T MU AM 01005 ST

Standard

Asset Handover Requirements

Version 1.0
Issued Date: 05 February 2015

Important Warning
This document is one of a set of standards developed solely and specifically for use on public transport assets which are vested in or
owned, managed, controlled, commissioned or funded by the NSW Government, a NSW Government agency or a Transport Agency
(as defined in the Asset Standards Authority Charter). 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

T MU AM 01005 ST
Asset Handover Requirements
Version 1.0
Issued Date: 05 February 2015

Standard governance
Owner:

Manager, Asset Configuration Systems, Network Asset and Strategy

Authoriser:

Principal Manager, Network Asset and 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
standards@transport.nsw.gov.au
or visit www.asa.transport.nsw.gov.au

State of NSW through Transport for NSW

T MU AM 01005 ST
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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 Asset Standards Authority also sets standards on management of TfNSW assets. It
involves configuration control and asset stewardship of the assets to ensure the appropriate
processes are followed and handover of assets and associated information are carried out in an
efficient and integrated way.
Asset handover at any time but particularly from the construction or manufacturing stage to the
operation and maintenance stage is a critical and significant point in the asset life cycle that
requires careful planning by all parties concerned.
This standard provides basic requirements for asset handover and it is expected that
organisations involved in the asset handover process would have their own procedures that
provide detailed information specific to their situations.

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Table of contents
1.

Introduction ............................................................................................................................................5

2.

Purpose...................................................................................................................................................5

2.1.
2.2.

Scope ..................................................................................................................................................................... 5
Application............................................................................................................................................................. 5

3.

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

4.

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

5.

Overview of asset handover .................................................................................................................6

5.1.

Definition of technical handover requirements .................................................................................................. 7

6.

Planning the asset handover................................................................................................................7

6.1.
6.2.
6.3.
6.4.
6.5.

Asset handover planning responsibilities .......................................................................................................... 8

Asset handover plan ............................................................................................................................................. 9
Interface with configuration change request submissions ............................................................................. 10
Context and interfaces of an asset handover plan........................................................................................... 10
Business requirements, testing and safety issues .......................................................................................... 12

7.

Delivering asset information for asset handover .............................................................................12

7.1.
7.2.
7.3.
7.4.

Relationship to asset information delivered under the TfNSW configuration management framework ..... 13
Asset information buildup.................................................................................................................................. 13
Configuration information delivery plan ........................................................................................................... 14
Asset information................................................................................................................................................ 14

8.

Asset handover notification ...............................................................................................................15

8.1.

Content of forthcoming asset handover notice................................................................................................ 15

9.

Asset handover certificate..................................................................................................................16

9.1.

Content of the asset handover certificate ......................................................................................................... 16

Appendix A - Information for a forthcoming asset handover ....................................................................17

Appendix B - Information for asset handover certificate ...........................................................................18

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1.

Introduction
Under the functions of configuration control and asset stewardship, the Asset Standards
Authority is responsible for setting requirements for the handover of transport assets.
The detailed process and specifics of asset handover are likely to vary depending on the
organisations involved and the applicable contractual obligations. The requirements specified in
this document have been developed to provide a standard but flexible framework that facilitates
the development and transfer of project specific handover arrangements.
Some of this standard describes the asset handover that occurs at the end of the acquire stage,
that is, from the delivery stage of a project to the operate and maintain stage but the principles
and requirements apply to asset handover at any time in the asset life cycle.

2.

Purpose
The purpose of this document is to define the requirements for efficient handover of assets and
to prevent or minimise additional costs, delays and safety risks arising from the asset handover.

2.1.

Scope
This document establishes the standard technical requirements for the handover of transport
assets from one party to another. It includes works which have a staged handover.
The requirements in this document cover Transport Assets, as defined in the ASA Charter.
The requirements of this standard are expected to be further refined for specific circumstances
by organisations implementing the requirements of this document.
The scope of this document does not include transfer of ownership of an asset nor the asset
acceptance process carried out by a configuration control board or the TfNSW Configuration
Management and Asset Assurance Committee (CMAAC). Asset acceptance by the operator
and maintainer or other receiving party is outside the scope of this document.

2.2.

Application
The requirements of this document apply to TfNSW, its agencies and parties performing
engineering work for TfNSW. This includes authorised engineering organisations and operators
and maintainers. Parties applying asset handover are expected to have their own detailed
procedures tailored to their situation.

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3.

Reference documents
Transport for NSW standards
TS 10752 Railway Asset Product Configuration Information Requirements
T MU AM 01001 ST Life Cycle Costing
T MU AM 02001 ST Asset Information Management
T MU AM 04001 PL TfNSW Configuration Management Plan
T MU AM 02001 GU Developing Configuration Information Delivery Plans
Other references
ASA Charter

4.

Terms and definitions

The following terms and definitions apply in this document:
ASA Asset Standards Authority
asset information the combined set of data (graphical and non-graphical) and documents
(drawings, manuals, plans, certificates) required to support the management of assets over the
life cycle
life cycle stages for an asset from recognition of need through to disposal and any residual
risks or liability period
may indicates the existence of an option
SFAIRP so far as is reasonably practical - to achieve the best possible safety outcomes, to the
extent that is 'reasonably practicable'
shall indicates that a statement is mandatory
should indicates a recommendation
Transport Assets as defined in ASA Charter
TfNSW Transport for New South Wales
TfNSW CMAAC TfNSW Configuration Management and Asset Assurance Committee

5.

Overview of asset handover

Asset handover is the process of transferring responsibility of an asset from one organisation to
another and can involve transferring a planned, existing, new or altered asset.

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Determining whether asset handover requirements have been met forms part of the asset
acceptance process.
Asset handover does not include transfer of legal ownership of assets nor the associated rights
and liabilities or accountabilities resulting from ownership of the assets.

5.1.

Definition of technical handover requirements

The technical handover requirements confirm the nature and configuration of the assets to be
handed over. They include the following:

information describing the assets that will be handed over

condition of the assets during handover, for example, description of any defects

safety and operational arrangements that are in place when receiving assets handed over

Technical handover requirements exclude business and contractual arrangements, although the
technical and non-technical handover requirements are generally managed in parallel by
affected parties.

6.

Planning the asset handover

Asset handover takes place in the context of the development and delivery of an asset solution.
A project for a new or altered asset shall include a strategy for the overall delivery of a project
and shall be initiated early in a project life cycle, preferably in the plan stage, as there may be
substantial interdependencies that are required to be addressed prior to finalising a proposed
solution. The asset handover plan shall commence during the plan stage and included as one of
the topics in the initial design as the design solution can affect the asset handover and method
of delivery.
Planning for asset handover in this context is the process that occurs after the overall delivery
strategy and the proposed solution have been determined and the operators and maintainers of
the delivered assets and other receiving parties have been identified.
The asset handover plan is prepared by the delivering party and forwarded to the receiving
parties and other relevant stakeholders for review and agreement. In considering the plan, the
following factors shall be taken into account:

appropriateness to the complexity of the project

risk

cost

effects on the transport network and customers

other impacts on stakeholders

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CM Gate 5 (where applicable)

Figure 1 shows a typical timeline for planning asset handover for a new or altered asset.

Figure 1 Typical timeline for asset handover planning for a new or altered asset

6.1.

Asset handover planning responsibilities

Asset handover planning consists of both preparing to deliver assets and preparing to receive
assets. For this reason, all parties delivering or receiving assets shall contribute to the
development of plans for asset handover.
The delivering organisation shall be responsible for the handover plan and associated activities
and the responsible person in the delivering party shall sign off the asset handover notification
and certificate.
Note: Multiple parties may be involved in the process as specified in the contract and
in this document.

6.1.1.

Responsibilities of the delivering party in the handover plan

The delivering party shall be responsible for the following:

identifying the receiving party or parties

initiating engagement with the receiving party or parties

negotiating project specific handover arrangements with the receiving party or parties

addressing handover issues raised by the receiving party or parties where practical and
reasonable

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preparing a handover plan that describes the timing, scope and activities for asset
handover that supports one or multiple staged handovers

updating the handover plan throughout the course of the project when changes are
required

providing the receiving party or parties with relevant parts of the handover plan

providing the handover plan to TfNSW on request

obtaining agreement on the asset handover plan and on any updates, from the receiving
party or parties

6.1.2.

Responsibilities of the receiving party or parties in the

handover plan
Each receiving party shall be responsible for the following:

engaging with the delivering party when approached

facilitating the handover of assets by making arrangements to accept the assets

reviewing and providing feedback on proposed handover arrangements to the delivering

party in a timely manner

documenting the asset receiving arrangements that the receiving party will undertake in
preparing for and receiving the assets, refer Section 6.2.1

6.2.

updating the asset receiving arrangements as required

providing the asset receiving arrangements to TfNSW on request

Asset handover plan

An asset handover plan shall establish the following:

number of asset handover events for the project

timing and sequence of the asset handover events

scope of each asset handover including assets that will be handed over, existing, new or
altered or disposed as a result

asset information that will be handed over at each asset handover event, to whom it is
provided including but not limited to the physical asset register and the financial fixed asset
register

a description of any commissioning events that will precede a handover

any other requirements before asset handover such as training of personnel

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roles and responsibilities for the asset handover

agreed timeframes for delivery of notifications or any other material from the delivering
party to the receiving party

expectations of any notifications or other information from the receiving party to the
delivering party

requirements for operational readiness and if necessary, a program to ensure operational

readiness is managed

The amount of detail in the asset handover plan should suit the complexity and risk of the
handover.

6.2.1.

Asset receiving arrangements

Asset receiving arrangements are as simple or complex, informal or formal as the project
requires.
Asset receiving arrangements are prepared by the receiving party for its own purposes. The
asset receiving arrangements shall set out activities for the receiving party in the asset
handover and include the roles and responsibilities of those involved.
Asset receiving arrangements shall, where appropriate, provide a documented description of the
safety and operational arrangements to be put in place on receipt of the asset.

6.3.

Interface with configuration change request

submissions
Acceptance of an asset by the TfNSW CMAAC occurs prior to asset handover as set out in
T MU AM 04001 PL TfNSW Configuration Management Plan.
The submission for asset acceptance shall occur sufficiently in advance of the planned
handover to allow for any issues raised to be addressed. Asset acceptance takes place at CM
Gate 5 as shown in Figure 1. Further description on the CMAAC role is provided in
T MU AM 04001 PL.
If the CMAAC imposes conditions for acceptance, then unless specified otherwise, the
conditions shall be closed prior to asset handover.

6.4.

Context and interfaces of an asset handover plan

Section 6.4.1 through Section 6.4.5 provides a list of items to be considered while developing
an asset handover plan.
Note: Not all items are within the scope of this document but are listed as they can
affect the outcome of the asset handover plan.

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6.4.1.

Aspects that are not technical requirements

Non-technical aspects of a project can affect the asset handover process, such as the following:

6.4.2.

legal and financial considerations

any third party involvement

defect period and warranty considerations

Existing assets being transferred to another party

Existing assets being transferred are those that have been previously acquired, that is, they
could be existing assets in operate and maintain stage and are being transferred to another
party. Apart from legal and financial considerations, the asset information including maintenance
requirements, required to be transferred shall also be determined. Refer to Section 7 for more
information.

6.4.3.

Transfer of an asset to a party external to TfNSW

Asset handover to a party external to TfNSW shall be planned to suit arrangements such as the
following:

6.4.4.

agreement on ownership

responsibility for ongoing maintenance

asset information requirements

Transfer of an asset at a stage other than operate/maintain

stage
Asset handover can occur at any stage of the asset life cycle as provided in the following
examples:

6.4.5.

during the acquire stage from one principal contractor to another

from operate/maintain to disposal stage

Asset handover internal to the organisation

A typical example of an internal handover would be transferring an asset from acquire stage to
operate/maintain stage and the organisation managing the acquire stage is also managing the
operate/maintain stage. The requirements to provide assurance at asset handover shall be
applied.

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6.5.

Business requirements, testing and safety issues

Section 6.5.1 and Section 6.5.2 provides items to be considered while planning the asset
handover.

6.5.1.

Requirements specifications
The asset handover plan shall take into account that assurances are required for fulfilment of
the specifications and requirements, including the following:

stakeholder agreement to meeting the business requirements specification and systems

requirements specification

6.5.2.

verification and validation checks

pre-commissioning tests

Safety argument
For projects in which safety risks have been identified, the delivering party shall prepare a safety
argument or similar to describe risks and how they would be controlled SFAIRP. Agreement on
the risk controls shall be made with the receiving parties and this shall be included in
submission to CMAAC.

7.

Delivering asset information for asset handover

The delivering party is responsible for providing asset information for inclusion in asset
information repositories. The delivery of the asset information shall meet the requirements of the
specification, the relevant parties receiving the information, TS 10752 Railway Asset Product
Configuration

Information

Requirements

and

T MU AM 02001 ST

Asset

Information

Management.
Information provided by the delivering party shall be current, accurate and in required formats.
At a minimum, asset information necessary for the immediate operation and maintenance of the
assets shall be provided prior to handover of the assets at agreed points in accordance with the
asset handover plan or the configuration information delivery plan. Refer to Section 7.3.
The following information shall be included in the handover:

available life cycle costing records, as described in T MU AM 01001 ST Life Cycle Costing,
shall be handed over to the operator and maintainer

information that may affect transport operations, such as information for the Train
Operating Conditions (TOC) Manual, shall be handed over to the ASA or as directed by the
ASA

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The asset information shall be delivered to the configuration information custodian and to
relevant receiving parties.
Where there is configuration information to be provided after commissioning, the asset
handover plan shall describe the details.

7.1.

Relationship to asset information delivered under the

TfNSW configuration management framework
The delivery of asset information shall be handed over at any point of the life cycle. Information
necessary for the operation and maintenance of the assets shall be provided to the operator
and maintainer.
The TfNSW configuration management framework requires the delivery of final and complete
version of all asset information to TfNSW or its nominated representative in a timely manner.
While the information shall be provided in a timely manner after it becomes available, final asset
information for all assets may not be available until the asset handover. Delivering parties will be
provided with reasonable additional time after asset handover to provide that information. If
there are operational or maintenance requirements for asset information to be met in a certain
timeframe, a time period for delivery shall be negotiated to meet the requirements of the
receiving party and the asset.

7.2.

Asset information buildup

Asset information shall be provided progressively over the life of the asset. An example is
shown in Figure 2.
At asset handover, asset information shall be provided and updated as necessary. For further
information, refer to T MU AM 02001 ST.

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Figure 2 - Example of asset data built-up across the life cycle including transition at
handover

7.3.

Configuration information delivery plan

A configuration information delivery plan shall be developed for the project. A configuration
information delivery plan describes the management and handover of asset information.
Forward planning of delivery of asset information assists in having accurate and up to date
asset information. For guidance, see T MU AM 02001 GU Developing Configuration Information
Delivery Plans.
Note: For the purposes of this document, configuration information can be considered
to be the same as asset information.

7.4.

Asset information
Asset information such as data and documents shall be provided in accordance with
T MU AM 02001 ST and as defined in the configuration information delivery plan or the asset
handover plan.
The delivering party shall ensure accuracy, completeness and correct formatting of the asset
information prior to handover.

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Each time asset information is handed over, the receiving party shall ensure the following:

process the asset information provided by the delivering party

confirm receipt of the asset information

provide feedback to the delivering party for issues related to the asset information as well
as for the opportunity to improve

The delivering party shall correct issues raised by the receiving party and advise the receiving
party on the action taken.

8.

Asset handover notification

Prior to asset handover the delivering party shall notify of the forthcoming asset handover to the
receiving party for each handover event. In determining the lead time for the notification, factors
including the complexity of the project and associated risks should be taken into account. The
timing for notification shall be agreed between the delivering party and the receiving party when
developing the handover plan. The lead time for the notification shall be documented in the
asset handover plan.
The delivering party shall assure itself that the receiving party is ready for the handover and
keep records of any confirmation requested.
The delivering party shall formally notify the receiving party as soon as it becomes aware of a
possible delay to the intended handover.

8.1.

Content of forthcoming asset handover notice

The notification of forthcoming asset handover shall include the following:

anticipated date and time of asset handover

a description of the assets to be handed over, existing, new or altered or disposed as a

result

any conditions or outstanding matters that require agreement or action by the receiving
party

any events or conditions required before asset handover such as training of personnel

contact information of the person in the delivering organisation responsible for the asset
handover

The information for forthcoming asset handover notice is provided in Appendix A. The sequence
or numbering of the items in the notification shall be consistent.

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9.

Asset handover certificate

The delivering party is responsible for preparing a handover certificate, or equivalent, and
providing that certificate to receiving parties prior to asset handover within a timeframe agreed
to by both parties.
The delivering party shall assure itself that the receiving party is ready for the handover and
keep records of any confirmation requested.

9.1.

Content of the asset handover certificate

An asset handover certificate shall include the following:

confirmation that the delivering party considers the assets are ready to be handed over

a description of the assets being handed over

time and date of asset handover

contact information of the person in the delivering organisation responsible for the asset
handover

lists of the relevant asset information, including the following:

o

the physical asset register and financial fixed asset register

data and documents including manuals, drawings, certificates and the like

asset certifications being provided to the receiving party

associated configuration change request numbers

any conditions of the asset handover agreed to by all parties including minor incomplete
items that may be provisionally accepted

list of information previously provided

reference to the safety argument, refer Section 6.5.2

lists of any information and documents to be provided at a later time, such as

post-commissioning or post-handover asset information and as-built drawings, and the
date of delivery of those items

The information for the handover certificate is shown in Appendix B. The sequence or
numbering of the items shall be consistent in certificates developed by delivering organisations.

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Appendix A - Information for a forthcoming asset

handover
Following is the minimum information required for a notice of forthcoming asset handover. The
sequence of fields should be retained to maintain uniformity.
Where receiving organisation and delivering organisation are used, insert name of relevant
organisation.
To: Person Name, receiving organisation
From: Person Name, delivering organisation, Date, Signature
The notice shall be signed by the responsible person in the delivering organisation.
Item 1: Program/Project Title:
Item 2: Stage ___ of ___ stage(s) State which stage and the total number of stages
Item 3: Description of the Assets to be Handed Over, existing, new, altered or disposed
Item 4: Planned Time and Date of Asset Handover
Item 5: Contact Information
Delivering organisation contact person and telephone number if further information is required
Item 6: Conditions or outstanding matters requiring agreement or action by the receiving party
Item 7: Events or conditions required before asset handover such as training of personnel

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Appendix B - Information for asset handover certificate

Following is the minimum information required for an asset handover certificate. The sequence
of fields shall be retained to maintain uniformity.
Where receiving organisation and delivering organisation are used, insert name of
relevant organisation.
To: Person Name, receiving organisation
From: Person Name, delivering organisation, Date, Signature
The notice shall be signed by the responsible person in the delivering organisation.
Item 1: Program/Project Title:
Item 2: Stage ___ of ___ stage(s) State which stage and the total number of stages
Item 3: Description of the Assets to be Handed Over, existing, new, altered or disposed
Item 4: Planned Time and Date of Asset Handover
Item 5: Contact Information
Delivering organisation contact person and telephone number if further information is required
Item 6: TfNSWs Responsibility Post Asset Handover

Do the Item 3 Assets contain Defects (under TfNSWs contracts) for which TfNSW will
remain responsible after the asset handover occurs?
If yes, Defects Liability Period ends on (date):

Are there construction related Conditions of Approval for the Item 3 Assets that TfNSW will
remain responsible for after the asset handover identified occurs?

Item 7: Handover Checklist

A Notice of Forthcoming Handover for the assets being handed over was previously provided

Certification has been arranged for conformity to ASA Requirements and for safety to
operate and maintain and has been provided to receiving organisation.

The Applicable Configuration Change Request Number is: _______________

The Applicable Configuration Change Approval Number is: _______________

Asset Materials have been provided as listed:

o

As Built / AFC drawings

Operations requirements

Maintenance requirements

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Training requirements and materials

RAMS analysis

Test certificates

Safety assurance plan and safety assurance reports

AEO design certification

BCA certification (if applicable)

Asset register data

Other information and certification (examples below)

o

information regarding property/leases

operations stage conditions of planning approval

The following documentation has been provided as listed

o

the physical asset register

the financial fixed asset register

other relevant financial information

maintenance manuals

the risk registers including the risk treatment

the risk profile, including residual risks and operational risk controls

Refer to the asset information requirements of T MU AM 01005 ST for further examples of asset
information to be included in the handover
Item 8: Information previously provided related to this stage of the handover
For example, list items previously provided under progressive asset information build-up
Item 9: Items to be provided at a later date
If applicable, provide date and list items to be provided by the date

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