authorisation Requirements
Version 3.0
Issued date: 08 May 2017
© State of NSW through Transport for NSW 2017

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Important message
This document is one of a set of standards developed solely and specifically for use on Transport Assets (as defined in the Asset
Standards Authority Charter). It is not suitable for any other purpose.
The copyright and any other intellectual property in this document will at all times remain the property of the State of New South Wales
(Transport for NSW).
You must not use or adapt this document or rely upon it in any way unless you are providing products or services to a NSW
Government agency and that agency has expressly authorised you in writing to do so. 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. To be
clear, the content of this document is not licensed under any Creative Commons Licence.
This document may contain third party material. The inclusion of third party material is for illustrative purposes only and does not
represent an endorsement by NSW Government of any third party product or service.
If you use this document or rely upon it without authorisation under these terms, the State of New South Wales (including Transport for
NSW) and its personnel does not accept any liability to you or any other person for any loss, damage, costs and expenses that you or
anyone else may suffer or incur from your use and reliance on the content contained in this document. Users should exercise their own
skill and care in the use of the document.
This document may not be current and is uncontrolled when printed or downloaded. Standards may be accessed from the Asset
Standards Authority website at www.asa.transport.nsw.gov.au

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Standard governance
Owner: Manager Authorisation, Asset Standards Authority
Authoriser: Principal Manager, Authorisation and Audit, Asset Standards Authority
Approver: Executive Director, Asset Standards Authority on behalf of the ASA Configuration Control
Board
Document history
Version Summary of Changes
1.0 First issue under standard number TS 10502
2.0 Version 2.0 issued 1 December 2014, effective date 5 January 2015
3.0 Third issue
For queries regarding this document,

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

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Preface
The Asset Standards Authority (ASA) is a key strategic branch of Transport for NSW (TfNSW).
As the network design and standards authority for NSW Transport Assets, as specified in the
ASA Charter, the ASA identifies, selects, develops, publishes, maintains and controls a suite of
requirements documents on behalf of TfNSW, the asset owner.
The ASA deploys TfNSW requirements for asset and safety assurance by creating and
managing TfNSW's governance models, documents and processes. To achieve this, the ASA
focuses on four primary tasks:
• publishing and managing TfNSW's process and requirements documents including TfNSW
plans, standards, manuals and guides
• deploying TfNSW's Authorised Engineering Organisation (AEO) framework
• continuously improving TfNSW’s Asset Management Framework
• collaborating with the Transport cluster and industry through open engagement
The AEO framework authorises engineering organisations to supply and provide asset related
products and services to TfNSW. It works to assure the safety, quality and fitness for purpose of
those products and services over the asset's whole-of-life. AEOs are expected to demonstrate
how they have applied the requirements of ASA documents, including TfNSW plans, standards
and guides, when delivering assets and related services for TfNSW.
Compliance with ASA requirements by itself is not sufficient to ensure satisfactory outcomes for
NSW Transport Assets. The ASA expects that professional judgement be used by competent
personnel when using ASA requirements to produce those outcomes.
About this document

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 TfNSW assets.
This is the third issue of this document. The changes to previous content include the following:
• restructuring of the requirements and guiding information to remove overlaps in

requirements causing duplications in answers, to add clarity and to provide more
information on the expected evidence
• new grouping of requirements to make some important requirements more prominent and
to better align the requirements structure with the engineering assurance and contract
performance evaluation frameworks
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Table of contents
1. Introduction .............................................................................................................................................. 6
2. Purpose .................................................................................................................................................... 6
2.1. Scope ..................................................................................................................................................... 6
2.2. Application ............................................................................................................................................. 6
3. Reference documents ............................................................................................................................. 7
4. Terms and definitions ............................................................................................................................. 8
5. Assessment of suppliers ...................................................................................................................... 10
6. Contractual obligations ........................................................................................................................ 10
7. AEO authorisation requirements ......................................................................................................... 10
7.1. Engineering management process and planning ................................................................................ 12
7.2. Requirements management ................................................................................................................ 17
7.3. Service or solution engineering ........................................................................................................... 20
7.4. Assurance, verification and validation ................................................................................................. 37
7.5. Configuration management ................................................................................................................. 51
7.6. Competence management .................................................................................................................. 54
7.7. Stakeholder management.................................................................................................................... 60
7.8. Resources management...................................................................................................................... 61
7.9. Supplier management.......................................................................................................................... 63
7.10. Performance measurement and evaluation..................................................................................... 64
7.11. Continual improvement management .............................................................................................. 65

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1. Introduction
Transport for NSW (TfNSW) is collaborating with industry to improve engineering governance of
transport 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 Transport Assets on behalf of TfNSW.
2. Purpose
This standard provides information outlining engineering management system capabilities and
practices that an engineering organisation is required to demonstrate to be engaged to provide
engineering services in relation to the asset life cycle of NSW Transport Assets on behalf of
TfNSW.
2.1. Scope
This standard sets the common expected organisational engineering management capabilities
and practices (requirements) that underpin a robust system of delivery and assurance
engineering services that are correct, integrated and delivered in a manner which is compliant
with relevant standards and which satisfies TfNSW requirements. The requirements tables
include a rationale for each requirement group, a statement of one or more requirements that
AEOs shall comply with and guidance notes elaborating requirements to assist in interpreting
applicability to the AEO and demonstration of adequate compliance, providing references to
other relevant documents for further details.
This document also includes information on typical evidence that can demonstrate meeting
requirements depending on the type of engineering services (engineering discipline and
lifecycle phase) the organisation provides.
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 00009 SP AEO Authorisation Model and T MU MD 00009 F1 AEO
Engineering Services Matrix Template in relation to the asset life cycle of NSW Transport
Assets.
The intended audience for this standard includes TfNSW, TfNSW transport infrastructure
managers, TfNSW Transport Assets operators and suppliers of engineering services to TfNSW
in relation to transport assets.

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The requirements contained in this document may be used by an AEO 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
The following documents are cited in the text. For dated references, only the cited edition
applies. For undated references, the latest edition of the referenced document applies.
International standards
IS EN 50121 Railway applications - Electromagnetic compatibility series
ISO/IEC 26702 Systems engineering - Application and management of the systems engineering
process
ISO/IEC/IEEE 15288 Systems and software engineering - System life cycle processes
ISO/IEC/IEEE 29148 Systems and software engineering - Life cycle processes - Requirements
engineering
ISO 9001 Quality management systems – Requirements
ISO 55000 Asset management - Overview, principles and terminology
Australian standards
AS ISO 55000 Asset management - Overview, principles and terminology
AS ISO 55001 Asset management – Management systems -Requirements
AS ISO 10007 Quality management systems – Guidelines for configuration management
AS/NZS ISO 9001 Quality management systems - Requirements
Transport for NSW standards
Safety Change Management Standard 20-ST-006
T MU AM 04001 PL TfNSW Configuration Management Plan
T MU AM 04003 GU Configuration Management Guide
T MU AM 06001 GU AEO Guide to Systems Architectural Design
T MU AM 06002 GU AEO Guide to Reliability, Availability and Maintainability
T MU AM 06004 ST Requirements Schema
T MU AM 06006 GU Systems Engineering
T MU AM 06006 ST Systems Engineering
T MU AM 06007 GU Guide to Requirements Definition and Analysis

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T MU AM 06010 GU Business Requirements Specification
T MU EN 00003 GU AEO Guide to Sustainability in Design
T MU MD 00003 GU Guide to Independent Safety Assessment
T MU MD 00009 F1 AEO Engineering Services Matrix Template
T MU MD 00009 F2 AEO Self-Assessment Checklist Template
T MU MD 00009 F3 Self-Assessment Tool Template
T MU MD 00009 SP AEO Authorisation Model
T MU MD 20001 ST System Safety Standard for New or Altered Assets
T MU HF 00001 GU AEO Guide to Human Factors Integration
T MU HF 00001 ST Human Factors Integration – General Requirements
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
Other reference documents
TfNSW, NSW Sustainable Design Guidelines Version 3.0
4. Terms and definitions

The following terms and definitions apply in this document:
AEO Authorised Engineering Organisation
ASA Asset Standards Authority
asset life cycle stages for an asset from recognition of need through to disposal and any
residual risks or liability period
assurance a set of structured and planned activities conducted through the asset life cycle
providing progressive justified confidence that objectives are being achieved and that the asset
is or will be fit for purpose
authorisation the conferring of authority, by means of an official instruction, and supported by

assessment and audit, to a supplier, to self-perform assurance of the competence of its staff
and the outputs of engineering processes
CCB configuration control board

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CMAAC TfNSW Configuration Management and Asset Assurance Committee
compliance the state or fact of according with, or meeting, rules or standards
EMC electromagnetic compatibility
EMI electromagnetic interference
engineering assurance a sum of technical assurance activities along the lifecycle; includes
design assurance, construction assurance, maintenance assurance
framework a basic structure underlying a system, concept or text
hazard potential source of physical injury or damage to the health of people or damage to
property or the environment
HF human factors
HV high voltage
ISA independent safety assessment
JOS judgement of significance; an assessment of the technical risk introduced by the

implementation of the design and considers both the probability and consequence of partial
performance or failure of a design
RAM reliability, availability and maintainability
responsible a duty or obligation to satisfactorily perform or complete a task (assigned by

someone, or created by one's own promise or circumstances) that one must fulfil and which has
a consequent penalty for failure. Responsibility can be delegated.
SFAIRP so far as is reasonably practicable
SMS safety management system
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
supplier a supplier of engineering services or products
TfNSW Transport for NSW
TfNSW Transport Network the transport system owned and operated by TfNSW or its
operating agencies upon which TfNSW has power to exercise its functions as conferred by the
Transport Administration Act or any other Act
validation the process to ensure that the delivered system or asset meets requirements
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 and products wishing to engage in work for TfNSW may be
assessed and audited against AEO requirements irrespective of contractual status. Contract
delivery evidence may be used to demonstrate compliance with AEO requirements.
6. Contractual obligations
Compliance with the requirements of 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 contracting
arrangements.
Users of this 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

Sections 7.1 to Section 7.11 define the requirements AEOs shall meet to be accredited as an
AEO.
The requirements are accompanied by the following:
• requirement identification (Req ID) – identification of the related element in

T MU MD 00009 F3 Self-Assessment Tool Template and T MU MD 00009 F2 AEO Self-
Assessment Checklist Template
• other ASA standards and guides available on the ASA website.
• elaboration – supplementary mandatory information regarding the requirement
• evidence – elaboration on documentation and deployment evidence that AEOs are

expected to demonstrate and that must be relevant and cover the proposed scope of
authorisation
• documents – standards or documents that provide additional information
Requirements for AEOs cover organisational engineering management capabilities in the

following areas:
• engineering management process and planning
• requirements management
• service or solution engineering including the following:
o interface management
o integration management

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o system architecture management
o sustainability in design
o reliability, availability and maintainability (RAM) management
o human factors (HF) integration management
o electromagnetic compatibility (EMC)
• assurance, verification and validation including the following
o judgement of significance (JOS)
o system safety assurance
• configuration management
• competence management
• stakeholder management
• resources management
• supplier management
• performance measurement and evaluation
• continual improvement management

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7.1. Engineering management process and planning

These requirements demonstrate engineering management activities and arrangements for the systematic execution of those activities that need to be performed to
ensure the delivery of services within the scope of authorisation is compliant with relevant standards whilst satisfying TfNSW needs.
Mandatory, Requirement, elaboration, evidence or documents

as applicable
or guidance
Mandatory Requirement – ENM1
An AEO shall have engineering management processes and methodologies appropriate to its engineering services and suitably aligned with
ISO 9001 Quality management systems – Requirements, ISO 55000 Asset management - Overview, principles and terminology, AS ISO 55001
Asset management – Management systems – Requirements and AS/NZS ISO 9001 Quality management systems – Requirements.
Guidance Elaboration
An AEO shall perform systems engineering activities in accordance with the requirements of ISO/IEC/IEEE 15288 Systems and software engineering
- System life cycle processes or ISO/IEC 26702 Systems engineering - Application and management of the systems engineering process or
equivalent.
The level of systems engineering is scalable as relevant to the level of complexity, novelty and risk associated with its services.
An AEO should ensure that the technical processes covered in its documentation include all required processes as elaborated in this document as
applicable.
Guidance Evidence
AEOs shall have suitable plans, processes, procedures, guides or manuals (or a combination thereof) that demonstrate how they consistently carry
out their services in the absence of, or in conjunction with, the contractually prescribed relevant processes.
An AEO that provides multi-disciplinary services should document its systems engineering approach in a systems engineering management plan or
manual.
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as applicable
or 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.
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. Specialised
engineering services suppliers that have limited scope of authorisation, typically within the same lifecycle phase, and only for few disciplines may
choose this approach. 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 a
systems engineering management plan that covers all systems engineering areas, or have separate plans or manuals, including, but not limited to,
the following:
• requirements management plan or procedure or guide or manual

• interface management plan or procedure or guide or manual
• systems architecture management plan or procedure or guide or manual
• systems assurance management plan or procedure or guide or manual
• RAM management plan or procedure or guide or manual
• verification and validation management plan or procedure or guide or manual
• testing and commissioning management plan or procedure or guide or manual
• EMC management plan or procedure or guide or manual
• maintenance management plan or procedure or guide or manual
• The relevant organisational procedures or project plans should meet the following requirements :
• reflect all the requirements for the discipline or capability
• be documented as suitable (standalone document or part of another document, hardcopy or softcopy organisational procedure or project
plan)
• define the process (activities, applicable standards and rules)
• provide evidence of its review

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as applicable
or guidance
These demonstrated artefacts can be part of the integrated management system or similar and should be aligned with the AS/NZS ISO 9001 or
AS ISO 55000 Asset management - Overview, principles and terminology requirements as suitable.
Depending on the scope and complexity of engineering services, an AEO 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.
Possible evidence for various engineering disciplines and lifecycle services or activities include the following:
• integrated management system (IMS) home page

• design management plan, procedure, guide or manual
• fabrication or manufacturing management plan, procedure, guide or manual
• construction or installation management plan, procedure, guide or manual
• testing management plan, procedure, guide or manual
• maintenance management plan, procedure, guide or manual
• plan, procedure, guide or manual associated with any other specialist services that are not specific to an asset life cycle phase (design,
manufacture, install, test and maintain)
The requirement evidence of documentation and deployment must be relevant and cover the proposed scope of authorisation as follows:
Design consultants need to document how they manage designs from start to finish, including design assurance, see Section 7.4, and design support
of post approved for construction (AFC) lifecycle phases. This may include options analysis associated with early concept designs and feasibility
studies.
Manufacturers of products and systems should document how they manage and assure the manufacturing process and products. This includes mass
public transport asset manufacturers.
Constructors, often principal contractors, should document how they plan, execute, coordinate and assure, see Section 7.4, construction phase

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as applicable
or guidance
activities, including management of design sub-consultants, material suppliers, other construction sub-contractors and testers.
Testing organisations, often the constructor AEO, but sometimes a test specialist, should document how they plan, coordinate and assure all testing
activities.
Maintenance organisations should document how they plan, execute, coordinate and assure all asset maintenance activities.
The above should be directly relevant to the asset group (or multiple asset groups) for which the AEO is applying for.
AEOs applying for non-asset specific services provided as a specialist services directly to TfNSW or in relation to other service providers in the
interest of and, or on behalf of TfNSW that do not directly relate to an asset group (or multiple asset groups) should also document how they plan,
execute and assure those services.
Guidance Documents
TS 10504 AEO Guide to Engineering Management
As applicable Requirement – ENM2

Design AEOs shall have capability to provide design support during procurement, manufacturing, construction, integration, test and commissioning
stages.
This requirement is limited to design AEOs, who are expected to demonstrate that they have capability to provide post-AFC design support and
advice.
This includes responding to and clarifying requests for information (RFIs) raised by the constructor, reviewing and approving engineering changes
proposed by the constructor by assuring that the changes continue to meet the original design intent and comply with relevant standards, inspecting
the site and witness tests performed by others to ensure that the design intent is met.

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as applicable
or guidance
The design AEO must also mark up all changes made during construction, integration and testing and prepare final as-built designs for handover to
the client.
Guidance Evidence
Possible evidence includes the following:
• design management procedure.

• design management plan
• design reports
• RFI responses (during construction)
• engineering change requests or notes
• engineers advice notes (during construction)
• site inspection records
• witness records for factory or site testing
• construction drawing mark-ups
Guidance Documents
TS 10504
Other standards:
ISO/IEC/IEEE 15288
T MU AM 06006 GU Systems Engineering
T MU AM 06006 ST Systems Engineering

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7.2. Requirements management

This requirement demonstrates engineering management activities and arrangements for systematic eliciting, defining, analysing and allocating service or solution
requirements as well as managing traceability and fulfilment of those requirements through the service delivery cycle.

as applicable
or guidance
An AEO shall have requirements management arrangements that set out appropriate process, responsibilities, structure, tools and deliverables for
management of stakeholder requirements applicable to the scope of engineering services provided across the system life cycle.
An AEO should ensure that the technical processes or tool for service requirements management covered in its documentation (as appropriate)
include the following:
• identification
• categorisation
• allocation
• analysis
• tracing
• prioritisation
• agreement
• documentation
• management changes
• communication
• compliance demonstration
The requirements management tool or process should enable requirements information exchange as suitable to the nature and scope of services.

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as applicable
or guidance
This could be addressed by using some common requirements interchange formats in accordance with relevant industry best practices.
It is not always necessary to implement a complex proprietary requirements management tool for simple services or projects. Depending on the
project or system complexity the AEO could manage requirements using a spreadsheet tool or other means.
Guidance Evidence
The requirement evidence of documentation and deployment must be relevant and cover the proposed scope of authorisation.
• requirements management plan

• requirements database
• stakeholder engagement plan (or similar)
• stakeholder register (or similar)
• stakeholder engagement meeting records
• stakeholder needs statement (or similar)
• business requirements specification
• systems requirements specification
• subsystems requirements specification
• operational concept definition (or concept of operations)
• maintenance concept definition

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Guidance Documents
TS 10505 Guide to Requirements Definition and Analysis
ISO/IEC/IEEE 15288
ISO/IEC/IEEE 29148 Systems and software engineering - Life cycle processes - Requirements engineering
T MU AM 06004 ST Requirements Schema
T MU AM 06006 GU
T MU AM 06006 ST
T MU AM 06007 GU Guide to Requirements Definition and Analysis
T MU AM 06010 GU Business Requirements Specification
TS 10504

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7.3. Service or solution engineering

These requirements demonstrate engineering management activities and arrangements that support application of the relevant engineering principles and practices
in developing engineering products, services or solutions as appropriate to the scope of authorisation.
7.3.1. Interface management

The objective of interface management requirement is to ensure that an organisation has a systematic process for identifying all interfaces, defining and analysing
safety, functional and performance requirements of relevant products or service interfaces within the scope of authorisation, agreeing on primary and secondary
owners of such interfaces and managing those interfaces over the full system life cycle.

as applicable
or guidance
An AEO shall have interface management arrangements that set out the processes, responsibilities, structures, tools and deliverables.
An AEO shall ensure that all interface requirements under the control of its engineering services are identified, captured and managed.
An AEO shall ensure that interface design reviews and checks are conducted at appropriate stages of the design process by competent subject
matter experts.
An AEO shall identify and manage interface risks and outcomes that may have a safety or other undesired impact.

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Guidance Evidence
An AEO should ensure that the interface management processes covered in its documentation include the following for internal and external system
interfaces:
• identifying
• recording
• tracking
• interface specifications
• interface control
• inter-disciplinary checks if applicable
• identification of interface risks and outcomes that may have a safety or other undesired impact
• arrangements to plan and carry out the integration if systems integration capability is offered
Possible evidence for various engineering disciplines and lifecycle services or activities include the following:
• interface management plan or process (system) or section in an overall systems engineering management plan or engineering management
plan
• interface meetings, interface design reviews and check records
• interface matrix (system)
• interface control documents (system)
• interface requirement specifications
• interface requirements in requirements database
• managing safety risks at interfaces

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Guidance Documents
ISO/IEC/IEEE 15288
ISO/IEC/IEEE 29148
T MU AM 06006 GU
T MU AM 06006 ST
TS 10504
TS 10507 Guide to Systems Integration
7.3.2. Integration management

The objective of integration management requirement is to demonstrate the process that ensures that implemented sub-system elements are integrated into the final
system that is consistent with the architectural design and function as a coherent system.

as applicable
or guidance
An AEO shall demonstrate that it has suitable management arrangements to plan and carry out the integration of all the declared products or
systems as appropriate to the scope of authorisation.
System integration is bringing together component elements of the product or service into one system, ensuring that elements function together as a
complete system and ensuring the resultant system integrates within the existing system or systems.
Not all AEOs will be required to offer or demonstrate systems integration capability.

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Guidance Evidence
An AEO should ensure that the systems integration processes covered in its documentation include the following:
• planning
• assembly
• verification and validation
• documenting
• analysing results
Other possible evidence includes the following:
• systems integration plan

• systems integration requirements
• interface control documents
• interdisciplinary design review records
• system integration report
More examples are provided in TS 10507.
Guidance Documents
ISO/IEC/IEEE 15288
ISO/IEC/IEEE 29148
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TS 10504
TS 10507

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7.3.3. System architecture management

The objective of system architecture management requirement is to demonstrate the capability 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.

as applicable
or guidance
A design AEO shall demonstrate that it has arrangements to manage the synthesis and development of system level requirements into a credible
system architecture.
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.
For complex software programmable communications and control systems, evolving 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.
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. It is expected that AEO processes would have required triggers for this to occur and also the suitable
processes in place to ensure procurement.
Guidance Evidence
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.
Depending on the nature of the systems, the asset types involved and the level of detail abstraction the system architecture may be defined in

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as applicable
or guidance
standards and general arrangement drawings.
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
An AEO should ensure that the systems architecture processes covered in its documentation include the following:
• defining architecture
• defining viewpoints
• analysing
• evaluating
• documenting
• maintaining
• Possible evidence includes the following:
• system architecture management plan
• architectural framework
• operator viewpoint
• maintainer viewpoint
• logical or functional architecture
• physical architecture
• geographical architecture

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as applicable
or guidance
Guidance Documents
ISO/IEC/IEEE 15288
T MU AM 06001 GU AEO Guide to Systems Architectural Design
T MU AM 06006 GU
T MU AM 06006 ST
TS 10504

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7.3.4. Sustainability in design

The objective of sustainability in design requirement is to demonstrate the organisational capability to ensure that all relevant aspects of sustainability are considered
in the engineering activities applied across the full asset life cycle as relevant or impacted by the services within the scope of authorisation. Appropriate and timely
consideration of sustainability should aim to optimise the environmental, social and economic sustainability of the asset.

An AEO shall incorporate sustainability in design principles as relevant to the scope of the authorised engineering services.
For specific projects or issues, an AEO will often require specialist sustainability advice. This expertise may be in-house or contracted.
Sustainability in design should aim to provide the optimal design solution for the whole asset life cycle, by improving the environmental, social and
economic sustainability of the asset.
Key considerations for sustainability in design are as follows:
• inclusion of sustainability early in the planning and design process

• inclusion of consideration of sustainability in engineering analyses. For example, in requirements definition, life cycle analysis, operational
concepts or risk assessment
• determination and justification of the amount of sustainability work in line with the risk and complexity of specific projects
• identification and recording of sustainability issues relevant to specific projects
• analysis, management and control identified issues
• inclusion of consideration of sustainability in engineering analyses. For example, in requirements definition, life cycle analysis, operational
concepts or risk assessment
• provision of a mechanism for transferring sustainability requirements to subsequent life cycle stages, closing out issues, and capture and
recording of issues learnt at the conclusion of projects
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.

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Guidance Evidence
AEOs should demonstrate company commitment to sustainability such as company environment and/or sustainability policies; processes to integrate
sustainability into designs at an appropriate stage of the project, such as in a design management plan; and evidence of deployment such as
sustainability integration plans, sustainability workshops, or completion of a sustainability tool such as NSW Sustainable Design Guidelines published
by TfNSW.
The application of the sustainability in design process for a specific project would typically be described in a sustainability integration plan (SIP) or
relevant sections of the other planning documents, for example within the engineering management plan.
Guidance Documents
T MU EN 00003 GU AEO Guide to Sustainability in Design
7.3.5. RAM management

The objective of this requirement is to demonstrate organisational capability to ensure that RAM properties of the impacted target system or asset can be achieved
by the evolving system architecture and design.

as applicable
or guidance
An AEO shall demonstrate that it has RAM management arrangements in place, relevant to the engineering services or products provided.
An AEO providing fabrication, construction or installation services may need to demonstrate RAM management. An AEO offering system design or
systems integration services should have RAM management arrangements. Maintenance AEOs may need to ensure that the delivered asset or
system continues to meet its designed RAM targets over its operational lifetime.
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or guidance
configurations that are not covered by existing TfNSW standard configuration drawings, then the AEO will be expected to demonstrate that it does
have RAM management arrangements.
Validating RAM models may be done by the AEO, but also by the TfNSW accepting organisation during system acceptance and handback.
An AEO may choose to develop in-house RAM assurance tools, but their outputs must be demonstrated to have been validated against recognised
established benchmarks.
An AEO may choose to procure established and validated commercial RAM modelling tools to support this service.
Guidance Evidence
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.
An AEO should ensure that the RAM management processes covered in its documentation includes the following:
• planning
• requirements
• modelling and analysis
• documenting
• failure recording
• RAM management plan

• RAM requirements (including service availability)
• RAM models
• RAM reports
• redundancy strategies

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as applicable
or guidance
Guidance Documents
ISO/IEC/IEEE 15288
T MU AM 06006 GU
T MU AM 06006 ST
TS 10504
T MU AM 06002 GU AEO Guide to Reliability, Availability and Maintainability
7.3.6. Human factors integration

The objective of this requirement is to demonstrate organisational capability 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 as relevant or impacted by the services within the scope of authorisation. The practical
application of HF knowledge contributes to enhanced design solutions and improved operational and safety performance.

as applicable
or guidance
An AEO shall manage all HF relevant to the scope of the authorised engineering services
HF considerations form an integral part of the specification, design and development process ensuring that the asset is designed and delivered such
that it can be operated and maintained safely and efficiently.
An AEO should ensure that engineering design decisions are properly informed by adequate information about human related issues and that

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as applicable
or guidance
decisions relating to design alternatives or assessments consider HF data to provide the optimal design solution for the whole asset life cycle.
There are benefits that an organisation conducting post-design asset lifecycle activities from manufacturing and installation through to the
decommissioning and disposal can gain through the application of HF principles and knowledge to the organisation of the day-to-day operation or
maintenance of assets.
Application of the HF integration processes should identify HF issues such as physical, cognitive and organisational including the opportunities for
human error and their consequences.
HF integration is the process by which the application of HF is managed. An AEO is expected to have such a process, standalone or integrated into
the other product or service delivery processes. An AEO that delivers assets with complex human interactions such as rolling stock or control
systems interfaces is expected to have a standalone process.
Guidance Evidence
The application of the HF integration process for a specific project would typically be described in a HF integration plan (HFIP), although for simple
projects it may be contained within the engineering management plan.
The scale of the HF work required will vary from significant for novel and complex projects to minimal for 'like for like' substitution of a piece of
equipment. It also depends on the scope of services provided.
For specific projects or issues an AEO will often require HF specialist advice. This expertise may be in-house or contracted. It is expected that AEO
process would have the required triggers for this to occur and also the suitable process in place to ensure procurement of competent resources.
AEOs are expected to demonstrate that their HF integration practice contains the following as a minimum:
• identifies the various user groups, their attributes and requirements

• identifies and records HF issues relevant to specific projects
• determines and justifies the level of HF work in line with the risk and complexity of specific projects

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as applicable
or guidance
• analyses, manages and controls identified issues
• includes HF consideration in engineering analyses (for example in requirements definition, operational concepts, hazard identification, risk
assessment, FMECA, FTA and so forth)
• provides a mechanism for closing out issues (such as within multi-disciplinary design reviews)
• captures and records lessons learnt at the conclusion of projects
Guidance Documents
T MU HF 00001 GU AEO Guide to Human Factors Integration
T MU HF 00001 ST Human Factors Integration - General Requirements
T MU MD 20001 ST System Safety Standard for New or Altered Assets

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7.3.7. Electromagnetic compatibility (EMC)

The TfNSW operational transport environment consists of a large number of critical, electromagnetically emissive and sensitive systems co-located in close
proximity, including systems used by other transport operators and external organisations.
All electrical or electronic systems that are not correctly designed, manufactured or installed can cause electromagnetic interference (EMI) to other equipment or
services susceptible to EMI from a range of sources in the operational environment.
It is essential to manage EMC throughout the system life cycle, from concept to commissioning and ongoing maintenance, to achieve and maintain total system
functionality, performance and safety.

as applicable
or guidance
An AEO engaged by TfNSW to undertake engineering activities involving the specification, design, integration, testing and maintenance of electrical
or electronic systems involving EMI emitters (threats) or receivers (victims) shall have arrangements for managing EMC.
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.
EMI 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 (HV) circuits and coupling to lineside fences
• radiative, for example, radiated electromagnetic waves
Any electrically conductive or magnetically permeative structure near electrical or electronic equipment can excessively couple (transfer) EMI if it is

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as applicable
or guidance
not correctly designed, manufactured, modified or installed. These structures typically include buried metal pipes, fences, towers and steel reinforced
concrete structures of appreciable length such as viaducts, bridges, tunnels, platforms and concourses.
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.
EMC is typically achieved on most TfNSW transport projects through the following:
• compliance to established standards and standard drawings for the configuration and relative positioning of electrical 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 such as radar, navigation, global positioning and radio communications
systems
• compliance with established earthing, bonding, screening, segregation, immunisation and electrolysis standards and codes of practice
Engineering design and specification activities associated with EMC on transport assets include the following:
• 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
An AEO engaged by TfNSW to undertake engineering activities involving the specification, design, integration or testing of electrical or electronic
systems involving EMI emitters (threats) or receivers (victims) shall have arrangements for managing EMC.
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 EMI and EMC.
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 EMC management arrangements.
An AEO that intends to engage in design or systems integration services on projects involving development and delivery of novel electrical and

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as applicable
or guidance
electronic systems in novel configurations that are not covered by existing standards should demonstrate EMC management including systematic
analyses of the electromagnetic impact of any deviation from standard practice.
These arrangements should enable the planning, analysis, execution, assurance and reporting of all EMC-related activities on a project or system
and document this in an EMC management plan.
The level of EMC 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.
An AEO providing fabrication, construction or installation services for non-electrical or electronic systems will not need to demonstrate full EMC
management arrangements.
The system design or systems integrator AEO may choose to sub-contract a specialist EMC consultant to support its EMC management
arrangements. It is expected that AEO process would have required triggers for this to occur and also the suitable process in place to ensure
procurement.
An AEO should ensure, if applicable to the AEO services, that the EMC management processes covered in its documentation includes the following:
• planning of EMC or related electrical immunisation activities

• EMC hazard identification
• electromagnetic radiation effects on people
• reporting
• 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 is integrated into the above.

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Guidance Evidence
• design plan or procedure with EMC considered

• EMC management plan
• EMC procedure
• EMC guide
• EMC manual
• earthing and bonding designs
• EMC test records
Guidance Documents
T MU AM 06006 GU
T MU AM 06006 ST
TS 10504
International standards on EMC, in particular for railways (for example, IS EN 50121 Railway applications - Electromagnetic compatibility series)

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7.4. Assurance, verification and validation

These requirements demonstrate engineering management activities and arrangements that support the delivery of the quality engineering product, system or
service by providing confidence that relevant processes were followed, requirements are met and the final product or service meets its intended purpose.

as applicable
or guidance
An AEO shall have arrangements for verification and validation management of the engineering services or products provided.
Verification and validation are processes that are used together for assuring that a product, service or system fulfils its intended purpose. The two
processes are seen as essential in the life cycle of any complex system. The development of any system is not complete without ensuring that the
implementation is consistent with the specifications.
Implementing verification and validation provides assurance that the product, service or system meets its required specifications, including any
safety requirements.
Guidance Evidence
Verification and validation management arrangements should typically be supported by the following evidence artefacts:
• organisation level verification and validation arrangements

• Project-level verification and validation arrangements
• verification and validation plans
• verification and validation processes and procedures
• verification and validation guides
• verification and validation checklists or tools
• verification and validation reports
• other artefacts documenting or demonstrating how they will carry out verification and validation of systems on a repeatable basis

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as applicable
or guidance
These artefacts should form part of an integrated management system or similar system at an organisational or project level, that is compliant with
either ISO 9001, ISO 55000, AS/NZS ISO 9001 or AS ISO 55000 as appropriate.
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.
An AEO may choose to develop in-house systems verification and validation tools.
An AEO may choose to procure established and validated commercial verification and validation management tools to support this service. It is
expected that AEO processes would have the required triggers for this to occur and also suitable processes in place to ensure procurement.
An AEO should ensure that the verification and validation management processes covered in its documentation includes the following:
• design reviews
• analysis
• demonstration
• certification
• inspection and testing
• commissioning
• acceptance testing
• maintenance
• verification management plan, procedure, guide or manual

• validation management plan, procedure, guide or manual
• testing and commissioning management plan, procedure, guide or manual
• maintenance management plan, procedure, guide or manual

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as applicable
or guidance
Guidance Documents
ISO/IEC/IEEE 15288
T MU AM 06006 GU
T MU AM 06006 ST
TS 10504
TS 10506 Guide to Verification and Validation

An AEO shall demonstrate engineering assurance based on progressive stage gateway reviews.

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This requirement is applicable to prospective design, manufacturing, construction and testing, and maintenance AEOs and must be fulfilled.
The baseline stage gateways to apply will depend on the scope of engineering services offered over the asset life cycle by the AEO.
The engineering methodologies and processes that an AEO applies will depend upon the scope of engineering services offered over the asset life
cycle.
Systems assurance brings together the elements of:
• quality assurance
• verification and validation results
• RAM assurance
• system safety assurance (also see requirement ENM16)
• compliance to procedures
• compliance to standards
• compliance to appropriate legislation
Guidance Evidence
For design consultants, the design assurance process should identify key stages where the design is reviewed prior to progressing to the next level
of detail. This may take the form of 30%, 70% or 100% gates or system definition review (SDR), preliminary definition review (PDR) or critical design
review (CDR) gates or something similar.
For construction contractors, the use of witness and hold points represents application of stage gates in the progressive assurance of the built asset
or system.
• design management plan, procedure, guide or manual

• fabrication or manufacturing management plan, procedure, guide or manual
• construction or installation management plan, procedure, guide or manual
• testing management plan, procedure, guide or manual

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Guidance Documents
TS 10504

AEOs shall apply a risk-based approach to engineering assurance.
This requirement refers to assurance of all engineering-related risks and while it includes safety risk, it is not limited to safety.
Management of engineering risk across the TfNSW Transport Network is a joint responsibility of all parties, including the AEO and TfNSW.
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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Guidance Evidence
Design consultants should demonstrate how they assure risks introduced by their designs.
Constructors should demonstrate how they assure risks introduced by their construction methods, tools and equipment.
Maintainers should demonstrate how they assure risks introduced by their maintenance actions, methods, tools and equipment.
This requirement is applicable to all prospective AEOs and must be demonstrated including arrangements for acceptance of risks transferred from
preceding lifecycle stages.
• risk management plan, procedure, guide or manual

• risk registers
• risk matrix
• risk assessment forms
• risk workshops
• risk reports
• hazard logs
Guidance Documents
TS 10504

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7.4.1. Judgment of significance (JOS)

All designs are required to be subject to a judgement of significance (JOS). This judgement is an assessment of the technical risk introduced by the implementation
of the design and must consider both the probability and consequence of partial performance or failure of a design. Subsequent to a JOS, all designs must be
classed as either significant or non-significant. Designs judged as significant are subject to a more rigorous design review and approval process.
Mandatory, Requirements
as applicable
or guidance
An AEO shall establish arrangements for assessing the significance of proposed engineering changes arising from the delivery of its engineering
services.

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The JOS should assess complexity and effects, including safety risk, of the change.
In the absence of hands-on JOS decision making by the client, AEOs must demonstrate that they have a systematic and robust process for
assessing the impact of engineering changes.
These changes may arise during the design, procurement, fabrication or manufacturing, construction or installation, integration, testing and
commissioning phases.
The AEO responsible for assuring the engineering service in these phases must demonstrate how it will assess an engineering change against a set
of criteria, to assure that the change is safe, reliable, sustainable and value for money. Assessment of the change should be demonstrated on a risk-
basis.
For all works TfNSW undertakes an assessment of the significance of safety impact prior to awarding contract and informs the principal contractor.
The attributes of a suitable JOS 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
Guidance Evidence
• engineering change request or note

• risk assessment evidence
• configuration change note

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7.4.2. System safety assurance

The objective of this requirement is to demonstrate organisational capability to ensure that the operational safety risks associated with the impact of the AEO service
system or asset are identified, managed and reduced so far as is reasonably practical (SFAIRP) in all engineering activities and disciplines over the full asset life
cycle. Safety must be integrated into the design of assets and demonstrated to be safe SFAIRP in accordance with T MU MD 20001 ST.

as applicable
or guidance
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.
The key objective of system safety is to ensure the integration of safety in operation into the design, construction, implementation and
commissioning of a change.
The TfNSW Configuration Management and Asset Assurance Committee (CMAAC) supports the acceptance of assets for the Transport Network. If
an AEO is authorised and planning to undertake the leading role in integrating and delivering change (product or service) directly to TfNSW,
including systems safety integration, then its own systems safety management system must be capable of ensuring alignment with the TfNSW
configuration management framework including the TfNSW Configuration Control Board (CCB) process.
System safety activities shall be planned so that they support the development of a suitably safe system and provide the assurance needed to
demonstrate the safety of the system.
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 or engages other AEOs to perform significant safety critical functions, including
construction, testing and maintenance affecting TfNSW Transport Network will require a more comprehensive set of system safety management

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or guidance
arrangements than a small niche consultancy providing single-discipline design services.
TfNSW undertakes an assessment of the significance of safety impact prior to awarding contracts and informs the integrating AEO.
Guidance Evidence
System safety assurance arrangements may be documented in a safety management system (SMS). The scope and depth of an SMS will depend
on the scope and depth of an AEO's engineering 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.
The AEO shall have a process that plans all safety assurance activities in an auditable manner.
Where appropriate, the system safety activities should be aligned with the engineering life cycle.
A safety change management plan is typically used to document how the AEO will manage the safety risks associated with the changes that it
introduces to the TfNSW Transport Network and integrates safety into the design of the asset. This plan is alternatively referred to as a safety plan,
safety management plan or safety assurance plan.
For a safety significant change acceptance an AEO delivering services or products to TfNSW shall provide the following to the TfNSW CMAAC for
consideration:
• a system safety plan

• an operational safety argument
• an independent safety assessment (ISA) (may be delivered by TfNSW)
For minor changes, an delivering products or services can include safety risk management activities planning into its engineering management plan.
A risk summary report, with a description of the key residual safety risks that TfNSW or the operator will be exposed to during the operating life of the
asset and evidence of appropriate independent validation during the development and implementation of the change, shall be provided for
acceptance of minor changes and demonstration of SFAIRP.

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as applicable
or guidance
The AEO's safety assurance arrangements must provide progressive assurance through the project or system life cycle.
As safety assurance is integrated with engineering assurance, this requirement means that AEOs shall continually demonstrate safety assurance for
each staged gateway review. It shall also develop the assurance level of details in line with the level of details of the design.
The approach to progressive safety assurance should be scaled to the scope and nature of services being provided and also consider the
overarching integral systems safety needs for the impacted TfNSW assets and services.
At each gateway an agreement shall be reached with all stakeholders that for that point in the system development where all reasonably practicable
activities and actions have been conducted to ensure safety.
Guidance Evidence
The safety assurance program may include safety assurance documents or safety cases at key project milestones including concept design,
detailed design and testing. In complex or novel projects these interim assurance documents representing a progressive assurance approach help
manage the risks associated with the asset and its delivery.

The AEO shall have arrangements for the identification and management of safety risks associated with the changes to be introduced. The process
should follow a life cycle approach such that the granularity of risks and the level of analysis aligns with the progression through the engineering life
cycle. It shall also support risk-based decision-making with records to show traceability of all decisions made.

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as applicable
or guidance
AEOs and suppliers shall implement a level of safety risk management appropriate to the risks associated with the change.
The safety risk management process implemented by AEOs shall address the full intended operational life of the new or altered asset or system. It
should include an assessment of safety risk for each identified hazard against the appropriate risk criteria and provide a high degree of confidence
that the final residual risk can be demonstrated to have been reduced to tolerable and SFAIRP.
Guidance Evidence
AEOs shall employ suitable and sufficient hazard identification, hazard analysis and hazard management techniques and demonstrate this in the
safety argument, risk summary report or other safety assurance documentation. All analysis results shall be documented and referred to as
evidence.
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).
The hazard log is the central repository of identified hazards. The hazard log is the primary artefact for providing traceability within the safety risk
management process and assurance of the effective management of safety.
The hazard log at the system level may be managed by a system integrator, however, it is still the responsibility of all AEOs to identify and manage
the hazards and risks for which they are responsible.

The AEO shall have arrangements for delivering safety assurance arguments and supporting evidence (or input to such documentation) that
describes how it has ensured safety SFAIRP and managed safety risks to tolerable and SFAIRP. The content of such documents should be aligned
with the requirements of T MU MD 20001 ST so that they meet the requirements of the CMAAC process.

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as applicable
or guidance
For safety significant changes an AEO shall deliver an operational safety argument which demonstrates the safety of the delivered system in
operation within the Transport Network.
For minor changes a risk summary report must be provided. AEOs are also required to deliver assurance against the requirements of the system
safety standard for new or changed assets.
Guidance Evidence
The safety argument should be structured using goal structuring notation or a similar approach and is included in a document referred to as a safety
assurance report or statement. An operational risk register should be included into the safety argument to document risks that have been identified
but not eliminated during the development and implementation phase and are thus carried over to the operate and maintain phase.
The argument should be scaled to the level of risk and follow the expected industry practice. For example, a safety argument for a station upgrade
should look very different to the one for a rolling stock fleet.
Guidance Documents
T MU MD 20001 ST

AEO safety engineering and assurance arrangements shall be subject to ISA, where it is responsible for the introduction of new or novel systems
that affect the operational safety of the network or where the general scope and complexity of the project requires it. There shall be arrangements in
place to support the appointment of an ISA organisation and to engage with an ISA organisation at all stages of the engineering activities being
undertaken when required and in accordance with the relevant standards and best practice for the scope of works.

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as applicable
or guidance
For changes determined to be safety significant by TfNSW an authorised ISA organisation will be appointed. The ISA organisation may be appointed
by an AEO that has a process in accordance with relevant standards or TfNSW may appoint an ISA organisation..
Guidance Evidence
An AEO should have a process for independent safety assessor engagement that would cover the following:
• scenario or circumstances when an ISA is to be conducted

• function of an ISA
• details and use of the expected outcome of the ISA
There also has to be a suitable process in place to ensure procurement.
Guidance Documents
T MU MD 00003 GU Guide to Independent Safety Assessment
Safety Change Management Standard 20-ST-006
T MU MD 20001 ST

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7.5. Configuration management

This requirement demonstrates engineering management activities and arrangements that ensure the integrity of network product or service being delivered and that
all changes to assets over the system life cycle are managed across a defined set of baselines, including all related information and records.

as applicable
or guidance
Mandatory Requirement – CFM1
An AEO shall have a documented system that describes the management of the configuration of all proposed or existing configuration items under
its control as relevant to the scope of the authorised engineering service.
An AEO is required to have and apply documented arrangements that provide confidence that an appropriate systematic and comprehensive
approach is applied to the management of the configuration items the organisation is responsible for.
Depending on circumstances and the services or products being provided, configuration items may include any work products that are controlled,
produced and delivered as part of the engineering service delivery within the scope of authorisation.
Configuration items can be documentation such as various reports, specifications and designs, asset information or actual assets that will form part
of the TfNSW Transport Network, such as vehicles, physical structures and software.
Arrangements for configuration management should be tailored to be appropriate to the following:
• nature and complexity of the configuration items controlled or delivered by the AEO
• complexity and role within the organisational environment in which the AEO will be providing services
Configuration management arrangements may exist as a specific system or be integrated into other business systems but must be appropriate. It
must also be clearly demonstrated how the AEO meets the configuration management requirements.
Configuration management involves a complete definition of the baseline, for example, considering whether the configuration items are classified in

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as applicable
or guidance
discrete or grouped categories and taking into consideration the service or solution requirements and the management of the configuration items
over the asset life cycle.
An AEO that will be responsible for decisions to integrate new or modified transport assets into the TfNSW Transport Network is expected to have a
configuration management system that is capable of meeting the requirements of the T MU AM 04001 PL TfNSW Configuration Management Plan.
A configuration management system should allow the following to be clearly understood and appropriately applied:
• the scope of configuration items that will be controlled, for example engineering designs or assets being delivered or assets being managed
• stakeholder identification and management applicable within the context of the services provided by the AEO
• change control process that demonstrates full asset life cycle considerations (not just commercial or project delivery) have been considered
• roles and responsibilities associated with maintaining the configuration items, approving changes and delivering configuration items
• assuring that configuration items and associated information are checked and delivered such as transport assets, design drawings and other
documentation and data
An AEO produces various types of information (such as documents) that must also be kept under the appropriate level of work product control as
suitable to the scope of services.
Guidance Evidence
An AEO is to show evidence of a documented system for configuration management. The sophistication, detail and structure of the system may vary
depending on the complexity and nature of expected engagements. The system may be specifically identified as configuration management or be
part of other business systems.
The documentary evidence broadly falls into the following categories:
• a cohesive documented system

• configuration items that are known and recorded
• changes to configuration items that are appropriately controlled
• information about configuration items that are available and assured as correct

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as applicable
or guidance
Where an AEO intends to be responsible for making decisions about the integration of assets into the TfNSW Transport Network or integrating
multiple components to form a complex solution, a configuration management plan or similar document is expected.
If the configuration items to be managed by an AEO largely consist of documentation it may be acceptable to demonstrate that appropriate
document control arrangements exist.
The evidence presented should demonstrate that the organisation understands configuration management in the context of the services the AEO
intends to offer. The evidence should reflect the principles of AS ISO 10007 Quality management systems - Guidelines for configuration
management. Various documents may be used as evidence but it must be clear that the configuration management requirement is met and it must
be cohesive.
Roles and responsibilities for configuration management should be clear within documentation.
Evidence of change control arrangements should include tools and processes that provide traceability of changes. Tools may vary depending on the
complexity of configuration items and changes being managed but may include change control forms, change control registers or configuration
management software. Evidence of arrangements for appropriate stakeholder engagement and approval should be included in the change control
arrangements.
Evidence of a system for recording and maintaining information about configuration items may include processes and tools. Suitable tools will vary
depending on the nature of the configuration items and the services being provided by the AEO. Tools may include simple registers or complex
databases.
Document control tools and processes may be adequate where the configuration items are only documents.
Depending on services being provided, processes for identifying and managing information about proposed or actual assets may be expected.
Processes should address the assurance that information is correct and appropriately structured before being delivered.
Documentation may include asset registers, approved designs, maintenance manuals or any other document that specifies the characteristics of the

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as applicable
or guidance
customer asset. Arrangements for updating and confirming the accuracy of that information should be documented. Assurances that documentation
matches configuration items may be provided through configuration audits.
An AEO shall establish and maintain, as a minimum, records of the following:
• configuration data records, for example as-built drawings, manuals and training materials 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
• competence management records, for example, assessments, development, logbooks and curriculum vitaes (CVs)
• engineering assurance records applicable to the authorised services, for example, construction, manufacturing, integration, testing,
commissioning, maintenance and disposal
Guidance Documents
T MU AM 04003 GU Configuration Management Guide
7.6. Competence management

These requirements demonstrate engineering management activities and arrangements that ensure that only engineering staff with the appropriate knowledge, skills
and behaviours are engaged to perform activities defined for a specific job role or function, within a specific engineering service area or discipline.

as applicable
or guidance
Mandatory Requirement – CPM1
An AEO shall have comprehensive arrangements and systems for managing the competence of its staff, contractors, sub-contractors and other third
party suppliers, relevant to the engineering services provided.

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as applicable
or guidance
A system for managing staff competence must consist of the following:
• an unambiguous series of documented arrangements of the organisation’s roles, plans, processes, tools and records in relation to managing
competence
• a recruitment process that clearly outlines how the organisation employs people that have the necessary knowledge, skills and attitudes to
competently and safely discharge their duties in providing engineering services
• a process for assuring competence for all external parties, including contractors, sub-contractors and suppliers
• existing job descriptions containing roles, functions and abilities before candidate assessment
• defined skills and proficiency levels relevant to the tasks and activities used in the provision of engineering services to TfNSW
• minimum acceptable competence requirements for positions carrying out key roles identified in the organisation
Guidance Documents
TS 10503 AEO Guide to Engineering Competence Management

An AEO shall consider relevant external qualification standards to benchmark the skills to be assessed and maintain evidence that relevant industry
competence requirements, including TfNSW Standards, have been analysed and interpreted for the appropriate engineering services offered.
Benchmarking of skills must consist of the following where relevant:
• evidence of how technical assessments align with the industry and other standards
• qualification or Australian Quality Training Framework (AQTF) reference in position descriptions
• benchmark plans
• references to international or national standards
• references to TfNSW Standards
• professional memberships

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as applicable
or guidance
Guidance Documents
TS 10503

An AEO shall have arrangements in place to train, develop and assess the competence of staff using established methods and competence
standards, including establishing training and development needs for staff delivering engineering services.
Arrangements to train, develop and assess the competence of staff must include the following where relevant:
• processes to regularly assess competence of staff

• staff development processes
• log book reviews
• training and development processes, including needs identification
• training calendars
• training forms
Guidance Documents
TS 10503

An AEO 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.

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as applicable
or guidance
Arrangements for the planning, implementation, recording, assessment and recognition of relevant continuing professional development activities
must include examples of the following where relevant:
• professional development processes

• professional development plans
• records of professional development
• professional memberships
Guidance Documents
TS 10503

An AEO shall maintain competence management records that contain appropriate and up-to-date information about all competence aspects of a
candidate. All records shall be maintained for audit purposes and must be stored in a secure location for the duration of the AEO certification validity
period.
Competence management records must include the following where relevant:
• processes for the maintenance and storage of records

• management of expiry of competences and assessments
• recruitment records
• competence assessment records
• training records
• training registers
• development review records

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as applicable
or guidance
Guidance Documents
TS 10503

An AEO shall establish and maintain a register of all engineering and other engineering-related services provided by staff and their competences.
The register must consist of documentation that demonstrates which staff members have been assessed as competent to carry out required
functions or roles within the scope of engineering services, with assigned proficiency levels.
Guidance Documents
TS 10503

An AEO shall maintain the competence of those managers and assessors implementing the competence management system and ensure that the
managers and assessors understand their responsibilities.
Arrangements for those involved in the management and implementation of the competence management system must include the following:
• defining competence management roles and responsibilities

• assigning ownership and responsibility to suitably qualified and experienced individuals
• processes to outline the procedures for conducting competence assessments
• qualification or proficiency levels required for subject matter experts
• competence requirements for assessors

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as applicable
or guidance
Guidance Documents
TS 10503

An AEO shall demonstrate its knowledge management capability as suitable to the scope of services and the sharing of industry relevant lessons
learnt within the organisation and with the ASA.
The purpose of the knowledge management practice is to enable the organisation to use and re-apply existing internal and external knowledge.
This requirement also aligns with one of the ASA objectives to engage with industry to share lessons learnt and emerging best practice.
Guidance Evidence
An AEO should demonstrate its ability and arrangements for knowledge capture, storage and redeployment as appropriate for the organisational
scope of authorisation and business model.
This could be evidence of the following:
• planning to identify, obtain, retain and deploy knowledge, skills and knowledge assets
• arrangements to qualify and control it
• evidence of the knowledge sharing to have been occurring within the organisation and with the ASA
Guidance Documents
TS 10503

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7.7. Stakeholder management

This requirement demonstrates engineering management activities and arrangements to establish and maintain the stakeholders involvement for the work within the
scope of authorisation.

as applicable
or guidance
An AEO shall have arrangements in place to identify and manage internal and external stakeholders as appropriate to the scale and scope of
engineering services being provided.
It is expected that AEOs be able to identify relevant internal and external stakeholders, establish appropriate levels of engagement and manage
stakeholder involvement, communication and consultation as suitable for the engineering service being provided.
Guidance Evidence
Evidence of documentation and deployment must be relevant and cover the proposed scope of authorisation.
The impacted assets and the solution for whole of life considerations should be demonstrated.
Typical evidence could be various organisational processes, plans that support stakeholder management, records of relevant activities such as
meetings minutes, communications, stakeholder registers, stakeholder engagement tracking tools and records.
Guidance Documents
TS 10504

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7.8. Resources management

This requirement demonstrates engineering management activities and arrangements that ensure that all tangible and non-tangible resources are in place to support
the engineering service provision within the scope of authorisation.

as applicable
or guidance
An AEO shall have arrangements in place to ensure the required tangible and non-tangible resources are available as necessary for the provision of
the authorised scope of engineering services.
There may be a need for special facilities, and resources for the service delivery, solution or product design, implementation, installation or
maintenance. This may include the following:
• tools (for example, computer-aided design system or other specific tools)

• methodologies (adequate lifecycles or relevant engineering methodologies)
• infrastructure (work site or equipment)
• materials
• standards
Standards management ensures that AEOs are working to the latest approved versions of engineering standards that are relevant to engineering
services provided.
Human resources requirements are not included here, but elaborated in details Section 7.6.

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as applicable
or guidance
Guidance Evidence
An AEO should demonstrate understanding of what kind of resources are required for the service it provides and demonstrate that those resources
are available when necessary.
AEOs must demonstrate that they have ready access to all relevant engineering standards, that they are notified of changes to those standards, that
they brief their engineering staff on the changes to the standards and perform an impact assessment of the change and determine whether to
comply or seek a concession to the changes reflected in the standard.
• engineering intranet home page with links to standards

• links to TfNSW and ASA standards
• standards change briefing notes or emails
• standards change impact assessments
Guidance Documents
TS 10504

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7.9. Supplier management

These requirements demonstrate engineering management activities and arrangements that enable management of acquisitions from internal and external suppliers
as necessary for the scope of authorised services.

as applicable
or guidance
An AEO shall have arrangements in place, appropriate to the scope of services, to manage selection, evaluation and monitoring of internal or
external suppliers and to assure selection and acquisition of required products and services.
Certain work products or services may be acquired to be used during the delivery of the authorised engineering services. These could be various
sub-systems, intermediate work products, elements of the solution that are used in the final product or service delivery. Suppliers may also be used
by the service provider for provision of some part of the service.
An AEO should be able to demonstrate its approach to the use of acquired products and services in its authorised engineering product creation or
service delivery. This includes demonstrating its relevant acceptance and assurance arrangements and transitioning of the required products into its
own product or service.
Guidance Evidence
An AEO should demonstrate that it has a process for managing suppliers and associated risks including selection, evaluation and monitoring of
supplier performance.
Evidence of process execution covering the scope of authorisation (disciplines and lifecycle phases) as suitable are also required.
Guidance Documents
TS 10504

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7.10. Performance measurement and evaluation

These requirements demonstrate engineering management activities and arrangements that support consistent repeatable service or product delivery by providing
objective quantitative information on the organisational processes performance and quality of the product or service.

as applicable
or guidance
An AEO shall periodically review key service delivery processes using established measurement processes, methods and defined quantitative
performance criteria.
This requirement is implemented as suitable for the organisational business needs.
Typically, only a few core processes are managed using quantitative methods. These are selected based on associated risks and impact on
business objectives.
Some ad-hoc improvements are implemented through the special causes of variations identification and corrective actions implementation.
Guidance Evidence
AEOs are expected to demonstrate the following:
• relevance of the selected performance framework to business objectives

• rationale behind the adopted measurement baselines
• measurement models and methods being used
• evidence of process execution and outcome use (collecting, storing and analysing the data)
• evidence of organisational process support (availability of competent staff, appropriate tools and methodologies)
• evidence of process review and calibration

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7.11. Continual improvement management

These requirements demonstrate engineering management activities and arrangements that ensure sustainable and growing organisational efficiency and
effectiveness through the deployment of measurable improvements.

as applicable
or guidance
An AEO shall have arrangements in place for continual and systematic process improvement based on measured processes performance.
This requirement is fulfilled based on the outcomes of the ENM23 requirement implementation and execution.
This practice includes the following:
• identifies common causes of variations in process performance using measurement data

• identifies opportunity for improvements based on best industry practices
• pilot improvements, quantitatively analyse the outcome
• deploys improvements, monitor performance and compare with the expected values
Guidance Evidence
There should be evidence of improvement opportunities including the following:
• systematic identification
• objective evaluation against business needs and best industry practices
• prioritisation using established criteria or process as suitable
• There should be evidence of established process of improvements implementation in a controlled manner.
• There should be evidence of improvements performance measurement and review.

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T MU MD 00009 ST

AEO Authorisation Requirements

© State of NSW through Transport for NSW 2017

© State of NSW through Transport for NSW 2017

For queries regarding this document,

© State of NSW through Transport for NSW 2017

• deploying TfNSW's Authorised Engineering Organisation (AEO) framework

• continuously improving TfNSW’s Asset Management Framework

About this document

• restructuring of the requirements and guiding information to remove overlaps in

© State of NSW through Transport for NSW 2017 Page 4 of 65

© State of NSW through Transport for NSW 2017 Page 5 of 65

© State of NSW through Transport for NSW 2017 Page 6 of 65

The requirements contained in this document may be used by an AEO to self-assure

IS EN 50121 Railway applications - Electromagnetic compatibility series

ISO 9001 Quality management systems – Requirements

ISO 55000 Asset management - Overview, principles and terminology

AS ISO 55000 Asset management - Overview, principles and terminology

AS ISO 55001 Asset management – Management systems -Requirements

AS ISO 10007 Quality management systems – Guidelines for configuration management

AS/NZS ISO 9001 Quality management systems - Requirements

Transport for NSW standards

Safety Change Management Standard 20-ST-006

T MU AM 04001 PL TfNSW Configuration Management Plan

T MU AM 04003 GU Configuration Management Guide

T MU AM 06001 GU AEO Guide to Systems Architectural Design

T MU AM 06002 GU AEO Guide to Reliability, Availability and Maintainability

T MU AM 06004 ST Requirements Schema

T MU AM 06006 GU Systems Engineering

T MU AM 06006 ST Systems Engineering

T MU AM 06007 GU Guide to Requirements Definition and Analysis

© State of NSW through Transport for NSW 2017 Page 7 of 65

T MU AM 06010 GU Business Requirements Specification

T MU EN 00003 GU AEO Guide to Sustainability in Design

T MU MD 00003 GU Guide to Independent Safety Assessment

T MU MD 00009 F1 AEO Engineering Services Matrix Template

T MU MD 00009 F2 AEO Self-Assessment Checklist Template

T MU MD 00009 F3 Self-Assessment Tool Template

T MU MD 00009 SP AEO Authorisation Model

T MU MD 20001 ST System Safety Standard for New or Altered Assets

T MU HF 00001 GU AEO Guide to Human Factors Integration

T MU HF 00001 ST Human Factors Integration – General Requirements

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

Other reference documents

TfNSW, NSW Sustainable Design Guidelines Version 3.0

4. Terms and definitions

AEO Authorised Engineering Organisation

ASA Asset Standards Authority

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

CCB configuration control board

© State of NSW through Transport for NSW 2017 Page 8 of 65

CMAAC TfNSW Configuration Management and Asset Assurance Committee

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

EMC electromagnetic compatibility

EMI electromagnetic interference

framework a basic structure underlying a system, concept or text

ISA independent safety assessment

JOS judgement of significance; an assessment of the technical risk introduced by the

RAM reliability, availability and maintainability