Assurance and Governance Plan – Guidelines · GU v2.0, 10/10/2017 Assurance and Governance Plan...

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Assurance and Governance Plan – Guidelines

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Guidance

Version 1.0

Issue Date: 17 July 2014

Important Warning

This document is one of a set of standards developed solely and specifically for use on the rail network owned or managed by the NSW Government and its agencies. It is not suitable for any other purpose. You must not use or adapt it or rely upon it in any way unless you are authorised in writing to do so by a relevant NSW Government agency.

If this document forms part of a contract with, or is a condition of approval by, a NSW Government agency, use of the document is subject to the terms of the contract or approval.

This document may not be current. Current standards are available for download from the Asset Standards Authority website at www.asa.transport.nsw.gov.au.

© State of NSW through Transport for NSW

http://www.asa.transport.nsw.gov.au/

T MU AM 00002 GU Assurance and Governance Plan – Guidelines

Version 1.0 Issue Date: 17 July 2014

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Standard governance

Owner: Manager Asset Configuration Systems

Authoriser: Principal Manager, Network and Asset Strategy

Approver: Director, Asset Standards Authority on behalf of ASA Configuration Control Board

Document history

Version Summary of change

1.0 First issue

For queries regarding this document, please email the ASA at

[email protected]

or visit www.asa.transport.nsw.gov.au

http://www.asa.transport.nsw.gov.au/



© State of NSW through Transport for NSW of 15

Preface

The Asset Standards Authority (ASA) is an independent unit within Transport for NSW (TfNSW)

and is the network design and standards authority for defined NSW transport assets.

The ASA is responsible for developing engineering governance frameworks to support industry

delivery in the assurance of design, safety, integrity, construction, and commissioning of

transport assets for the whole asset life cycle. In order to achieve this, the ASA effectively

discharges obligations as the authority for various technical, process, and planning matters

across the asset life cycle.

The ASA collaborates with industry using stakeholder engagement activities to assist in

achieving its mission. These activities help align the ASA to broader government expectations

of making it clearer, simpler, and more attractive to do business within the NSW transport

industry, allowing the supply chain to deliver safe, efficient, and competent transport services.

The ASA develops, maintains, controls, and publishes a suite of standards and other

documentation for transport assets of TfNSW. Further, the ASA ensures that these standards

are performance based to create opportunities for innovation and improve access to a broader

competitive supply chain.

The ASA sets configuration control standards for New South Wales transport assets, including

the technical requirements for hand over and acceptance of new and modified assets. The

overall review and acceptance of configuration changes in the transport network is the

responsibility of the TfNSW Configuration Management Committee (CMC).

A high-level plan on the assurance and governance aspects of a project is required at the

beginning of a project, that is, before any major procurement is undertaken, to show the TfNSW

CMC that there will be a process to provide progressive justified confidence. The requirements

for an assurance and governance plan are set out in TS 10753 Assurance and Governance

Plan Requirements.

This document is intended to provide background and guidance on the preparation of the

assurance and governance plans for projects.

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Table of contents

1. Introduction........................................................................................................................................... 5

2. Purpose.................................................................................................................................................. 5

2.1. Scope.................................................................................................................................................. 5

2.2. Application......................................................................................................................................... 5

3. Reference documents .......................................................................................................................... 6

4. Terms and definitions .......................................................................................................................... 6

5. Essential reading .................................................................................................................................. 7

6. Background........................................................................................................................................... 7

7. Why have assurance and governance plans?................................................................................... 9

8. When is the assurance and governance plan developed? .............................................................. 9

9. Who develops and maintains the plan? ........................................................................................... 10

10. What is in an assurance and governance plan? ............................................................................. 10

11. What is not in an assurance and governance plan?....................................................................... 13

11.1. System safety plan ...................................................................................................................... 13

11.2. Configuration management plan for a project ......................................................................... 13

11.3. Relationship of the assurance and governance plan to other plans ..................................... 13

12. Check the assurance and governance plan..................................................................................... 14

13. Submitting the assurance and governance plan............................................................................. 15

13.1. Initial submission ........................................................................................................................ 15

13.2. TfNSW CMC presentation ........................................................................................................... 15

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1. Introduction

An assurance and governance plan is an integral part of the inputs to a project or change to

provide a high-level view of the safety management and governance of the project or change.

The Asset Standards Authority (ASA) has established a configuration management framework

that covers configuration change control and configuration management responsibility for

Transport for NSW (TfNSW) transport assets. The TfNSW Configuration Management

Committee (CMC) is the asset acceptance authority for TfNSW and its responsibilities include

the following:

being the acceptance authority for configuration changes

being the safety risk acceptance body for configuration changes

The party responsible for the configuration change bases acceptance of the asset and safety

risk on due process and the demonstration of the assurance case.

The assurance and governance plan provides the TfNSW CMC with the intent of the party

responsible for making the configuration changes to fulfil its requirements, in assuring that the

asset is fit for purpose, adequately safe, and reliable.

2. Purpose The purpose of this guide is to provide those preparing assurance and governance plans with

assistance with the structure and content of the plans, and with the submissions of the plans.

2.1. Scope

This guide provides background and basic information on the assurance and governance plan.

The contents of TS 10753 Assurance and Governance Plan Requirements are the basis of this

guide. The assurance and governance plan described in this guide covers the plan and acquire

phase of a project.

2.2. Application

ASA intends this guide for use when preparing an assurance and governance plan for

presentation to the TfNSW CMC.

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3. Reference documents

Transport for NSW

Safety Change Management Standard 20-ST-006

Note: This document is internal to TfNSW. See also note at Table 1,

Item 9.

Asset Standards Authority

TS 10750 TfNSW Railway Asset Configuration Management Plan

TS 10751 Configuration Management Guide

TS 10753 Assurance and Governance Plan Requirements

TS 20001 System Safety Standard for New or Altered Assets

4. Terms and definitions

The following definitions apply in this document:

AEO Authorised Engineering Organisation

CCB Configuration Control Board

CCR configuration change request

CMC Configuration Management Committee

Manager Asset Configuration Systems a role within the Network and Asset Strategy section

of the Asset Standards Authority

Project a temporary endeavour undertaken to create, change, remove, or dispose of a unique

product, service, result, or impact

RAMS reliability, availability, maintainability, and supportability

SFAIRP so far as is reasonably practicable

TfNSW Transport for New South Wales

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5. Essential reading

All of the following reference documents contain background and information for assurance and

governance plans:

TS 10753 Assurance and Governance Plan Requirements

Contains the minimum requirements for assurance and governance plans that this

guideline is based on.

TS 10750 TfNSW Railway Asset Configuration Management Plan

Presents the framework of the assurance and governance of changes to configuration

items in the rail network and configuration management generally.

TS 20001 System Safety Standard for New or Altered Assets

Provides requirements that shall be met in order to gain acceptance of assets into the

transport network.

Sets out the safety acceptance process for acceptance by TfNSW CMC.

TS 10751 Configuration Management Guide

Sets out details for the management of the configuration changes.

6. Background

The following is a snapshot of the preparation and submission of assurance and governance

plans:

the assurance and governance plan is initiated and finalised during the plan or concept

phase

it provides the framework for assurances for assets being accepted into the transport

network

the TfNSW CMC accepts assets based on assurances provided by AEOs and suppliers

the assurance and governance plan is presented to the TfNSW CMC for acceptance prior

to the end of the plan or concept phase, at CMC Gate 1

Assurance is a positive declaration intended to give confidence. Points to consider for

assurance include the following:

for assurance strategy, consider the following:

o key risks and how they will be managed

o the key milestones and aligned assurance deliverables

o the level of impact and scale the assurance process accordingly

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o RAM requirements

safety argument assures that the correct asset is specified taking into account aspects

such as:

o integration to the transport network

o operational and maintenance concept

o safety and RAM

o risk-based decision making

progressive assurance provides the following:

o gain increased confidence through the life cycle

o assists in developing a SFAIRP outcome

factors to consider for progressive assurance include the following:

o define gateways and means of passing them

o understand and manage risks associated with asset acceptance

o confirm assurance activities are integrated with engineering activities

o ongoing safety assessments

Governance is the framework and processes through which management oversight, direction,

and control of the project are provided, to ensure that it successfully achieves its objectives.

Points to consider for governance include the following

for strategies and policies, consider the following:

o strategic directions – such as managing change proposals and ensuring compliance

o basis for applying governance to assurance

for accountabilities, consider the following:

o apply processes for those with assigned responsibility

o systems for reporting and monitoring

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7. Why have assurance and governance plans?

The TfNSW CMC reviews and accepts configuration changes in the transport network. To

provide the TfNSW CMC with confidence that the management of the project will provide the

appropriate assurances, the objectives of the assurance and governance plan include the

following:

to give a high-level view of the framework for assurance on the management of the

configuration changes, as well as the safety assurance for acceptance of the new or

altered assets

to describe assurance arrangements to the CMC about the framework for assuring

configuration management, safety, and other engineering issues

to support TfNSW CMC decision making on delegation of acceptance authority to

configuration control boards (for projects), based on risk

to allow for the discharge of accountabilities

to facilitate the preparation of the safety argument and assist the smooth handover of the

project into operations

to ensure that these matters will be properly coordinated for minimising risk

8. When is the assurance and governance plan developed?

The assurance and governance plan is developed during the plan phase of a project and

completed prior to CMC Gate 1 when it is submitted to the TfNSW CMC. Figure 1 shows the

stages of the assurance and governance plan.

Further development or modification may be required for the assurance and governance plan

during the plan phase to take into account changes that have arisen. Changes should be

reviewed and approved by the delegated CCB. Unless changes are minor, the changes

together with background and justification should then be presented to Manager Asset

Configuration Systems, via TfNSW CMC Secretary, for review. If Manager Asset Configuration

Systems finds the change is significant, they will submit the change to the TfNSW CMC for

review.

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TfNSW CMC .

Plan

C

MC

Gat

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Acquire Operate/Maintain Dispose

CM

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5

Submit Plan to CMC Plan available to CMC

Concept Feasibility Procurement Design Build Integrate Accept Operate Maintain Dispose

IMPLEMENT ASSURANCE AND GOVERNANCE PLAN

(possible modifications made to plan)

DEVELOP ASSURANCE AND

GOVERNANCE PLAN

Figure 1 - Timeline for an assurance and governance plan

9. Who develops and maintains the plan?

The body responsible for the plan phase of the project develops or directs the development of

the assurance and governance plan.

During the acquire phase, the assurance and governance plan is maintained by or under the

direction of the AEO responsible for the project at that time.

10. What is in an assurance and governance plan? The project assurance and governance plan, along with the System Requirement Specification,

will set out the acceptance arrangements and the delegated authority for acceptance at each

intermediate project gateway. These arrangements should be in accordance with

T MU AM 04001 PL.

An assurance and governance plan is a high-level overview of the assurance and governance

arrangements that will support the management, assurance, and acceptance of the change to

the transport network.

The plan includes an overview of arrangements for addressing key risk areas. It forms part of

the overall management of configuration change and safety, and is a reference at the later

commissioning (acceptance) gateway, CMC Gate 5.

The assurance and governance plan should show the following information:

the AEO will make appropriate arrangements for exercising delegated authority

the system assurance activities are planned so that a progressive assurance can be built

as the system development occurs

the changes will be controlled and carried out in an explicit structured way

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Typically, the plan would refer to the Configuration Management Plan and the Safety System

Plan and would have information on managing those plans.

Table 1 provides examples of items to be included, derived from TS 10753. The list is not

intended to be complete nor every item applicable to all projects.

Items included in the plan should show how the item provides assurance to the TfNSW CMC.

Table 1 - Content for an assurance and governance plan – examples

No. Item Examples

1 project governance bodies committees that make decisions about configuration, safety matters, or other technical matters

the scope of authority of those committees

the delegation structure and a description or diagram showing the relationship of the committees to the overall governance of the configuration change

2 assurance structure that describes how assurance shall be undertaken

the parties responsible for deliverables such as the design, the design safety assessment report

3 configuration gateways the configuration control board or boards that configuration change and safety acceptance will be sought, including the composition of and scope of authority of those boards where those boards are being established for the configuration change

the points in a project where configuration control approval and safety acceptance will be sought

the principal assurance documentation that will be made available to configuration control boards to support the case for approval at each gateway

4 the interfaces with and recognition of the key project inputs for governance and assurance

internal and external stakeholder definition

configuration management plan

5 the safety management framework for the project

relationships of overriding policy such as a Safety Management System or Safety Management Plan to safety management of the project.

6 project safety accountabilities roles and accountabilities of the committees or persons involved with project safety

7 safety and RAMS criteria to be applied

relevant criteria or documents and procedures

8 any other acceptance criteria provide other specifications or requirements

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No. Item Examples

9 outcomes of impact assessments including those conducted under the TfNSW Safety Change Management Standard

Note: The Safety Change Management Standard is internal to TfNSW. Transport Service Providers and other service providers engaged by TfNSW are expected to maintain their own Safety Change Management requirements in order to manage risks arising from change and meet their obligations under safety legislation.

10 timescales for providing information presentation of evidence

giving acceptance in principle

managing outstanding issues

11 key project accountabilities andresponsibilities

those with accountabilities and responsibilities (for example, signing off for) substantial parts of the project

12 identification of the people who hold the project accountabilities and responsibilities

reference documents or listing of roles and accountabilities relating to assurance

13 any requirements for specific stakeholders to be present on existing committees for the purpose of the project and discharge of accountabilities

n/a

14 transfer of responsibility for the assurance and governance plan as the configuration change progresses throughout various stages of its life cycle

when project proceeds from plan to acquirephase

15 scope of assurance and governance plan coverage varies

address change of project scope

16 changes that will have phasedimplementation

explanation of how the progressive changes to the network will be assured and accepted

17 documentation of processes indicate how the documentation supports the assurance or safety argument

18 a process for review of the assurance and governance plan to ensure it is up to date

indicate ongoing review points

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11. What is not in an assurance and governance plan?

Although mention of other plans at a lower level is required in the plan to describe or show how

the plans relate to each other, details included in another plan or statement should not be in the

assurance and governance plan.

11.1. System safety plan

TS 20001 describes system safety plans. A system safety plan details the tasks and activities

that support the development of a safe system, the identification and management of safety

risks to SFAIRP, and provides suitable and sufficient assurance of the safety of the system.

11.2. Configuration management plan for a project

TS 10751 sets out typical items for the configuration management plan, and a summary of

items included in this plan is shown in Figure 2.

11.3. Relationship of the assurance and governance plan to other plans

The assurance and governance plan should have interrelationships with other plans such as the

system safety plan and the configuration management plan. The assurance and governance

plan will discuss aspects such as the management of the other plans, and how they will show

assurance. A diagram of the plans is in Figure 2. In the Figure, TfNSW is shown as the

originator of the assurance and governance plan, but the responsibility for the plan is passed on

to an AEO or Supplier during the plan phase or at the acquire phase.

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Figure 2 - Assurance and governance plan typical contents and references

12. Check the assurance and governance plan

A review of the assurance and governance plan for submission to TfNSW CMC will include the

following considerations:

the plan provides the high-level items to assist in managing and assuring the configuration

changes and the safety system

the plan has no redundancies, such as extra processes

items that should be in a lower level plan have not been introduced into the assurance and

governance plan

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13. Submitting the assurance and governance plan

13.1. Initial submission

When the prospect of submitting an assurance and governance plan arises, contact the TfNSW

CMC Secretary to discuss arrangements.

Submit the proposed assurance and governance plan for a preliminary review by ASA with

sufficient time prior to the TfNSW CMC meeting to allow for return of any comments, changes

by the submitter, and review by the TfNSW CMC. Submit the proposed or draft plan to the

TfNSW CMC Secretary a minimum of four weeks prior to the TfNSW CMC meeting.

Forward all submissions for the plan to the TfNSW CMC Secretary via the email address

[email protected].

13.2. TfNSW CMC presentation

Prior to CMC Gate 1, near the end of the plan phase, the assurance and governance plan is

included in a package of configuration change request (CCR) items presented to the TfNSW

CMC by the body responsible for the development of the project concept design.

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