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© State of NSW through Transport for NSW

Transport Service Provider Asset Management Reporting Standard

Developed by:

Infrastructure and Services Division

Status: Final

Version: 1.0

Objective Reference: A5568643

Date of Issue: 27 November 2017

Effective Date: 27 November 2017

Review Date: 1st August 2019

Security Classification: Open Access



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Date: 27 November 2017 UNCONTROLLED WHEN PRINTED of 31

Standard governance

Owner: Principal Manager Infrastructure and Fleet Services, Service Delivery and Asset Management, Infrastructure and Services Division

Authoriser: Director Infrastructure Management, Service Delivery and Asset Management, Infrastructure and Services Division

Approver Executive Director, Service Delivery and Asset Management, Infrastructure and Services Division

Document history

Version Status Effective Date Notes

1.0 Final 8 December 2017 First issue

For queries regarding this document, please email [email protected].

mailto:[email protected]



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Table of Contents

Standard governance ...................................................................................................................................... 2

Document history ............................................................................................................................................ 2

1. Introduction .............................................................................................................................................. 4

1.1. General .................................................................................................................................................. 4

1.2. Purpose .................................................................................................................................................. 5

1.3. Application ............................................................................................................................................. 6

1.4. Reference documents ............................................................................................................................ 9

1.5. Terms and definitions ............................................................................................................................ 9

2. Monthly Reporting Requirements ........................................................................................................ 14

3. Quarterly Asset Performance Reporting Requirements ................................................................... 15

3.1. Executive Summary ............................................................................................................................. 15

3.2. Asset Management Plan Delivery ....................................................................................................... 16

3.3. Asset Performance .............................................................................................................................. 19

3.4. Asset Assurance .................................................................................................................................. 23

3.5. Asset Specific Risks ............................................................................................................................ 27

3.6. Review of AMP Risks .......................................................................................................................... 28

A.1. APPENDIX A: Example of Maintenance Work Plan Delivery Schedule* ............................................ 29

A.2. APPENDIX B: Defect Management Example* .................................................................................... 30

A.3. APPENDIX C: Asset Failures Example* .............................................................................................. 31



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1. Introduction

1.1. General

Transport for NSW (TfNSW) owns and manages a portfolio of assets valued at over

$130 billion, with a primary focus to deliver safe, reliable, and integrated transport services.

In order to meet organisational objectives and growing service demands, TfNSW engage a

number of Service Providers to Operate and Maintain (O&M) assets over the life cycle.

TfNSW has developed the Transport Service Provider Asset Management Standard, which

defines the requirements for Asset Management Plans. Through a process of reviews and

analysis TfNSW and the Service Provider agree on the outcomes of the AMPs based on cost,

scope, risk and performance to deliver the service outcome objectives.

The Transport Service Provider Asset Management Reporting Standard aims to monitor the

agreed deliverables and effectiveness of the AMPs, which includes asset condition and

performance to meet service outcomes. Further, this standard supports a consistent approach

to asset reporting across Transport modes to:

Apply appropriate investment decisions across the cluster to manage risk.

Determine the appropriateness of technical standards (such as Technical Maintenance

Plans) for the assets.

It is essential that Service Providers are able to demonstrate that assets are managed

effectively and that those assets support TfNSW (the Client) short and long-term service

outcomes. This reporting function is a critical part of the TfNSW asset management and

maintenance assurance framework to give confidence that assets remain sustainable and

expenditure is efficient and effective.

For the purpose of this Reporting Standard, Service Delivery and Asset Management is the

Client, and is represented by the TfNSW Contract Manager identified via the contract. Where a

contract is not in place (typically for TfNSW assets managed internally) Service Delivery and

Asset Management (Infrastructure Management) is the Client. This arrangement applies to

Transport Management Centre (TMC), Ticketing & Concessions, Customer Services Division,

Group IT, and Roads and Maritime Services.



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1.2. Purpose

This standard forms part of a broader TfNSW Assurance Framework and provides TfNSW with

a ‘health check’ of the agreed Asset Management Plan (AMP) outcomes (performance and

condition of assets) agreed between TfNSW and the Service Provider. Where the reporting

identifies a variance to the agreed outcomes TfNSW may conduct further intervention through

the Assurance Framework.

This reporting standard does include a number of measures that may be considered

performance measures as these are necessary to establish (for example) the content and

progress of annual works plans.

The standard defines the asset reporting requirements for monthly, quarterly and annual

reporting. Where Service Providers are required to provide monthly and/or quarterly report via

the Contract (e.g. operational report), the asset management reporting outlined in this Standard

will form a sub-component of the overall report.

At a practical level, the reports shall provide an overview of how the assets and Service

Provider are performing against the agreed AMP. The Service Provider shall use the report to

identify any areas of concern and/or emerging trends to TfNSW. The reporting shall be

integrated with the Service Providers Asset Management System and align to the Asset

Portfolio and agreed categorisation of Production provided (ie projects, programs or activities).

Furthermore, the structure and content of the information reported shall support the next

iteration of the AMP and future programs of work.

The suite of reports generated by the Service Provider will form part of the assurance provided

to TfNSW regarding the integrity of the assets. For this purpose TfNSW may share and

distribute the reports to relevant technical experts within TfNSW (such as the Asset Standards

Authority).

The reports may be used to trigger other assurance activities conducted by TFNSW such as

asset assessments, audits or reviews.



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Figure 1 Transport Asset Assurance Cycle

1.3. Application

It is intended this standard applies to all Service Providers who are engaged by TfNSW for the

Operation and Maintenance (O&M) phases of the asset life cycle from the standard “effective

date”. Service Providers engaged prior to the ‘effective date’ shall commence aligning their

asset management reporting to the Standard.

The Standard notes that different business models exist across different transport modes and

contract types. While this Standard is mode agnostic, a suite of mode specific guidelines will be

developed in consultation with Service Providers to use in conjunction with these guidelines.

The application of this standard with existing Service Providers will vary between contracts, as

existing asset reporting contract requirements may already be in place. As part of the

development process for this Reporting Standard, the TfNSW Contract Manager will work

collaboratively with the Service Provider to map the requirements of current contracts against

the requirements of the Reporting Standard.

This standard covers asset reporting requirements. The Service Provider shall submit asset

reports for the following AMP delivery periods:

8 - Monthly Asset Reports (M),



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4 - Quarterly Asset Reports (Q), and

1 - Annual Asset Summary Reports (A),

as outlined in Figure 2 and Table 1.

Figure 2 Reporting Schedule

The structure and content of reports may be adapted to fit with the requirements of existing AM

systems and business processes, working towards the following principles established by the

Transport Service Provider Asset Management Standard:

All assets owned by TfNSW are contained in an asset management system/s with a

controlled process for adding/modifying/decommissioning assets

There is a mechanism for identifying and ranking asset condition

There is a documented set of asset production management/maintenance

activities/programs (that can be attributed to assets and condition information above)

Each year an Asset Management Plan approved by the Service Provider Executive is

developed and submitted consistent with the points above that identifies the risks for

TfNSW as the Asset Owner (including any backlog) and provides a range of options to

manage and mitigate these risks over the contract year and asset life cycle

Each year an annual works program is developed and made available through a

documented process by the Service Provider following a cyclical process that integrates

the stages in the dot points above

At the commencement of the works program, reporting is undertaken consistent with

above requirements that reports on progress throughout the year and an emerging risks

or trends consistent with the requirements outlined in this Reporting Standard

Reporting due dates are as follows:

Report Type Monthly Performance Report

Quarterly Performance Report

Purpose and scope Asset performance dashboard

report format with agreed

KPIs, along with explanatory

comments as required.

Asset performance report with

detailed trend analysis of

agreed KPIs and metrics over

the quarter. Also included are



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Report Type Monthly Performance Report

Quarterly Performance Report

This report shall include a

rolling 12 months of data

where possible.

the delivery of maintenance

program and compliance

activities.

Service Provider Reporting

Schedule*

Each Month from July to June

Due to the TfNSW Contract

Team within 10 business days

of the consecutive month

unless otherwise specified in

the contract.

Note: monthly dashboards are

still required when submitting

the quarterly reports

Each Quarter: July-September

(Q1), October -December

(Q2), January-March (Q3),

and April-June (Q4)

Due to the TfNSW Contract

Team within 15 business days

of the consecutive month

unless otherwise specified in

the contract.

Note: the June quarterly

report will include the annual

summary report

TfNSW Review Schedule Report reviewed and

comments sent (if any) to

Service Provider via the

Contracts Team within 5

business days following

receipt of report (or will be

integrated with the Contract

Team comments each month)

Report reviewed and

comments sent (if any) to

Service Provider via the

Contracts Team within 15

business days following

receipt of report (or will be

integrated with the Contract

Team comments each

quarter)

Table 1 Detailed Reporting Schedule

*Through collaboration and agreement the Service Provider and Contract Manager may

consider a flexible approach to how the O&M reports for existing contracts may be delivered.

This standard is intended to define the minimum Asset Management reporting requirements to

ensure the prudent level of assurance around an asset.

The quarterly reports shall provide cumulative trend data as the year progresses and include

the monthly reporting data for that month. The fourth quarterly report (due in say July) will

provide the cumulative trend data for the year and trend analysis (the annual report). The

Annual report will either be the accumulative report of the 4th quarter, or a separate document,

subject to agreement between the TfNSW Contract Manager and Service Provider.

All reports shall be structured in a way that maximise visibility of trend data and reduce the need

to undertake manual comparison of monthly reports to establish trends or risks.



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Sections 2 and 3 of this Standard onwards shall be used as a template for the Asset

Management Monthly Dashboard and Quarterly Performance Reports respectively. The Service

Provider may choose to include additional graphs/tables/commentary to support their analysis.

It is recognised that the scale of operations and maintenance activities will vary depending on

the size of the asset portfolio managed by individual Service Providers (including AEOs and

Transport Agencies). The detail of information and analysis included by the Service Provider

shall be fit for purpose given the nature of the asset and is subject to agreement with TfNSW

Contract Manager.

The Service Provider must ensure that emergency events or priority maintenance responses

that significantly impact services or system safety shall be immediately communicated to the

TfNSW Contract Manager.

1.4. Reference documents

Transport Asset Management Policy

TfNSW Asset Management Framework (AMF) - Overview

Transport Standard – Transport Service Provider Asset Management Plan Standard

ASA Standard T MU MD 00011 ST- Concessions to ASA Requirements

ASA Standard T MU AM 01004 ST Maintenance Service Schedule Classification and

Compliance

TfNSW Asset Management Plan

ASA Standard T MU AM 02001 ST Asset Information and Register Requirements

ASA Standard T MU AM 02002 TI Asset Classification System

ASA Standard T MU AM 01007 TI Asset Reference Codes Register

Note: internally published documents are available on request

1.5. Terms and definitions

The following terms and definitions apply in this document:

Term Definition

Asset is an item, thing or entity that has potential or actual value

to an organisation

Asset Class used to define and group assets having a similar nature in



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the operations of an entity and comprised of a number of

related asset functions. Often split into Infrastructure and

Fleet.

Asset Life is the period from identification of need to asset creation to

asset end-of-life

Asset Life Cycle includes the whole of life cycle activities and activities that

are specific to a phase or several phases during a lifecycle,

and includes:

demand/need

plan

acquire

operate/maintain

dispose

Asset Management

Policy

The policy describes how TfNSW and Service Providers

apply asset lifecycle principles and practices to meet

TfNSW’s Corporate Plan objectives, which are:

a) To plan for a transport system that meets the needs

and expectations of the public and customers;

b) To promote economic development and

investment;

c) To provide integration at the decision-making level

across all transport modes;

d) To promote greater efficiency in the delivery of

transport infrastructure projects; and

e) To provide safe and reliable delivery of transport

and productive freight services.

Asset Maintenance asset maintenance includes any activity performed on an

existing asset with an intention of enabling the asset to

perform to the required level of service until the asset is

scheduled to be upgraded or disposed of

Asset maintenance, in the context of this document, has

two components:

1) Recurrent maintenance, also referred to as

routine maintenance, is the regular ongoing day-to-

day work that includes the immediate prevention



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and correction of failures/defects in assets to

ensure the assets are in a safe and operational

state. Recurrent maintenance is funded from the

OPEX budget.

Recurrent maintenance includes:

o Corrective maintenance includes the work

which is carried out when an asset is either

close to failure or unsafe to use due to

significant wear and tear, and intended to

restore the asset to a state in which it can

perform its required function at the acceptable

level of risk.

o Predictive maintenance includes testing,

inspecting and monitoring assets to indicate

rates of degradation and predict failures.

o Preventative maintenance includes the work

which is carried out at predetermined intervals,

or corresponding to prescribed criteria, and

intended to reduce the probability of failure or

the performance degradation of an asset.

2) Capital maintenance, also referred to as

renewals, is the renewal or replacement of an

existing asset, that has reached the end of its

useful life with a new asset capable of providing the

current or agreed alternative level of service as the

existing asset. Capital maintenance is funded from

the CAPEX budget

Asset Maintenance

Strategy

a plan that defines maintenance strategies goals and

targets in alignment to achieving the Asset Management

Policy for the Assets which seeks to achieve best value for

money over the whole life of an Asset

Asset Management

Plan (AMP)

means the plan developed for work to be carried out in

respect of the Asset Lifecycles for Assets, which provides

an assessment of the long term funding requirements and

the approach to manage asset performance/condition risks

to meet the required service outcomes.

Asset Management is the coordinated activity of an organisation to realise value

from assets (ISO 55000)

Asset Mode means by which people and freight achieve mobility. They

fall into one of three basic types land (road, rail and active),



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sea and air.

Asset Type used to define and group assets that perform the same or

similar asset function and which may serve the same

purpose within an asset function. An asset type will have

characteristics that distinguish them separately from other

asset types within an asset function (different technical

specification or different construction).

ATSB means Australian Transport Safety Bureau

Client refers to TfNSW, the recipient of the reports

Contract Manager Refers to TfNSW’s representative as the Client

Concession is a written authority issued by a discipline head or an

authorised person that allows a particular procedure to

deviate from a TMP across an asset class subject to given

conditions. Alternative terms are waiver, deviation and

deferral.

Conditional Failure a defect is a conditional failure when it has the potential to

become a functional failure and occurs when the asset

condition is outside a maintenance threshold but it is still

able to perform its function and does not yet have

operational consequences. Conditional failures may need to

be monitored as part of condition assessment or repaired.

Defect

Deferral

See conditional failure. Any notice, task or fault which has

resulted from an inspection, complaint, observation or

measurement, It maybe a task resulting from an inspection.

All defects will needs to be scheduled for rectification with a

due date and priority.(subject to a risk based approach).

*TfNSW note the “defect” terminology may vary across

modes. Where a Service Provider considers the “defect”

terminology to vary from the definition provided in this

standard the Service Provider will need to seek agreement

between the TfNSW Contract Manager and Infrastructure

Management team.

See Concession

Deviation See Concession

EPA means NSW Environmental Protection Authority



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Failure means the inability of a system or asset to perform its

intended function or inability to satisfy some predetermined

conditional attribute.

Fleet Type used to define and group the types of passenger fleet within

the train, light rail vehicle, ferry and bus asset classes

Functional Failure a defect is a functional failure when the asset cannot fully

perform its design function and generally causes immediate

operational consequences such as train delays or loss of

power, subject to the level of available redundancy.

Government Agency means a government or semi-government entity including

any agency, statutory corporation, statutory authority,

department or state owned corporation, but excluding

political parties.

ISO 9001 means Quality Management Standard ISO 9001

KPI means a Key Performance Indicator

Latitude

Maintenance Works

Program (MWP)

is the allowed variance (+/-) of a TMP service schedule

from its planned date (due date). Latitudes are for planning

purposes as service schedules cannot always be

completed on the actual day due.

The Maintenance Works Program (MWP) or otherwise

known as the Annual Works Program is a comprehensive

list of planned Major Preventative Maintenance (MPM)

activities by program, scope and funding for the delivery

year and is an output of the Service Providers AMP

ONRSR means Office of the National Rail Safety Regulator

OTSI

Potential Failure

means NSW Office of Transport Safety Investigations

A failure that occurred but did not impact on services or was

detected and due to for example asset redundancy (ie

availability of another asset) did not impact on the Service.

Service Provider Where TfNSW engage either, a Government Agency, or an



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external organisation for the maintenance of assets owned

by Transport for NSW

Specifications means the documents which specify the business

requirements and systems requirements necessary to meet

the requirements of relevant Laws, standards and codes of

practice and policies, rules and procedures.

Technical Maintenance

Plan (TMP)

defines the maintenance plan applicable for an asset. The

TMP defines what maintenance tasks are to be performed

(packaged as service schedules), when (frequency,

conditional or statistical trigger) and where the maintenance

tasks are to be performed including required materials,

consumables and tools and equipment. Each TMP must be

signed by competent persons or as appropriate.

2. Monthly Reporting Requirements

The Monthly Report is aimed to provide a health check of the implementation of the asset

management plan agreed between TfNSW and the Service Provider. This report is presented in

a dashboard style format, with brief commentary as required.

The monthly dashboard may include metrics (such as lead indicators and lag KPIs) as agreed

between TfNSW and the Service Provider relevant to the management of the asset.

In addition to the dashboard, the Service Provider shall as a minimum provide commentary on

the following:

Any asset related incidents reportable to a regulator

Impact of asset performance on service delivery

Description of any high impact events and emerging risks

The Service Provider shall provide mitigations or cure plans where appropriate.

Metric Type Metrics

Asset Management Indicators

Routine Maintenance:

% preventative maintenance activities (TMPs) planned

vs completed*

Any other indicators as agreed between the TfNSW

Contract Manager and the Service Provider

Management Indicators Any Special area of interest (e.g. a particular asset type

or geographical location)



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Metric Type Metrics

As agreed between the TfNSW Contract Manager and

the Service Provider during AMP production/approval

Table 2 Example of Asset Management Metrics

*Target as per contract/as agreed with TfNSW Contract Manager. The expectation is that future

contracts will have a target of 100% for this metric.

3. Quarterly Asset Performance Reporting Requirements

Quarterly reports represent the main focus of the Service Provider assurance to TfNSW.

At a practical level, the report shall provide an overview of how the assets are performing

against the agreed AMP. The Service Provider shall use the quarterly report to identify any

areas of concern and or emerging trends to TfNSW.

3.1. Executive Summary

The Quarterly Report provides key analytics of the performance of the Service Provider against

the agreed AMP (in contrast to the monthly reports which provides key summary cumulative

data but limited analytics and commentary). The Service Provider shall provide a brief summary

of asset performance for the quarter and highlight any asset trends (eg areas of concern), as

well as the proposed actions to mitigate any risks or potential service impacts and alignment to

asset management objectives.

The Quarterly Report will be reviewed by TfNSW as part of the ongoing assurance from the

Service Provider regarding the integrity of the assets delivered through the AMP Framework.

In the last quarterly report of the financial year, the Service Provider shall provide a summary of

asset performance over the year, including:

Adverse trends across the year, how they were addressed, and the outcome

Identified risks, how they were addressed, and the outcome

Summary of any significant event relevant to the management of the asset

Overall compliance with TMPs

Whether the annual works plan was achieved, and the associated financial impact (noting

that this may overlap with other contract deliverables)



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In the first instance data may be provided on a rolling 12 month basis or on a cumulative

monthly basis as long as by the end of each quarter/year trends can be readily identified without

reference to multiple reports.

3.2. Asset Management Plan Delivery

The Service Provider shall report and monitor the deliverables required of the Asset

Management Plan (AMP) to meet the service outcomes.

3.2.1. Routine Maintenance Compliance – Total

The Service Provider shall report on compliance with asset inspections and mandatory cyclic

maintenance requirements, normally defined within the Service Provider’s Technical

Maintenance Plan (TMP) or similar documentation.

This is measured by the percentages of preventative (also referred to as planned) maintenance

work orders that were completed by the end of the quarter and classified as either compliant or

non-compliant. Completed Routine Preventative Maintenance work orders are considered

complete-compliant if they are completed within the TMP latitude, and complete-non-compliant

if they were completed outside the TMP latitude, but had an APPROVED concession before the

end of the latitude period.

Concessions are as defined in ASA Standard T MU MD 00011 ST- Concessions to ASA

Requirements (or as per special contract conditions). Where a particular requirement from this

standard is found not to be directly applicable to the Service Provider, the intent of the standard

shall be considered (i.e. a risk based approach for managing deviations from the TMP or similar

maintenance plan).

A Routine Preventative Maintenance activity is considered non-complete-non-compliant if it was

not completed within the TMP latitude, and did not have an approved concession.

Delivery Metric

The metric is defined as:

Total Routine Maintenance (Work Orders) Planned vs Completed: % Complete (includes

previous quarter and current quarter with a rolling 4 quarters of data. ie data from quarter 1

of a new delivery year will show the last 3 quarters of the previous year) , reported by asset

type, or as required by the contract

Reported against a 100% compliance target, or other target agreed with the TfNSW

Contract Manager



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Any Complete and Non-Compliant or Non-Complete Non-Compliant Routine Maintenance

activities shall be reported directly to the Contract Manager as it occurs, if there is an

associated safety risk, as agreed with the TfNSW Contract Manager

Typically this information may be represented in the form of a graph. This information and its

representation is subject to agreement with the TfNSW Contract Manager.

Commentary Analysis Requirements

For any non-compliance with the required Routine Preventative Maintenance inspections, the

Service Provider shall provide comment on:

Assurance that all concessions were granted and mitigations in place before the TMP

latitudes were breached, with a summary of approved concessions

If any maintenance activities were not completed and did not have an approved concession

the Service Provider will be required to make a declaration of assurance regarding the

integrity of the system including providing what was the reason and what are the

associated risks and mitigation strategies

Risk mitigations, action plans, and any potential service impacts as applicable

3.2.2. Routine Planned Maintenance Compliance – Safety Critical and Safety Significant

Where these categories of inspection are completed, the Service Provider shall also report on

compliance with related TMPs as follows. Typically, this applies to rail systems.

Safety Critical Routine Maintenance Inspections

Safety critical inspections are those nominated Routine Maintenance inspections of critical

infrastructure that shall be conducted to enable the operation of TfNSW infrastructure.

These inspections are necessary to identify immediate failures in safety critical assets.

Planned safety critical inspections or tasks are nominated in Technical Maintenance Plans

(or similar documentation), and actual inspections shall not be extended beyond the

specified task period without defined and approved risk mitigation measures being in place.

Fleet operations are not permitted unless necessary safety critical inspections of

infrastructure have been undertaken and any necessary risk mitigation is put in place.

When less than a 100% result is recorded, a concession (based on risk assessment and

mitigation) shall be obtained for the planned inspections. Improvement in this area has

been as a result of a specific focus on ensuring that safety critical inspections are carried

out on time as per the relevant TMPs.



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Safety Significant Routine Maintenance Inspections

Safety significant inspections are Routine Maintenance inspections of infrastructure to

protect against eventual failures of safety significant components. These tasks involve, for

example, civil, signal and electrical disciplines.

Planned safety significant inspections or tasks are nominated in Technical Maintenance

Plans (or similar documentation), and actual inspections shall not be extended beyond the

specified task period without defined and approved risk mitigation measures being in place.

This reporting is subject to agreement with the TfNSW Contact Team.

See section 3.2.1 for the Delivery Metric and Commentary requirements to be applied to this

section.

3.2.3. Maintenance Works Program Delivery

The Service Provider shall report on the Maintenance Works Program (MWP), which comprises

recurrent MPM and MPM Capital Program delivery for the current financial year. This shall be

reported against the baseline Maintenance Works Program submitted as part of the current

Asset Management Plan, and as agreed with the TfNSW Contract Team.

The MWP represents the program of works required on the asset to sustain asset condition

over the life cycle of the asset to meet the service outcomes. The development of the MWP

shall be aligned to section 8.8 Asset Management Framework for the Transport Service

Provider Asset Management Plan Standard.

Delivery Metric


Planned versus actual (for the agreed baseline) for the quarter

Planned versus actual (for the agreed baseline) year to date

Planned forecast for the remaining year

Typically the information in this section may be represented in graph or table form. Refer to

appendix A for illustration. This information and representation is subject to agreement with the

TfNSW Contract Manager.


The Service Provider shall provide comment on:

Maintenance programs which deliver below 95% (unless specified otherwise in the

contract) of the baseline must provide an explanation regarding:



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- the cause of the change

- any impact to backlog (dollars and scope)

- Risk mitigations

- Action plans, progress of action plans, and how the Service Provider plans to catch up

on missed planned maintenance

- Any potential service impacts

3.2.4. Maintenance Works Plan Financials

This Section is relevant to transport agencies, or where the contract provides for financial

reporting, the Service Provider shall report on Maintenance Financials. Typically both for the

quarter and financial year to date in terms of:

Recurrent Maintenance– Budget v Actual

- RM and MPM

Capital Maintenance (MPM Capital) – Budget v Actual

Total – Budget v Actual

Delivery Metric


Planned versus actual (for the agreed baseline) for the quarter

Planned versus actual (for the agreed baseline) year to date

Planned forecast for the remaining year



significant variances to budget

any consequential effects on risk and service provision

what TfNSW can do to assist/support program recovering

3.3. Asset Performance

The agreed AMP and Maintenance Works Program between TfNSW and the Service Provider

represent an agreed position on scope, funding asset condition and service performance.



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This section provides TfNSW a summary of asset condition, performance and assurance which

measures the effectiveness of MWP to deliver the service outcomes agreed between TfNSW

and the Service Provider.

3.3.1. Defect Management

The Service Provider shall report on how it is managing defects to reduce potential failures and

impact to services by providing trends and analysis of defects over time.

*TfNSW note the “defect” terminology may vary across modes. Where a Service Provider

considers the “defect” terminology to vary from the definition provided in this Standard the

Service Provider will need to seek agreement between the TfNSW Contract Manager and

Infrastructure Management team.

Conditional, functional and potential failures shall be reported.

Delivery Metric


Total number of new defects open and closed by infrastructure and fleet assets by quarter

and cumulative total no. of defects remaining open (includes previous quarter and current

quarter with a rolling four (4) quarters of data. ie data from quarter 1 of a new delivery year

will show the last three (3) quarters of the previous year) .

Analysis of defects that require an immediate or prioritised response open and closed by

infrastructure and fleet assets (this is a subset of data from the previous dot point above).

The cumulative number of defects (that require an immediate or prioritised response)

remaining open (includes previous and current quarter with a rolling 4 quarters of data ..

TfNSW may require further information in regard specific high risk to asset classes

TfNSW will work with the Service Provider to establish the definition immediate and

prioritised response for each mode and asset class.

TfNSW will work with the Service Provider to establish a method to report on defects with

revised completion dates. TfNSW notes that all Service Providers have different processes

and systems to manage this process.


appendix B for example illustration. This information and representation is subject to agreement

with the TfNSW Contract Manager.




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For defects which affect TfNSW Asset Management outcomes, the Service Provider shall

provide comment on:

Adverse trends, including details of recurring defects

Mitigations and actions in place to reduce the increasing cumulative defects for immediate

and priority defects.

3.3.2. Asset Failures

The Service Provider shall report on this measure, which provides an indicator of the impact of

asset failures and/ or the potential to affect service punctuality. An asset failure is where an

asset breakdown has occurred and the asset failed to perform its required function (asset

failures usually have immediate operational consequences), or a potential asset failure that

occurred but did not impact on services or was detected and due to for example asset

redundancy (ie availability of another asset) did not impact on the Service.

Delivery Metric

This metric is defined as:

Aggregated total number of asset failures to system/s in a defined period as agreed with

TfNSW, typically defined in the peak periods and 24 hour period

Total number of failures affecting the service by infrastructure and fleet assets

Total number of service delays as a result of asset failure.

Where TfNSW require further information regarding asset failures, TfNSW will work with

Service Providers.

These metrics shall be reported on for both Service Affecting Failures and 24 Hour Failures.

The delivery metric shall be split between infrastructure and fleet assets, as well as by corridor if

applicable to mode.


appendix C for example illustration. This information and representation is subject to agreement

with the TfNSW Contract Manager.



Analysis of trends for the aggregated asset failures and resulting service delays, including

repeated failures

Asset failures which caused significant service delays during the quarter



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Risk mitigations & actions resulting from the service disruptions

3.3.3. Asset Reliability

TfNSW is currently developing definitions and targets for asset reliability across transport asset

modes. For the purpose of this standard any current contractual KPIs will remain in place and

the Service Provider will continue to report as required.

Future reporting standards will consist a number of reliability targets including for Infrastructure

Mean Time Between Failures (MTBF) for specified types of Infrastructure assets which have a

significant contribution to incidents that affect network reliability.

It is noted that for Fleet assets, the Service Provider shall report on the Mean Distance Between

Failures (MDBF) for specified types of fleet assets against targets agreed with TfNSW Contract

Manager.

Delivery Metric

Fleet MDBF broken down into Fleet type (where targets exist)

Monthly (on a 12 month rolling basis)

Typically the information in this section may be represented in graph form. This information and

representation is subject to agreement with TfNSW Contract Manager.



Analysis of any adverse trends and their causes

Resulting mitigations & actions

3.3.4. Fleet Availability

Service Providers responsible for the operation and/or maintenance of fleet assets shall report

on the number of fleet vehicles and the percentage of all vehicles that are classified as

deployable each peak period to operate passenger services against targets agreed with

TfNSW.

Delivery Metric

Monthly Fleet availability % broken down into Fleet type, on a 12 month rolling basis and

YTD



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Quarterly Fleet availability % broken down into Fleet type, on a 12 month rolling basis and

FY


representation is subject to agreement with TfNSW.



Analysis of any adverse trends and their causes

Resulting mitigations & actions

3.4. Asset Assurance

3.4.1. Notifiable Incidents

The Service Provider shall report on notifiable occurrences, including accidents or incidents

associated with Transport operations that have, or could have, caused significant property

damage, serious injury, death, or is of a class that is prescribed by Regulators (ONRSR, ATSB,

EPA, etc.) to be a notifiable occurrence.

Notifiable incident will be agreed to between the Service Provider and TfNSW Contract

Manager.

3.4.2. Audits and Assessments

The Service Provider shall report on audits and assessments conducted on its systems,

accounts and processes, to provide assurance the systems are delivering the AMP

objectives/outcomes.

This section includes internal audits, and external audits and assessments by:

TfNSW (AEO & I&S Contract Team)

Regulators (ATSB, ONRSR, OTSI, EPA, etc.)

Standards (e.g. ISO 9001)

Internal (condition audits, quality audits)

Delivery Metric


Number of audits planned (baseline)



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Number of audits completed

Number of audits overdue

Number of significant findings

Typically the information in this section may be represented in table form. This information and




Overdue audits with resultant actions

Significant findings, how they shall be addressed, and subsequent progress

3.4.3. Engineering Change Requests and Concessions

The Service Provider shall report on engineering change requests/modifications and

concessions.

These are a deviation from an approved maintenance procedure (e.g. standard or TMP) which

is owned and managed by either the Service Provider or TfNSW through the ASA. This also

includes proposed new standards or type approvals.

The purpose of this section is to make TfNSW aware of any changes to the maintenance

schedules and standards of the assets it owns, and the subsequent risk to safety and reliability

as a result of these changes.

Delivery Metric

Subject to agreement between TfNSW and the Service Provider, this metric can be replaced

with an appropriate alternative metric. The metric is defined as:

Total No of Engineering Approved Concessions Granted

Concessions against Standards

Concessions against Technical Maintenance Plans (TMPs). Concessions granted against

TMPs must be in place before the latitude period has expired.

Analysis of the number of engineering approved concessions

Total No of changes proposed to existing or new proposed TMPs (rolling 3 months look

ahead forecast)

Total No of proposed type approvals (rolling 3 months look ahead forecast)



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Typically the information in this section may be represented in either graph or table form. This

information and representation is subject to agreement with TfNSW.

The Service Provider shall also include a detailed table as an appendix that details:

Asset group (i.e. infrastructure or fleet) and component

Mitigation

% increase past TMP requirement

Maintenance task

Issue/reason concession required

Original and revised maintenance completion date

Is request open or closed/new or outstanding or outstanding from a previous quarter



Risk based approach (% increase past TMP requirement) with each concession, and

assurance that the mitigations have no adverse effects on Asset Management objectives.

Mitigations may include requesting TfNSW intervention i.e. change to services

3.4.4. Access to Assets

TfNSW is currently developing definitions and targets for access to assets to provide sufficient.

access to the Transport networks to maintain and assurance the assets. For the purpose of this

standard any current contractual KPIs will remain in place and the Service Provider will continue

to report as required.

For the purpose of this standard The Service Provider Shall report on changes to the approved

baseline access to assets program (where applicable) for Asset Management Activities.

Note: Access to Assets can also be defined as “Possessions”

Delivery Metric

Subject to agreement between TfNSW and the Service Provider, this metric can be replaced

with an appropriate alternative metric.


The number of possession changes from AMP baseline access to assets program

The number of possession changes as a result of approved concessions



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Detail of change, reason for change, risk mitigations and service impacts

Ongoing assurance that changes and mitigations are appropriate to deliver the

maintenance program and service outcomes

Declaration that there is no adverse impact to the delivery of the AWP

3.4.5. Requests for Information

Where applicable, the Service Provider shall report on the number of asset related ministerial

(or equivalent) Requests for Information (RFI) submissions received and responded to by the

Service Provider during the reporting period, and a brief narrative summary of the RFI

Delivery Metric


Date RFI submissions received

Description

Responded by (Branch/Section)

Response Summary

Reference

3.4.6. Compliance with POEO Act

The Service Provider shall report on its compliance with the Protection of the Environment

Operations (POEO) Act 1997. Details of noise complaints resulting from infrastructure and fleet

are of particular importance to Transport for NSW, and an example of how the Service Provider

shall report on this area are provided below. The Service Provider shall use a similar template

for reporting on other areas of compliance with the POEO Act relating to asset management,

such as the number of reported pollution incidents, and results of environmental audits.

Delivery Metric


The number of complaints received, number of complaints resolved, number of complaints

outstanding at the end of each quarter



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Actions taken, causes and reporting on any progress on the on-going programs of works

relating to noise or pollution mitigations

Actions taken to comply with results of environmental audits





Number and nature of complaint

Ongoing and outstanding complaints

Mitigation actions and progress

If applicable, the Service Provider shall also include the number of new properties

accepted as eligible on the Noise Abatement Program, the number of properties planned to

be treated, and the number completed and outstanding properties in this category

The above delivery and analysis requirements are based on noise and pollution complaints, but

can relate to any issue identified in the POEO Act.

3.4.7. Seasonal Activities

Typically, the Service Provider shall report on –

Seasonal high risk maintenance activities that require monitoring over a defined period

Report as required on the progress of actions on risk mitigations and potential service

impacts.

This section is designed to cover changes in high risk asset condition or performance.

3.5. Asset Specific Risks

This section would include any areas relevant to the Service Provider that are not covered

elsewhere in the report, but that are relevant to TfNSW. In these areas the Service Provider

shall cover:

Metric and duration of reporting as agreed between TfNSW and the Service Provider

Progress of actions on risk mitigations and potential service impacts



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3.6. Review of AMP Risks

This section shall include an update of the effectiveness of risk management and controls as

identified in the AMP, as well as any new or emerging risks.

The risks can either be in the form of new or changing assets risks based on service changes

or emerging condition risks. Should the Service Provider determine a change in the MWP is

required to mitigate for changing asset condition, the Service Provider shall provider the

analysis and justifications for the change.



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A.1. APPENDIX A: Example of Maintenance Work Plan Delivery Schedule*

Activity Unit

Annual Target

(Asset

Requirement)

17/18

Baseline

Quarter

Planned

Quarter

Actual

Year

to

Date

Full Year

Forecast

Cumulative

Planned

Baseline

(10 years)

Cumulative

Actual

(10 years)

Program 1 Km 30 30 5 5 5 30 300 275

Program 2 Km 45 45 12 8 8 40 450 413

Program 3 Km 37 37 5 5 5 37 370 338

Program 4 Each 10 10 2 2 2 9 100 92

Program 5 Each 10 10 4 3 3 8 100 93

Program 6 Km 35 35 13 15 15 35 350 330

Program 7 Each 8 8 2 2 2 8 80 74

Program 8 Km 28 28 6 6 6 28 280 258

*This is sample data only. Details will be agreed between the Service Provider and TfNSW Contract Manager.

The sample data above for Program 2 and Program 5 show significant differences between scope planned

and delivered/forecast. This will require further analysis and commentary by the Service Provider identifying

risk to service outcomes and asset condition.



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A.2. APPENDIX B: Defect Management Example*

*This is sample data only. Details will be agreed between the Service Provider and TfNSW Contract Manager.



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A.3. APPENDIX C: Asset Failures Example*

110

115

120

125

130

135

140

145

0

5

10

15

20

25

30

35

40

45

50

Q1 Q2 Q3 Q4

Service Affecting Asset Failures - 24 Hours

Infrastructure A Infrastructure B Infrastructure C Services Affected

0

10

20

30

40

50

60

0

2

4

6

8

10

12

14

16

18

April May June

Service Affecting Failures - 24 Hours (Quarter 4 by Month)

Infrastructure A Infrastructure B Infrastructure C Services Affected

*This is sample data only. Details will be agreed between the Service Provider and TfNSW Contract

Manager.

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