AEO Guide to Engineering Management

Transcription

1 Management standard AEO Guide to Engineering Management Issued Date: 4 June 2013 Important Warning This document is one of a set of standards developed solely and specifically for use on the rail network owned or managed by the NSW Government and its agencies. It is not suitable for any other purpose. You must not use or adapt it or rely upon it in any way unless you are authorised in writing to do so by a relevant NSW Government agency. If this document forms part of a contract with, or is a condition of approval by, a NSW Government agency, use of the document is subject to the terms of the contract or approval. This document may not be current. Current standards are available for download from the Asset Standards Authority website at State of NSW through Transport for NSW Page 1 of 67

2 Standard Approval Owner: Authorised by: Approved by: Principal Manager (Systems Engineering) Establishment Project Committee Jim Modrouvanos A/Director Asset Standards Authority Document Control Version Summary of Change 1.0 First issue For queries regarding this standard Asset Standards Authority State of NSW through Transport for NSW Page 2 of 67

3 Preface The Asset Standards Authority (ASA) sets, maintains and administers the framework for assessment, authorisation, surveillance, review and audit of organisations which provide engineering services in relation to the asset life cycle of NSW rail assets. The ASA promotes and contributes to the development of industry capability by developing and publishing guidance material in relation to organisation-level competency frameworks, promoting sustainable development of technical and engineering capability. This guidance document has been developed by the Asset Standards Authority team to inform prospective and acting Authorised Engineering Organisations (AEO) on the implementations of Engineering Management desired by Transport for NSW, in their engineering service provisions under the prescribed AEO authorisation requirements set. The content of this guidance document has been developed with due reference to legacy engineering management manuals and legacy systems engineering manuals published within Transport for NSW and NSW Rail Corporation, and includes informative reference to relevant ISO/IEC standards, Australian standards and NSW acts of law. This guidance document is a first issue, and it is issued by the ASA without cancellation or replacement of any other Transport for NSW document. This guidance document supports the ASA published guide on AEO Authorisation Governance Framework on engineering management and systems engineering topics, and provides a point of reference to separate sub-guides on a suite of developed topics under the engineering management and systems engineering banner. State of NSW through Transport for NSW Page 3 of 67

4 Table of contents 1. Introduction Purpose Scope Application Reference documents International standards Australian standards, acts and regulations TfNSW and ASA standards and documents Other references Terms and definitions NSW Government total asset management AEO total asset management guidance Engineering management principles AEO engineering management guidance Total asset life cycle AEO total asset life cycle guidelines Life cycle model AEO life cycle model guidelines Life cycle baseline gateways Life cycle baseline gateway guidelines Systems engineering Requirements management Interface management Performance modelling and analysis System architecture management Systems assurance Reliability availability and maintainability Verification and validation Testing and commissioning Electromagnetic compatibility management Human factors integration Engineering competency Safety management Safety management requirements guidance Safety assurance Structured safety argument Assessment of an AEO's safety assurance Excellence in design AEO excellence in design guidelines Sustainability in design AEO sustainability in design guidelines Design and sustainability review panel Stakeholder briefs...49 State of NSW through Transport for NSW Page 4 of 67

5 12.1 Business requirements specification Business requirements document Operational concept document Maintenance concept document Engineering specifications System requirements specification Design specifications Product specifications Inspection and test specifications Engineering standards Selection of appropriate standards Standards for permanent works Application of rail engineering standards during construction Maintenance standards during construction Changes in standards during design or construction Configuration management Risk management Risk management guidance Risk management references Quality management Quality management objectives AEO quality management guidance Quality management references Competency management AEO competency management guidance Competency management references Engineering management methods Stakeholder and user needs activities Capability requirements and options activities Feasibility studies activities Systems requirements and concept design activities Preliminary design activities Critical design activities Fabrication and manufacture activities Construction and installation activities Inspection and test activities Commissioning activities Operations and maintenance activities Decommissioning and disposal activities...66 State of NSW through Transport for NSW Page 5 of 67

6 1. Introduction The Asset Standards Authority (ASA) provides the engineering management principles and methods that Authorised Engineering Organisations (AEOs) should implement for the management of Transport for New South Wales (TfNSW) engineering activities over the total asset life cycle. 2. Purpose 2.1 Scope The establishes recommended engineering management principles and methodologies for AEOs engaged in the provision of engineering services to TfNSW. This guide identifies the applicable TfNSW standards that AEOs require to manage engineering activities under their own assurance systems. The provides guidance to an AEO for the development of its engineering management submission to TfNSW. The describes the ASA's approach to engineering management and includes a high level description of the following: the NSW Government's total asset management (TAM) directives the guiding engineering management principles adopted by the ASA the main engineering management methodologies that the ASA recommends that engineering organisations adopt when applying for AEO status This guide is not mandatory, but provides general guidance for prospective AEOs, and is tailored to address high-level engineering management requirements. Mandatory AEO minimum requirements are defined in the TfNSW standard AEO Authorisation Requirements. 2.2 Application The is primarily intended for AEOs that are responsible to TfNSW for carrying out engineering activities. This guide is also to be used by TfNSW project managers, their contractors and consultants, who are responsible for managing the overall enterprise delivery of TfNSW engineering activities. State of NSW through Transport for NSW Page 6 of 67

7 3. Reference documents 3.1 International standards EN :2006 Railway applications - Electromagnetic Compatibility - Part 1: General EN 50126:1999 Railway Applications - The Specification And Demonstration Of Reliability, Availability, Maintainability And Safety (RAMS) IEC Functional safety of electrical/electronic/programmable electronic safety-related systems ISO 9000:2005 Quality management systems - Fundamentals and vocabulary ISO 9001:2008 Quality management systems - Requirements ISO 10007:2003 Quality management systems - Guidelines for configuration management ISO 14001:2004 Environmental management systems - Requirements with guidance for use ISO/IEC 15288:2008 Systems and software engineering - System life cycle processes ISO 17020:2012 Conformity assessment - Requirements for the operation of various types of bodies performing inspection ISO TR 19760:2003 Systems engineering - A guide for the application of ISO/IEC (System life cycle processes) ISO 26702:2007 Systems engineering - Application and management of the systems engineering process (formerly IEEE 1220:2005) ISO 31000:2009 Risk management - Principles and guidelines ISO Systems and software engineering - Architecture description PAS 55-1:2008 Asset management. Specification for the optimized management of physical assets (soon to be superseded by ISO 55000) PAS 55-2:2008 Asset management. Guidelines for the application of PAS Australian standards, acts and regulations AS/NZS ISO 14001:2004 Environmental management systems - Requirements with guidance for use NSW Work Health and Safety Act 2011 No.10 NSW Work Health and Safety Regulation Rail Safety National Law 2012 NSW (formerly NSW Rail Safety Act 2008 No.97) AS 7508 Railway rolling stock - Track forces and stresses AS 7509 Railway rolling stock - Dynamic behaviour State of NSW through Transport for NSW Page 7 of 67

8 3.3 TfNSW and ASA standards and documents 1TP-ST-052 Environmental Management System Manual 4TP-ST-095 Engineering Management Manual 7TP-ST-114 Sustainable Design Guidelines 10-ST-016 Safety Management System Requirements Standard 30-ST-164 Transport Enterprise Risk Management (TERM) Standard 40-ST-003 Safety Standard Safety Assurance Standard TSR Q1 Quality Management (TfNSW Standard Requirements) AEO Guide to Authorisation AEO Authorisation Governance Framework AEO Guide to Engineering Competence Management TfNSW Railway Asset Configuration Management Plan Configuration Management Guide AEO Authorisation Requirements AEO System Safety Standard Guide to Requirements Definition and Analysis 3.4 Other references TS 10504: 2013 HB 158:2010 Handbook. Delivering assurance based on ISO 31000:2009 Risk management - Principles and guidelines HB 327:2010 Handbook. Communicating and consulting about risk INCOSE TP Systems Engineering Handbook. A guide for system life cycle processes and activities ONRSR Meaning of Duty to Ensure Safety - So Far As Is Reasonably Practicable (SFAIRP) Guideline SEBoK v1.0 Guide to the Systems Engineering Body of Knowledge (SEBoK) version 1.0 tpp08-2 Total Asset Management (TAM) requirements for updating the NSW State Infrastructure Strategy (SIS) State of NSW through Transport for NSW Page 8 of 67

9 4. Terms and definitions The following abbreviations and definitions apply in this document: AEO Authorised Engineering Organisation AFC approved for construction ALARP As Low As Reasonably Practical approved for construction documents approved for construction documentation such as design drawings, reports, and other design documents released for the constructor to commence construction of works shown on the AFC documents AS Australian Standard ASA Asset Standards Authority As Low As Reasonably Practicable for a risk to be ALARP it must be possible to demonstrate that the cost involved in reducing the risk further would be grossly disproportionate to the benefit gained assurance a positive declaration intended to give confidence. In engineering references, it is the evidence that planned outcomes have been achieved, or the evidence of effective management of risk authorisation the conferring of authority, by means of an official instruction and supported by assessment and audit Authorised Engineering Organisation a supplier of a defined engineering service or product that has been assessed and granted AEO status by TfNSW availability the measure of the percentage of time that an item or system is available to perform its designated function BRD business requirement document BRS business requirements specification commissioning the systematic process of ensuring that all equipment and systems perform interactively according to the design intent and the operational and user requirements competencies the skills (technical and non-technical) and underpinning knowledge that enable someone to demonstrate a certain level of competence competent person a person identified or certified within an organisation to have sufficient skills and knowledge to perform specified tasks compliance the state or fact of according with, or meeting, rules or standards design (noun) the product of the process of designing that describes the solution (conceptual, preliminary or detailed) of the system, system elements or system end items State of NSW through Transport for NSW Page 9 of 67

10 design (verb) the process of defining, synthesising, selecting, and describing solutions to requirements in terms of products and processes design synthesis (verb) the systematic translation of systems and subsystem functional requirements into a technical physical solution EMC electromagnetic compatibility EMP engineering management plan EN European norm engineering activities an inclusive term meaning both services for project engineering of systems solutions, and services for asset and system support engineering collectively, as sufficient to cover all engineering parts of the total asset life cycle FMECA failure modes, effects and criticality analysis framework a basic structure underlying a system, concept, or text GSN goal structured notation handover the point in time (or staged points in time) when operational responsibility for an asset or system transfers from an AEO to the Client owner or operator HB handbook IEC International Electro-technical Commission IEEE Institute of Electrical and Electronic Engineers INCOSE International Council On Systems Engineering interface a common boundary or point of connection between two or more items, persons or systems. It may include mechanical connections, electrical or electronic connections, software to software or hardware interfaces, personnel interfaces, data transfer requirements, procedural requirements or input conditions, and constraints that exist between one system and another or between items within the same system. ISO International Organization for Standardization ITSR Independent Transport Safety Regulator MCD maintenance concept document maintainability the probability that an item will be restored to operating condition, within a given period of time, using prescribed procedures and resources NZS New Zealand Standard OCD operational concept document ONRSR Office of the National Rail Safety Regulator State of NSW through Transport for NSW Page 10 of 67

11 principal AEO the Authorised Engineering Organisation (AEO) that is responsible to TfNSW as the prime contractor of engineering services, and as the systems integrator for the entire scope of work. Principal AEOs are responsible for compliance to Australian regulatory standards and to TfNSW ASA standards for the entire scope of work. rail infrastructure the facilities that are necessary to enable a railway to operate. This includes, railway tracks and associated structures; service roads, signalling systems, communication systems, rolling stock control systems, and data management systems; notices and signs; electrical power supply and electric traction systems; associated buildings, workshops, depots, and yards; plant, machinery, and equipment; but does not include rolling stock and any facility, or any facility of a class that is prescribed by the national regulations not to be rail infrastructure. RAM reliability, availability and maintainability RAMS reliability, availability, maintainability and safety reliability the probability that a specified item will perform a specified function, within a defined environment, for a specified length of time responsibility 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 RISSB Railway Industry Safety and Standards Board specification a document that fully describes a design element or its interfaces in terms of requirements (functional, performance, constraints, and design characteristics) and the qualification (validation) conditions and procedures for each requirement SRS system requirement specification stakeholders the persons or groups that have claims on ownership, rights, or interest in a project or its activities in the past, present or future supplier a supplier of engineering services or products. Defined as an 'applicant' until such time as it has been granted AEO status, after which it is referred to as an AEO. SysML System Modelling Language TAM total asset management TfNSW Transport for New South Wales UML Unified Modelling Language URD user requirements document validation the process to confirm that the final product delivers defined operations and user requirements for its intended use State of NSW through Transport for NSW Page 11 of 67

12 verification the process to ensure that the outputs of any stage (or stages) in the project life cycle, meets the intent of the preceding stage and/or design inputs requirements (e.g. standards and regulations). Independent verification may be by another part of the designer organisation, not involved in the design, or by a separate designer organisation. State of NSW through Transport for NSW Page 12 of 67

13 5. NSW Government total asset management Transport for NSW is obliged to satisfy the total asset management (TAM) directives of the New South Wales Government. TfNSW achieves this through the agencies of the TfNSW Planning and Programs Division, the TfNSW Transport Projects Division and the TfNSW Transport Services Division. The objective of asset management is to ensure that, from system concept to system disposal, the total collection of management activities associated with the acquisition, operation and maintenance of assets will ensure that the asset integrity is maintained at a level that satisfies the original business requirements over the full asset life cycle. 5.1 AEO total asset management guidance The ASA management standard, AEO Authorisation Requirements, states the following mandatory requirement for asset management: "An Authorised Engineering Organisation shall have management arrangements in place that align with the requirements of PAS 55-1:2008 Asset Management, as applicable to the scope of engineering services provided" AEOs are required to observe objectives of Total Asset Management policies and strategies that are established by TfNSW. Specifically, an AEO that is providing engineering services to TfNSW during the early phases of the system life cycle model should take care to identify and observe TfNSW directives on Total Asset Management. TfNSW is currently formalising release of Total Asset Management policy and strategy directives for the transport sector, in line with the NSW Treasury policy and guidelines document tpp08-2 Total Asset Management (TAM) requirements for updating the NSW State Infrastructure Strategy (SIS). The TfNSW interpretation of tpp08-2 will be formally issued for AEO reference in future. Business requirements, network capability requirements that emerge from the Total Asset Management policies, and strategies, are developed in the 'Exploratory' stage of the life cycle model and then developed to maturity in the 'Concept' stage. TfNSW Total Asset Management policies and strategies for the development, delivery and utilisation of assets and systems will include the following subjects: total life cycle cost (total cost of development and ownership) models through-life capability delivery models through-life system performance models standardisation of solutions and elements in TfNSW asset design State of NSW through Transport for NSW Page 13 of 67

14 operations and maintenance cost models The AEO is expected to have management arrangements in place that align with the requirements of PAS 55-1:2008 Asset Management Part 1: Specification for the optimized management of physical assets, as applicable to the scope of engineering services provided. Guidance on the appropriate application of PAS 55-1:2008 Asset Management Part 1: Specification for the optimized management of physical assets is provided in PAS 55-2:2008 Asset management. Guidelines for the application of PAS Engineering management principles The ASA management standard, AEO Authorisation Requirements, states the following mandatory requirements for engineering management principles: "An Authorised Engineering Organisation shall have arrangements for executing engineering services in a competent and systematic way" "An Authorised Engineering Organisation shall have engineering management methodologies appropriate to its engineering services" The objective of engineering management principles is to have systematic arrangements for managing resources, processes, systems, data, and facilities to undertake engineering activities. A robust system is required to assure that engineering designs are correct, integrated, constructible, compliant with relevant standards, and meet TfNSW requirements. The general principles and approaches to engineering management that apply to AEOs include the following: total asset life cycle systems engineering safety management excellence in design sustainability in design engineering specifications engineering standards configuration management risk management quality management competency management State of NSW through Transport for NSW Page 14 of 67

15 6.1 AEO engineering management guidance TfNSW expects AEOs to address all of the general principles of engineering management in the provision of engineering products and services. The extent to which an AEO is required to address these principles is determined by the levels of responsibility and the complexity of the work that an AEO is to perform, or the authorisation level that an AEO seeks. The level of AEO engineering management 'responsibility' is determined in accordance with the role an AEO performs in providing engineering products and services to TfNSW, under the provisions of lawful acts, regulations and standards. The level of AEO engineering management 'complexity' is determined by the role an AEO performs in providing engineering products and services to TfNSW, over the system life cycle. Engineering management 'complexity' for an AEO in its role is factored by the diversity of engineering disciplines requiring systems integration. The level of rigour in applying engineering management practices should be commensurate with the risk of the activity. That is, the design of a safety critical component requires more rigour than the design of non-critical components. Engineering management arrangements should typically be documented in an engineering management plan (EMP) or manual. The EMP is typically supported by sub-plans or manuals, depending on the scope of AEO engineering services over the asset life cycle. Typical life cycle 'phase-specific' sub-plans (depending on the AEO scope) are: the design management sub-plan, including design assurance the construction management sub-plan, including construction assurance the manufacturing management sub-plan, including manufacturing assurance the integration, test and commissioning sub-plan, including assurance the maintenance management sub-plan, including maintenance assurance the decommissioning management sub-plan, including maintenance assurance Typical whole of life cycle sub-plans (relevant to all AEOs) are: the systems engineering (SE) sub-plan, including specific SE activities the competence management sub-plan the configuration management sub-plan the engineering document management sub-plan the safety management sub-plan the environmental management sub-plan State of NSW through Transport for NSW Page 15 of 67

16 the quality management sub-plan the risk management sub-plan Depending on the scope and complexity of the engineering services, an AEO may incorporate some or all sub-plans within a single engineering management plan (EMP). For example, a specialist supplier of geotechnical and potholing services will have a relatively simple EMP compared to a supplier of multi-discipline, multi-phase services covering systems integration. 7. Total asset life cycle The ASA management standard, AEO Authorisation Requirements, states the following mandatory requirements for the total asset life cycle: "An Authorised Engineering Organisation shall ensure that its engineering services map to relevant phases of the TfNSW asset life cycle model" "An Authorised Engineering Organisation shall establish and maintain an engineering assurance process that aligns to the range of engineering services and activities which the organisation intends to provide" The total life cycle of an asset or system starts with the identification of a need to be satisfied, and progresses through a number of phases into operations and maintenance, and subsequently to decommissioning and disposal. The total life cycle of an asset or system comprises the following phases: the identification of the stakeholder and user needs the capability requirements and options feasibility studies the system requirements and concept the preliminary design the critical design fabrication and manufacture construction and installation inspection and test commissioning and handover operations and maintenance decommissioning and disposal State of NSW through Transport for NSW Page 16 of 67

17 The design life span of TfNSW railway assets and systems typically ranges between 25 and 100 years. The development of a project, through to the point of handover into service operations, usually occurs in the first one to five years of the life cycle. However, the strategic outcome to TfNSW is the achievement of asset performance and service parameters, including safety, reliability, and availability, at a minimum cost of ownership over the total asset life cycle. During the initial life cycle phases, up to asset handover, the engineering processes and the developed product outputs have a significant impact on the later asset utilisation stage (operations and maintenance). The cost of asset ownership is almost completely determined during the early stages of a project managed by TfNSW and executed by the contracted AEO. The ability to influence the cost of asset ownership reduces rapidly in the later asset life cycle stages. Therefore, TfNSW and the AEO should place due emphasis on the 'total asset life cycle' requirements early in the engineering design phases, in order to develop products consistent with the NSW Government Owner and the Service Operator's TAM policy directives on minimising the whole of life costs. 7.1 AEO total asset life cycle guidelines Owner and service operator clients require TfNSW and AEOs to deliver an asset management manual for new or altered assets. The asset management manual includes all of the information needed to manage an asset through its operating life. AEO designs should consider the client owner's or operator's approach to asset management, so that any new works can be easily integrated into existing management systems. AEO designers should also consider the eventual decommissioning and disposal of assets at the end of their service lives. These include assets created during the project as well as existing assets. Existing assets may include heritage items, which may need to be protected, demolished or modified as part of the project. Issues that may need to be addressed in the asset management manual include future access requirements and special equipment. This is in addition to the safe handling and disposal of hazardous or contaminated materials. 7.2 Life cycle model The ASA management standard, AEO Authorisation Requirements, states the following mandatory requirement for the life cycle model: "Authorised Engineering Organisations shall have a system, framework and process for assuring its engineering services and products" The TfNSW asset life cycle model is derived from ISO/IEC 15288:2008 Systems and software engineering - System life cycle processes and is tailored to rail engineering work. State of NSW through Transport for NSW Page 17 of 67

18 TfNSW provides a consistent reference framework for the total asset life cycle of assets created directly or indirectly as a result of TfNSW engineering programs. TfNSW defines the total asset life cycle framework in the complimentary views of 'enterprise life cycle' and 'system life cycle'. These two sequences run concurrently in the model. The combination of enterprise life cycle stages and the system life cycle stages with its subset of system life cycle phases is the basis of the TfNSW life cycle framework. The 'enterprise life cycle' stages are concerned with business and project outcomes. They are defined as 'business development', 'project definition', 'project execution', and 'asset and service life'. The 'system life cycle' stages are concerned with engineering and operational outcomes. They are defined as 'exploratory', 'concept', 'development', 'production', 'utilisation', and 'retirement'. These system life cycle stage definitions conform to the requirements of ISO/IEC 15288:2008 Systems and software engineering - System life cycle processes. The TfNSW life cycle stages are shown in Figure 1. Figure 1 - TfNSW life cycle stages The TfNSW system life cycle has been further broken down into phases to support the establishment of appropriate definitions of TfNSW's system life cycle engineering processes. Figure 2 - System life cycle breakdown TfNSW system life cycle and engineering management definitions are based on the systems engineering 'V' model and the ISO/IEC 15288:2008 Systems and software engineering - System life cycle processes. The TfNSW systems life cycle model is represented in Figure 3. State of NSW through Transport for NSW Page 18 of 67

19 Figure 3 - System life cycle model State of NSW through Transport for NSW Page 19 of 67

20 The system life cycle model has been adapted from ISO standards by TfNSW and includes the total asset life cycle responsibilities of TfNSW programs. The 'inception-to-disposal' span of the total asset life cycle for TfNSW is identified against both enterprise and systems relevance. The TfNSW model conforms to the wider enterprise model and the total life cycle model of ISO/IEC Systems and software engineering - System life cycle processes. The systems engineering life cycle 'V' model is identified with the lead-in process activities of business planning, needs definition, and options analysis. Similarly, the systems engineering 'V' model is identified with the lead-out process activities in the operational life, through-life maintenance, decommissioning, and disposal. The Engineering Management Process shown in Figure 4 is a simplified model of the engineering design management process for TfNSW that outlines the design stages over the complete system life cycle model. Figure 4 provides a high-level representation of the tasks that need to have been completed before moving to the next stage in the system life cycle. State of NSW through Transport for NSW Page 20 of 67

21 STAKEHOLDER & USER REQUIREMENTS exploratory baseline gateway TRACEABILITY Legislations and Regulations FEASIBILITY & CONCEPT DESIGN INPUT Extant Interfaces Proposed Changes to Asset Configuration Build Changes Solution Constraints Configuration Management Committee (CMC) Control Gate Design Changes Delegated (configuration) Governance Control Gate Delegated (configuration) Governance Control Gate Delegated (configuration) Governance Control Gate SYSTEM REQUIREMENTS DESIGN & PLANNING DEVELOPMENT STAGE (New or Altered Designs) DESIGN OUTPUT & APPROVAL FABRICATION, CONSTRUCTION & INSTALLATION Stakeholder / User Standards TRACEABILITY concept baseline gateway preliminary baseline gateway build baseline gateway post-build baseline gateway Design & Configuration Documents Verification of Design Stage Output TRACEABILITY For Construction Baseline As Built Baseline Verification of Construction VERIFICATION VERIFICATION Baseline CM Data VALIDATION INSPECT, TEST & COMMISSION Validation of Integrated System CMC (or delegate) Control Gate validation baseline gateway HANDOVER CMC Control Gate operating baseline gateway Baseline CM Data USE & MAINTAIN CMC Control Gate retirement baseline gateway CONFIGURATION MANAGEMENT RECORDS DECOMMISSION & DISPOSAL Figure 4 - Engineering management process: simplified model Related topics Engineering management methods, section AEO life cycle model guidelines TfNSW expects AEOs to manage their delivery of engineering products and services in accordance with the system life cycle stages or phases and the defined baseline gateways identified in the TfNSW life cycle model. State of NSW through Transport for NSW Page 21 of 67

22 The extent of an AEO's scope of contracted work across the stages or phases of the life cycle model is always to be defined by TfNSW prior to the work starting. AEOs are to manage the progress of their engineering and systems work through adherence to the schedule of life cycle baseline gateways, established for the span of the system's life cycle. 7.4 Life cycle baseline gateways The ASA management standard, AEO Authorisation Requirements, states the following mandatory requirement for life cycle gateways: "An Authorised Engineering Organisation shall demonstrate engineering assurance based on progressive stage gateway reviews" "Authorised Engineering Organisations shall apply a risk based approach to engineering assurance" The TfNSW system life cycle model includes baseline stage gateways that are used to manage formal reviews of life cycle progress and to determine the acceptability of key activity output artefacts. The baseline stage gateways are shown in Figure 3. The baseline stage gateways are: exploratory baseline gateway concept baseline gateway preliminary baseline gateway build baseline gateway post-build baseline gateway validation baseline gateway operating baseline gateway retirement baseline gateway Each gateway review identifies a key progress milestone and a 'go/no-go' decision point for the system life cycle. Each gateway has a defined set of engineering and configuration artefacts required for presentation, review, and approval, prior to an authorisation to proceed being issued. Related topics Engineering management methods, section 19 State of NSW through Transport for NSW Page 22 of 67

23 7.4.1 Exploratory baseline gateway The exploratory baseline gateway occurs at the end of the 'exploratory' stage in the system life cycle model. This aligns with the end of the 'capability requirements & options' phase. The exploratory baseline gateway assures the following criteria: all activities in the 'stakeholder & user needs' and 'capability requirement & options' phases have been completed and all artefact demands have been delivered the proposed plans and options meet the strategic business objectives, capability needs, operational needs, and maintenance needs stakeholder objectives for system capabilities, system operations, system maintenance, system performance metrics, service life parameters, and system environment constraints have been identified and contained in a configured business requirements specification (BRS) a business requirements document (BRD) for the system's enterprise goals has been produced, to inform and support the parent BRS an operational concept document (OCD) for the system in service has been produced, to inform and support the parent BRS a maintenance concept document (MCD) for the system in service has been produced, to inform and support the parent BRS a clear record of accepted completeness, representative approval, and commitment to artefacts has been received from all of the system stakeholders Related topics Stakeholder and user needs activities, section 19.1 Requirements management, section 8.1 Capability requirements and options activities, section 0 State of NSW through Transport for NSW Page 23 of 67

24 7.4.2 Concept baseline gateway The concept baseline gateway occurs at the end of the 'concept' stage in the system life cycle model. This aligns with the end of the 'system requirements & concept' phase. The concept baseline gateway assures the following criteria: all activities in the 'feasibility studies' and 'systems requirements & concept' phases have been completed, and are acceptable, and all artefact demands have been delivered a proposed reference design option has been produced that: meets strategic business objectives is technically and financially feasible to be built can be economically maintained for the duration of its intended operational design life a testing and acceptance planning document for the system and the identification of options has been completed safety change activities for system definition have been completed a configured system requirement specification (SRS) baseline has been established to represent the scope of the system requirements, and to ensure that these requirements are traceable back to the user requirements document (URD) the preferred option has been identified and the feasibility assessment of that option has been completed a basic acquisition plan for the preferred option has been planned, and the complexity appraisals of the acquisition scope of all aspects have been completed Related topics Feasibility studies activities, section 19.3 Requirements management, section 8.1 System requirements specification Section Preliminary baseline gateway The preliminary baseline gateway occurs part-way through the 'development' stage in the system life cycle model. This aligns with the end of the 'preliminary design' phase. 'Development' in the TfNSW context commences after the release of a 'reference design', facilitated through a successful design and construct tender process. The preliminary baseline gateway assures the following criteria: all activities in the 'preliminary design' phase have been completed, and are acceptable, and all artefact demands have been delivered State of NSW through Transport for NSW Page 24 of 67

25 a proposed design solution has been completed. The design meets the system requirements of the system requirement specification and meets any derived subsystem specifications or other technical requirements, suitable to the 'preliminary design' baseline presentation. the safety change activities for the system and the preliminary design processes have been satisfactorily completed Related topics State of NSW through Transport for NSW Page 25 of 67

26 Concept baseline gateway, section Engineering specifications, section 13 Preliminary design activities, section Build baseline gateway The build baseline gateway occurs at the end of 'development' stage in the system life cycle model prior to the start of the 'production' stage. This aligns with the end of the 'critical design' phase. The 'production' stage in the TfNSW context begins after the release of approved for construction (AFC) designs. The build baseline gateway assures the following: all activities in the 'preliminary design' and 'critical design' phases have been completed and are acceptable, and all artefact demands have been delivered a proposed design solution has been completed and meets the system requirements of the system requirement specification. It includes any derived specifications or other technical requirements required to support the 'for construction' baseline presentation. the safety change activities for system, preliminary and critical (detail) design processes have been satisfactorily completed a design safety assurance report (SAR) has been accepted by the risk acceptance authorities on the presented 'for construction' design baseline a test and acceptance plan has been completed for the approved for construction (AFC) design Related topics Preliminary baseline gateway, section Engineering specifications, section 13 Engineering standards, section 14 Critical design activities, section 19.6 Product specifications, section Post-build baseline gateway The post-build baseline gateway occurs midway through the 'production' stage in the system life cycle model, prior to the start of site integration and testing. This aligns with the end of the 'construction / installation' phase. This post-build baseline gateway assures the following: State of NSW through Transport for NSW Page 26 of 67

27 all activities in the 'fabrication / manufacture' and the 'construction / installation' phases have been completed, and are acceptable, and all artefact demands have been delivered that the end product of the 'fabrication / manufacture' and 'construction / installation phases, at both the factory and on site, conforms to the configured 'for construction' baseline safety change activities applicable to the commencement of testing have been satisfactorily completed Related topics Build baseline gateway, section Post-build baseline gateway, section Inspection and test specifications, section 13.4 Engineering standards, section 14 Configuration management, section 15 Fabrication and manufacture activities, section 19.7 State of NSW through Transport for NSW Page 27 of 67

28 Construction and installation activities, section Validation baseline gateway The validation baseline gateway occurs at the end of integration and test activities in the 'production' stage in the system life cycle model. This aligns with the end of the 'inspection & test' phase. The validation baseline gateway assures the following: all verification activities have been completed and are acceptable all artefact demands have been delivered up to system integration tests within the 'inspection & test' phase the integrated and tested solution is verified and ready for full integration into the NSW transport network all of the safety change activities that relate to the system build and validation have been completed. This includes the signoff of an implementation SAR or a safety assurance statement (SAS) by the risk acceptance authorities Related topics Post-build baseline gateway, section Configuration management, section 15 Inspection and test specifications, section 13.4 Inspection and test activities, section Operating baseline gateway The operating baseline gateway occurs at the end of implementation activities in the 'production' stage in the system life cycle model. This aligns with the end of the 'commissioning' phase. The operating baseline gateway includes a formal review that occurs at the end of the defects liability period, prior to the handover for normal NSW transport network operations. The operating baseline gateway assures the following: all activities in the 'commissioning' phase have been completed and all artefact demands have been delivered the compliance of all systems validation testing has been proven to the stakeholders' requirements, and a post implementation review has been satisfactorily completed the presentation of a physical configuration audit (PCA) baseline of the actual build configuration, which demonstrates that the build of the assets reflects the baseline asset data that new or altered assets are defect-free, are working as intended by design, and can be accepted into active service by transport operations State of NSW through Transport for NSW Page 28 of 67

29 Related topics Validation baseline gateway, section Verification and validation, section 8.7 Commissioning activities, section Retirement baseline gateway The retirement baseline gateway occurs at the end of the 'utilisation' stage in the system life cycle model. This aligns with the end of the 'operations & maintenance' phase. A formal review at the retirement baseline gateway is performed at the end of the operational life of the system assets, and prior to any decommissioning or disposal works. The retirement baseline gateway assures the following: the completion of a strategic 'condition' analysis relating to those elements of the system infrastructure which are approaching their 'end to system service life'. The resulting 'condition' analysis determines the fate of those distinguishable system elements. the identification of the system elements due for disposal the identification of the system elements due for strategic re-use the completion of a decommissioning and disposal plan Related topics Operating baseline gateway, section Testing and commissioning, section 8.8 Operations and maintenance activities, section Life cycle baseline gateway guidelines AEOs manage the progress of their engineering and systems work through adherence to the schedule of life cycle baseline gateways. These are determined for the span of the system's life cycle, and undertaken in scopes of work for TfNSW. The AEO's engineering management and assurance systems should conduct life cycle baseline gateway reviews with TfNSW participation. These AEO reviews should provide measurable, quantifiable evidence for the successful completion of AEO work packages at each completed stage or phase of the system's life cycle. TfNSW reserves a right of veto on the progress of any AEO work packages, through to acceptance, at three of the eight baseline gateways that have been defined. The three baseline gateway points at which the TfNSW veto can be exercised are: the build baseline gateway (the 'AFC' baseline) the operating baseline gateway (the 'introduction into service' baseline) State of NSW through Transport for NSW Page 29 of 67

30 the retirement baseline gateway An AEO shall allow TfNSW visibility of the baselines that they present at their gateway reviews in advance of those reviews being undertaken. This provides TfNSW with the opportunity to attend the AEO review meeting and provide feedback. The requirements for such notifications and baseline information are set out under TfNSW project scopes of work. 8. Systems engineering The ASA management standard, AEO Authorisation Requirements, states the following mandatory requirement for systems engineering: "Authorised Engineering Organisations shall have a Systems Engineering approach to the planning and delivery of its engineering services or products" Systems engineering is an interdisciplinary field of engineering, focusing on the design and management of complex engineering projects over the system life cycle. The ASA recommends that AEOs follow the International Council on Systems Engineering's (INCOSE) description of systems engineering: "Systems engineering focuses on defining customer needs and the required functionality early in the development cycle, documenting requirements, and then proceeding with design synthesis and system validation while considering the complete problem: operations, cost and schedule, performance, training and support, test, manufacturing, and disposal. Systems engineering considers both the business and the technical needs of all customers with the goal of providing a quality product that meets the user needs." INCOSE Systems Engineering Handbook v Further information on the disciplines and practices of systems engineering can be found in the standard ISO/IEC 15288: Systems and software engineering - System life cycle processes. Any company, party or organisation applying to become an AEO should ensure that its engineering management documentation meets the minimum standard required for the complexity of its projects or contracts. An AEO should ensure that the technical processes covered in its documentation include the following: requirements management interface management performance modelling and analysis State of NSW through Transport for NSW Page 30 of 67

31 systems architecture management systems assurance reliability availability and maintainability verification and validation testing and commissioning electromagnetic compatibility management human factors integration engineering competency configuration management Configuration management also forms part of systems engineering and is covered in section 15 Configuration management. 8.1 Requirements management The ASA management standard, AEO Authorisation Requirements, states the following overarching mandatory requirement for requirements management: "An Authorised Engineering Organisation shall have requirements management arrangements that set out process, responsibilities, structure, tools and deliverables for management of stakeholder requirements applicable to the scope of engineering services provided across the system life cycle" Requirements management is an active process throughout the duration of a project or product life cycle. Requirements management involves identifying, analysing, tracing, prioritising, agreeing, and documenting client requirements and then actively managing these requirements. Requirements management processes include controlling and managing changes, communicating any requirements to the relevant stakeholders, and demonstrating compliance. The importance of effective requirements management is not to be underestimated. The lack of discipline for thorough requirements management is the single biggest cause of risk leading to failure on rail engineering projects. This is also true for engineering projects in other industry sectors AEO requirements management guidelines Each organisation applying for AEO approval should align its coverage of requirements management with its engineering management documentation. It should be customised relative to the complexity of the work to be undertaken. State of NSW through Transport for NSW Page 31 of 67