How To Prepare A Configuration Change Change Request For The Tfnsw Cmaac

Transcription

1 Guide TfNSW Configuration Management and Asset Assurance Committee Submissions Guide 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 State of NSW through Transport for NSW

2 Standard governance Owner: Authoriser: Approver: Manager Asset Configuration Systems, Asset Standards Authority Principal Manager Network and Asset Strategy, Asset Standards Authority Director, Asset Standards Authority on behalf of the ASA Configuration Control Board Document history Version Summary of Changes 1.0 First issue For queries regarding this document, please the ASA at or visit State of NSW through Transport for NSW

3 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. This document aims to provide guidance in relation to submissions to the TfNSW Configuration Management and Asset Assurance Committee. This document is based on principles from AS ISO Quality Management System Guidelines for Configuration Management. This guide has been developed in consultation with key stakeholders across TfNSW. This document is a first issue. State of NSW through Transport for NSW Page 3 of 25

4 Table of contents 1. Introduction Purpose Scope Application Reference documents Terms and definitions Configuration change requests presented to the TfNSW CMAAC Significance of a configuration change Gate 0 configuration changes Significant configuration change requests at gate Minor or moderate configuration change requests at gate Gate 1 configuration changes Significant configuration change requests at gate Minor or moderate configuration change requests at gate Gate 5 configuration changes Significant configuration change requests at gate Moderate configuration change requests at gate Minor configuration change requests at gate Gate 6 configuration changes Overview submission document Submission templates Presentations to the TfNSW CMAAC TfNSW CMAAC assessment TfNSW CMAAC decision Appendix A Submission steps for configuration change State of NSW through Transport for NSW Page 4 of 25

5 1. Introduction A configuration change within the context of the TfNSW transport network is any change that results in the addition, removal or change to TfNSW transport assets or its interfaces whether it be as a result of a project or maintenance activity. In certain circumstances, configuration change requests are required to be submitted to the TfNSW Configuration and Asset Assurance Committee (TfNSW CMAAC) or a delegated authority of the TfNSW CMAAC. T MU AM PL TfNSW Configuration Management Plan defines requirements for the management of configuration changes on the TfNSW transport network. This document supports T MU AM PL by providing practical guidance for the preparation of configuration change request submissions to the TfNSW CMAAC. 2. Purpose 2.1. Scope The purpose of this document is to provide guidance to configuration change managers for preparing, submitting and presenting configuration management change request submissions or notifications to the TfNSW CMAAC in order to progress through the relevant configuration management gates. This document describes the expectations and approach for preparing, submitting and presenting submissions to the TfNSW CMAAC meeting at the following configuration management gates: gate 0 - initiation gate 1 requirements complete gate 5 asset acceptance gate 6 asset assurance review Guidance for submissions made to delegated authorities, commonly referred to as configuration control boards (CCBs) are not covered by this document. This document should be used in conjunction with T MU AM PL which specifies the arrangements for TfNSW configuration management Application This document is applicable to any party accountable or responsible for preparing configuration change requests submissions or notifications required at configuration management gate 0, gate1, gate 5 and gate 6. Submissions and notifications are presented to the TfNSW CMAAC for acceptance in order to progress through the relevant configuration management gates. State of NSW through Transport for NSW Page 5 of 25

6 These configuration management gates occur respectively in the lead up to the strategic business case and final business case, as described in the TfNSW Investment Gating and Assurance guidelines, followed by asset handover and maintenance activities. 3. Reference documents The following documents are cited in the text. For dated references, only the cited edition applies. For undated references, the latest edition of the referenced document applies. Australian standards AS ISO Quality Management System Guidelines for Configuration Management Transport for NSW standards T MU AM PL TfNSW Configuration Management Plan TS System Safety Standard for New or Altered Assets Other references TfNSW, Investment Gating and Assurance Guidelines, 2013, policy no. CPsd13001, (available on request from standards@transport.nsw.gov.au) 4. Terms and definitions The following terms and definitions apply in this document: ASA Asset Standards Authority CCB configuration control board CMAAC Configuration Management and Asset Assurance Committee configuration change request is a formal request to add or change a TfNSW transport asset that is subject to configuration control configuration change manager is the person who has the primary responsibility for a configuration change ISCA initial safety change assessment SFAIRP so far as is reasonably practicable TfNSW Transport for New South Wales State of NSW through Transport for NSW Page 6 of 25

7 5. Configuration change requests presented to the TfNSW CMAAC Configuration changes affecting current or planned TfNSW assets, including property and airspace, need to be accepted by the TfNSW CMAAC at the gates defined in T MU AM PL. The TfNSW CMAAC will review changes that pose substantial risks to TfNSW assets. Safety, financial, reputational, operational, maintenance factors and a whole-of-life costing approach should be considered when determining risk. Configuration changes that are not significant may be presented to the TfNSW CMAAC for acceptance in the form of a notification. Each configuration change will be considered on a case by case basis. Each set of configuration change should be assessed holistically, taking into consideration all interrelated configuration changes. For example, consideration should be given to the effects of individual commissioning stages, the effect to overall change and how changes will integrate into the network. The TfNSW CMAAC may request configuration change requests submissions or audit configuration changes at any point in time Significance of a configuration change The means of determining the significance of a configuration change is defined within the T MU AM PL and TS System Safety Standard for New or Altered Assets. Configuration change managers are responsible for determining the significance of the configuration change and for presenting to the TfNSW CMAAC at gate 0, gate 1, gate 5 and gate Gate 0 configuration changes A proposed configuration change should be presented to the TfNSW CMAAC, or an appropriately authorised delegate, for acceptance at an early stage of planning as shown in Figure 1. Acceptance by the TfNSW CMAAC or delegate forms part of the strategic business case of a project and needs to occur prior to the strategic business case submission. State of NSW through Transport for NSW Page 7 of 25

8 Figure 1 Asset life cycle The gate 0 configuration change request is submitted when initial business requirements are developed and preliminary assessments of the configuration change have been performed. At this point, a single configuration change option may not have been developed but a number of options should have been identified. Evidence of a safety change impact assessment and initial assurance and governance arrangements of the configuration change are also required at this point. The order of preceding assurance activities that is required for gate 0 submission is as shown in Figure 2. The gate 0 submission provides TfNSW with confidence that adequate assurance activities have been performed, that the proposed configuration change is feasible, and that the project has an adequate plan for progressing the proposal from gate 0 through to gate 1. It is intended that any decisions to date will be demonstrated to have ensured safety so far as is reasonably practicable (SFAIRP). Demonstration that a systems engineering approach has been used to manage the development of the proposed configuration change will assist in providing confidence that appropriate assurance activities have been and will continue to be conducted. Where appropriate, a single consolidated gate 0 submission may be submitted to cover a set of similar or related proposed configuration changes that are being managed as a single program of work. Assessment of the significance should be considered based on the overall program submission. State of NSW through Transport for NSW Page 8 of 25

9 Initial Business Requirements Safety Change Impact Assessment Options identified Initial Assurance and Governance Plan TfNSW CMAAC Gate 0 Submission Figure 2 - Gate 0 submission relative to preceding activities 6.1. Significant configuration change requests at gate 0 Gate 0 configuration changes determined by the configuration change manager as being significant are to be presented to the TfNSW CMAAC at a scheduled meeting unless specific arrangements exist for the configuration change request to be accepted by other means Overview submission document The configuration change manager provides an overview of the proposed configuration change through a written submission and short presentation. The submission is not intended to provide in-depth details of the project but should comprise enough information to provide the TfNSW CMAAC with an adequate understanding of the proposal, particularly from an assurance perspective. The overview should include a summary of the following information: the scope of the configuration change assurance activities conducted to date, including activities relating to: ᴑ ᴑ ᴑ ᴑ stakeholders operational and maintenance considerations, such as a high-level operations and maintenance concept network strategy alignment considerations of whole of life costs where possible the structured approach that will be taken to progress to gate 1, including status of the assurance and governance plan identified initial business requirements and the approach taken to develop the requirements State of NSW through Transport for NSW Page 9 of 25

10 assessments, reports or other evidence that show how the safety risks of the configuration change has been assessed and reduced SFAIRP. identified significant risks or outstanding issues and the approach for controlling managing these. Documented risks and issues may include delivery, stakeholder, operational, maintainability, interfaces and safety at a whole-of-network level any other matter the configuration change manager believes the TfNSW CMAAC should be aware of The overview should demonstrate that a systematic approach has been applied to developing the assurance evidence leading to gate 0 and the planned activities through to gate 1.The information provided in the overview should be adequate so as to enable the TfNSW CMAAC to make an informed decision on the proposed change. Templates for TfNSW CMAAC submissions and presentations are available from the TfNSW CMAAC Secretary via configuration@transport.nsw.gov.au Supporting documentation A list of supporting documentation should be provided in the overview submission document. Supporting documentation provides evidence that due process has been followed in preparing the proposed configuration change. With the exception of the assurance and governance plan, copies of which need to be included in the submission, supporting documentation does not need to be included as part of the submission itself. Supporting documentation should however be readily available at the time of submission and be available to the TfNSW CMAAC or ASA if requested. Supporting documentation can include the following: initial assurance and governance plan or equivalent evidence of initial business requirements initial operational and maintenance concept document evidence that stakeholders have been identified, consulted and have had their feedback duly considered evidence that an initial safety change assessment has been carried out assessments, reports or other evidence that show how the safety risks of the configuration change has assessed and reduced so far as is reasonably practicable (SFAIRP) evidence of risk based decision making in optioneering State of NSW through Transport for NSW Page 10 of 25

11 assessments showing that cost, maintenance and other factors relevant to the proposed change have been considered to a level appropriate for the stage of the project and are planned to be completely addressed in due course Process for submission and presentation The configuration change manager or their representative should present proposals for a significant configuration change to the TfNSW CMAAC. Although gate 0 submissions may include involvement from the intended delivery organisation, the presentation to the TfNSW CMAAC should be led by the business unit accountable for the proposed change. Any queries regarding submissions and presentations can be directed to the TfNSW CMAAC Secretary via configuration@transport.nsw.gov.au. Refer to Table 1 in Appendix A for information on the submission steps for significant configuration change requests to the TfNSW CMAAC Minor or moderate configuration change requests at gate 0 Gate 0 configuration changes determined by the configuration change manager as being of minor or moderate significance are to be presented to the TfNSW CMAAC via a notification unless specific arrangements exist for the configuration change request to be accepted by a delegated body Notification submission document The configuration change manager provides a notification of the proposed configuration change through a written submission. The notification should comprise information focusing on the proposed change and key issues. The notification is to be presented to the regular meeting of the TfNSW CMAAC for acceptance, unless specific arrangements exist for the configuration change request to be accepted by a delegated body. The notification is similar to significant a gate 0 submission, but it is expected to be less detailed. The notification should include a summary of the following: the scope, including context to related configuration changes assurance activities conducted to date, which should include activities related to: ᴑ ᴑ ᴑ stakeholders operational and maintenance considerations network strategy alignment State of NSW through Transport for NSW Page 11 of 25

12 ᴑ whole-of-life costs where possible the structured approach that will be taken to progress to gate 1, including status of assurance and governance plan identified initial business requirements and the structured approach taken to develop the requirements assessments, reports or other evidence that show how the safety risks of the configuration change has assessed and reduced SFAIRP significant identified risks or outstanding issues, including risk and issues related to delivery, stakeholders, operational, maintainability, interfaces and safety any other matter the configuration change manager believes the TfNSW CMAAC should be aware of Process for providing a notification The configuration change manager should prepare the notification of the proposed minor or moderate configuration change to the TfNSW CMAAC. Any queries regarding the submissions and presentations are to be sent to the TfNSW CMAAC Secretary via configuration@transport.nsw.gov.au. Refer to Table 2 in Appendix A for the submission steps for minor or moderate configuration change requests to the TfNSW CMAAC. 7. Gate 1 configuration changes Proposed configuration changes should be presented to the TfNSW CMAAC for acceptance at gate 1. At this point, the project is expected to have an approved set of business requirements and system requirements. Acceptance of the configuration change request at gate 1 is an input to the final business case and therefore will need to be obtained before the final business case submission. The order of activities that precede a gate 1 submission will commence with the approval of the business requirements specification. Demonstration that the operation and maintenance concept and the system requirements have been developed will provide the TfNSW CMMAC with confidence that appropriate assurances are taking place. At this point the project is expected to have an approved assurance and governance arrangements of the configuration change. A gate 1 submission to the TfNSW CMAAC can proceed once these activities have taken place. Refer to Figure 3 for a diagram illustrating this process. State of NSW through Transport for NSW Page 12 of 25

13 Approved Business Requirements Specification Safety Change Impact Assessment Approved System Requirements Specification Assurance and Governance Plan Operations Concept Definition and Maintenance Concept Definition TfNSW CMAAC Gate 1 Submission Figure 3 Gate 1 submission relative to preceding assurance activities 7.1. Significant configuration change requests at gate 1 Gate 1 configuration changes determined by the configuration change manager as being significant are to be presented to the TfNSW CMAAC at a regular meeting Overview submission document The configuration change manager provides an overview of the proposed configuration change through a written submission and short presentation. The submission is not intended to provide in-depth details of the project but should comprise enough information to provide the TfNSW CMAAC with an understanding of the proposal, key issues and the management plan for those key issues. The overview should include a summary of the following: the scope of the configuration change assurance and governance arrangements of the proposed change final business requirement specifications stakeholder identification and engagement the safety SFAIRP argument supporting the preferred option over other options, and evidence that the selected option is most effective in terms of reducing safety risk when balanced against cost and effort the argument demonstrating the preferred option has been developed to be safe SFAIRP, the development of the selected option has considered safety risks and specified requirement that manage those risk SFAIRP the stage of the life cycle at which the independent safety assessor (ISA) will be appointed operational and maintenance assurance activities, and identified impacts relationship to network strategy State of NSW through Transport for NSW Page 13 of 25

14 details of whole of life cost assessment activities and processes (not dollar values) concessions to TfNSW standards that are likely to be required, including impact of the concession to operations, maintenance, safety and costs significant identified risks or outstanding issues, including risks to delivery, stakeholders, operations, maintainability, interfaces and safety any other matter the configuration change manager believes the TfNSW CMAAC should be aware of Supporting documentation The supporting documentation should demonstrate that assurance activities have been undertaken by the project. All the supporting documents are reviewed by ASA subject matter experts and any issues identified are notified to the project. Copies of the following supporting documentation should be provided as separate documents with the submission to the ASA: approved assurance and governance plan or equivalent approved business requirements specification and system required specification initial safety change assessment (ISCA) independent safety assessment report (where ISA is required to be appointed) safety assurance plan The following supporting documentation should be available upon request but does not need to be included in the submission: approved operation concept definition and maintenance concept definition evidence that stakeholders have been consulted and have had their feedback duly considered additional assessments, reports or evidence that show how the safety risks of the configuration change has reduced so far as is reasonably practicable (SFAIRP) evidence of risk based decision making in determining possible options for the configuration change assessments, reports or other evidence that show that maintenance, operational and implementation risks and factors have been considered evidence of whole of life costing activities and outcomes State of NSW through Transport for NSW Page 14 of 25

15 Process for submission and presentation The configuration change manager or their representative should present their submission to the TfNSW CMAAC. Gate 1 submission should have representation from the sponsor but may also include external consultants and personnel from the delivery organisation. Any queries regarding the submissions and presentations can be directed to the TfNSW CMAAC Secretary via configuration@transport.nsw.gov.au. Refer to Table 1 in Appendix A for an outline of the submission steps for significant configuration change requests to the TfNSW CMAAC Minor or moderate configuration change requests at gate 1 Gate 1 configuration changes determined by the configuration change manager as being of minor or moderate significance are presented to the TfNSW CMAAC via a notification unless specific arrangements exist for the configuration change request to be accepted by a delegated body Notification submission document The configuration change manager provides a notification of the proposed configuration change through a written submission. The notification should comprise enough information to provide the TfNSW CMAAC with an adequate understanding of the proposed change and key issues. The notification is to be presented to the scheduled sitting of the TfNSW CMAAC for acceptance unless specific arrangements exist for the configuration change request to be accepted by a delegated body. The notification is similar to a significant gate 1 submission but it is expected to be less detailed. The notification should include a summary of the following: the scope of the proposed change assurance and governance arrangements final business requirements specification and system required specifications stakeholder identification and engagement the safety SFAIRP argument supporting the preferred option over other options, and evidence that the selected option is most effective in terms of reducing safety risk when balanced against cost and effort State of NSW through Transport for NSW Page 15 of 25

16 the argument demonstrating the preferred option has been developed to be safe SFAIRP; the development of the selected option has considered safety risks; and, the specified the requirements that manage those risk SFAIRP operational and maintenance assurance activities and identified impacts relationship to network strategy details of whole of life cost assessment activities and process (not dollar values) concessions to TfNSW standards that are likely to be required, including impact of the concession to operations, maintenance, safety and costs significant identified risks or outstanding issues, including to delivery, stakeholders, operations, maintainability, interfaces and safety any other matter the configuration change manager believes the TfNSW CMAAC should be aware of Process for providing a notification The configuration change manager should prepare a notification of the proposed minor or moderate configuration change to the TfNSW CMAAC. Any queries regarding the submissions and presentations can be directed to the TfNSW CMAAC Secretary via configuration@transport.nsw.gov.au. Refer to Table 2 in Appendix A for an outline of the submission steps for minor or moderate configuration change requests to the TfNSW CMAAC. 8. Gate 5 configuration changes The TfNSW CMAAC or the CCB with delegated authority needs to accept any configuration change that is be commissioned. This section provides guidance for the preparation of gate 5 submissions to the TfNSW CMAAC Significant configuration change requests at gate 5 Gate 5 configuration changes determined by the configuration change manager as being significant are to be presented to the TfNSW CMAAC at a regular meeting. This gate occurs at the point shortly before the handover of the asset from the project team to maintainer. State of NSW through Transport for NSW Page 16 of 25

17 Overview submission document T MU AM GU The configuration change manager provides an overview of the configuration change through a written submission and short presentation. The overview is not intended to provide in-depth details of the project but should comprise enough information to provide the TfNSW CMAAC with an adequate understanding of the proposed configuration, key issues, and the management plan for those key issues. The overview should include a summary of the following: the scope of the proposed change compliance to the approved assurance and governance plan, or a summary of the assurance and governance arrangements if the project was started prior to the requirement for an assurance and governance plan preceding configuration change requests, particularly any outstanding conditions associated evidence that the approved business and system requirements have been met. Evidence that any variance to the requirements have been managed since initial approval. stakeholder consultation, particularly in relation to operational readiness. Summarise significant issues identified from stakeholders consultation and how it has been managed. the argument that the implemented configuration change is safe SFAIRP and evidence of the independent safety assessment and conclusion residual safety risks and hazards that TfNSW is being asked to accept and the status of these in relation to the future asset operator and maintainer the status of the operational safety argument commissioning and operational readiness planning activities evidence that technical approvals for all the elements of the configuration change has been obtained concessions to TfNSW standards that have been required, including noting the status and resulting impact to safety, whole of life cost, operations and maintainability of the concessions. Configuration changes are expected to be managed so as to be presented at gate 5 with no outstanding concessions. asset information has been delivered and schedules in place for the delivery of the remaining asset information how configuration information has or will be checked for accuracy and completeness before being delivered to the custodian State of NSW through Transport for NSW Page 17 of 25

18 any risks, issues and outstanding matters to be addressed prior to the completion of the project and time frames for their completion Supporting documentation A list of the supporting documentation available should be provided in the overview. Copies of the following supporting documentation should be provided as separate documents, but still part of the submission to TfNSW CMAAC Secretary: safety assurance report evidence, in the form of a safety report, that safety risks of the configuration change have been reduced SFAIRP an operational safety argument and supporting evidence with content as required by TS an independent safety assessment report The following supporting documentation should be available upon request but does not need to be included in the submission: evidence that stakeholders have been identified, consulted and have had their feedback duly considered evidence of acceptance of preceding configuration change requests evidence showing compliance to an assurance and governance plan stakeholder consultation report and register operational readiness arrangements such as an operational readiness plan asset hand over plan evidence that technical approvals for all the elements of the configuration change has been obtained requirements traceability evidence that configuration information has been checked for accuracy and completeness before being delivered evidence of hazard identification, hazard log and analysis report any other document that supports the claims made in the submission document Process for submission and presentation The configuration change manager or their representative should present their submission to the TfNSW CMAAC. State of NSW through Transport for NSW Page 18 of 25

19 Any queries regarding the submissions and presentations can be directed to the TfNSW CMAAC Secretary via Refer to Table 1 in Appendix A for an outline of the submission steps for significant configuration change requests to the TfNSW CMAAC Moderate configuration change requests at gate 5 Gate 5 configuration changes determined by the configuration change manager as being of moderate significance are to be presented to the TfNSW CMAAC via a notification unless specific arrangements exist for the configuration change request to be accepted by a delegated body Notification submission document The configuration change manager provides a notification of the proposed configuration change through a written submission. The notification is not intended to provide in-depth details of all activities performed in supporting the project but should comprise enough information to provide the TfNSW CMAAC with an adequate understanding of the proposed change and key issues in relation to configuration management and asset assurance. The notification is similar to gate 5 significant submissions but it is expected to be less detailed. The notification should include a summary of the following: the scope of the configuration change compliance to the approved assurance and governance plan, or a summary the assurance and governance arrangements if the project was started prior to the requirement for an assurance and governance plan preceding configuration change requests, particularly any outstanding conditions associated confirmation that business and system requirements have been met stakeholder consultation particularly in relation to operational readiness the argument that the implemented configuration change is safe SFAIRP and evidence of the independent safety assessment and conclusion residual safety risks and hazards that TfNSW is being asked to accept and the status of these in relation to the future asset operator and maintainer the status of the operational safety argument commissioning and operational readiness planning activities State of NSW through Transport for NSW Page 19 of 25

20 evidence that technical approvals for all the elements of the configuration change has been obtained concessions to TfNSW standards that have been required, including noting the status and resulting impact to safety, whole of life cost, operations and maintainability of the concessions. Configuration changes are expected to be managed so as to be presented at gate 5 with no outstanding concessions. asset information has been delivered and schedules in place for the delivery of the remaining asset information configuration information has or will be checked for accuracy and completeness before being delivered to the custodian any risks, issues or outstanding matters to be addressed prior to the completion of the project; and timeframes for their completion Process for providing a notification The configuration change manager should prepare a notification of the proposed moderate configuration change to the TfNSW CMAAC. Any queries regarding the submissions and presentations can be directed to the TfNSW CMAAC Secretary via configuration@transport.nsw.gov.au. Refer to Table 2 of Appendix A for an outline of the submission steps for moderate configuration change to the TfNSW CMAAC Minor configuration change requests at gate 5 Gate 5 configuration changes determined by the configuration change manager as being of minor significance does not require presentation to the TfNSW CMAAC. However, acceptance should be provided from a delegated CCB. If no delegated CCB exists, the minor configuration change should apply the same provisions as moderate configuration changes. Refer to Section 8.2 State of NSW through Transport for NSW Page 20 of 25

21 9. Gate 6 configuration changes T MU AM GU Parties in control of TfNSW transport assets during the operate and maintain stage of an asset life cycle are required to present a gate 6 configuration change request to the TfNSW CMAAC as required. Parties in control of TfNSW transport assets typically have at least one CCB with delegated authority. This is obtained by having their configuration management plan approved by the ASA CCB. The submission is intended to achieve the following objectives: demonstrate that a risk based approach has been applied in developing the asset maintenance plan and annual works plan demonstrate that the asset or system meets its appropriate and intended requirements under stated operating conditions demonstrate that the previous asset maintenance plan and annual works plan have been achieved identify incomplete work and justification of risks and mitigation activities demonstrate that monthly key performances such as punctuality, reliability, reduced incidents, and so on have been achieved provide evidence of appropriate control and assurance of assets in the form of asset condition or audit reports, or reviews of such documents by second or third parties provide justified confidence in the delivery of approved asset maintenance plans and associated annual work plans demonstrate evidence of appropriate configuration control and assurance activities in accordance with approved documentation over the preceding review period demonstrate evidence of appropriate configuration management and assurance activities in planning the continued management, change control and assurance of the assets over the review period Review periods should be defined in the configuration management plan of the organisation in control of the TfNSW transport asset. Where no review period is specified, the organisation should consult with the ASA to determine an appropriate time frame. Typically reviews are expected to occur on an annual basis, and within a period that allows the outcome of the gate 6 submission to influence decisions about planned works in the following period. The configuration change manager for a gate 6 submission should be selected by the organisation submitting the configuration change. The chair of the peak delegated CCB within State of NSW through Transport for NSW Page 21 of 25

22 an organisation in control of assets during operation and maintenance would be a likely candidate to fulfil the role of configuration change manager Overview submission document The configuration change manager provides an overview of the configuration change through a written submission and short presentation. The overview is not intended to provide in-depth details of all activities performed in the course of managing the assets being controlled but should comprise enough information to provide the TfNSW CMAAC with an adequate understanding of the processes and decisions made in the course of managing and planning for the management of the asset as appropriate. The overview should include summaries of the following: the scope of assets and activities performed assurance and governance arrangements identified significant configuration changes that will be presented to the TfNSW CMAAC, gate 0, gate 1 and gate 5 which is not managed under the delegated configuration control authority of the organisation planning arrangements for maintenance activities and planned configuration changes having been selected based on an appropriate processes that consider the network strategy and the long term interests of TfNSW argument to support the case that the assets managed over the preceding review period have been done safely SFAIRP argument to support the case that the planning for the management of the assets over the proceeding period will result in assets that are safe SFAIRP Supporting documentation The supporting documentation available should be listed in the overview and be readily available for TfNSW CMAAC review. Copies of the following supporting documentation should be included as part of the submission to the TfNSW CMAAC Secretary: asset maintenance plan past and planned annual works plan asset assurance reports KPI reports such as the Rail Services Contract (RSC) report evidence of audit report carried out on asset conditions and performance State of NSW through Transport for NSW Page 22 of 25

23 evidence of appropriate configuration change control over the preceding review period evidence of appropriate safety and risk assurance in the course of maintaining and changing assets over the preceding review period 10. Submission templates The ASA manages a set of configuration change request templates for submissions to the TfNSW CMAAC. The latest versions of the templates are available to configuration change managers from the ASA when a project initially engages with the ASA to discuss their submission. Configuration change managers should ensure that the latest template has been used in their submission. 11. Presentations to the TfNSW CMAAC Presentations to the TfNSW CMAAC should consist of a concise slide show lasting less than five minutes. The slide show should focus on the key governance and assurance activities and supporting evidence developed by the project. Presentations should be limited to five slides of content. Information about the project background and scope should be minimised in the presentation slides. Presenters will usually be provided with a copy of the same documented guidance that the ASA provides to TfNSW CMAAC members. Presenters should be prepared to answer questions related to points listed in the guidance. To improve the possibility of an unconditional acceptance by the TfNSW CMAAC, a written response to the matters raised in the ASA guidance should be prepared and provided during the presentation to the TfNSW CMAAC members. Fifteen minutes will usually be allocated to each configuration change request presented to the TfNSW CMAAC. This is to allow time for questions and discussion. 12. TfNSW CMAAC assessment The TfNSW CMAAC will assess each proposal or asset acceptance configuration change request on a case by case basis. The TfNSW CMAAC members will base their decision on the following: compliance to appropriate due processes evidence showing that the configuration change will be adequately controlled evidence showing that expected outcomes will be delivered State of NSW through Transport for NSW Page 23 of 25

24 identification of potential risks and measures to address those risks 13. TfNSW CMAAC decision Upon assessment of a concept or asset acceptance configuration change request, the TfNSW CMAAC may decide to accept the change, accept the change with conditions or defer its decision. Where an acceptance to the change is granted with conditions, the conditions are to be met and maintained for the acceptance to remain valid. Where conditions require specific activities to be performed, configuration change managers are expected to provide evidence to the TfNSW CMAAC that the conditions have been met prior to proceeding to the subsequent configuration management gates. State of NSW through Transport for NSW Page 24 of 25

25 Appendix A Submission steps for configuration change The submission steps for significant, moderate and minor configuration change are outlined in the Table 1 and Table 2. All notifications and submissions should be sent to configuration@transport.nsw.gov.au Table 1 Submission steps for significant configuration change requests Step Description When 1 Notify Manager Asset Configuration Systems, ASA of the development of a proposed configuration change 2 Notify the TfNSW CMAAC Secretary that acceptance of the proposed configuration change will be sought in the near future. This assists the ASA and TfNSW CMAAC to plan meeting arrangements. 3 Request the TfNSW CMAAC Secretary add the proposed configuration change to the next available TfNSW CMAAC meeting. If feedback from the ASA is sought then provide a draft submission. 4 Provide the TfNSW CMAAC Secretary with the final submission and supporting documentation for circulation to TfNSW CMAAC members. This is required for the submission to be included on the agenda. Early in the development of the proposed configuration change Three months prior to presentation at the TfNSW CMAAC Six weeks prior to presentation at the TfNSW CMAAC Two weeks prior to presentation at the TfNSW CMAAC 5 Provide the TfNSW CMAAC Secretary with the presentation Two days prior to presentation at the TfNSW CMAAC Table 2 Submission steps for moderate and minor configuration change requests Step Description When 1 Notify the TfNSW CMAAC Secretary of the development of a proposed configuration change. 2 Notify the TfNSW CMAAC Secretary that acceptance of the proposed configuration change will be sought at a forthcoming TfNSW CMAAC meeting. 4 Provide the TfNSW CMAAC Secretary with a completed notification. This is required for the notification to be included on the agenda Early in the development of the proposed configuration change Six weeks prior to submitting notification to the TfNSW CMAAC Two weeks prior to applicable TfNSW CMAAC meeting State of NSW through Transport for NSW Page 25 of 25