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Configuration Management
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TS 10751: 2013
Management standard
Configuration Management Guide
Version 1.0 Issued Date: 25 June 2013 Effective Date: 1 July 2013 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 Page 1 of 23
TS 10751: 2013 Configuration Management Guide
Version 1.0 Effective Date: 1 July 2013
© State of NSW through Transport for NSW Page 2 of 23
Standard Approval Owner: Garry Thong, Configuration Assurance Manager Authorised by: Jagath Peiris, Network Standards Manager Approved by: Jim Modrouvanos, A/Director Asset Standards Authority Document Control Version Summary of Change 1.0 First issue For queries regarding this document
[email protected] www.asa.transport.nsw.gov.au
TS 10751: 2013 Configuration Management Guide
Version 1.0 Effective Date: 1 July 2013
© State of NSW through Transport for NSW Page 3 of 23
Preface
The Asset Standards Authority sets configuration control standards for New South Wales
railway assets. It also sets, maintains and administers the framework for organisations who
provide services in relation to the asset life cycle of NSW Rail Assets;
This requirements document aims to inform stakeholders of the intentions and interpretations of
the Asset Standards Authority's approach to configuration management so that there is
consistency in the application of requirements established by the configuration management
framework.
The requirements of this document forms part of the Asset Standards Authority configuration
management framework and Authorised Engineering Organisation framework.
This guide has been prepared and reviewed by the Asset Standards Authority Establishment
team and approved by the Asset Standards Authority Establishment Project Committee.
TS 10751: 2013 Configuration Management Guide
Version 1.0 Effective Date: 1 July 2013
© State of NSW through Transport for NSW Page 4 of 23
Table of contents
1. Introduction .......................................................................................................................................5
2. Purpose ..............................................................................................................................................5
2.1 Scope..................................................................................................................................................5 2.2 Application.........................................................................................................................................5
3. Reference documents.......................................................................................................................5
4. Terms and definitions.......................................................................................................................6
5. Configuration management .............................................................................................................8
5.1 Configuration management guidance.............................................................................................8 5.2 Network configuration management...............................................................................................9 5.3 Other requirements associated with configuration changes .......................................................9
6. Configuration management plans.................................................................................................10
6.2 Terms and definitions used in the plan ........................................................................................11 6.3 Scope of authority...........................................................................................................................11 6.4 Authority and responsibility within the business unit or organisation.....................................11 6.5 Addressing further configuration management planning ..........................................................12 6.6 Configuration identification planning ...........................................................................................12 6.7 Configuration control planning .....................................................................................................12 6.8 Configuration status accounting and product configuration information
planning ...........................................................................................................................................13 6.9 Closing configuration change requests .......................................................................................14 6.10 Planning configuration audit requirements .................................................................................14 6.11 Configuration management records .............................................................................................14
7. Configuration management plan approval ...................................................................................15
8. Configuration management roles..................................................................................................15
8.1 Configuration control boards ........................................................................................................15 8.2 Configuration change managers ...................................................................................................17 8.3 Configuration management coordinator role...............................................................................17
9. Stakeholders....................................................................................................................................18
9.1 Identifying stakeholders.................................................................................................................18 9.2 Consulting with stakeholders ........................................................................................................18
10. Interaction with the configuration management committee.......................................................19
10.1 Presentations to the configuration management committee .....................................................19
11. Interaction with the ASA configuration control board ................................................................20
12. Network configuration changes that impact multiple configuration control boards ..............................................................................................................................................20
13. Configuration change request numbers.......................................................................................20
14. Product configuration information................................................................................................20
14.1 Configuration information systems ..............................................................................................21
15. Auditing............................................................................................................................................21
15.1 Planning audits................................................................................................................................22
16. Reporting .........................................................................................................................................23
TS 10751: 2013 Configuration Management Guide
Version 1.0 Effective Date: 1 July 2013
© State of NSW through Transport for NSW Page 5 of 23
1. Introduction
The Asset Standards Authority owns the process for network configuration management and for
the authorisation of engineering organisations. This guide provides additional information to
support both of these processes.
2. Purpose
This document provides guidance for the implementation of configuration management
particularly relating to network integration. It aims to assist parties implementing part or all
aspects of network configuration management where required to do so by the TfNSW Rail Asset
Configuration Management Plan or any other associated document.
2.1 Scope
This document forms part of the Asset Standards Authority configuration management
framework but also supports the authorised engineering organisation framework. It integrates
the guidance information for both frameworks into a single document to simplify access to the
information.
2.2 Application
This configuration management guide is intended to be used by organisations that apply
network configuration management in accordance with the TfNSW Rail Asset Configuration
Management Plan. An organisation within the context of this document may be TfNSW, an
agency of TfNSW, an AEO or any part of such organisations. This guide may also assist any
party that is required to interface with these organisations.
Explanatory information and guidance is included within this document. Guidance information
provided in this document is not mandatory however it is expected that network configuration
management activities and outputs shall comply with the guidance presented in this document
whenever practical. Some elements of this guide refer to requirements specified in other
documents or systems, where this occurs, such requirements are mandatory.
3. Reference documents
TfNSW Rail Asset Configuration Management Plan
Product Configuration Information Requirements
Configuration Management Committee Terms of Reference
Configuration Change Request Numbering System Manual
TS 10751: 2013 Configuration Management Guide
Version 1.0 Effective Date: 1 July 2013
© State of NSW through Transport for NSW Page 6 of 23
4. Terms and definitions
AEO Authorised Engineering Organisation
ASA the Asset Standards Authority
CCB Configuration Control Board
CCM configuration change manager
CCP configuration change plan
CDR critical design review
change control means activities for control of the product after formal approval of its product
configuration information
CI configuration item
CM configuration management
CMC Configuration Management Committee
configuration audit an examination to determine whether a configuration item conforms to its
configuration baseline
configuration baseline an approved product configuration that establishes the characteristics
of a product at a point in time that serves as reference for activities throughout the life cycle of
the product
configuration change manager the person who has primary responsibility for a configuration
change
configuration change request a formal request to add or change an asset that is subject to
configuration control
configuration control board a person or a group of persons assigned responsibility and
authority to make decisions on the configuration
configuration documents product configuration information and its supporting medium
configuration identification activities comprising determination of the product structures,
selection of configuration items, documenting the configuration item’s physical and functional
characteristics
configuration information custodian a person who has responsibility for managing
configuration information
configuration item an entity within a configuration that satisfies an end use function
configuration management coordinator means a person managing the business activities of
a configuration control board or otherwise facilitating configuration management activities
configuration management means coordinated activities to direct and control configuration
TS 10751: 2013 Configuration Management Guide
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© State of NSW through Transport for NSW Page 7 of 23
configuration interrelated functional and physical characteristics of a product defined in product
configuration information
configuration status accounting the formalised recording and reporting of product
configuration information, the status of proposed changes and the status of the implementation
of approved changes
delivery AEO means an AEO responsible for delivery of part or all of a configuration change
FCA functional configuration audit
maintenance AEO an AEO responsible for maintaining configuration items
network configuration the configuration of assets viewed as a system
PCA physical configuration audit
product configuration information requirements for product design, realisation, verification,
operation and support
railway assets rail infrastructure, rolling stock and associated systems
railway operations any of the following:
the construction of a railway, railway tracks and associated railway track structures
the construction of rolling stock
the management , commissioning, maintenance, repair, modification, installation,
operation or decommissioning of rail infrastructure
the commissioning, use, modification, maintenance, repair or decommissioning of rolling
stock
the operation or movement, or causing the operation or movement by any means, of
rolling stock on a railway (including for the purposes of construction or restoration of rail
infrastructure)
the movement, or causing the movement, of rolling stock for the purposes of operating a
railway service
the scheduling, control and monitoring of rolling stock being operated or moved on rail
infrastructure
rail infrastructure the facilities that are necessary to enable a railway to operate and includes:
railway tracks and associated railway track structures
service roads, signalling systems, communications systems, rolling stock control systems,
train control systems and data management systems
notices and signs
electrical power supply and electric traction systems
TS 10751: 2013 Configuration Management Guide
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© State of NSW through Transport for NSW Page 8 of 23
associated buildings, workshops, depots and yards
plant, machinery and equipment
but does not include:
rolling stock
any facility, or facility of a class, that is prescribed by the national regulations not to be rail
infrastructure
rolling stock a vehicle that operates on or uses a railway, and includes a locomotive, carriage,
rail car, rail motor, light rail vehicle, train, tram, light inspection vehicle, self propelled
infrastructure maintenance vehicle, trolley, wagon or monorail vehicle, but does not include a
vehicle designed to operate both on and off a railway when the vehicle is not operating on a
railway.
SFAIRP so far as is reasonably practicable
TfNSW Transport for New South Wales
5. Configuration management
TfNSW requires that configuration management be applied to its current and proposed railway
assets. Authorised Engineering Organisations (AEOs) changing or supplying TfNSW railway
assets are required to implement configuration management.
The Asset Standards Authority applies the definition of configuration management that is
described in ISO 10007-2003 – Quality management system – Guidelines for configuration
management.
5.1 Configuration management guidance
An Authorised Engineering Organisation is required to meet the requirements of ISO 10007-
2003 – Quality management system – Guidelines for configuration management and the TfNSW
Rail Asset Configuration Management Plan.
In meeting the requirements of ISO 10007-2003, Authorised Engineering Organisations will
generally need to demonstrate the following:
a documented, consistent approach to implementing configuration management
requirements throughout the full scope of engineering activities that the Authorised
Engineering Organisation will undertake
a method to identify items that will be placed under configuration control and the
interfaces of those items. A configuration item may be a physical item or any other
element appropriate to the type of work the Authorised Engineering Organisation or part
thereof is performing
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© State of NSW through Transport for NSW Page 9 of 23
traceability of the development of a solution, including tracing requirements and changes
to requirements through to a final solution
systematic methods for assessing the impacts of changes to other parts or components of
a system and the means of addressing impacts where necessary
identification and assignment of responsibilities of configuration management activities
principles or methodology for assessing and approving configuration changes
the approach to describing the physical and functional characteristics including
maintenance requirements of proposed and completed solutions
recognition of and method of engagement with other parties performing configuration
management activities that interface with the configuration management activities of the
Authorised Engineering Organisation
maintaining records pertaining to configuration changes as evidence of due process
activities that provide assurance that the delivered solution is correctly documented and
meets requirements
5.2 Network configuration management
Network configuration management is a concept applied within TfNSW to describe a specific
case of configuration management. Network configuration management refers to configuration
management at a level that has an impact on the TfNSW railway network when viewed as an
integrated system. Authorised Engineering Organisations engaged to be the primary party
responsible for managing the integration of configuration items into the TfNSW railway network
or with responsibility for maintaining the configuration of railway assets integrated with the
TfNSW railway network will be performing network configuration management activities.
Configuration management related to developing and delivering a railway asset is not network
configuration management if it does not include integration with the TfNSW railway network.
5.3 Other requirements associated with configuration changes
When planning or implementing a configuration change it is necessary to meet all other
requirements that apply to the type of change being implemented including design management,
project management and safety change management requirements.
The fulfilment of certain additional criteria may be integrated into the configuration change
approval process such as by identifying them as pre-requisites. The integration of any additional
criteria into the configuration management process is at the discretion of the organisation
responsible for planning the configuration management activities.
TS 10751: 2013 Configuration Management Guide
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© State of NSW through Transport for NSW Page 10 of 23
6. Configuration management plans
Organisations performing configuration management activities for TfNSW are required under the
AEO framework and the TfNSW Rail Asset Configuration Management Plan to have a
configuration management plan or equivalent document that describes the organisations
configuration management arrangements. Configuration management plans may be a subset of
an overall systems engineering management plan.
An organisation may structure and develop more than one configuration management plan so
long as any dependencies or interfaces between the plans are addressed.
Configuration management plans should be developed based on the guidance provided in this
document.
A configuration management plan should cover the following elements:
a definition of terms and conditions used in the plan
scope of authority covered by the plan
the delegation of authority and responsibilities within the business unit or organisation
the known configuration items that are covered by the scope of work and the processes
involved in the identification of configuration items
a description of how the organisation performs configuration management planning
a description of how the organisation will plan and implement configuration control
including the following:
registering of configuration changes
how and when stakeholders are identified and process in which they are engaged
and consulted
the process and requirements the organisation implements for configuration
change approval
configuration status accounting and product configuration information planning
the requirements for managing the completion of a configuration change
a description of how the organisation will assure TfNSW and the ASA that it is fulfilling its
configuration management responsibilities
a description of an organisation's approach to identifying and managing configuration
records
reporting arrangements to TfNSW or parent configuration control board for network
configuration changes
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© State of NSW through Transport for NSW Page 11 of 23
6.1.1 Configuration management plans covering network configuration changes
An organisation seeking authority to make network configuration decisions requires a
configuration management plan approved by the ASA configuration control board (CCB). This
ASA configuration control board approval is additional to any approval provided by the
organisation the plan is to be applied to.
The content of the configuration management plan shall comply with ISO 10007-2003 – Quality
management system – Guidelines for configuration management, TfNSW Rail Asset
Configuration Management Plan and any other applicable TfNSW configuration management
requirement.
Generally, each organisation seeking authority to make configuration control decisions need
only present a top-level configuration management plan to the ASA CCB for approval as long as
subsequent plans are covered under the scope of the top level plan.
6.1.2 Scope of authority
Where an organisation's configuration management plan will be presented to the ASA
configuration control board for approval and hence obtain delegated network configuration
control authority, the plan should define the scope of the authority. The purpose of the scope is
to clearly identify to what assets and for what time period the organisation will have network
configuration control authority for. The scope of authority can take the form that is most
appropriate to the organisation and the work that the organisation is to perform. It may be
expressed as a geographical area, types of assets, specific configuration items or by other
means.
6.2 Terms and definitions used in the plan
The configuration management plan should include terms and definitions that assist in the
consistent understanding of terminology applied to configuration management activities. For
network configuration management, terms and definitions should be consistent with those
applied in the TfNSW Configuration Management Plan as it aids consistent communication
between all organisations that apply configuration management to TfNSW railway assets.
6.3 Authority and responsibility within the business unit or organisation
The plan should identify who and how authority within the organisation is managed and
exercised through the inclusion of configuration management roles and names or position titles
of those that hold the roles. The authority, responsibilities and corresponding scope of those
roles should be clearly specified in the plan to show how the organisation attributes its
configuration management responsibilities and accountabilities.
TS 10751: 2013 Configuration Management Guide
Version 1.0 Effective Date: 1 July 2013
© State of NSW through Transport for NSW Page 12 of 23
6.3.1 Network configuration management roles
For network configuration management situations, the following key roles should be included in
a configuration management plan:
configuration change manager
primary and secondary stakeholders within the organisation
person or entity that holds delegated configuration control authority
It is important to clearly identify the scope of authority of primary stakeholders to ensure that all
areas which have the potential to be affected by configuration changes are represented by a
primary stakeholder.
For a network configuration change the scope of a primary stakeholder's consent is defined in
the TfNSW Rail Asset Configuration Management Plan.
6.4 Addressing further configuration management planning
If it is anticipated that the organisation level configuration management plan will be
complemented by additional configuration management plans an Authorised Engineering
Organisation's configuration management plan should describe how further configuration
management planning will be addressed.
6.5 Configuration identification planning
The plan should identify configuration items and the basis for configuration item identification.
For network configuration management, configuration items in the plan should align with
configuration items identified within TfNSW configuration information systems and
corresponding documents. To deliver the engineering services contracted, an organisation may
need to perform a more detailed breakdown of the configuration items than is applied by
TfNSW.
An organisation may choose to identify and manage configuration items that are additional to
TfNSW's-identified items. This could include the management of project requirements as
individual project level configuration items.
6.6 Configuration control planning
An organisation's configuration management plan is required to detail how the organisation will
implement configuration control. This is generally presented as a process.
TS 10751: 2013 Configuration Management Guide
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© State of NSW through Transport for NSW Page 13 of 23
6.6.1 Registering of configuration changes
The plan should address how configuration changes are registered and managed. Where the
configuration change is a network configuration change, the plan should address how the
organisation meets the requirements of the TfNSW Rail Asset Configuration Management Plan,
Configuration Change Request Numbering System Manual and other Asset Standards Authority
configuration management framework documents that relate to the traceability of configuration
changes.
6.6.2 Stakeholders and consultation
The configuration management plan should address how and when stakeholders are identified
and the process in which they are engaged to review and comment on a proposed configuration
change.
Related topics:
Stakeholders; section 9
6.6.3 Configuration change approval
The process and requirements for configuration change approval should be documented in the
configuration management plan. Documented approval requirements should include
demonstration of adequate consultation with all stakeholders that may be affected by the
configuration change, resolution of issues raised by stakeholders, evidence that safety
requirements have been addressed and evidence that other applicable requirements have been
met.
Processes for managing conditions of approval should include steps for providing traceability of
compliance to those conditions of approval.
6.7 Configuration status accounting and product configuration information planning
The process of collecting and managing product configuration information management should
aim to provide TfNSW with confidence that the organisation has good control of the product
configuration information it is responsible and accountable for.
The configuration management plan should specify the organisation's requirements, procedures
and tools for configuration status accounting.
Product configuration information should be defined within the scope of the configuration
management plan.
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© State of NSW through Transport for NSW Page 14 of 23
Where a configuration management plan includes network configuration management it should
describe how the organisation addresses the requirements of configuration information
management described in the TfNSW Rail Asset Configuration Management Plan, the ASA
Product Configuration Information Requirements document and other documents that form part
of the Asset Standards Authority configuration management framework.
As defined in the Railway Asset Product Configuration Information Requirements document,
organisations shall use ASA-nominated configuration information templates when providing
product configuration information to TfNSW or its representative. In most cases the Asset
Standards Authority-nominated templates will be developed and managed by Sydney Trains.
6.8 Closing configuration change requests
Where the scope of the configuration management plan includes network configuration
changes, the requirements for closing a configuration change request should be addressed in
the plan. The method of addressing this requirement should provide assurance that the
configuration change has been implemented in accordance with the configuration change
approval and demonstrate that all mandatory conditions have been met and all deliverables
have been provided.
Where the Asset Standards Authority issued the configuration change request number, the
configuration change can only be closed by the Asset Standards Authority. Organisations,
should request the Asset Standards Authority to close the configuration change, along with
evidence that due process was applied.
6.9 Planning configuration audit requirements
The configuration management plan should describe how the organisation will assure TfNSW
and the ASA that it is fulfilling its configuration management responsibilities.
The plan should identify roles or people responsible for planning and undertaking audits of
configuration items, product configuration information and configuration management processes
that the organisation is responsible for. The plan should demonstrate that audit requirements
have been determined with consideration of risk.
6.10 Configuration management records
Records management requirement is often a standard component of business management
systems. A configuration management plan need only specify or elaborate on specific
requirements associated with configuration management if the organisation can demonstrate
that standard records management requirements exist and are applied.
Records must be kept to provide traceability of:
the configuration of items under the organisations management
configuration changes
TS 10751: 2013 Configuration Management Guide
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© State of NSW through Transport for NSW Page 15 of 23
decisions about configuration management or configuration items particularly by those
holding network configuration change control authority
stakeholder comments provided and received
7. Configuration management plan approval
When a configuration management plan is presented to the Asset Standards Authority (ASA)
configuration control board (CCB) for approval, the ASA configuration management
representatives will review the configuration management plan and make a recommendation to
the ASA CCB.
Approval of the configuration management plan by the ASA configuration control board indicates
that the ASA is satisfied that the plan meets the intent of the requirements set out by the TfNSW
Rail Asset Configuration Management Plan as applied to network configuration management.
Approval of the plan by the ASA configuration control board does not represent approval of any
other content that may be included in the presented documents.
Clearly identifying the parts of the document relating to network configuration management will
facilitate the process of gaining approval from the ASA configuration control board.
Unless otherwise specified by the ASA configuration control board, approval indicates that
authority to exercise network configuration control is delegated to the organisation within the
scope of the configuration management plan.
Approval by the ASA configuration control board should not be sought until the scope of network
configuration control authority required has been determined. Configuration control board
approval is separate from the Authorised Engineering Organisation (AEO) authorisation
process. Approval to exercise configuration control is only provided to an AEO when it is
engaged as the primary AEO for a network configuration change. Where a party seeks AEO
status at the same time as being engaged as the primary AEO both approvals may occur
concurrently.
8. Configuration management roles
8.1 Configuration control boards
A configuration control board is a committee that has the authority to provide configuration
change approval. Configuration control boards should consist of members capable of properly
assessing the assurances provided by a party seeking configuration change approval and its
compliance to configuration management processes.
The scope of work being undertaken by an organisation will influence the decision to implement
one or more configuration control boards. If an organisation with network configuration control
authority chooses not to have a configuration control board, alternative arrangements for making
configuration control decisions should be documented.
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© State of NSW through Transport for NSW Page 16 of 23
The configuration management plan of an organisation that intends to make network
configuration decisions, should identify the configuration control board or boards that will be
established to exercise that authority. The relationship between multiple configuration control
boards within the organisation should be documented including the scope of authority each
configuration control board.
By providing configuration change approval, a configuration control board is, confirming that it is
satisfied that due process has been adequately followed including other technical approvals,
safety approvals, business approvals, stakeholder consultation, and adequate resolution of
stakeholder issues. If the configuration control board is delegated with authority to make network
configuration decisions, the authority and responsibility to provide safety risk acceptance will
also be delegated to the board.
Where network configuration control authority is being exercised, the configuration control board
must confirm that safety management processes have been adequately addressed and that
safety risks have been reduced so far as is reasonably practicable (SFAIRP).
Where a configuration control board is exercising delegated network configuration control
authority, the decisions of the configuration control board should be made in the interest of
TfNSW.
To assist configuration control boards to make informed decisions, the configuration control plan
should clearly identify minimum requirements when presenting a proposed configuration change
to a configuration control board.
Any allowance for the configuration control board to provide conditional approvals should be
documented within the configuration management plan. Establishing minimum evidence
requirements for proposed configuration changes may assist board members and projects
understand the intent of the process and the assurances the configuration control board is
seeking.
Records of configuration control board meetings are to be kept. Records should include minutes
of meetings and any substantive information presented to the configuration control board.
8.1.1 Membership of configuration control boards with network configuration control authority
Configuration control boards that will make network configuration decisions are required by the
TfNSW Rail Assets Configuration Management Plan to have at least one representative from
TfNSW, or a TfNSW agency as a member. TfNSW representation should generally be sought
from the TfNSW business group that procured the configuration change services.
Safety acceptance authority is delegated to configuration control boards. Configuration control
boards should have the capability to properly assess the adequacy of safety assurance activities
undertaken by a project.
The organisation convening the CCB may nominate the chair.
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© State of NSW through Transport for NSW Page 17 of 23
8.1.2 Alternative arrangements for configuration change approval
From time to time it may be beneficial to use alternative procedures for configuration change
approval. Alternative procedures may be required for situations where unexpected approvals are
required, or where project timeframes mean that formal presentation at a scheduled
configuration control board meeting is known in advance to be impractical. Alternative
procedures may be developed to meet the business requirements however they may involve the
delegation of configuration control authority from a configuration control board to nominated
individuals. Alternative arrangements may also include approvals predominately based of
assurances of due process provided in advance to the configuration control board.
Alternative procedures for configuration change approval should be documented and form part
of the configuration management plan. Alternative procedures are not to compromise the intent
of the configuration management system and should still be able to demonstrate that the
interests of TfNSW have not been compromised.
8.2 Configuration change managers
The role of configuration change manager is used when referring to network configuration
changes. The concept may be extended to configuration changes of any type.
The definition and requirements that configuration change mangers shall meet are described
within the TfNSW Rail Asset Configuration Management Plan. Additional or more specific
requirements may be added to address organisation or project-specific situations.
The person identified as the configuration change manager is accountable for the activities
associated with managing the configuration change. Responsibility for individual activities may
be delegated within the scope of the applicable configuration management plans.
By being accountable for a change, the configuration change manager is required to provide
assurance to applicable configuration control boards that due process has been followed,
business and technical approvals have been obtained, stakeholder consultation has been
adequate, issues have been resolved, and that any other requirement set out within applicable
configuration management plans has been complied with.
8.3 Configuration management coordinator role
The role of configuration management coordinator may be established as and when required to
facilitate the application of the configuration management process or the business activities of
configuration control boards.
While the need for the role and the function of the role may vary between organisations, the
standardisation of the configuration management coordinator role provides a consistent
understanding across all parties undertaking network configuration management that assistance
with configuration management procedures or interfaces may be sought from people in those
roles.
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© State of NSW through Transport for NSW Page 18 of 23
Activities that configuration management coordinators may perform include the following:
secretariat of configuration control boards
assisting configuration change managers with identifying stakeholders
maintaining records of configuration management activities
be the initial point of contact for configuration management assistance
9. Stakeholders
9.1 Identifying stakeholders
When a change is proposed, an assessment should be undertaken to identify potential
stakeholders. Additional stakeholders can also be included as the proposed configuration
change proceeds.
Parties that should be considered as stakeholders to a configuration change include any groups,
organisations or individuals that may be affected due to interfaces to the proposed change as
well as users of the proposed change. Stakeholders may be internal or external to the
organisation managing the change.
The ASA keeps a register of primary stakeholders. AEOs are able to reference the ASA's
register of primary stakeholders to help identify primary stakeholder s that may be affected by a
specific proposed configuration change. A primary stakeholder is a person who has been
nominated by the manager of a business group to represent the group.
Stakeholders outside of TfNSW or AEOs that may need to be considered as stakeholders
include other government entities, business operators, interest groups and customers.
Evidence of stakeholder assessment and selection should be maintained to assist in
demonstrating adequate stakeholder engagement.
9.2 Consulting with stakeholders
Consultation with stakeholders involves providing them with enough information about the
proposed change to allow the stakeholder to assess the potential impact of the configuration
change to their area of responsibility. Information may be provided as documents, briefings or
other means appropriate to the stakeholder. If alternate procedures for engaging with an
external organisation exist those procedures should be applied.
The level of engagement with a stakeholder depends on the role and potential impact to the
stakeholder. At minimum, stakeholders should be given the opportunity to provide feedback and
have their questions answered.
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Stakeholders should be engaged early enough in the process of a configuration change for any
reasonable feedback to be efficiently incorporated into the proposed change. Issues raised as a
result of stakeholder consultation are to be assessed and the result of the assessment recorded
as evidence of due process. Issues which are assessed as being valid and within the scope of
the configuration change should be resolved.
For network configuration changes, the responsible configuration control board will ultimately
determine if stakeholder consultation is adequate. The CCB will base this decision on the
evidence provided by the configuration change manager. The configuration control board will
also be able to provide a determination on stakeholder issues that remain unresolved.
10. Interaction with the configuration management committee
Approval of the TfNSW configuration management committee is required at certain stages of a
network configuration change. The TfNSW Rail Asset Configuration Management Plan defines
when this is required. Meetings with the configuration management committee may also be
sought where a determination of the committee is required, such as in the case of resolving a
dispute that has been escalated to it by other configuration control boards.
The secretary of the TfNSW configuration management committee manages the agenda of the
committee and is to be contacted when intending to present to the committee.
10.1 Presentations to the configuration management committee
Presentations with the intent of obtaining configuration change approval from the configuration
management committee should generally include the following:
an overview of the configuration change or project including maps and diagrams as
necessary for the configuration management committee to understand the nature of the
configuration change request.
the type or stage of approval being sought.
a summary of the process that has led to the request for configuration change approval.
the stakeholders identified, consulted, summary of issues raised and the status of any
issues that have not been resolved.
a summary of the business approvals and technical approvals required including the
status of any that have not been obtained.
where the proposed change does not fully comply with original business or technical
approvals a summary of how the variances have been managed.
a summary of the product configuration information affected by the configuration change
and the status of such product configuration information.
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evidence that safety risks have been reduced so far as is reasonably practicable
(SFAIRP).
any other matter that the configuration change manager believes the configuration
management committee should be aware of.
a summary of the future activities, particularly in relation to providing assurance that the
configuration change is on track to produce the outcome desired by TfNSW.
11. Interaction with the ASA configuration control board
Where a meeting is sought with the ASA configuration control board (CCB), the secretary of the
ASA CCB is to be contacted as early as possible to provide opportunity for the secretary to vet
agenda items and provide advice if necessary.
Generally, the ASA CCB will only consider configuration changes related to assets that the ASA
is owner of or where delegated configuration control authority is sought.
12. Network configuration changes that impact multiple configuration control boards
The organisation with responsibility for delivering a configuration change shall establish the
configuration control board that will make decisions relating to the change.
Where a configuration change has potential to impact configuration items under the control of
other configuration control boards, stakeholders representing the other configuration control
boards are generally considered as primary stakeholders to the configuration change.
Where there is a dispute over the identification of responsible and affected configuration control
boards, the ASA configuration control board or the configuration management committee will
resolve the dispute.
13. Configuration change request numbers
The TfNSW Rail Asset Configuration Management Plan sets a requirement that configuration
change request numbers be assigned to all proposed network configuration changes. The
Configuration Change Request Numbering System Manual describes how this is applied.
14. Product configuration information
Information about a configuration item that assists in understanding the physical, functional and
performance characteristics or intents of a configuration item is considered as 'product
configuration information'. Within TfNSW, the term also applies to information that describes the
condition of a configuration item.
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Product configuration information is used by TfNSW and its representatives to understand the
complete set of configuration items it owns and the capabilities and limitations of when operating
as an integrated system. The information is also used for determining maintenance
requirements, operations planning and the planning of future changes to system. It is necessary
to maintain a scope and level of product configuration information detail that supports these
functions.
TfNSW applies specific product configuration information requirements to its configuration items.
The general requirements are defined in the TfNSW Railway Assets Product Configuration
Information Requirements document. Detailed requirements, specific to each type of product
configuration information, are addressed in supporting documents. Information produced during
the course of a configuration change that is outside the scope of what is defined in these
documents need not be provided to TfNSW.
The principles within TfNSW Railway Assets Product Configuration Information Requirements
may also be adopted by AEOs which will not undertake network configuration management.
Applying the principles may assist in demonstrating that the AEO has configuration
management systems in place to control products they supply for integration with the TfNSW rail
network.
14.1 Configuration information systems
The Railway Assets Product Configuration Information Requirements document defines the
scope of product configuration information owned by the Asset Standards Authority on behalf of
TfNSW. Standard requirements for managing product configuration information is also defined in
the TfNSW Railway Assets Product Configuration Information Requirements document. Specific
requirements are further described in requirements which are specific to each configuration
information system.
The ASA generally nominates only one system for the storage of each type of product
configuration information. Configuration information formally provided to TfNSW is stored in
these systems. The majority of the systems holding configuration information for the
metropolitan heavy rail network is managed by Sydney Trains.
The product configuration information held within the systems is managed for the Asset
Standards Authority by parties identified as configuration information system custodians. The
configuration information system custodians provide assistance to parties who wish to add or
modify information in the system or who wish to access the information in the system.
15. Auditing
Configuration audits are a requirement set by the TfNSW Rail Asset Configuration Management
Plan. Audits are required to provide assurance that activities that are required to be performed
are being adequately completed and producing intended results.
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Audits may be undertaken separately or integrated with any other audit plan undertaken by the
responsible party. Results of all audits should be assessed and where any issues are identified
appropriate action taken to address issues as necessary.
15.1 Planning audits
An assessment of audit requirements should be performed at intervals appropriate to the scope
of work being undertaken. For parties performing ongoing maintenance on TfNSW railway
assets, an assessment of audit requirements is generally expected at least on an annual basis.
As a result of the requirements assessment and other coordination activities, an audit plan
should be developed. Audit plans should generally allow for variations throughout the course of
implementation as circumstances may necessitate changes to requirements in order to maintain
a satisfactory level of assurance that the configuration is well controlled and documented.
An audit does not have to be a separate activity. Some project or maintenance activities may be
considered an audit if it provides assurance equivalent to an audit. In such situations, it should
be clear that such activities are identified as contributing to the audit requirement.
15.1.1 Physical configuration audits
Physical configuration audits are a type of audit that involve comparing physical assets to
documented requirements, designs or existing product configuration information.
For network configuration changes, physical configuration audits are expected to be performed
on new or altered assets prior to asset acceptance. Such audits may be performed as often as
deemed necessary and appropriate to the scope of work. Generally this would be the
responsibility of the AEO responsible for delivering the configuration change.
Physical configuration audits may also be performed by AEOs performing maintenance activities
on assets. Such audits should be planned and performed as necessary to provide assurance
that the configuration of assets being managed by the AEO reflects the approved baseline and
the associated product configuration information.
TfNSW may also perform audits or request that physical configuration audits be performed from
time to time.
15.1.2 Functional configuration audits
Functional configuration audits involve comparing the functional performance of assets to
documented requirements, designs or existing product configuration information. Functional
configuration audits may involve testing, trailing or any other appropriate activity.
For network configuration changes, functional configuration audits may be required on new or
altered assets prior to asset acceptance and at other stages. Generally this would be the
responsibility of the AEO responsible for delivering the configuration change.
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Functional configuration audits should also be performed by AEOs performing maintenance
activities on assets. Such audits should be planned and performed as necessary to provide
assurance that the function of assets being managed by the AEO reflects the expected
performance.
TfNSW may also perform audits or request that functional configuration audits be performed
from time to time.
15.1.3 Configuration process audits
Audits of the configuration management process are intended to provide assurance that the
processes and procedures are complied with and that the intended results of such activities
have been obtained.
Such audits should be planned for and carried out by parties that manage configuration
management processes, including management of product configuration information.
Configuration management process audits may be undertaken similarly to and as part of any
other quality process audits performed.
16. Reporting
Authorised engineering organisations that are delegated configuration control authority for
TfNSW railway assets are required to provide assurance that they are appropriately exercising
the authority. Part of that assurance is provided though reporting arrangements with the Asset
Standards Authority or the Configuration Management Committee. The TfNSW Rail Assets
Configuration Management Plan specifies the minimum requirements for reporting by
configuration control boards. AEOs should define their specific reporting intents and include it as
part of their configuration management plan when seeking authority for configuration change
control.
Generally, reports are expected at regular intervals from configuration control boards of AEOs
describing the configuration changes that have been presented to them and the decisions that
have been made.