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ASSET ASSURANCE AND CONFIGURATION MANAGEMENT Jim Modrouvanos, Executive Director - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA A contemporary model for integrated asset and investment assurance AusRail 2015 | 1 May 2015 November 2015

Presentation Outline zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA • Transport for NSW and the Transport Cluster • View of Assurance • Asset and Safety Assurance • Investment Assurance • Integrated Assurance - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA A contemporary model for integrated asset and investment assurance AusRail 2015 | 2

Transport for NSW • Created Nov 2011, as the centrepiece of a comprehensively restructured transport portfolio • Responsible for managing and shaping the future of the transport system in NSW • Responsibilities across all phases of the asset life cycle - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA • Transport Cluster manages > $100B* of State owned assets A contemporary model for integrated asset and investment assurance AusRail 2015 | 3

The Transport Cluster • ASA part of Freight, Strategy and Planning • Collegiate approach to supporting and promoting Asset Management • TfNSW contracts - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA with Agencies and the Private Sector in the delivery of services A contemporary model for integrated asset and investment assurance AusRail 2015 | 4

ASA – beyond standards to whole of life assurance • “ Making it clearer and simpler ” – for Transport Cluster – for Supply Chain • Collaborating and supporting TfNSW to be an informed and efficient asset owner – whole of life assurance – asset management – standards – risk based decision making • Facilitate increased private sector - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA participation and capability • Transport Values and Customer focus A contemporary model for integrated asset and investment assurance AusRail 2015 | 5

zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA A view of asset assurance Assurance - set of structured and planned activities conducted through the zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA asset life cycle providing progressive justified confidence that objectives are being achieved and the asset is or will be fit for purpose Asset Assurance includes: Outcome assurance Technical assurance Integration assurance - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA assurance Safety Builds to assure the asset investment A contemporary model for integrated asset and investment assurance AusRail 2015 | 6

Why is Assurance Important? • Decisions made at any stage in the lifecycle contextualises or even constrains future options, activities and solutions • Decisions may have significant impact on safety, reliability and service delivery which may not become apparent until much later in the asset life • Interconnected nature of systems mean that there are consequences of every action - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA • Empowers the supply chain and assists service providers in attaining the assurance they require A contemporary model for integrated asset and investment assurance AusRail 2015 | 7

Providing TfNSW with assurance • Engineering decisions • Deployment of TfNSW protocols • Obligations as an owner • Enabling O&M efficiencies and effectiveness • Industry service providers - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA A contemporary model for integrated asset and investment assurance AusRail 2015 | 8

Completing the jigsaw - system & safety assurance - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA A contemporary model for integrated asset and investment assurance AusRail 2015 | 9

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Configuration Management Structure Accountable for configuration and assurance of NSW Transport Assets Network design and standards authority for NSW Transport Assets Network configuration change and asset acceptance body for TfNSW Sets Configuration management requirements Assigned - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA responsibility and Usually established authority to make within TfNSW or Delegates decisions on operator/maintainers configuration authority to operate within framework Contracted parties making network Approves CMP configuration change decisions A contemporary model for integrated asset and investment assurance AusRail 2015 | 11

Structure of Asset Assurance • Asset and investment assurance currently managed through two separate but aligned frameworks • The framework for asset (including safety assurance assurance) is: – provided by the TfNSW Configuration Management Plan – overseen by the TfNSW Configuration Management and Asset Assurance Committee (CMAAC) • The framework for investment assurance is: - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA – provided by the Investment Gating and Assurance Guidelines, – overseen by the Finance and Investment Committee A contemporary model for integrated asset and investment assurance AusRail 2015 | 12

Asset Assurance Gates - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA CCB s Gat os rnauaged through CCB s CCB s Configuration Management and Asset Assurance Committee A contemporary model for integrated asset and investment assurance AusRail 2015 | 13

Application of Asset Assurance - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA A contemporary model for integrated asset and investment assurance AusRail 2015 | 14

Configuration Management Surveillance • Through scheduled surveillance activities the ASA provides the zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA TfNSW CMAAC with confidence that a Configuration Management Plan is being applied and is effective • Includes any activity that forms part of an assessment of the status of the application of configuration management • When and where surveillance activities identify potential failures in the process or errors in information, action plans are identified - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA • Configuration information custodians plan and perform audit activities appropriate to their role A contemporary model for integrated asset and investment assurance AusRail 2015 | 15

Integrated Assurance Gates - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA May 2015 A contemporary model for integrated asset and investment assurance AusRail 2015 | 16

The complete picture….a work in progress Assurance - set of structured and planned activities conducted through asset life cycle providing progressive justified confidence that objectives are being achieved and that asset is or will be fit for purpose - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA A contemporary model for integrated asset and investment assurance AusRail 2015 | 17

Future success • Indicators of success across the asset life cycle * Change is managed and is safe as SFAIRP * Outcomes as expected * Integration achieved * TfNSW has justified confidence in the assurance story * Asset is or will be fit for purpose • The Asset Management view of business is recognised • Assurance is seen as multifaceted - Asset, Safety & - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Investment • Move from parallel and integrated to one integrated assurance process A contemporary model for integrated asset and investment assurance AusRail 2015 | 18

Thank you….questions? - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA Gates managed through CCBs CCBs CCBs Configuration Management and Asset Assurance Committee A contemporary model for integrated asset and investment assurance AusRail 2015 | 19

Contact details 02 9422 7187 info@asa.transport.nsw.gov.au - zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA A contemporary model for integrated asset and investment assurance AusRail 2015 | 20 November 2015