What is required for an AEO Stage 2A Submission?

The first submission back to the Asset Standards Authority (ASA) after your initial meeting involves completing the provided ASA AEO Toolkit:

AEO Application Form

This is a simple 2 page document for collecting details about the organisation applying for AEO status including:

• Existing certifications such as ISO 9001, ISO 14001 and AS/NZS 4801
• Details of engineering work that the organisation has provided to Transport for NSW (TfNSW)
• Contact details for a TfNSW contact who can verify if there is procurement priority associated with the application

T MU MD 00009 F1 Engineering Services Matrix

After the completing the AEO Application document, the Engineering Services Matrix should be the first document filled in as it sets the scope for the remaining documents. An organisation should fill in the matrix by marking relevant sub-disciplines and life cycle stages using an "x".

It is common for organisations to select many sub-disciplines and corresponding life cycle stages to then realise that they have to provide evidence demonstrating that they have already delivered those engineering services. Without evidence of having already delivered those services, the organisation won't be able to include it in the scope outlined in the Engineering Services Matrix.

T MU MD 00009 F2 Self-Assessment Checklist

The Self-Assessment Checklist is an 18 page document which lists all of the AEO criteria along with fields for the applicant to complete with comments describing how the organisation complies with the requirement and then space to list the names of document system evidence and deployed system evidence files. For detailed guidance on how to complete this document, read the Compliance Council Guide to becoming an Authorised Engineering Organisation (AEO).

Scope Assessment Form

For each sub-discipline selected as part of the organisation's scope in the Engineering Services Matrix, a separate Scope Assessment Form needs to be completed. The Scope Assessment Form lists all of the technical evidence that is required to be submitted for each applicable life cycle stage. Life cycle stages are:

• Transport needs analysis, model or plan
• Operations concept development
• Maintenance concept development
• Optioneering
• BRS or user requirements
• Single option development
• SRS development
• Concept or reference design
• Design
• Material procurement
• Manufacturing or fabrication
• Construction or installation
• Subsystem integration
• Testing and commissioning
• Acceptance services
• Plan asset maintenance
• Maintain or upgrade assets
• Conduct asset condition surveys
• Plan decommissioning or disposal
• Conduct decommissioning or disposal

For a construction organisation, the applicable life cycle stages would generally be:

• Material procurement
• Manufacturing or fabrication
• Construction or installation
• Subsystem integration
• Testing and commissioning
• Acceptance services

For all of the other life cycle stages listed in the Scope Assessment Form you would write not-applicable. For an example of the type of content that is written for the "design" life cycle stage of the "high voltage protection system" sub-discipline refer to the Compliance Council Guide to becoming an Authorised Engineering Organisation (AEO).

T MU MD 00009 F3 Self-Assessment Tool

This tool should be completed last as it involves summarising the maturity ratings identified in the Self-Assessment Checklist to give overall capability maturity for the following engineering management capability areas:

• EMCA 1 - Planning, managing and closing out engineering work
• EMCA 2 - Managing the work requirements
• EMCA 3 - Managing competence
• EMCA 4 - Managing stakeholders
• EMCA 5 - Managing resources
• EMCA 6 - Managing supplier quality
• EMCA 7 - Managing service or solution engineering
• EMCA 8 - Managing assurance, verification and validation
• EMCA 9 - Managing configuration
• EMCA 10 - Managing performance
• EMCA 11 - Continuous improvement

Once the above documents have been completed, they can then be sent to your appointed ASA Authorisation Facilitator to conduct their first review, possibly involving ASA subject matter experts (SMEs). Note: No evidence referred to in the above documents is to be submitted at Stage 2A but the evidence should be on hand for when the ASA do request a copy of it as part of Stage 2B.