Program Overview

Commencing in 2013, the Asset Standards Authority (ASA) launched the Authorised Engineering Organisation (AEO) program to support the delivery of heavy rail projects for Transport for NSW (TfNSW). With the primary purpose of enhancing engineering governance, AEO was a widely accepted program intended to improve the delegation of responsibility in the private and public sector in delivering and maintaining NSW rail network assets with greater efficiency and safety.

AEO or TAO?

On Tuesday 30th November 2021 the Transport for NSW Asset Management Branch (formerly ASA) announced changes to the AEO authorisation program. The existing AEO program transitioned to the now-known Technically Assured Organisation (TAO) program on the 30th of March 2022.

What is the process for becoming a TAO?

TfNSW's Technically Assured Organisation (TAO) program can be a lucrative opportunity for all kinds of organisations.

However, becoming a TAO is not a walk in the park. TfNSW has designed a comprehensive set of criteria and established a team of Subject Matter Experts (SMEs) to assess new applicants.

The authorisation process

The authorisation process is divided into three stages as outlined below:

The Initial Contact

The initial contact stage is basically a meeting between the assigned Authorisation Facilitator from TfNSW's Asset Management Branch (AMB) and the applicant organisation. The meeting includes the AMB Authorisation Facilitator providing an overview of the assessment process and the expectations of the applicant organisation as well as an introduction to the use of the TfNSW supplier portal.

Note: The applicant organisation must nominate a primary point of contact from within the organisation for the Authorisation Facilitator to reach out to at later stages of the process. The contact must be internal and not a consultant or contractor.

The Preparation

The applicant organisation is required to create an assessment request within the TfNSW Supplier Portal. Once the assessment request is accepted by TfNSW, there will be an option to nominate the scope that the organisation intends to apply for in a web version of the Engineering Services Matrix.

The template for the Engineering Services Matrix can be downloaded from this TfNSW webpage.

Once the scope is selected in the portal, the Authorisation Facilitator will review it, ensure the scope is appropriate and then ask the applicant organisation to "Lock the Scope". Once locked, TfNSW will then set up the System Areas and Scope Areas within the portal, which list the criteria for the organisation to respond to.

The applicant organisation then collates the required documented system and deployed system evidence and drafts responses to each of the criteria in preparation for uploading to the portal for preliminary review.

The Assessment and Audit

At this stage, the SMEs will conduct a preliminary review and then either provide feedback requiring resubmission for individual criteria or accept the initial submission. Once the submission is accepted, the organisation will be included in the list of "Entities Qualified for Assessment".

The applicant organisation will then be in a queue of organisations waiting for assessment which are processed based on the following priority levels (1 being the highest):

1. Currently working on projects in need of authorisation
2. Authorisation required for procurement purposes
3. Strategic capabilities need for TfNSW
4. General application

The applicant organisation will generally receive 4 weeks' notice before the assessment commences with a request to nominate primary and secondary contacts for each of the criteria categories to be included in the assessment, including:

• Engineering management
• Quality management
• Competence management
• Configuration management
• System safety assurance

After authorisation, the organisation will need to undergo and participate in regular surveillance audits to ensure that they continue to comply with the TAO requirements. The audits are focused on a specific TfNSW project that the auditors select from a list of active projects provided by the TAO earlier in the year prior to the surveillance audit.

What requirements does an organisation need to meet and achieve TAO authorisation?

The Technically Assured Organisation (TAO) Scheme was designed to ensure that the delivery of projects by consultants and contractors to TfNSW are conducted to the standard that TfNSW expect and to ensure that the assets that TfNSW then operate and maintain meet the requirements of the organisation and other stakeholders.

The TAO Authorisation Requirements (accessible via the TAO section of the TfNSW website) represent statements of expected activities to be in place in accordance with the expected relevant industry practice as appropriate to the scope of authorisation. Its requirements are grouped into 7 engineering management capabilities as follows:

1. Engineering management process and planning
2. Requirements management
3. Service or solution engineering
4. Assurance, verification, and validation
5. Configuration Management
6. Competency Management
7. Stakeholder Management

The maturity level of the applicant organisation's processes for each of the above-mentioned topics are assessed by the TfNSW SMEs during the TAO application process.

Below we outline each capability with an example of possible evidence that could be provided.

Engineering Management Process and Planning

This requirement demonstrates engineering management activities for the systematic execution of those activities that need to be performed to the delivery of services within the sphere of authorisation is compliant with relevant standards whilst satisfying TfNSW needs. The requirement evidence states that TAO shall have plans which demonstrate how they consistently carry out their services.

Requirements Management

This requirement demonstrates engineering management activities, revealing, and also analysing and allocating service or solution requirements as well as managing traceability and fulfilment of those requirements through the service delivery cycle. Some of its requirements evidence include:

• Requirements management plan
• Requirements database
• Stakeholder engagement plan
• Stakeholder register
• Stakeholder engagement meeting records
• Stakeholder needs statement

Service or Solution Engineering

This requirement demonstrates engineering management activities and arrangements that support the application of the relevant engineering principles and practices in developing engineering products, services or solutions as appropriate to the scope of authorisation. Broken down into the following management:

• Interface management
• System integration
• System architecture
• Sustainability
• RAM management
• Human factors integration
• Electromagnetic compatibility

Its requirements evidence includes:

• Interface management plan or process (system) or section in an overall system engineering management plan or engineering management plan
• Systems integration plan
• Proof of deployments such as sustainability integration plans, sustainability workshops, or completion of a sustainability tool such as NSW Sustainable Design Guidelines published by TfNSW.

Assurance, Verification and Validation

This requirement demonstrates 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. Verification and validation management arrangements should typically be supported by the following evidence/facts:

• Organisation level verification and validation arrangements
• Project-level verification and validation arrangements
• Verification and validation plans
• Verification and validation processes and procedures

Configuration Management

This requirement demonstrates the engineering management activities 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. Documented evidence could include the below:

• A cohesive documented system
• Configuration items that are known and recorded
• Changes to configuration items that are appropriately controlled

Competence Management

This requirement demonstrates the engineering management activities and arrangements that ensure that only engineering staff with the appropriate knowledge and skills are engaged to execute activities defined for a specific job.

A Technically Assured Organisation (TAO) should be able to show its ability for knowledge capture, storage, and redeployment that is due for the organisational scope of authorisation and business model.

Evidence may include the following:

• Planning to identify, obtain, retain and deploy knowledge, skills and knowledge assets
• Arrangements to qualify and control it
• Proof of the knowledge sharing to have been executed within the spheres of the organisation and with the AMB.

Stakeholder Management

This requirement demonstrates engineering management activities and arrangements to establish and maintain stakeholder involvement for the work within the scope of authorisation. Evidence could include:

• Various organisational processes
• Plans that goes in line with stakeholder management
• Records of relevant activities such as minutes of meetings

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. Evidence could include the following:

• Engineering intranet home page with links to standards
• Links to TfNSW and AMB standards
• Standards change briefing notes or emails

Supplier Management

This requirement demonstrates engineering management activities and arrangements that enable management of acquisitions from internal and external suppliers as necessary for the scope of authorisation.

A TAO 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 life cycle phases) as suitable is also required.

Testimonials

"Architectus engaged Compliance Council to assist with conducting a review of two active projects against the AEO criteria in preparation for a surveillance audit with the Asset Standards Authority. We found Compliance Council's assistance to be invaluable in this process and I would recommend them to organisations looking for assistance with AEO."

Diana Nankany – Group Compliance Manager, Architectus Australia

architectus.com.au

"Rhomberg Rail engaged the team at Compliance Council in 2018 to assist with our AEO endeavours. Compliance Council developed a specific set of management system documentation to be deployed on AEO projects whilst interfacing with our existing rail infrastructure documentation requirements. The team at Compliance Council also provided advice and guidance throughout the submission process.

Compliance Council have now become an integral partner of Rhomberg Rail, assisting us in more recent times with our Chain of Responsibility requirements.

We would recommend the services of Matt, Phil and the team at Compliance Council to any organisation seeking AEO or CoR compliance."

Scott Richardson – General Manager, Rail Operations, Rhomberg Rail Australia Pty Ltd

rhombergrail.com.au

Contact us today to see how Compliance Council can assist your organisation with becoming a TAO.