IIMM ISO 55001 Supplement v1-2014-734

Supplement to the IIMM 2011
Quick Guide:
Meeting ISO 55001
Requirements for
Asset Management
Using the International Infrastructure
Management Manual (IIMM)
ISO 55001: What is required

IIMM: How to get there
February 2014 v1.0

Supplement to the IIMM 2011: Quick Guide to Meeting ISO 55001 Requirements - 2014
Purchase a copy of the International Infrastructure

Management Manual (IIMM) 2011
The International Infrastructure
Management Manual (IIMM), now in
its fourth edition, is widely accepted
as the international leading document
on infrastructure asset management.
The IIMM provides valuable guidance
to organizations on how to implement
good asset management practice for
infrastructure assets and includes over
100 case studies demonstrating good
practice across a wide range of assets
and countries.
The asset management practices
outlined in the IIMM will help
organisations:
improve cost-efficiency and
reduce costs, for example by
using decision techniques that
identify the lowest lifecycle
cost maintenance and renewal
decisions;
improve customer satisfaction by
better matching levels of service
with what customers want and are
willing to pay for;
have more transparency in
decision-making, allowing stronger
governance and accountability; and
be more sustainable, by having
long term plans that provide
equitably funded services across
generations.
Available from: www.ipwea.org/bookshop

www.nams.org.nz
Contents
Introduction
ISO Asset Management Standards
International Infrastructure Management Manual
Scope and Purpose of this Supplement
Format of this Supplement
4
5
6
6
ISO Part 4: Context of the

Organisation
ISO Part 9: Performance

Evaluation
ISO 9.1: Monitoring, Measurement, Analysis
and Evaluation
ISO 9.2: Internal Audit
ISO 9.3: Management Review
ISO Part 10: Improvement
ISO 4.1: Understanding the Organization and Its Context 7

ISO 4.2: Understanding the Needs and Expectations of
Stakeholders 7
ISO 4.3: Determining the Scope of the Asset
Management System
8
ISO 4.4: Asset Management System
9
ISO 10.1: Nonconformity and Corrective Action

ISO 10.2: Preventive Action
ISO 10.3: Continual Improvement
ISO Part 5: Leadership
Appendix B
ISO 5.1: Leadership and Commitment

ISO 5.2: Policy
ISO 5.3: Organizational Roles, Responsibilities and
Authorities
26
27
28
Appendix A
Summary of IIMM Clause Numbers Relevant To ISO
10
10
Comparison of Key Definitions Between ISO 55000

and the IIMM
11
Appendix C
29
32
Bibliography 34
ISO Part 6: Planning

ISO 6.1: Actions to Address Risks and Opportunities
for the Asset Management System
ISO 6.2: Asset Management Objectives and Planning
to Achieve Them
23
24
25
12
12
ISO Part 7: Support

ISO 7.1:
ISO 7.2:
ISO 7.3:
ISO 7.4:
ISO 7.5:
ISO 7.6:
Resources
Competence
Awareness
Communication
Information requirements
Documented Information
16
17
17
18
18
19
ISO Part 8: Operation

ISO 8.1: Operational Planning and Control
ISO 8.2: Management of change
ISO 8.3: Outsourcing
21
21
22
Copyright
This work is copyright of the New Zealand National Asset Management Support Group (NAMS) and the Institute of Public Works
Engineering Australasia (IPWEA). Apart from any use as permitted under the NZ Copyright Act 1994, no part may be reproduced by
any person without prior written permission from these parties.
Introduction
ISO Asset Management

Standards
The three ISO Asset Management (AM) Standards have
the potential to impact all organizations who have AM
responsibilities. These Standards, whilst framed on the
management of physical assets, can be utilised for any
asset type and by any size organization. They address the
requirements for a management system (not software) for the
management of assets and comprise:
ISO 55001 is the most critical Standard in that it details the

things required to be done - some 70 requirements with a
number of sub elements. It provides a systematic management
specification while allowing organisations to structure their
activities to suit their needs, resources, capabilities and
objectives. The structure of the Standard is formatted under
the main headings, as follows:
Context of the Organisation

Needs/Expectations of Stakeholders
Scope of the AM system and to which assets it will apply.
ISO 55000 Asset management Overview, principles and

terminology
Leadership and Commitment
ISO 55001 Asset management Management systems Requirements
Planning
ISO 55002 Asset management Management systems Guidelines for the application of ISO 55001.
Policy, Roles, responsibilities and authorities
Risks and Opportunities
AM Objectives and planning to achieve them
The ISO AM Standards are the first to be written in accordance

with the new Guidelines established by the ISO for the
consistent structure and content of all their Management
System type standards.
Support
ISO 55000 gives those responsible for organizational
Information
governance and management an appreciation of why the

organization should embrace AM. It highlights that effective
acquisition, control and governance of assets by organizations
is essential to realising value through managing risk and
opportunity to achieve the desired balance of benefits, costs,
risk and performance.
Operation and Control
It enunciates the benefits of AM and an AM system in

providing a structured approach and more reliable decision
making for the development, coordination and control of
activities undertaken on assets, and for aligning these activities
with its organizational objectives. The following Figure from
ISO 55000 shows the typical relationship between AM and the
AM system.
Resources, awareness, competence
Communication
Change management
Outsourcing
Performance Evaluation

Monitoring and Review
Auditing
Improvement
Nonconformity

Corrective and Preventive Action
Continual improvement
The body of this Supplement follows the ISO 55001 structure.
Managing the
Organisation
Asset Management
Asset
Management System
Asset
Portfolio
Figure 1
Coordinated activity of an organisation to

realize value from assets.
Set of interrelated or interacting
elements to establish asset management
policy, asset management objectives and
processes to achieve those objectives.
Assets that are within the scope of the asset
management system.
Asset Management and the Asset Management System (Ref ISO 55000:2014)
Introduction
ISO 55002 explains the requirements specified in ISO 55001
and provides examples to support implementation. It does not
provide guidance for managing specific asset types.
Who should use the Standards

These International AM Standards are primarily intended for
use by those:

considering how to improve the realisation of value for

their organisation from their asset base;
involved in the establishment, implementation,

maintenance and improvement of an AM system;
involved in delivering AM activities including service

providers;
internal and external parties or stakeholders who assess

the organisations ability to meet legal, regulatory and
contractual; requirements and the organizations own
requirements.
Why to use the Standards

Organizations will implement these Standards to address a
range of business objectives including the following (in no
particular order):
Where to access the Standards

They are currently adopted as ISO Standards and available
for purchase from SAI Global (http://infostore.saiglobal.com/
store/Portal.aspx?publisher=ISO ) or from your Country
Standards Association.
How to apply the Standards

IPWEA and the New Zealand NAMS Group will be providing
training and offering assistance to organizations considering
the implications, application and implementation of these new
Standards in their organisation. This will include a series of
IPWEA webinars.
International Infrastructure
Management Manual
The International Infrastructure Management Manual
(IIMM), now in its fourth edition, has evolved over many years
and is widely accepted as the international leading document
on infrastructure AM. The IIMM provides valuable guidance
to organizations on how to implement good AM practice
for infrastructure assets and includes over 100 case studies
demonstrating good practice across a wide range of assets and
countries.
improved financial performance;
better informed asset investment decisions;
better managed risk;
improved services and outputs;
Figure 2 introduces the AM process that leads readers

through the IIMM. The first part of the AM process is about
understanding and defining what services the infrastructure
assets should deliver. This is covered in Section 2, which will
help infrastructure managers answer questions such as:
demonstrated social responsibility;
demonstrated compliance;
What are my required levels of service and performance

delivery?
enhanced reputation;
How will demand for these change over time?
improved organisational sustainability; and
What is the current state of my assets?
improved efficiency and effectiveness.
Are they capable of meeting these demands now and in the

future and what are the risks they may not?
ISO state that the main aim of Standards is to promote good

practice rather than primarily being about compliance. The
Standards themselves do not carry any force to require their
application and in most cases it will be up to the organisation
to choose to apply them as part of good business practice.
However, in some highly regulated areas involving significant
asset values, the regulators, financiers or insurers may require
these Standards to be applied, in order to provide evidence the
assets are being effectively managed.
The second part of the AM process, covered in Section 3 of

the IIMM, is deciding the most effective lifecycle strategies
to deliver the defined requirements. This Section will help to
answer the questions:

What are my best strategies for operating, maintaining,

replacing and improving the assets?
How much will providing the service cost over the longterm?
Who can assess conformance
What is my best long-term funding strategy?
Guidance on the skills and competencies required of those

involved in ISO 55001 audit and certification is provided
in ISO/IEC DTS 17021-5 Conformity assessment
Requirements for bodies providing audit and certification of
management systems Part 5: Competence requirements for
auditing and certification of AM systems.
Section 4 provides guidance on the AM enablers that support

effective infrastructure planning and decision processes
described above. This includes the structures, capabilities,
plans, systems, tools and external resources the organisation
needs for effective AM. It also details an approach for ensuring
AM practices are subject to continuous improvement.
Introduction
Section 2
Understand and Define Requirements
2.1 Develop the AM Policy
Section 3
Developing Asset Management
Lifecycle Strategies
3.5 Financial and Funding Strategies
2.2 Define Levels of Service and

Performance
2.4 Understand the Asset Base

(the asset register)
2.5 Assess Asset Condition
3.4 Capital Works

Strategies
4.3 Information Systems and Tools
3.3 Maintenance
Strategies and
Plans
3.2 Operational
Strategies and
Plans
4.5 Quality Management
The Asset Management Process (sourced from IIMM 2011, p1/9)
Scope and Purpose of this

Supplement
As discussed above, ISO 55001 spells out the requirements
for the establishment, implementation, maintenance and
improvement of a management system for AM. It specifies
what an organization needs to do to fulfil the Standards
requirements. However ISO 55001 does not provide specific
direction on how an organization should go about achieving
those requirements, nor does it contain asset-specific guidance.
The IIMM complements the ISO Standard by providing more
detailed how to guidance.
This Supplement aims to assist organizations in meeting
ISO 55001 requirements by cross referencing and explaining
how relevant sections in the IIMM relate to each of the
requirements in ISO 55001. This gives users ready access to
relevant parts of the IIMM and provides a how to for applying
ISO 55001 in infrastructure AM using the IIMM.
Associated documents
In applying this Supplement, as well as referring to ISO 55001,
users are also recommended to refer to ISO 55000 and ISO
55002. Other relevant IPWEA and New Zealand NAMS Group
Guidelines are referenced where applicable.
Users will need to have a full copy of the ISO Asset
Management Standards to make use of this Supplement.
The requirements clauses in ISO 55001 are summarized
in this Supplement but the full ISO 55001 Standard
is required to see the complete text that is being
referenced1.
(1) Extracts from ISO 55001 - Reproduced with permission from SAI Global
Ltd under Licence 1312-c022
4.4 Asset Management Service

Delivery
4.6 Continuous Improvement
2.6 Identify Asset and Business Risks

Figure 2:
4.1 Asset Management Teams
4.2 Asset Management Plans

3.1 Lifecycle Decision
Making Techniques
2.3 Forecast Future Demand
Section 4
Asset Management Enablers
Format of this Supplement

This Supplement works sequentially through each of the
requirements clauses in ISO 55001 with a listing of those
sections in the IIMM that relate to those requirements and
a brief commentary on the relevant material available in the
IIMM sections.
Appendix A includes a matrix summarizing the crossreferencing between IIMM sections and ISO 55001 clauses.
Appendix B compares key terminology between the ISO
Standards and the IIMM.
Where the document relates to the requirements in ISO 55001
they are shown in BLUE TEXT.
Sections and commentary from the IIMM are shown
in normal text but with relevant section headings
HIGHLIGHTED IN RED.
The matrix in Appendix A highlights that the IIMM and ISO
55001 have a lot of common content but are structured quite
differently. ISO 55001 follows the standard ISO structure for
management systems standards and works from the more
strategic to operational requirements. The IIMM is a how to
guide and is intended to take the user through the logical steps
of defining AM requirements (section 2) and then developing
AM strategies to meet these requirements across the asset
lifecycle (section 3), all of which is supported by AM enablers
(section 4). In the next IIMM update the manual structure
will be reviewed to see if there is benefit in closer alignment
with the ISO structure but it is unlikely to fully move away
from following a sequential AM planning process.
Feedback
The IIMM provides comprehensive guidance across all of the
ISO standard requirements and the authors are committed to
ensuring it provides a valuable tool for this purpose. Feedback is
welcome in terms of how this can be enhanced in future IIMM
editions. Contact IPWEA (Australasia) at admin@ipwea.org.
ISO Part 4: Context of the Organisation
ISO 4.1: Understanding the Organization and Its Context

This ISO section addresses the need to explore all issues (internal and external) potentially
impacting on the organizational objectives and how to translate these into AM objectives,
via a Strategic Asset Management Plan (SAMP).
Analyse internal and
external issues
IIMM 2.1.4 Understanding the External Environment (p2/11) contains

guidance on how external issues may impact the AM system with subsections on
the legislative and regulatory environment, commercial environment, economic
environment, social environment and natural environment.
IIMM 2.1.5 Understanding the Internal Environment (p2/15) contains
guidance on how internal issues may impact the AM system and includes subsections
on corporate direction, business frameworks and financial sustainability.
IIMM 2.3 Forecasting Future Demand (p2/38) looks at how demand for services
and assets may change as a result of external drivers.
Align organisation and

AM objectives
IIMM 1.2.3 Integrating Asset Management Across the Organization (p1/8)

addresses alignment of strategic planning, tactical planning and operational planning.
IIMM 1.3.1 The Asset Management Process (p1/9) covers how organizational
goals will guide AM policy and objectives.
IIMM 2.1.1 The Asset Management Framework (p2/3) describes the

relationships between AM policy, strategy, objectives and plans.
IIMM 2.2.2 Developing Levels of Service (p2/17) provides guidance on linking

strategic objectives to levels of service.
IIMM 4.2.1 Identifying Asset Management Objectives (p4/15) is relevant to

establishing the AM plan purpose and aligning the Plan with corporate objectives.
Figure 4.2.3 (P 4/16) outlines the linking of corporate, AM and operational objectives
and includes management monitoring and review.
ISO 4.2: Understanding the Needs and Expectations of

Stakeholders
This ISO section deals with identifying stakeholders relevant to the AM system and their needs
and expectations.
Identify stakeholders
and their expectations
IIMM 2.1.6 Understanding the Customer Perspective (p2/15) outlines a

process for identifying customer groups and what they value (customer is treated in
the IIMM in the wider sense to include all potential stakeholders).
IIMM 2.2.2 Developing Levels of Service (p2/18) covers the analysis of customer
requirements and establishing levels of service to meet these.
IIMM 2.2.4 Customer Consultation Process (p2/25), IIMM 2.2.5 Consultation

Techniques (P2/8) and IIMM 2.2.6 Consultation Plan (P2/31) detail processes for
engaging with customer to identify their requirements and priorities.
IIMM 2.3 Forecasting Future Demand (p2/38) looks at how demand for services
and assets may change as a result of customer /stakeholder drivers.
IIMM 4.2.5 Involving Key Stakeholders in Plan Development (p4/23)
describes stakeholder expectations in relation to AM plans and how to involve them in
plan development.
The NAMS Publication Developing Levels of Service and Performance Management
Guidelines outlines methods for organizations to establish their levels of service
and assess what their customers value. See more at: www.ipwea.org/bookshop
or at www.nams.org.nz

Identify stakeholders
information and
reporting requirements
Develop AM decision
criteria
IIMM 2.2.8 Performance Monitoring and Reporting (p2/33) deals with

establishing appropriate reporting of financial and non-financial performance
information for internal and external stakeholders.
IIMM 2.4.1 Identifying Information Requirements (p2/49) covers identifying
requirements for both financial and non-financial data with considerations of what is
required for AM reporting.
IIMM 3.1 Decision Making Techniques (p3/2) addresses the Standards

requirements on determining criteria for AM decision making.
For further information on lifecycle decision making criteria, readers are referred
to the Optimised Decision Making Guidelines. Go to www.ipwea.org/bookshop
ISO 4.3: Determining the Scope of the Asset Management

System
This ISO section deals with determining the boundaries and applicability of the AM system and
possible interaction with other management systems.
Define the scope,
boundaries and
interactions
IIMM 2.1.1 Asset Management Framework (p2/3) spells out the scope and
relationships between the AM policy, AM strategy (referred to in ISO 55001 as the
Strategic Asset Management Plan, or SAMP), AM objectives and AM plans.
IIMM 2.1.3 Determining the Appropriate Level of Asset Management
Practice (p2/7): Sets out all the activities that might be carried out within the AM
system and different levels of maturity from minimum through to advanced practice
(Table 2.1.2, p2/8).
IIMM 4.6.1 Assessing Current and Appropriate Asset Management

Performance (p4/66): Provides guidance on the level to which the AM System should
be developed.
IIMM 1.2.3 Integrating Asset Management Across the Organization (p1/8):

Introduces the need for the AM system to effectively interact with other management
systems in the organization.
IIMM 4.1.1 Defining the Asset Management Role and 4.1.2 Establishing
Asset Management Structures (p4/3) considers the varying approaches to
defining the scope and structure of the AM role and functions.
IIMM 4.5.3 Process Mapping (p4/60) illustrates how process maps can be used to
define interactions and boundaries of AM processes across teams.
Define the asset

portfolio
IIMM 4.2.6 Example of an Asset Management Plan Structure (p2/4)

requires the AM plan to include an asset description and background data sections as
documented information in the Plan.
ISO 4.4: Asset Management System

This ISO section deals with the processes for establishing and operating an AM system.
Establish and operate
an AM system
IIMM 2.1.1 Framework for an AM System and 2.1.3 Determining the

Appropriate Level of Asset Management Practice (p2/3 and 2/7) provides
guidance on developing the building blocks for an AM System including the AM Policy
and AM Strategy (which aligns to the ISO SAMP as discussed in Appendix 1), which
guide the ongoing development, maintenance and improvement of the system.
IIMM 4.2.2 Deciding the Asset Management Plan Approach (p4/18) discusses
options for establishing the system top down versus bottom up (write the Plan and
then improve data and processes or vice versa).
IIMM 4.1.3 Asset Management Leadership and Coordination (p4/4) sets out
an organizational structure for establishing an AM system which ensures effective
coordination across functional teams.
IIMM 4.6 Continuous Improvement (p4/66) describes a method for assessing
current and appropriate AM practice, prioritizing improvements and developing an
improvement plan which guides the establishment of an AM system at an appropriate
level of practice. The section provides case studies on a number of frameworks to
assess AM practices but, for an organization implementing ISO 55001, assessment
against that standard is a good way of identifying improvement areas.
Document in the SAMP

how the system will
achieve AM objectives
IIMM 4.2.6: Example of an Asset Management Plan Structure (p4/24)

includes a plan structure which was developed to lead the reader through the process
of establishing objectives and levels of service and then demonstrating how these will
be achieved through lifecycle management strategies.
ISO 5.1: Leadership and Commitment

This ISO section requires top management to demonstrate leadership and commitment
with respect to the AM system. There are a number of criteria specified that need to be
met to demonstrate this leadership and commitment, including; resourcing the AM system,
communicating the importance of AM, cross-functional collaboration, continual improvement
and risk management.
IIMM 4.1.3 Asset Management Leadership and Coordination (p4/4) deals
Demonstrate leadership
and commitment
with commitment at the CEO or General Manager role, establishing an AM Sponsor

and AM Coordinator and the need for effective coordination across functional teams.
IIMM 4.1.6 Organisational Commitment and Change Management (p4/11)

outlines strategies for achieving organizational commitment, including the leadership
role and a communication strategy to help disseminate the necessary message of
commitment and to aid implementation.
IIMM 4.1.4 Asset Management Capability Requirements, IIMM 4.1.5
Building Capability (training and resources) (p4/6) assists with assessing what
resources and capability are required to support the AM system.
IIMM 2.1.1 The Asset Management Framework (p2/3) specifies the content and
Promote continuous
improvement and crossfunction integration and
collaboration
relationship between the AM Strategy, Plan, Policy and Objectives.
IIMM 4.2.1 Identifying Asset Management Objectives (p4/14) can assist

leadership in ensuring AM objectives are aligned with organizational objectives.
IIMM 4.6.5 Monitoring Asset Management Benefits and Outcomes (p4/74)
introduces the concepts of establishing targets and performance indicators that reflect
the overall benefit of implementing the AM system approach.
IIMM 2.6.1 and 2.6.2 The Risk Management Context (p2/ 91) will assist with
management understanding how organizational and AM risks can be aligned.
ISO 5.2: Policy

This ISO section deals with the requirements for top management to establish an AM policy.
There are a number of criteria specified that need to be met when formulating such Policy.
These include ensuring appropriateness, commitment, consistency, communication, availability
and review.
IIMM 2.1.1 The Asset Management Framework (p2/3) specifies how the Policy
Develop and
communicate an AM
Policy
10
fits within the overall AM framework and system and provides a typical content of an
AM Policy in Table 2.1.1 (P 2/3).
IIMM 2.1.2 Developing the Asset Management Policy (p2/4) outlines the
hallmarks of a good policy document and sets out the typical steps to follow when
developing such a Policy. These steps include communicating the policy and periodical
reviews.
ISO 5.3: Organizational Roles, Responsibilities and Authorities

This ISO section deals with the obligation for top management to ensure that the
responsibilities and authorities for relevant roles are assigned and communicated within
the organization. There are a number of criteria that have to be met by top management to
demonstrate this.
Assign and communicate
responsibilities and
authorities for AM
IIMM 4.1.1 Defining the Asset Management Role (p4/3) includes a range of
ways in which AM Team roles and responsibilities may be defined.
IIMM 4.1.2 Establishing Asset Management Structures (p4/3) includes
discussion on how responsibilities might be structured and the options of a centralized
or de-centralized AM planning function.
IIMM 4.1.3 Asset Management Leadership and Coordination (p4/4) deals

with commitment at the CEO or General Manager role, establishing an AM Sponsor at
Executive level and then AM Teams and AM Coordinator roles. It outlines the expected
roles and responsibilities for these various positions. The AM Coordinator role is often
critical to the success of meeting the requirements of this ISO section.
IIMM 4.4.4 Procuring and Implementing Service Delivery (p4/54) identifies
aspects to consider when contracting out AM responsibilities.
IIMM 4.5.3 Business Process Mapping (p4/60) provides guidance on assigning

roles at a detailed process level.
IIMM 4.6.5 Monitoring Asset Management Benefits and Outcomes (p4/74)

identifies performance indicators that reflect the achievement of the outcomes desired
of the AM system approach which could be used to define achievement requirements
for those accountable for AM system outcomes.
11
ISO 6.1: Actions to Address Risks and Opportunities for the

Asset Management System
This ISO section deals with addressing the risks and opportunities that need to be considered
when planning for the AM system to achieve its intended objectives and outcomes, and how
they might change with time.
Identify and evaluate
risks that could prevent
achievement
of AM objectives
IIMM 2.6.1 and 2.6.2 The Risk Management Context (p2/ 91) outlines the
organizational framework for risk management at both the corporate level and activity
level including the setting of the risk policy and objectives and deciding on the scope
of the risk management process. It discusses integration of the risk management
actions in to the AM system processes.
IIMM 2.6.3 Identifying Risks and IIMM 2.6.4 (p2/ 93) provides guidance on how
to identify risks and critical assets where failure might prevent achievement of AM
objectives.
Plan actions to address

risks and monitor the
effectiveness of these
actions
IIMM 2.6.5 Evaluating the Risks (p2/ 97) covers how to evaluate and rank risks.
IIMM 2.6.6 Managing the Risks (p2/ 100) outlines various risk treatment options
and development of a risk action plan to prevent or reduce undesired effects.
IIMM 2.6.7 Monitoring and Review (p2/ 101) covers risk implementation
issues as well as communication with stakeholders on awareness, understanding and
relevance of the approach. It promotes a continuous improvement approach with
monitoring and review.
ISO 6.2: Asset Management Objectives and Planning

to Achieve Them
ISO 6.2.1: Asset Management Objectives
This ISO section deals with establishing AM objectives as part of the AM planning process
and as part of the Strategic AM Plan. This involves consideration of the requirements of
relevant stakeholders, as well as other financial, technical, legal, regulatory and organizational
requirements.
Establish AM objectives
The guidance in this Supplement on ISO Part 4, and referenced IIMM sections in
relation to those clauses, cover aspects relating to alignment of AM objectives with
organizational objectives, development of the AM Strategy (SAMP) and consideration
of stakeholder requirements. This guidance should therefore be considered in relation
to this ISO section, as well as the following:
IIMM Section 2.2 Developing and Monitoring Levels of Service (p2/17): In

IIMM terms, levels of service are largely how AM objectives are expressed at a tactical
level and therefore much of this section is relevant to ISO 6.2.1.
IIMM 2.3 Forecasting Future Demand (p2/38) sets the future demand context
within which AM objectives will need to be achieved.
Ensure objectives are

established using AM
decision criteria
and documented
IIMM 3.1 Decision Making Techniques (p3/2) addresses the establishment of the
AM objectives using the criteria for AM decision making as referenced in Clause 4.2 of
ISO 55001.
IIMM 4.2.6: Example of an Asset Management Plan Structure (p4/24)

requires AM objectives / levels of service to be documented within the Plan.
IIMM 4.5.4 Appropriate Levels of Documentation (p4/63) deals with reviewing

and documenting AM Processes.
12

ISO 6.2.2: Planning to achieve AM objectives
This ISO section deals with establishing and maintaining AM plan(s) that are aligned with the
AM policy and the strategic AM plan (SAMP) to achieve the AM objectives. The AM planning
must integrate with other organizational planning activities and consider requirements coming
from outside the AM system.
A number of criteria are specified relating to managing assets over their life cycles, decision
making and prioritizing of activities and resources, risk management and contingency planning,
financial and non-financial implications, timeline, evaluation and review, what will be done,
when and by whom.
IIMM 4.2 Asset Management Plans provide a methodology for developing and
Establish and maintain
an AM plan
reviewing AM Plans, including:
IIMM 4.2.1 Identifying Asset Management Objectives (p4/15) identifies the

purpose of the AM plans, the importance of alignment between AM Plan objectives
and corporate objectives, the main steps involved in the process of developing,
documenting and maintaining AM Plans and the linking of strategic planning
(corporate and AM), tactical and operational planning.
IIMM 4.2.2 Deciding the Asset Management Plan Development Approach
(p4/18) considers the pros and cons of a top down versus a bottom up approach to the
plan development.
IIMM 4.2.4 Writing, Reviewing and Maintaining the Plan (p4/23) provides
advice on the writing process and plan maintenance and review as well as the use of
internal staff and external contractors.
IIMM 4.2.3 Developing the Asset Management Plan Template (p4/20)
outlines an appropriate plan structure and scope which covers all of these aspects.
IIMM 4.2.5 Involving Key Stakeholders in Plan Development (P 4/23)

addresses various stakeholder requirements including those of finance and others
outside the actual AM system.
IIMM 4.2.6 Example of an Asset Management Plan Structure (p4/24)

provides a comprehensive Section by Section checklist of typical content that is
recommended based on successful compilation of plans across many organizations.
This checklist covers off all the requirements of the ISO.
The NAMS.PLUS Templates also provides a resource to assist in developing AM
Plans. It is based on the IIMM and includes a suite of online templates, tools
and guided pathway supported by a training program to assist organizations to
implement AM planning. See www.ipwea.org/nams and click on NAMS.PLUS2.
Determine and document

decision making criteria
IIMM Section 3.1 Decision Making Techniques (p3/2) looks at development

of decision making processes (benefit/cost analysis, multi-criteria analysis, risk based
decision making) that can be used in prioritizing activities, resources etc, detailed in
the AM plans. It also covers how to take into account priorities between differing asset
classes (services) (Section 3.1.5) and other decision considerations including how
best to involve decision makers, sensitivity testing, dealing with poor quality data and
testing financial viability (Section 3.1.6).
13

Determine and
document asset lifecycle
management methods and
processes to achieve AM
objectives
IIMM 1.2.2 Lifecycle Asset Management Activities and IIMM 1.3.2

Developing Asset Management Lifecycle Strategies (p1/7 and 1/9) introduces
lifecycle AM strategies.
IIMM 2.3 Forecasting Future Demand (p2/38) provides guidance on projecting

future demand for assets and services, which will need to be incorporated into lifecycle
management plans and AM plans.
As well as Section 3.1 listed above, much of the rest of IIMM Section 3 is dedicated to
lifecycle AM decision making (giving consideration to the trade-offs that occur across
the lifecycle), including:
IIMM 3.2: Development of operational strategies and plans (p3/2) which

includes processes relating to effective asset utilization, demand management and
incident / emergency planning.
IIMM 3.3: Development of maintenance strategies and plans (p3/18)
which provides detailed guidance on the development of maintenance strategies and
planning process that achieve AM and maintenance objectives.
IIMM 3.4: Development of capital investment strategies and plans (p3/56)

which focuses on the capital works (renewal, upgrade and new assets) required to
achieve AM objectives.
and documenting AM Processes.
For further information on lifecycle decision making and consideration of

the evaluating the lowest lifecycle cost solutions, readers are referred to the
Optimised Decision Making Guidelines. Go to www.ipwea.org/bookshop

risks and opportunities
relating to assets
Consider asset-related
risks in contingency
planning
14
The IIMM sections relating to risk management are relevant and are detailed in
relation to ISO 6.1.
IIMM 3.2.5 Emergency Response Planning (p3/ 24) covers issues pertinent to
infrastructure managers like natural hazards and disasters, civil defence, emergency
response and contingency planning and integrating these into infrastructure AM.

resource requirements
and financial and nonfinancial implications
The IIMM sections relating to resource requirements are relevant and are detailed in
relation ISO 7.1
IIMM 3.5 Financial and Funding Strategies can assist with assessing financial
implications of the AM Plan, with specific relevance as follows:
IIMM 3.5.2 Identifying and Categorizing Lifecycle Costs (p3/71) focuses on

whole of life costing across the whole life cycle of assets. Table 3.5.1 (p3/72) is useful in
defining and describing each of the typical lifecycle cost elements. Table 3.5.2 (p3/74)
also outlines the financial treatment of lifecycle costs by splitting them into their two
major components of acquisition or capital costs and operational costs along with the
recognition of renewals costs.
IIMM 3.5.3 Valuation Approaches and IIMM 3.5.4 Calculating Depreciated

Replacement Cost (p3/75) detail methodologies for calculating asset valuation and
depreciation which informs long term financial planning and assessment of whole of
life costs.
IIMM 3.5.5: Developing Long Term Financial Forecasts (p3/83) provides

guidance on how to assess financial implications and incorporate these into financial
forecasts in the AM Plan.
For further information on Infrastructure Financial Management, readers are
referred to the Australian Infrastructure Financial Management Guidelines
available through IPWEA. Go to www.ipwea.org/bookshop/aifmg/
For further information on lifecycle costs, valuation and depreciation, readers
are referred to the New Zealand Infrastructure Valuation and Depreciation
Guidelines, available at www.nams.org.nz
15
ISO Part 7: Support
ISO 7.1: Resources

This ISO section deals with providing the necessary resources for the establishment,
implementation, maintenance and continual improvement of the AM system and for
implementing the activities specified in the AM plan(s).
Provide resources
to establish and maintain
the AM system
IIMM 4.1.1 Defining the Asset Management Role (p4/3) which includes the
resourcing required in terms of organizational roles and responsibilities at both the
strategic and operational levels.
IIMM 4.1.3 Asset Management Leadership and Coordination (p4/4) sets out
an organizational structure for establishing an AM system.
IIMM 4.6 Continuous Improvement (p4/66) describes a method for assessing

current and appropriate AM practice, identifying what is required to close the gap
scoping improvement actions (including assessment of resources to deliver those
actions), prioritizing improvements and developing an improvement plan which
outlines resources and timeframes for establishing and maintaining AM system at an
appropriate level of practice.
IIMM Section 3.4 Developing Capital Investment Strategies and Plans

Provide resources to
implement the AM plan
(p3/56), IIMM Section 3.5 Financial and Funding Strategies (p3/70) deals with the
financial resourcing aspects that are so critical to the success of the implementation
of the AM Plan activities including assessment of financial implications across the
whole asset lifecycle and the long term financial planned resources required. More
specifically:
IIMM 3.5.6 Developing Funding Plans (p3/87) provides advice on how to deal
with financial constraints and assess and resolve resource and funding gaps.
IIMM 2.2.4 Customer Consultation Process (p2/24) outlines a process for
involving customers in level of service and funding (resource) decisions.
Consider and evaluate

internal and external
resourcing
IIMM 4.4 Service Delivery Models (p4/47) describes approaches to considering

how to deliver AM systems and plans, and more specifically:
IIMM 4.4.1 Defining Core Services and Assets (p4/48) helps to determine
functions should be retained as core in-house activities and which could be carried out
more effectively by external parties.
IIMM 4.4.2 Identifying Service Delivery and Contracting Options (p4/50)

covers the development of resourcing options including internal delivery and various
external delivery approaches.
IIMM 4.4.3: Evaluating and Selecting Options for Service Delivery (p4/53)
provides methods for determining which is the most effective resourcing option and
the risks and benefits associated with each.
16
ISO Part 7: Support
ISO 7.2: Competence

This ISO section covers the necessary competence (based on education, training or experience)
of person(s) doing work that could affect the performance of assets, AM or AM System. It looks
at acquiring the necessary competence, evaluating action taken, reviewing current and future
needs and documenting evidence of this.
IIMM 4.1.4 Asset Management Capability Requirements (p4/6) identifies
Determine competency
requirements
competence requirements for different AM roles and provides an example of an AM

competency framework.
IIMM 4.1.5 Building Capability (Training and Resources) (p4/9) deals with
Ensure competency and
take actions if required
Document evidence
and periodically
review
people resources in terms of skills and expertise requirements and how to build
capability through effective use of external specialists and targeted training and
development for all staff to build organization wide capability. It includes an example
of an organisation-wide AM training programme (p4/11).
IIMM 4.5.2 Implementing Quality Management (p4/59) outlines good practice

process development and documentation for all AM processes.
and documenting AM Processes and the process of ensuring that the necessary
competence is available to the organization can be handled under these provisions.
ISO 7.3: Awareness

This ISO section deals with ensuring awareness by all who can impact the AM objectives.
There are a number of criteria specified which address specific awareness of issues like the
AM policy, work activities including associated risks and how these benefit effectiveness, and
performance and implications of not meeting the AM System requirements.
Awareness of the
AM Policy
IIMM 2.1.2 Developing the Asset Management Policy (p2/4) includes

involvement and communication of staff and stakeholders in the methodology for
developing a policy.
IIMM 1.1.2 The Benefits of Improved Asset Management (p1/5) provides
useful information on why relevant people should embrace AM.
IIMM 1.1.3 Catalysts for Improved Asset Management Practice (p1/6)

outlines a number of implications if they do not achieve the AM objectives.
IIMM 4.1.1 Defining the Asset Management Role (p4/3) looks at how AM
Awareness of
contribution to the
AM System
roles can be defined.
IIMM 4.1.5 Building Capability (Training and Resources) (p4/9) includes an

example of an organisation-wide AM training programme intended to ensure all staff
and contractors are aware of AM to an appropriate level of detail, the benefits that can
ensure and how their work contributes to AM outcomes.
IIMM 4.5.3 Process Mapping (p4/60) illustrates how process maps can be used to
define interactions and boundaries of AM processes across teams.
17
ISO Part 7: Support
ISO 7.4: Communication

This ISO section deals with internal and external communications relevant to assets, AM and
the AM system. It includes the what, when, who and how of communication.
IIMM 2.2.4 Customer Consultation Process, IIMM 2.2.5 Consultation
Techniques (p2/29) provides guidance on communicating with relevant stakeholders
Determine
and implement
communication
requirements
including when to consult, who should be consulted and how to decide on what needs
to be covered. It includes a table detailing the advantages and disadvantages of various
consultation techniques.
IIMM 2.2.7 Developing Customer Charters (p2/32) define the scope and benefits
of using customer charters to communicate with customers.

establishing appropriate reporting of financial and non-financial performance
information for internal and external stakeholders.
includes a on a communication strategy and methodologies to help disseminate the
necessary message of commitment and to aid implementation across the organization.
Develop a Consultation
Plan
IIMM 2.2.6 Developing the Consultation Plan (p2/31) outlines how to establish
consultation objectives, define the consultation scope and methodology and prepare a
Consultation Project Plan.
ISO 7.5: Information requirements

This ISO section deals with the information requirements across all elements of AM. There are a
number of criteria specified which address risks, AM roles, responsibilities, processes, activities
and information exchange and impacts on decision making.
IIMM 2.4.1 Identifying Information Requirements (p2/49) covers both financial
Determine information
requirements
including attributes and
quality needed to support
the AM system
Implement processes for
maintaining data
and non-financial data and reporting on that information. It includes guidance on

what data is required for various AM functions, prioritizing data requirements and
determining the appropriate level of data detail. It outlines the purpose of each data
parameter such as for analysis, performance, costing, to aid decision making, etc.
IIMM 2.4.5 Maintaining and Improving Data Confidence (p2/59) addresses

issues such as data confidence/accuracy, checking of data and ongoing data
maintenance.
IIMM 3.3.3 Maintenance Data Strategies (p3/35) covers data required for
maintenance management.
IIMM 2.5.2 Condition Assessment Processes (P2/75) focusses specifically on

condition data requirements.
Establish
appropriate data
repositories
18
IIMM 4.3 Information Systems and Tools (p4/29) provides detailed guidance
on determining requirements for, evaluating, selecting and implementing and
AM Information System. It includes an approach which begins with identifying
information needs based on user requirements.
ISO Part 7: Support

Determine how and
when to collect asset
data
IIMM 2.4.4 Data Collection Processes (p2/54) details an approach for developing
a practical data collection strategy that addresses the level of detail, data accuracy and
completeness required. It advocates developing a business case to balance affordability
with outcomes. Case Study 35 (P 2/61) sets out an example of a documented data
capture process.
IIMM 2.5.3 Condition Assessment Techniques, 2.5.4 Condition Grading
Approaches (p2/77 and 2/79) cover data collection methods specifically in relation to
asset condition.
Ensure alignment
of financial and nonfinancial terminology
and data
IIMM 3.5.1 Key Elements of Financial Management (p3/70) outlines the

necessary interfaces between asset and financial management and how data and
processes should align. Figure 3.5.2 (P 3/71) outlines key principles of financial
management for infrastructure assets which includes issues such as the use of AM
information for reporting financial performance and linking financial and nonfinancial KPIs.
ISO 7.6: Documented Information

ISO 7.6.1 General
This ISO section deals with documented information as part of the AM system which includes
that required by this International Standard, that applicable for legal and regulatory
requirements and that deemed necessary from Section 7.5.
The AM System to
contain documented
information as
required by this standard
and other identified
requirements
IIMM Sections relevant to Cl 7.5 in relation to identifying information requirements

are also relevant here.
19
ISO Part 7: Support

ISO 7.6.2: Creating and Updating
This ISO section deals with creating and updating documented information.
Documented information
shall be appropriately
identified, formatted,
approved and reviewed
IIMM 2.4.2 Asset Register Structure and Hierarchy (p2/52) is relevant for
deciding appropriate identification of assets and descriptions.
IIMM 2.4.3 Asset Identification Systems (p2/53) looks at unique identifiers
through the numbering system.
IIMM 2.4.6 Asset Hierarchies (p2/63) gives examples of various asset classes.
IIMM 2.4.7 Examples of Asset Identification/Numbering Systems (p2/65) is
also relevant.
IIMM 2.4.4 Data Collection Processes (p2/54) promotes developing a data

collection strategy to address the level of detail, data accuracy and completeness.
IIMM 4.3 Identifying System Data and Functional Requirements (p4/30)
includes commentary on the need for the Information Management System being
able to record metadata (eg. Data source, accuracy, confidence which would include
identification of all data stored).
IIMM 4.3.2 System Development Process (p4/29) deals with format and media
when developing an Information Management System.
IIMM 4.5 Quality Management (p4/58) deals with management of all

documentation within a quality management system and specifically AM process
documentation requirements.
ISO 7.6.3: Control of documented information

This ISO section deals with the control of documented information required by the AM system
and by this International Standard, to ensure it is adequately protected and available for
use. There are a number of criteria specified which address amongst other things, access,
retrieval, storage and preservation. Relevant external documented information shall also be
appropriately identified and controlled.
IIMM 2.4.5 Maintaining and Improving Data Confidence (p2/59) addresses
Provide appropriate
control, access and
protection for documented
information
issues such as data confidence, checking of data and ongoing data maintenance. It
refers to audits to confirm data accuracy as part of the control process. Table 2.4.6 sets
out an example data confidence grading system. It addresses the ongoing operation of
data input, and accountability for those managing the information.
The control of documented information under ISO 55001 is very similar to that
applicable under ISO Quality Management Standards and any organization employing
a quality management system should be familiar with these requirements. In that
regard:
IIMM 4.5 Quality Management (p4/58) covers general quality management and
control processes at a relatively high level, recognizing the numerous manuals and
guidelines specifically available for Quality Management.
20
ISO 8.1: Operational Planning and Control

This ISO section deals with the processes needed to implement the planning actions
determined earlier and corrective and preventive actions determined in 10.1 and 10.2.
There are a number of criteria specified which address the required processes and keeping
documented information.
IIMM 3.1 Decision Making Techniques (p3/2) provides guidance on decision
Establish criteria
for the development
of operational
processes
Establish and implement

operational planning
processes.
making criteria and techniques that can be used to develop, evaluate and prioritise
operational processes.
IIMM 3.2 Developing Operational Strategies and Plans and IIMM 3.3
Developing Maintenance Strategies and Plans (p3/2 and p3/18) provide
guidance on operational planning (including managing asset utilization, demand
management and emergency management processes) and maintenance planning
(including development and evaluation of maintenance processes).
In relation to operational processes for dealing with corrective and preventive actions,
the IIMM sections referenced under ISO 10.1 and 10.2 are also relevant here.
Manage risks associated

with operational
processes.
In relation to operational risk management, the IIMM sections referenced under ISO
6.1 are also relevant here.
ISO 8.2: Management of change

This ISO section deals with prior assessment and management of any risks associated with any
planned change that could impact on achieving the AM objectives.
Manage risks associated
with changes
In relation to risk management, the IIMM sections referenced under ISO 6.1 are
relevant here.

includes change management principles which, when followed, are intended to reduce
risks associate with change and support effective change management.
21
ISO 8.3: Outsourcing

This ISO section deals with assessing risk and controlling any outsourced processes or activities
that can impact on the achievement of AM objectives to ensure they integrate into the
organizations AM system. There are a number of criteria specified which address scoping the
outsourced processes/activities and their interfaces with the organizations own processes/
activities.
IIMM 2.6 Identifying Critical Assets and Business Risks (p2/90) covers the
Assess risks associated
with outsourcing
framework and methodology within which outsourcing risks should be assessed.
IIMM 4.4.3 Evaluating and Selecting Options for Service Delivery (p4/53)
includes discussion on risk sharing in terms of establishing the form of contract to
enter into.
Determine the scope

of outsourced activities,
responsibilities for
managing outsourced
processes
Determine processes
for knowledge and
information sharing
IIMM 4.4.1 Defining Core Services and Assets (p4/48) considers which
functions should be retained as core in-house activities and which could be carried
out more effectively by external parties. It also covers typical divisions between asset
owner, manager and service delivery roles.
IIMM 4.4.2 Identifying Service Delivery and Contracting Options (p4/50)

outlines a range of service delivery options from internal delivery through to PublicPrivate Partnerships.
IIMM 4.4.4 Procuring and Implementing Service Delivery (p4/54) deals with
aspects that should remain under the organizations control when contracting out,
scoping and packaging of contracts, pre-selection of tenderers and tender evaluation
methods. It also covers contract performance specification and monitoring.
IIMM 4.3.3 Identifying System Data and Functional Requirements
(p4/30) includes looking at various business drivers associated with selecting an AM
information system, including the need for links with external service providers.
Ensure outsourced
resources meet
requirements of relevant
ISOs
Some of the sections of the IIMM that relate to Clauses 7.2, 7.3, 7.6 and 9.1 of ISO
55001 can be applied similarly to outsourced resources. In addition:
IIMM 3.3.8 Maintenance Performance Assessment and Reviews (p3/49)

covers monitoring the performance of maintenance contractors.
IIMM 4.5.3 Business Process Mapping (p4/60) is a potential method for defining
and documenting process and information flows between providers and owners.
22
ISO Part 9: Performance Evaluation
ISO 9.1: Monitoring, Measurement, Analysis and Evaluation

This ISO section deals with what and when to monitor, and measure and report on performance
(including financial and non-financial performance) and the effectiveness of the AM system.
There are a number of criteria specified which address effectiveness of the monitoring
processes.
Determine and
implement asset
performance
monitoring requirements,
methods, frequency and
analysis and reporting
IIMM Section 2.2 Developing and Monitoring Levels of Service (p2/17)

provides a methodology for determining levels of service and appropriate performance
measures for reporting on those. This covers need to establish measures that give
consideration to customer/stakeholder requirements, organizational objectives and
legal/regulatory requirements. More specifically:
IIMM 2.2.3 Developing Effective Performance Measures (p2/20) provides
guidance on developing SMART performance measures and setting performance
targets with examples of performance measures for various types of services.
reviewing the effectiveness of the assets and AM performance by way of developing
an asset performance monitoring programme, rating system and reporting on that to
both internal and external stakeholders.
IIMM 2.5 Assessing Asset Condition (p2/72); Asset condition can be a key
indicator of asset performance. This section looks at determining appropriate
monitoring frequencies, methods, analysis and reporting on asset condition.
IIMM 4.6.1 Assessing Current and Appropriate AM Performance (p4/66)

looks at the use of suitable assessment frameworks to measure AM system
performance and how the results can be analyzed and presented.
IIMM Section 4.6.5 Monitoring Asset Management Benefits and Outcomes

Determine and
implement monitoring
and reporting on the
effectiveness of the AM
system.
(p4/74) discusses the establishment of performance indicators that allow for

monitoring the effectiveness of the AM System.
IIMM 3.5.1 Introduction to Financial and Funding Strategies (p3/70)

provides guidance on reporting on the financial performance and effectiveness of the
AM system. It includes key principles of financial management for infrastructure
assets covering issues relating to reporting financial performance.

covers monitoring the performance of maintenance contractors.
IIMM 2.6.7 Monitoring and Review (p2/101) looks at appropriate processes for
reporting on asset and AM system risks including reporting on the effectiveness of risk
treatments.
Retain documented
evidence of results
IIMM 4.5 (p4/59) deals with Quality Management and covers issues keeping
appropriate documentation.
23
ISO 9.2: Internal Audit

These ISO sections 9.2.1 and 9.2.2 deal with conducting internal audits to test conformance,
implementation and maintenance of the AM system. There are a number of criteria specified
which address a range of issues to be considered when establishing an audit programme(s).
While the IIMM does not provide specific guidance in relation to developing an audit
plan, it references the need for continual review and audits throughout the Manual.
Examples include:
Plan, establish and

maintain an audit
programme
IIMM 2.1.1 The Asset Management Framework (p2/3) requires key documents
(AM Policy and Strategy) to include procedures for auditing against those documents.
IIMM 2.4.5 Maintaining and Improving Data Confidence (p2/59) deals with
auditing asset data.
IIMM 3.3.8 Maintenance Performance and Reviews (p3/49) deals with

auditing of maintenance processes and contractors.
IIMM 4.2.5 Involving Key Stakeholders in Plan Development (p4/23)

addresses the likely focus of internal and external auditors and the need to consider
their requirements early in the plan development process.
Conduct internal
audits to determine the
effectiveness of the
AM System and
compliance against this
standard
IIMM 4.4.4 Procuring and Implementing Service Delivery (p4/54) emphasizes

the need for strong audit processes when contracting out AM delivery.
A number of clauses under ISO 55001, including this one, are very similar to those
applicable under ISO Quality Management Standards. Other relevant sections
therefore include:
IIMM 4.5 Quality Management (p4/59) which covers issues such as audit and
accreditation, and more specifically;
IIMM 4.5.2 Implementing Quality Management (p4/59) which covers

implementation and continuous improvement and mentions monitoring through
internal audits. It also addresses documentation as part of a QM system and that a
document control system needs to be implemented which covers the points raised in
ISO 55001.
IIMM 4.5.4 Appropriate Levels of Documentation (p4/63) includes a case study
on reviewing and documenting an AM process using an internal audit process.
Readers are also referred to the Australian Infrastructure Financial Management

Guidelines available through IPWEA. These have a Chapter on Auditing of
Infrastructure Assets and whilst the focus is on financial audits, it does include
relevant information on corporate governance issues and the role of asset
managers. Go to www.ipwea.org/bookshop/aifmg/
24
ISO 9.3: Management Review

This ISO section deals with top management reviewing the organizations AM system to ensure
its continuing effectiveness. There are a number of criteria specified which address actions
expected to be carried out as part of such management reviews.
Carry out regular top
management reviews of
the effectiveness of the
AM System
While the IIMM does not contain specific guidance relating to how to carry out top
management reviews, the need for them is referenced in many places, for example.

reviewing the effectiveness of the assets and AM performance by way of developing
an asset performance monitoring programme, rating system and reporting on that to
both internal and external stakeholders, which will include top management.
introduces the need to employ suitable assessment frameworks to measure AM
performance and review elements of the AM practice by management, in a structured
way.

(p4/74) promotes reporting to the highest level in the organization in relation to
achieving AM objectives and the effectiveness of the AM system.
The IIMM 2.6.7 Monitoring and Review (p2/ 101) deals with monitoring and
Retain documented
evidence including
continual
improvement
opportunities
reviewing risks that looks at strong and sustained commitment by management to the
risk management aspects of the AM system. It promotes a continuous improvement
approach with monitoring and review over time to report to management on
appropriateness of the risk treatment.
IIMM 4.5 Quality Management (p4/59) covers issues such as implementation and
continuous improvement involving management review as well as appropriate levels
of documentation.
25
ISO 10.1: Nonconformity and Corrective Action

This ISO section deals with the organization reacting to any nonconformity or incident and
taking action to control and correct it.
There are a number of criteria specified which address future occurrences, implementing
resultant action, and reviewing effectiveness of such action.
IIMM 4.6.2 Identifying Improvement Actions (p4/68) covers potential actions
React, control and
manage non-conformities
in AM and the AM system
to take in respect of non-conformities in the AM System (the term gap is used in the
IIMM in terms of understanding where current AM practices have not reached desired
appropriate AM practices).
IIMM 4.6.3 Prioritising Actions and Developing the Improvement

Programme (p4/70) provides guidance on evaluating the need to take action to
address these non-conformities, or gaps and prioritizing actions.
IIMM Section 4.6.4 Delivering Improvement Actions (p4/72) covers the

implementation of the action plan.

(p4/74) deals with reviewing the effectiveness of the action (improvement plan).
React, control and

manage non-conformities
in the assets
IIMM 3.2.5 Emergency Response Planning (p3/ 24) covers incident and
emergency management processes.
IIMM 3.3.3 Maintenance Data Strategies (p3/35) includes processes for

responding to unplanned (reactive) maintenance requirements.
Retain documented
evidence
IIMM 4.5 (p4/59) which deals with Quality Management covers issues such as
recording performance and demonstrating compliance and keeping appropriate
documentation.
26
ISO 10.2: Preventive Action

This ISO section deals with the processes to proactively identify possible preventive action.
Proactively identify
potential asset
failures
IIMM 2.2.8 Performance Monitoring and Reporting (p2/33) looks at processes

for monitoring asset performance such that performance failures can be identified.
IIMM 2.5 Assessing Asset Condition (p2/72); Asset condition assessment is a key
process for identifying potential performance failure relating to asset condition. More
specifically:
IIMM 2.5.5 Predicting Condition Deterioration Rates (p2/85) deals with the
ability to predict when the asset may fail due to condition deterioration.
IIMM 2.6.4 Identifying Critical Assets (p2/95) has relevance because proactive
failure prevention is often targeted at critical assets.
IIMM 3.3.2 Objectives, Levels of Service and Intervention Levels (p3/32)

looks at the determination of maintenance intervention levels which define asset
performance failure that requires the need to take action.
Evaluate the need for

preventive action

provides an approach for identifying and preventing repeat asset failures and when to
consider a planned renewal instead of continued maintenance.
IIMM 3.3.5 Maintenance Plans (p3/38) outlines the differences between planned
and unplanned maintenance, the need to understand failure modes and the use of risk
based maintenance approaches to identify when preventive action is a better solution
than dealing with asset failure.
IIMM 3.3.7 Work Plan for Planned Maintenance (p3/47) covers identifying
appropriate preventive maintenance tasks.
IIMM 3.1 Decision Making Techniques (p3/2) provides guidance on decision

making techniques that can be used to evaluate when preventive actions are a better
solution considering costs, benefits and risks.
The IIMM Sections relevant to ISO 10.1 are also relevant here.
27
ISO 10.3: Continual Improvement

This ISO section deals with continually improving the organizations AM and AM system.
Continually improve
AM processes and the
AM system
The concept of continual improvement filters through many IIMM sections, some
examples of most relevance include:
IIMM 2.1.3 Determining the Appropriate Level of Asset Management

Practice (p2/7): Assists with assessing how advanced AM practices and the AM
System should be, which is a starting point for identifying improvements.
IIMM 2.4.5 Maintaining and Improvement Data Confidence (p2/59) covers

continual improvement of asset data.
IIMM 2.6.7 Risk Monitoring and Review (p2/101) covers continual review and
improvement of risk management processes.

covers review and improvement of maintenance plans and processes.
IIMM 4.2.4 Writing, Reviewing and Maintaining the Plan (p4/23) includes
processes for ongoing review and improvement of the AM Plan.
IIMM 4.3.5 Information System Implementation and Ongoing Review

(p4/43) looks at the review and improvement of AM information systems.
IIMM 4.6 Continuous Improvement (p4/65) is particularly relevant to this ISO

section, including:

introduces the concepts of employing suitable assessment frameworks to measure
the effectiveness of the AM and AM System performance with a view to identifying
potential improvements.
IIMM 4.6.2 Identifying Improvement Actions (p4/68) deals with methods of

identifying improvements and scoping of improvement actions and provides examples
of AM Improvement Plan Actions.
IIMM 4.6.3 Prioritising Actions and Developing the Improvement

Programme (p4/70) deals with assessing the benefits of proposed improvement
actions, and risks of not taking action, to ensure actions are warranted. Prioritisation
of potential actions is covered..
IIMM Section 4.6.4 Delivering Improvement Actions (p4/72) provides

guidance on project managing the improvement plan. Implementation and
monitoring steps are outlined.
(p4/74) promotes reporting on targets and performance indicators that allow for
monitoring and reviewing the effectiveness of any improvements carried out.
28
Appendix A
Summary of IIMM Clause Numbers Relevant To ISO

For completeness, the following matrix of cross-referenced clauses from the IIMM includes those that are only briefly related to the
various ISO standard requirements as well as those that are substantive in terms of their how to guidance. Therefore there are a
number of IIMM sections that are relevant across many ISO sections. For example, many ISO sections have reference to continual
improvement, which means IIMM Section 4.6 on Continuous Improvement is frequently referenced. Similarly, many ISO sections
require documented evidence to be kept, and in these cases IIMM Section 4.5 on Quality Management is considered relevant.
4.1: Organisation and context

4.2: Understand stakedholders
4.3: Determine AM System Scope
4.4: AM System
5.1: Leadership and Commitment
5.2: Policy
5.3: Roles and Accountabilities
6.1: Risks and Opportunities
6.2.1: AM Objectives
6.2.2: Planing for AM Objectives
7.1: Resources
7.2: Competence
7.3: Awareness
7.4: Communication
7.5: Information Requirements
7.6.1: General
7.6.2 Creating and Updating
7.6.3 Control of Information
8.1: Operations Planning/ Control
8.2: Management of Change
8.3: Outsourcing
9.1: Monitoring and evaluation
9.2: Internal Audit
9.3: Management Review
10.1: Managing Nonconformity
10.2: Preventative action
10.3: Continual Improvement
ISO Clause
IIMM Section
Section 1 | Introduction to Infrastructure Asset Management
1.1.1 Infrastructure and Society
1.1.2 Benefits of Improved AM
1.1.3 Catalysts for Improved AM
1.1 Asset Management Drivers and Benefits
1.2 Defining Asset Management
1.2.1 Key Elements
1.2.2 Lifecycle AM Activities
1.2.3 Integrating AM Across the Organisation
1.3 The Asset Management Process
1.3.1 Understanding and Defining Requirements
1.3.2 Developing AM Lifecycle Strategies
1.3.3 AM Enablers
Section 2 | Understanding and Defining Requirements

2.1 The Strategic Context and the Asset Management Policy
2.1.1 The AM Framework
2.1.2 Developing the AM Policy
2.1.3 Determining Appropriate Level of AM Practice
2.1.4 Understanding the External Environment
2.1.5 Understanding the Internal Environment
2.1.6 Understanding the Customer Perspective
2.2 Developing and Monitoring Levels of Service
2.2.1 Introduction
2.2.2 Developing Levels of Service
2.2.3 Developing Effective Performance Measures
2.2.4 Customer Consultation Process
2.2.5 Consultation Techniques
2.2.6 Developing the Consultation Plan
2.2.7 Developing Customer Charters
2.2.8 Performance Monitoring and Reporting
2.3 Forecasting Future Demand
2.3.1 Introduction
2.3.2 Factors Influencing Demand
2.3.3 Developing Demand Forecasts
2.3.4 Dealing With Demand Forecasting Uncertainty
2.4 Establishing Base Asset Knowledge
2.4.1 Identifying Information Requirements
2.4.2 Asset Register Structure and Hierarchy
2.4.3 Asset Identification Systems
2.4.4 Data Collection Processes
2.4.5 Maintaining and Improving Data Confidence
2.4.6 Examples of Asset Hierarchies
2.4.7 Asset Identification / Numbering Systems
29
Appendix A
IIMM Section
2.5 Assessing Asset Condition

4.4: AM System
5.2: Policy
7.1: Resources
7.2: Competence
7.3: Awareness
7.4: Communication
7.6.1: General
8.3: Outsourcing
9.2: Internal Audit
ISO Clause
2.5.1 Introduction
2.5.2 Condition Assessment Processes
2.5.3 Condition Assessment Techniques
2.5.4 Approaches for Grading Condition
2.5.5 Predicting Condition Deterioration Rates
2.5.6 Asset-Specific Condition Grading Systems
2.6 Identifying Critical Assets and Business Risks
2.6.1 Introduction
2.6.2 The Risk Management Context
2.6.3 Identifying Risks
2.6.4 Identifying Critical Assets
2.6.6 Managing the Risks
2.6.7 Monitoring and Review
Section 3 | Developing Asset Management Lifecycle Strategies

3.1 Decision Making Techniques
3.1.1 Introduction
3.1.2 Benefit-Cost Analysis
3.1.3 Multi-Criteria Analysis
3.1.4 Risk-Based Decisions
3.1.5 Optimising Across Different Activities
3.1.6 Other Decision Considerations
3.2 Developing Operational Strategies and Plans
3.2.1 Introduction
3.2.2 Effective Asset Utilisation
3.2.3 Supply-Side Demand Management
3.2.4 Customer Demand Management
3.2.5 Emergency Response Planning
3.3 Developing Maintenance Strategies and Plans
3.3.1 Introduction
3.3.2 Objectives, Levels of Service and Intervention
3.3.3 Maintenance Strategies
3.3.4 Maintenance Objectives
3.3.5 Maintenance Plans
3.3.6 Work Plan for Unplanned Maintenance
3.3.7 Work Plan for Planned Maintenance
3.3.8 Maintenance Assessment and Reviews
3.4 Developing Capital Investment Strategies & Plans
3.4.1 Introduction
3.4.2 Identifying and Scoping Capital Projects
3.4.3 Developing New Build Programmes
3.4.4 Developing Renewal Programmes
3.4.5 Predictive Modelling Techniques
3.4.6 Compiling the Capital Investment Strategy
30
Appendix A
IIMM Section

4.4: AM System
5.2: Policy
7.1: Resources
7.2: Competence
7.3: Awareness
7.4: Communication
7.6.1: General
8.3: Outsourcing
9.2: Internal Audit
ISO Clause
3.5 Financial and Funding Strategies

3.5.1 Introduction
3.5.2 Identifying and Categorising Lifecycle Costs
3.5.3 Valuation Approaches
3.5.4 Calculating Depreciated Replacement Cost
3.5.5 Developing Long Term Financial Forecasts
3.5.6 Developing Funding Plans
Section 4: Asset Management Enablers

4.1 Asset Management Teams
4.1.1 Defining the AM Role
4.1.2 Establishing AM Structures
4.1.3 AM Leadership and Coordination
4.1.4 AM Capability Requirements
4.1.5 Building Capability (Training and Resources)
4.1.6 Organisational Commitment and Change
4.2 Asset Management Plans
4.2.1 Identifying AM Objectives
4.2.2 The AM Plan Development Approach
4.2.3 Developing the AM Plan Template
4.2.4 Writing, Reviewing and Maintaining the Plan
4.2.5 Involving Key Stakeholders
4.2.6 Example of an AM Plan Structure
4.3 Information Systems and Tools
4.3.1 Principles for AMIS Implementation
4.3.2 System Development Process
4.3.3 Identifying Data and Function Requirements
4.3.4 Evaluating Software
4.3.5 System Implementation and Ongoing Review
4.3.6 Using GIS Systems for AM
4.4 Service Delivery Models
4.4.1 Defining Core Services and Assets
4.4.2 Service Delivery and Contracting Options
4.4.3 Evaluating/Selecting Service Delivery Options
4.4.4 Procuring and Implementing Service Delivery
4.5 Quality Management
4.5.1 Introduction
4.5.2 Implementing Quality Management
4.5.3 Business Process Mapping
4.5.4 Appropriate Levels of Documentation
4.6 Continuous Improvement
4.6.1 Assessing AM Performance Gaps
4.6.2 Identify Improvement Actions
4.6.3 Developing the Improvement Plan
4.6.4 Delivering Improvement Actions
4.6.5 Monitoring AM Benefits and Outcomes
31
Appendix B
Comparison of Key Definitions Between ISO 55000

and the IIMM
The following table compares and draws alignment between terms used in the IIMM and ISO 55000. IPWEA and NAMS are satisfied
that the terms are reasonably compatible, with one main exception. The table compares the IIMM AM Framework as the closest
match with the ISO 55000 term AM System which is not used in the IIMM. The next edition of the IIMM will incorporate the term
and concept of the AM System.
ISO 55000 Definitions2
ASSET
Item, thing or entity that has potential or actual value to an organization (3.1.14)
Note 1 to entry: Value can be tangible or intangible, financial or non-financial, and
includes consideration of risks (3.1.22) and liabilities. It can be positive or negative at
different stages of the asset life (3.2.2).
Note 2 to entry: Physical assets usually refer to equipment, inventory and properties
owned by the organization. Physical assets are the opposite of intangible assets,
which are non-physical assets such as leases, brands, digital assets, use rights,
licences, intellectual property rights, reputation or agreements.
Note 3 to entry: A grouping of assets referred to as an asset system (3.2.6) could also
be considered as an asset.
ASSET LIFE
Period from asset (3.2.1) creation to asset end of life.
ASSET MANAGEMENT
Coordinated activity of an organization (3.1.14) to realize value from assets (3.2.1)
Note 1 to entry: Realization of value will normally involve a balancing of costs, risks
(3.1.22), opportunities and performance (3.1.18) benefits.
Note 2 to entry: Activity can also refer to the application of the elements of the AM
system (3.4.3).
Note 3 to entry: to entry: The term activity has a broad meaning and can include,
for example, the approach, the planning, the plans and their implementation.
ASSET MANAGEMENT PLAN
Documented information (3.1.7) that specifies the activities, resources and timescales
required for an individual asset (3.2.1), or a grouping of assets, to achieve the
organizations (3.1.14) asset management (3.3.1)objectives (3.1.13).
Note 1 to entry: The grouping of assets may be by asset type (3.2.7), asset class, asset
system (3.2.6) or asset portfolio (3.2.5).
Note 2 to entry: An asset management plan is derived from the strategic asset
management plan (3.3.2).
Note 3 to entry: An asset management plan may be contained in, or may be a
subsidiary plan of, the strategic asset management plan.
ASSET MANAGEMENT SYSTEM
Management system (3.4.2) for asset management (3.3.1) whose function is to
establish the asset management policy (3.1.19) and asset management objectives
(3.1.13).
Note 1 to entry: The asset management system is a subset of asset management.
MANAGEMENT SYSTEM
Set of interrelated or interacting elements of an organization (3.1.14) to establish
policies (3.1.19) and objectives (3.1.13) and processes (3.1.20) to achieve those
objectives.
Note 1 to entry: A management system can address a single discipline or several
disciplines.
Note 2 to entry: The system elements include the organizations structure, roles and
responsibilities, planning, operation, etc.
Note 3 to entry: The scope of a management system may include the whole of the
organization, specific and identified functions of the organization, specific and
identified sections of the organization, or one or more functions across a group of
organizations.
ASSET SYSTEM
A set of assets (3.2.1) that interact or are inter-related.
32
IIMM Definitions
ASSET
An item that has potential value to an organisation such as plant,
machinery, buildings, etc.
LIFE
A measure of the anticipated life of an asset or component; such as time,
number of cycles, distance intervals, etc.
ASSET MANAGEMENT (AM)
The systematic and coordinated activities and practices of an organisation
to optimally and sustainably deliver on its objectives through the costeffective lifecycle management of assets.
ASSET MANAGEMENT PLAN (AM Plan)

Long-term plans (usually 10-20 years or more for
infrastructure assets) that outline the asset activities and programmes for
each service area and resources applied to provide a defined level of service
in the most cost effective way.
ASSET MANAGEMENT FRAMEWORK(2)

The overarching AM hierarchy including the AM Policy, Objectives, Strategy
and the AM Plan.
INFRASTRUCTURE ASSETS
Stationary systems forming a network and serving whole communities,
where the system as a whole is intended to be maintained indefinitely
at a particular level of service potential by the continuing replacement
and refurbishment of its components. The network may include normally
recognized assets as components.
Appendix B
ISO 55000 Definitions2
IIMM Definitions
CORRECTIVE ACTION
CORRECTIVE MAINTENANCE
Action to eliminate the cause of a non-conformity (3.1.12) and to prevent recurrence. The remedial actions performed as a result of failure, to restore an asset or
component to a specified condition.
CRITICAL ASSETS
CRITICAL ASSETS
Asset (3.2.1) having potential to significantly impact on the achievement of the
Those assets that are likely to result in a more significant financial,
organisations (3.1.14) objectives (3.1.13).
environment and social cost in terms of impact on organizational objectives.
NA
DOCUMENTED INFORMATION.
Information required to be controlled and maintained by an organisation (3.1.14) and
the medium on which it is contained.
LEVEL OF SERVICE
LEVEL OF SERVICE
Levels of service statements describe the outputs or objectives an
Parameters, or combination of parameters, which reflect social, political,
environmental and economic outcomes that the organization (3.1.14) delivers.
organisation or activity intends to deliver to customers.
Note 1 to entry: The parameters can include safety, customer satisfaction, quality,
quantity, capacity, reliability, responsiveness, environmental acceptability, cost and
availability.
LIFE CYCLE
LIFECYCLE
Stages involved in the management of an asset (3.2.1)
The time interval that commences with the identification of the need for
Note 1 to entry: The naming and number of the stages and the activities under each an asset and terminates with the decommissioning of the asset or any
stage usually vary in different industry sectors and are determined by the organization liabilities thereafter.
(3.1.14).
MONITORING
PERFORMANCE MONITORING
Determining the status of a system, a process (3.1.20) or an activity.
Continuous or periodic quantitative and qualitative assessment of the
actual performance compared with specific objectives, targets or standards.
OBJECTIVE
ASSET MANAGEMENT OBJECTIVES
Result to be achieved.
Specific outcomes required from the implementation of the AM framework.
POLICY
ASSET MANAGEMENT POLICY
Intentions and directions of an organisation (3.1.14) as formally expressed by its top Outlines the principles and requirements for undertaking AM across the
management (3.1.24)
organisation in a structured and coordinated way, consistent with the
organisations strategic plan.
PREVENTIVE ACTION
PLANNED MAINTENANCE
Action to eliminate the cause of a potential non-conformity (3.1.12) or other
Planned maintenance activities fall into three categories;
undesirable potential situation.

Periodic necessary to ensure the reliability or to sustain the design
life of the asset
PREDICTIVE ACTION

Predictive condition monitoring activities used to predict failure.
Action to monitor the condition of the asset and predict the need for preventive

Preventive maintenance that can be initiated without routine or
action (3.4.4) or corrective action (3.4.1).
continuous checking (eg; using information contained in maintenance
manuals or manufacturers recommendations) and is not condition
based.
Other terms in the IIMM relating to preventive actions are risk treatment
and renewals and condition-based preventive maintenance.
RISK
RISK
Effect of uncertainty on objectives (3.1.13).
The effect of uncertainty on objectives. Risk events are events that may
compromise the delivery of the organisations strategic objectives.
STAKEHOLDER
STAKEHOLDER
Person or organisation (3.1.14) that can affect, be affected by, or perceive themselves A person or entity that has an interest in the organisations activities or
to be affected by a decision or activity.
outcomes.
CUSTOMER
Any person who uses the assets or service, is affected by it, or has an
interest in it either now or in the future. This definition does not necessarily
require that payment is made for use of the asset.
STRATEGIC ASSET MANAGEMENT PLAN (SAMP)
ASSET MANAGEMENT STRATEGY
Documented information (3.1.7) that specifies how organizational objectives
The high level long-term approach to AM including AM action plans and
(3.1.15) are to be converted into asset management (3.3.1)objectives (3.1.13), the
objectives for managing the assets.
approach for developing asset management plans (3.3.3), and the role of the asset
management system (3.4.3) in supporting achievement of the asset management
objectives.
Note 1 to entry: A strategic asset management plan is derived from the organizational
plan (3.1.16).
Note 2 to entry: A strategic asset management plan may be contained in, or may be a
subsidiary plan of, the organizational plan.
(2) Not all Notes to each of the ISO definitions have been included in this Table and readers are referred to ISO 55000 Part 3 for full detail of the ISO definitions.
33
Appendix C
Bibliography
Institute of Public Works Engineering Australia, Australian Infrastructure Financial Management Guidelines, 2009.
ISO 55000 Asset management Overview, principles and terminology.
ISO 55001 Asset management Management systems Requirements.
ISO 55002 Asset management Management systems - Guidelines for the application of ISO 55001.
New Zealand National Asset Management Support Group, Developing Levels of Service and Performance Measures Guidelines, 2007.
New Zealand National Asset Management Support Group and Institute of Public Works Engineering Australia, International
Infrastructure Management Manual, 2011.
New Zealand National Asset Management Support Group, Optimised Decision Making Guidelines, 2004.
New Zealand National Asset Management Support Group, New Zealand Infrastructure Asset Valuation and Depreciation Guidelines,
2006.
34
Further guidance as referenced in this document

International
Infrastructure
Management
Manual (IIMM)
2011
Australian
Infrastructure
Financial
Management
Guidelines
NAMS
New Zealand
Infrastructure
Asset
Valuation and
Depreciation
Guidelines
NAMS
Optimised
Decision Making
Guidelines
NAMS
Developing
Levels of
Service and
Performance
Measures
Guidelines
NAMS.PLUS
Guidance an
online guided
pathway to the
implementation of
Asset Management
planning
Available from: www.ipwea.org/bookshop

www.nams.org.nz

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ISO 55001: What is required

February 2014 v1.0

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ISO Part 4: Context of the

ISO Part 9: Performance

ISO Part 10: Improvement

ISO 4.1: Understanding the Organization and Its Context 7

ISO 10.1: Nonconformity and Corrective Action

ISO Part 5: Leadership

ISO 5.1: Leadership and Commitment

Comparison of Key Definitions Between ISO 55000

ISO Part 6: Planning

ISO Part 7: Support

ISO Part 8: Operation

ISO Asset Management

ISO 55001 is the most critical Standard in that it details the

Scope of the AM system and to which assets it will apply.

ISO 55000 Asset management Overview, principles and

Leadership and Commitment

ISO 55001 Asset management Management systems Requirements

Policy, Roles, responsibilities and authorities

Risks and Opportunities

AM Objectives and planning to achieve them

The ISO AM Standards are the first to be written in accordance

ISO 55000 gives those responsible for organizational

governance and management an appreciation of why the

Operation and Control

It enunciates the benefits of AM and an AM system in

Resources, awareness, competence

Monitoring and Review

Corrective and Preventive Action

The body of this Supplement follows the ISO 55001 structure.

Coordinated activity of an organisation to

Who should use the Standards

considering how to improve the realisation of value for

involved in the establishment, implementation,

involved in delivering AM activities including service

internal and external parties or stakeholders who assess

Why to use the Standards

Where to access the Standards

How to apply the Standards

improved financial performance;

better informed asset investment decisions;

better managed risk;

improved services and outputs;

Figure 2 introduces the AM process that leads readers

demonstrated social responsibility;

What are my required levels of service and performance

How will demand for these change over time?

improved organisational sustainability; and

What is the current state of my assets?

improved efficiency and effectiveness.

Are they capable of meeting these demands now and in the

ISO state that the main aim of Standards is to promote good

The second part of the AM process, covered in Section 3 of

What are my best strategies for operating, maintaining,

Who can assess conformance

What is my best long-term funding strategy?

Guidance on the skills and competencies required of those

Section 4 provides guidance on the AM enablers that support

2.1 Develop the AM Policy

2.2 Define Levels of Service and