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A Safety Focussed Assurance Framework for Transport AssetsRichard Adams, Manager Safety and Risk Assurance

April 2017

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A Safety Focussed Assurance Framework for Transport AssetsRISSB Safety Conference

Richard Adams, Manager Safety and Risk Assurance

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The role of the Assets Standards Authority with TfNSW

The elements of assurance

Assurance and the Asset Lifecycle

The Assurance Framework

Conclusions

Introduction

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The Role of the Assets Standards Authority within TfNSW

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Transport Assets by Numbers

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Assuring TfNSW across all modes

Transport for NSWSimon Freeman 2011

Transport for NSWSimon Freeman 2011

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Technical disciplines

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Engineering disciplines

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Assurance is 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

The Elements of Assurance

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Assurance layers

1st Level Assurance

2nd Level Assurance

3rd Level Assurance

Engineering process, assurance process, risk

management etc.

Auditing, independent reviews, independent

validation, ISA

Project and TfNSW audits, reviews, due diligence and

acceptance

Delivery AEO

Other AEO / Organisations

TfNSW

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The Elements of Assurance

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Assurance and the Asset Life Cycle

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Demand / Need PhaseLifecycle Phase Activities and Accountabilities Assurance Requirements

Demand / Need

• TfNSW triggers change based on: Input from its Operators or Maintainers

• by strategy or external factors e.g. population growth, urban development etc.

• Assure the identified trigger for change is justified

• Key decisions must be risk based and assured

• Alignment with TfNSW business objectives and strategy –authorisation audits

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Plan PhaseLifecycle Phase Activities and Accountabilities Assurance Requirements

Plan

Strategic decision making by TfNSW in identifying and evaluating options to meet the demand / need aligned with• Long term transport strategy• Meeting transport demand needs and

other objectives e.g. urban regeneration and development

• asset management strategy

TfNSW decides on selected option, develops and specifies it

AEOs provide technical advice and support to TfNSW

Assure that the right asset is specified, i.e. specify what is needed to meet the intended demand need

Consider safety in an auditable and assured manner balancing it with other risks and opportunities.

Demonstrate that selected and specified option is that which best ensures safety so far as is reasonably practicable (SFAIRP)AEO technical capability assured through their authorisation scope –authorisation audits

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Acquire PhaseLifecycle Phase Activities and Accountabilities Assurance Requirements

Acquire

AEOs deliver assets and associated assurance to TfNSW compliant with TfNSW standards and contracts.

Engineering decisions generally made by AEOs.

TfNSW manages delivery and conducts appropriate governance and due diligence

Extensive Engagement with Operators and Maintainers

AEOs assure the assets they are providing for their intended operation and intended life – includes safety, RAM, whole of life cost and fitness for purposeTfNSW implements governance and due diligence based on level of riskIndependent safety assessment conducted for higher risk new or altered assetsConfiguration management gateways ensure appropriate progressive assurance through CCBs and CMAACAEO technical capability assured through their authorisation scope

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Operate / Maintain PhaseLifecycle Phase Activities and Accountabilities Assurance Requirements

Operate / Maintain

Contracted Operator and Maintainer Operate and Maintain Transport Network Assets in line with TfNSW standards, requirements and contract.

Operator and maintainer provide asset condition information and assurance back to TfNSW

TfNSW monitors asset conditions.

Approves annual maintenance budgets and plans

Condition and performance monitoring by maintainersDevelopment and assurance of annual maintenance plans by MaintainersConfiguration management gateway 6 monitors maintenance strategy and planningOperator and maintainer manages TfNSW’s asset risks including safety through appropriate assurance processes and arrangementsMaintainers are AEOs whose technical capability assured through their authorisation scope – authorisationaudits

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Disposal is treated as a change in its own right following the life cycle

Dispose Phase

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The Assurance Framework

Asset Assurance

System Safety

Reliability, Availability,

Maintainability

Systems Engineering

Asset Stewardship

Due DiligenceTfNSW Safety Management

System

Engineering Standards

Authorised Engineering

Organisations

Configuration Management and CMAAC

Process

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An Assured Transport NetworkThrough whole of life the transport assets / system must be assured as:

• Reliable• Safe• Operable• Maintainable• Sustainable• Optimised whole of life cost• Fit for purpose

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System Safety is the concurrent application of systems based approach to safety engineering and of a risk management strategy covering the identification and analysis of hazards and the elimination, control or management of those hazards throughout the life cycle of a system or asset• Legislative requirements drive safety• Integrate safety into design and delivery of assets and systems• Delivered by AEOs• Independent Safety Assessment framework has been developed• Progressive assurance across lifecycle• Human Factors• Scalable assurance process

System Safety Assurance

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Systems engineering is central to the assurance frameworkAnalyses complex requirements form many stakeholders to achieve efficient outcomesIntegration is key as part of assuring transport assets and systems

• Integration into network• Integration of complex systems• Integration of assurance across the lifecycle

Systems engineering in TfNSW is a process based engineering approach that flows from concept and requirements, through design, development, installation, testing and commissioning, to operation and maintenance and finally to decommissioning and disposal

Systems Engineering

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Configuration Management, CMAAC and CCBs

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AEOs assure their engineering activitiesAssets and systems delivered to TfNSW are fully assuredAEO assessed and authorised against their capability to deliver assured outcomesASA conducts ongoing risk based audit of AEOs

Authorised Engineering Organisation Model

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Standards are a key element of an asset assurance argument

The ASA assures its standards through:• Scalable assurance process• Risk controls from standard linked to network risk• SFAIRP justification for standards• Assurance argument for novel or high risk content• Standards span engineering, assurance, human factors, asset

management, systems engineering• Industry consultation

Assured Standards

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TfNSW Safety Management System

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ASA TfNSW:• has established a multi-element assurance framework that is safety

focused and supports the assurance of transport assets throughout the asset life cycle

• the framework is growing in maturity but is comprehensive and driving improved asset management and performance outcomes

• the desired outcome is that TfNSW safely plans, builds and manages safe assets to provide services to move people and goods across NSW

Conclusion

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