A Safety Focussed Assurance Framework for Transport Assets Richard Adams, Manager Safety and Ri sk Assurance

April 2017 | 1

April 2017 | 2

A Safety Focussed Assurance Framework for Transport Assets RISSB Safety Conference

Richard Adams, Manager Safety and Risk Assurance

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Introduction

The role of the Assets Standards Authority with TfNSW The elements of assurance Assurance and the Asset Lif ecycle The Assurance Framework Conclusions

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The Role of the Assets Standards Authority within TfNSW

Transport Assets by Numbers

107 wharves

and jetties ......... A 12,000km

of rail

train 4102 2221 i ;J carriages $llgbn bu_s_e_s _ _

in network assets

30 _._ ~~,~~~-~~ ferries-- of road

e bridges stations

and stops

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Assuring TfNSW across all modes

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Technical disciplines

Asset Management

Project Management

~ Safety

Assurance

Environment & Sustainability

Industry Engagement

Systems Engineering

Competency & Capability

Human Factors

Quality & Risk

•

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Engineering disciplines

Track C ivi l Electrical Engineering Engineering E ng ineeri ng

(<~>) ¥ ••••• 0•0 •• •• ~i(•lfl> •

F leet Stations & Te lecommunications Signals & En gineering Buildin gs Engineering Con trol Syst e m s

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The Elements of Assurance

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

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Assurance layers

1st Level Assurance

2nd 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

3rd Level Assurance TfNSW

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The Elements of Assurance

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Assurance and the Asset Life Cycle

CCBS Gates rnaraged throuqh CCBs Co11f1yu1ation Contiol Boa•ds (CCBs)

Conflgur<ition Management and Asset Assurance Committee (CMAAC)

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Demand / Need Phase

Lifecycle Phase Activities and Accountabilities Assurance Requirements

• Assure the identified trigger for change is justified • TfNSW triggers change based on: Input

from its Operators or Maintainers • Key decisions must be risk based Demand / and assured • by strategy or external factors e.g. Need

population growth, urban development • Alignment with TfNSW business etc. objectives and strategy – authorisation audits

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Plan Phase

Lifecycle Phase Activities and Accountabilities Assurance Requirements

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 Plan • 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 Phase

Lifecycle 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 purpose TfNSW implements governance and due diligence based on level of risk Independent safety assessment conducted for higher risk new or altered assets Configuration management gateways ensure appropriate progressive assurance trough CCBs and CMAAC AEO technical capability assured through their authorisation scope

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Operate / Maintain Phase

Lifecycle 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 maintainers Development and assurance of annual maintenance plans by Maintainers Configuration management gateway 6 monitors maintenance strategy and planning Operator and maintainer manages TfNSW’s asset risks including safety through appropriate assurance processes and arrangements Maintainers are AEOs whose technical capability assured through their authorisation scope – authorisation audits

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

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The Assurance Framework

Asset Assurance

System Safety

Reliability, Availability,

Maintainability

Systems Engoineering

Asset Stewardship

Due Diligence TfNSW Safety Management

System

Engineering Standards

Authorised Engineering

Organisations

Configuration Management and CMAAC

Process

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An Assured Transport Network Through 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 Assurance 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

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Systems Engineering Systems engineering is central to the assurance framework Analyses complex requirements form many stakeholders to achieve efficient outcomes Integration 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 f lows from concept and requirements, through design, development, installation, testing and commissioning, to operation and maintenance and finally to decommissioning and disposal

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Configuration Management, CMAAC an d CCBs

CCBS Gates managed through CCBs Co11flguratlon Contiol Boards (CCB5)

Conflgur;ition Management and Asset Assurance Committee (CMAAC)

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Authorised Engineering Organisation Model AEOs assure their engineering activities Assets and systems delivered to TfNSW are fully assured AEO assessed and authorised against their capability to deliver assured outcomes ASA conducts ongoing risk based audit of AEOs

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Assured Standards 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

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TfNSW Safety Management System

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Conclusion 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

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