T MU MD 00009 F3

Form

AEO Self-assessment Tool

Version 2.0
Issued date: 08 May 2017

Important Message
This document is one of a set of standards developed solely and specifically for use on Transport Assets (as defined in the Asset
Standards Authority Charter). It is not suitable for any other purpose.
The copyright and any other intellectual property in this document will at all times remain the property of the State of New South
Wales (Transport for NSW).
You must not use or adapt this document or rely upon it in any way unless you are providing products or services to a NSW
Government agency and that agency has expressly authorised you in writing to do so. If this document forms part of a contract with,
or is a condition of approval by a NSW Government agency, use of the document is subject to the terms of the contract or approval.
To be clear, the content of this document is not licensed under any Creative Commons Licence.
This document may contain third party material. The inclusion of third party material is for illustrative purposes only and does not
represent an endorsement by NSW Government of any third party product or service.
If you use this document or rely upon it without authorisation under these terms, the State of New South Wales (including Transport
for NSW) and its personnel does not accept any liability to you or any other person for any loss, damage, costs and expenses that you
or anyone else may suffer or incur from your use and reliance on the content contained in this document. Users should exercise their
own skill and care in the use of the document.
This document may not be current and is uncontrolled when printed or downloaded. Standards may be accessed from the Asset
Standards Authority website at www.asa.transport.nsw.gov.au

www.asa.transport.nsw.gov.au.

© State of NSW through Transport for NSW

 T MU MD 00009 F3
AEO Self-assessment Tool
Version 2.0
Issued date: 08 May 2017

Standard governance
Owner: Manager Authorisation, Asset Standards Authority
Authoriser: Principal Manager, Authorisation and Audit, Asset Standards Authority
Approver: Executive Director, Asset Standards Authority on behalf of the ASA Configuration
Control Board

Document history
Version Summary of Changes
1.0 First issue 10 December 2014
2.0 Second issue

For queries regarding this document,

please email the ASA at
standards@transport.nsw.gov.au
or visit www.asa.transport.nsw.gov.au

© State of NSW through Transport for NSW

 T MU MD 00009 F3
AEO Self-assessment Tool
Version 2.0
Issued date: 08 May 2017

Preface
The Asset Standards Authority (ASA) is a key strategic branch of Transport for NSW (TfNSW). As the
network design and standards authority for NSW Transport Assets, as specified in the ASA Charter , the
ASA identifies, selects, develops, publishes, maintains and controls a suite of requirements documents
on behalf of TfNSW, the asset owner.

The ASA deploys TfNSW requirements for asset and safety assurance by creating and managing
TfNSW's governance models, documents and processes. To achieve this, the ASA focuses on four
primary tasks:

 publishing and managing TfNSW's process and requirements documents including TfNSW plans,
standards, manuals and guides

 deploying TfNSW's Authorised Engineering Organisation (AEO) framework

 continuously improving TfNSW’s Asset Management Framework
 collaborating with the Transport cluster and industry through open engagement

The AEO framework authorises engineering organisations to supply and provide asset related products
and services to TfNSW. It works to assure the safety, quality and fitness for purpose of those products
and services over the asset's whole-of-life. AEOs are expected to demonstrate how they have applied
the requirements of ASA documents, including TfNSW plans, standards and guides, when delivering
assets and related services for TfNSW.

Compliance with ASA requirements by itself is not sufficient to ensure satisfactory outcomes for NSW
Transport Assets. The ASA expects that professional judgement be used by competent personnel when
using ASA requirements to produce those outcomes.

This document is designed for organisations seeking initial AEO assessment or expansion of their scope
to demonstrate capability in relation to engineering services.

This version includes a change in the number of AEO requirements.

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 T MU MD 00009 F3
AEO Self-assessment Tool
Version 2.0
Issued date: 08 May 2017

1. Introduction
The Authorised Engineering Organisation (AEO) model and framework is used by Transport for NSW
(TfNSW) to ensure confidence in the supply chain capability to deliver and assure asset life cycle
engineering services.

2. Purpose
This form is to be used by organisations seeking initial AEO assessment or expansion of their scope.

3. Reference documents
The following documents are cited in the text. For dated references, only the cited edition applies. For
undated references, the latest edition of the referenced document applies.

TfNSW Standards
T MU MD 00009 ST AEO Requirements

4. Terms and definitions

Terms and definitions used in the matrix are contained in T MU MD 00009 ST

5. Completing the matrix

To complete this form firstly replace <insert organisation> at the top of the form with the organisation's
name.

Then for each applicable requirement complete the following steps:

1 Enter a self-assessed maturity rating (0 – 5 as listed in Table 1) of the level of confidence in the
organisation's documented systems in the "'Doc sys rating'" column.
2 Enter a self-assessed maturity rating (0 – 5 as listed in Table 1) of the level of confidence in the
organisation's deployment of its own documented processes in the ";Dep sys rating'" column.

If further clarification is needed, contact your assigned authorisation facilitator.

Table 1 - Levels of maturity and description of rating levels

Rating Rating level description

0 The organisation does not currently have or meet the requirement or capability.
1 The requirement or capability is created or deployed unpredictably with poor control and
is reactive.
2 The requirement or capability is created or deployed on a case-by-case (project or
service) basis and is often reactive.
3 The requirement or capability is created or deployed at the organisational level and is
tailored for projects or services accordingly.
4 The requirement or capability is created or deployed at the organisational level and is
actively measured and controlled within the organisation (only used at organisational or
organisational unit level).
5 The requirement or capability is created or deployed at the organisational level and
continuously improved based on quantitative measurements (only used at
organisational or organisational unit level).
N/A Not applicable

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 T MU MD 00009 F3
AEO Self-assessment Tool
Version 2.0
Issued date: 08 May 2017

AEO Self-assessment Tool - <Company Name>

Requirements Doc sys Dep sys Weighted score
Req Code
(for guidance refer to T MU MD 00009 ST AEO Authorisation Requirements) rating (A) rating (B) 50%(A) + 50%(B)
Engineering management process and planning
ENM1 An AEO shall have engineering management processes and methodologies appropriate to its 0 0 0.0
engineering services and suitably aligned with ISO 9001 Quality management systems – Requirements,
ISO 55000 Asset management - Overview, principles and terminology, AS ISO 55001 Asset
management – Management systems – Requirements and AS/NZS ISO 9001 Quality management
systems – Requirements.
ENM2 Design AEOs shall have capability to provide design support during procurement, manufacturing, 0 0 0.0
construction, integration, test and commissioning stages.
Requirements management
ENM3 An AEO shall have requirements management arrangements that set out appropriate process, 0 0 0.0
responsibilities, structure, tools and deliverables for management of stakeholder requirements applicable
to the scope of engineering services provided across the system life cycle.
Service or solution engineering
Interface management
ENM4 An AEO shall have interface management arrangements that set out the processes, responsibilities, 0 0 0.0
structures, tools and deliverables.
Integration management
ENM5 An AEO shall demonstrate that it has suitable management arrangements to plan and carry out the 0 0 0.0
integration of all the declared products or systems as appropriate to the scope of authorisation.

System architecture management

ENM6 A design AEO shall demonstrate that it has arrangements to manage the synthesis and development of 0 0 0.0
system level requirements into a credible system architecture.
Sustainability in design
ENM7 An AEO shall incorporate sustainability in design principles as relevant to the scope of the authorised 0 0 0.0
engineering services.
RAM management
ENM8 An AEO shall demonstrate that it has RAM management arrangements in place, relevant to the 0 0 0.0
engineering services or products provided.
Human factors integration
ENM9 An AEO shall manage all HF relevant to the scope of the authorised engineering services. 0 0 0.0
Electromagnetic Compatibility (EMC)
ENM10 An AEO engaged by TfNSW to undertake engineering activities involving the specification, design, 0 0 0.0
integration, testing and maintenance of electrical or electronic systems involving EMI emitters (threats)
or receivers (victims) shall have arrangements for managing EMC.
An AEO engaged by TfNSW to undertake engineering activities involving the specification, design, build,
integration or modification of electrically conductive or magnetically permeative structures shall ensure
that arrangements are in place for managing electromagnetic interference and electromagnetic
compatibility.
Assurance, verification and validation
ENM11 An AEO shall have arrangements for verification and validation management of the engineering services 0 0 0.0
or products provided.
ENM12 An AEO shall demonstrate engineering assurance based on progressive stage gateway reviews. 0 0 0.0
ENM13 AEOs shall apply a risk-based approach to engineering assurance. 0 0 0.0
Judgement of significance (JOS)
ENM14 An AEO shall establish arrangements for assessing the significance of proposed engineering changes 0 0 0.0
arising from the delivery of its engineering services.
Systems safety assurance
ENM15 The AEO shall have system safety assurance arrangements in place relevant to the engineering 0 0 0.0
services or products provided. These arrangements must include suitable planning activities and
deliverables. They must also demonstrate suitable and sufficient integration into the engineering
services.
ENM16 The AEO's safety assurance arrangements must provide progressive assurance through the project or 0 0 0.0
system life cycle.
ENM17 The AEO shall have arrangements for the identification and management of safety risks associated with 0 0 0.0
the changes to be introduced. The process should follow a life cycle approach such that the granularity
of risks and the level of analysis aligns with the progression through the engineering life cycle. It shall
also support risk-based decision-making with records to show traceability of all decisions made.

ENM18 The AEO shall have arrangements for delivering safety assurance arguments and supporting evidence 0 0 0.0
(or input to such documentation) that describes how it has ensured safety SFAIRP and managed safety
risks to tolerable and SFAIRP. The content of such documents should be aligned with the requirements
of T MU MD 20001 ST so that they meet the requirements of the CMAAC process.

ENM19 AEO safety engineering and assurance arrangements shall be subject to ISA, where it is responsible for 0 0 0.0
the introduction of new or novel systems that affect the operational safety of the network or where the
general scope and complexity of the project requires it. There shall be arrangements in place to support
the appointment of an ISA organisation and to engage with an ISA organisation at all stages of the
engineering activities being undertaken when required and in accordance with the relevant standards
and best practice for the scope of works.
Configuration management
CFM1 An AEO shall have a documented system that describes the management of the configuration of all 0 0 0.0
proposed or existing configuration items under its control as relevant to the scope of the authorised
engineering service.
Competence management
CPM1 An AEO shall have comprehensive arrangements and systems for managing the competence of its staff, 0 0 0.0
contractors, sub-contractors and other third party suppliers, relevant to the engineering services
provided.
CPM2 An AEO shall consider relevant external qualification standards to benchmark the skills to be assessed 0 0 0.0
and maintain evidence that relevant industry competence requirements, including TfNSW Standards,
have been analysed and interpreted for the appropriate engineering services offered.

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CPM3 An AEO shall have arrangements in place to train, develop and assess the competence of staff using 0 0 0.0
established methods and competence standards, including establishing training and development needs
for staff delivering engineering services.
CPM4 An AEO shall provide for the planning, implementation, recording, assessment and recognition of 0 0 0.0
relevant continuing professional development activities to enhance the knowledge and skills of staff and
the organisation as a whole.
CPM5 An AEO shall maintain competence management records that contain appropriate and up-to-date 0 0 0.0
information about all competence aspects of a candidate. All records shall be maintained for audit
purposes and must be stored in a secure location for the duration of the AEO certification validity period.

CPM6 An AEO shall establish and maintain a register of all engineering and other engineering-related services 0 0 0.0
provided by staff and their competences.
CPM7 An AEO shall maintain the competence of those managers and assessors implementing the 0 0 0.0
competence management system and ensure that the managers and assessors understand their
responsibilities.
CPM8 An AEO shall demonstrate its knowledge management capability as suitable to the scope of services 0 0 0.0
and the sharing of industry relevant lessons learnt within the organisation and with the ASA.

Stakeholder management
ENM20 An AEO shall have arrangements in place to identify and manage internal and external stakeholders as 0 0 0.0
appropriate to the scale and scope of engineering services being provided.
Resources management
ENM21 An AEO shall have arrangements in place to ensure the required tangible and non-tangible resources 0 0 0.0
are available as necessary for the provision of the authorised scope of engineering services.

Supplier management
ENM22 An AEO shall have arrangements in place, appropriate to the scope of services, to manage selection, 0 0 0.0
evaluation and monitoring of internal or external suppliers and to assure selection and acquisition of
required products and services.
Performance measurement and evaluation
ENM23 An AEO shall periodically review key service delivery processes using established measurement 0 0 0.0
processes, methods and defined quantitative performance criteria.
Continual improvement management
ENM24 An AEO shall have arrangements in place for continual and systematic process improvement based on 0 0 0.0
measured processes performance.

Summary Doc sys Dep Sys Average

1 Engineering management process and planning 0.0 0.0 0.0
2 Requirements management 0.0 0.0 0.0
3 Service or solution engineering (including interface management, integration management, system 0.0 0.0 0.0
architecture management, sustainability in design, RAM management, human factors integration,
electromagnetic compatibility)
4 0.0 0.0 0.0
Assurance, verification and validation (including judgement of significance, systems safety assurance)
5 Configuration management 0.0 0.0 0.0
6 Competence management 0.0 0.0 0.0
7 Stakeholder management 0.0 0.0 0.0
8 Resources management 0.0 0.0 0.0
9 Supplier management 0.0 0.0 0.0
10 Performance measurement and evaluation 0.0 0.0 0.0
11 Continual improvement management 0.0 0.0 0.0

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