Configuration Management Guide

Transcription

1 Guide Important Warning This document is one of a set of standards developed solely and specifically for use on Transport Assets (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 is uncontrolled when printed or downloaded. Users should exercise their own skill and care in the use of the document. This document may not be current. Current standards may be accessed 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 Executive Director, Asset Standards Authority on behalf of the ASA Configuration Control Board Document history Version Summary of Changes 1.0 Previously issued as TS Document updated for multi-modal transport. References updated to other documents and to CMAAC. Editorial consistencies applied. 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 informs the stakeholders of the intentions and interpretations of the ASA's approach to configuration management to maintain consistency in the application of requirements established by the configuration management framework. The guidance described in this document forms part of the ASA's configuration management framework and the Authorised Engineering Organisation framework. This document is a second issue and supersedes the previously issued TS Configuration Management Guide version 1.0. The document number has been changed for this issue. The changes to this version of the document are associated with updating references to other documents and updating terminology. State of NSW through Transport for NSW Page 3 of 23

4 Table of contents T MU AM GU 1. Introduction Purpose Scope Application Reference documents Terms and definitions Configuration management Configuration management guidance Network configuration management Other requirements associated with configuration changes Configuration management plans Configuration management plans covering network configuration changes Scope of authority for network configuration changes Terms and definitions specified Authority and responsibility within the business unit or organisation Addressing further configuration management planning Configuration identification planning Configuration control planning Configuration status accounting and asset information planning Closing configuration change requests Planning configuration audit requirements Configuration management records Configuration management plan approval Configuration management roles Configuration control boards Configuration change managers Configuration management coordinator role Stakeholders Stakeholder identification Stakeholder management Interaction with the Configuration Management and Asset Assurance Committee Interaction with the ASA configuration control board Network configuration changes that impact multiple configuration control boards Configuration change request numbers Asset information Asset information systems Configuration auditing Planning configuration audits Reporting State of NSW through Transport for NSW Page 4 of 23

5 1. Introduction T MU AM GU The Asset Standards Authority (ASA) owns the process for the network configuration management and the authorisation of engineering organisations. This guide provides information to support both the processes in the configuration management area. Standards that apply to the processes include the following: T MU AM PL TfNSW Configuration Management Plan T MU MD ST AEO Authorisation Governance Framework T MU MD ST AEO Authorisation Requirements 2. Purpose 2.1. Scope This 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 as required in T MU AM PL TfNSW Configuration Management Plan or any other associated document. This document forms part of the ASA configuration management framework and supports the configuration management components of the Authorised Engineering Organisation (AEO) framework. It integrates the guidance information for both frameworks into a single document to simplify access to the information Application This is intended to be used by organisations that apply network configuration management in accordance with T MU AM PL. An organisation within the context of this document may be TfNSW or its agencies, an AEO or any part of such organisations. This guide also assists 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, the network configuration management activities and outputs carried out by AEOs should comply with the guidance presented in this document whenever practical and appropriate. Some elements of this guide refer to requirements specified in other standards or systems and further details of those requirements are found in the relevant documents. State of NSW through Transport for NSW Page 5 of 23

6 3. Reference documents T MU AM GU 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 systems - Guidelines for configuration management Transport for NSW standards TS Railway Asset Product Configuration Information Requirements TS System Safety Standard for New or Altered Assets T MU AM ST Asset Information Management T MU AM PL TfNSW Configuration Management Plan T MU AM GU TfNSW Configuration Management and Asset Assurance Committee Submissions Guide T MU MD ST AEO Authorisation Governance Framework T MU MD ST AEO Authorisation Requirements 4. Terms and definitions The following terms and definitions apply in this document. Some definitions have been derived from AS ISO Quality management systems - Guidelines for configuration management in which the term product is used. For ease of understanding, the term asset may be substituted for product. AEO Authorised Engineering Organisation ASA Asset Standards Authority asset an item, thing or entity that has potential or actual value to an organisation asset information the combined set of data (graphical and non-graphical) and documents (drawings, manuals, plans, certificates) required to support the management of assets over the life cycle asset life the period from conception to end-of-life CCB Configuration Control Board CCR configuration change request change control activities for control of the product CMAAC Configuration Management and Asset Assurance Committee State of NSW through Transport for NSW Page 6 of 23

7 configuration interrelated functional and physical characteristics of a product defined in product configuration information configuration audit an examination to determine whether a configuration item conforms to its configuration baseline configuration baseline an approved product configuration information 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 a TfNSW transport asset that is subject to configuration control CCB Configuration Control Board; 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 including interfaces and subsequent changes, and allocating identification characters or numbers to the configuration items and their documents configuration information see asset information configuration item an entity within a configuration that satisfies an end use function configuration management coordinated activities to direct and control configuration configuration management coordinator a person managing the business activities of a CCB or otherwise facilitating configuration management activities configuration status accounting formalised recording and reporting of product configuration information, the status of proposed changes and the status of the implementation of approved changes network configuration the configuration of transport assets viewed as a system that is for achieving the business objectives of TfNSW and is composed of discrete configuration items identified at a level commonly identified by TfNSW product configuration information requirements for product design, realisation, verification, operation and support Note: Asset information is also used for this term. SME subject matter expert TfNSW Transport for New South Wales State of NSW through Transport for NSW Page 7 of 23

8 transport agencies Transport for NSW (and each of its divisions), Rail Corporation NSW, Sydney Trains and NSW Trains transport assets those assets which are vested in or owned, managed, controlled, commissioned or funded by the NSW Government, a NSW Government agency or a Transport Agency 5. Configuration management T MU AM PL TfNSW Configuration Management Plan states the requirement for applying configuration management to the current and proposed transport assets of TfNSW. AEOs changing or supplying TfNSW transport assets are required to implement configuration management. The ASA applies the definition of configuration management that is described in AS ISO Quality management systems - Guidelines for configuration management Configuration management guidance To align with AS ISO and comply with T MU AM PL, an AEO should demonstrate the following: documented, consistent approach to implement the configuration management requirements throughout the full scope of engineering activities that the AEO undertakes identification and assignment of responsibilities of configuration management activities recognition of and method of engagement with other parties performing configuration management activities that interface with the configuration management activities of the AEO method of identification of configuration items that are 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 AEO or part thereof is performing. the approach to describe the physical and functional characteristics including maintenance requirements of proposed and completed solutions and other asset attributes principles or methodology for assessing and approving configuration changes the method to maintain records pertaining to configuration changes as evidence of due process systematic methods for assessing the impacts of changes to other parts or components of a system and the means of addressing impacts where necessary State of NSW through Transport for NSW Page 8 of 23

9 traceability of the development of a solution, including tracing requirements and changes to requirements through to a final solution 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 transport network when viewed as an integrated system. A network configuration change represents the management of the integration of configuration item into the TfNSW transport network or changes that affect configuration items integrated into the TfNSW transport network. AEOs engaged to be the primary party responsible for managing the integration of configuration items into the TfNSW transport network or with the responsibility of maintaining the configuration of transport assets integrated with the TfNSW transport network, perform network configuration management activities. Configuration management related to developing and delivering an asset is not network configuration management if it does not include integration with the TfNSW transport network Other requirements associated with configuration changes When planning or implementing a configuration change, the AEO should take into account requirements that are specified in associated plans or systems. These include design management, project management and safety change management requirements. Additional requirements may be integrated into the configuration change approval process. 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. 6. Configuration management plans The AEO framework requires that the organisations performing configuration management activities for TfNSW should have documentation that describes the organisations configuration management arrangements. This documentation forms the organisations' configuration management plan. Configuration management documentation can be a subset of broader documentation such as the systems engineering management plan and should be tailored to be suitable for application within the organisation. AEOs and AEO applicants seeking authorisation to provide configuration management as a specific service should be able to demonstrate high-level systems and capability for State of NSW through Transport for NSW Page 9 of 23

10 configuration management. For example, specific configuration management plans or configuration management plan templates should be available. An organisation may structure and develop more than one configuration management plan as 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 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 in 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 and when stakeholders are identified and process in which they are engaged and consulted a description of how the organisation plans and implements configuration control including the following: o o o o registering of configuration changes the process and requirements the organisation implements for configuration change approval the requirements for managing the completion of a configuration change configuration status accounting and asset information planning a description of how the organisation assures TfNSW and the ASA that it fulfils its configuration management responsibilities where appropriate a description of the organisation's approach to identify and manage configuration records a description of the reporting arrangements to TfNSW or parent CCB for network configuration changes where appropriate 6.1. Configuration management plans covering network configuration changes T MU AM PL contains requirements for an organisation seeking authority to make network configuration decisions has a configuration management plan with the approval of ASA CCB. This ASA CCB approval is in addition to any approval provided to the organisation. Refer to Section 7 for further information on ASA CCB approval of configuration management plans. State of NSW through Transport for NSW Page 10 of 23

11 The following standards state the requirements for inclusion in the content of the configuration management plan: AS ISO Quality management systems - Guidelines for configuration management T MU AM PL TfNSW Configuration Management Plan TS System Safety Standard for New or Altered Assets other applicable configuration management and asset information requirements published by the ASA When an AEO is seeking authority to make configuration control decisions, only a top-level configuration management plan is presented for ASA CCB approval subject to the following: subsequent plans are covered under the scope of the top level plan the means to demonstrate how delegation of authority through the subsequent plans is managed 6.2. Scope of authority for network configuration changes When an organisation's configuration management plan is presented to the ASA CCB for approval and for obtaining delegated network configuration control authority, the plan should define the scope of the authority. The purpose of the scope is to identify clearly the assets and the period for which the organisation obtains the network configuration control authority. The scope of authority can take the form that is most appropriate to the organisation and the work that the organisation performs. It may be expressed as a geographical area, types of assets, specific configuration items or by other means Terms and definitions specified The configuration management plan should include terms and definitions that assist in the consistent understanding of terminology applied to configuration management activities. For configuration management plans that incorporate network configuration management, terms and definitions should be consistent with those applied in T MU AM PL. This aids in consistent communication between all organisations that apply configuration management to TfNSW transport assets Authority and responsibility within the business unit or organisation The plan should identify the persons involved and the methods used to manage the authority within the organisation and exercised through the inclusion of configuration management roles and names or position titles of those that hold the roles. The authority, responsibilities and State of NSW through Transport for NSW Page 11 of 23

12 corresponding scope of those roles should be clearly specified in the plan to show how the organisation attributes its configuration management responsibilities and accountabilities Configuration management roles Configuration change stakeholders should be identified in configuration management plans. For network configuration management situations, the following key roles should be included in a configuration management plan: configuration change manager stakeholders within the organisation person or entity that holds delegated configuration control authority The scope of authority of stakeholders should be clearly identified, so that all areas that have the potential to be affected by configuration changes are represented by an appropriate stakeholder Addressing further configuration management planning If the organisation level configuration management plan is anticipated to be complemented by additional configuration management plans the organisational level configuration management plan should describe how further configuration management planning will be addressed Configuration identification planning Configuration management plans should identify configuration items and the basis for identifying the configuration item. Items identified should be at a level of detail appropriate to the plan. For network configuration management, configuration items in the plan should align with the configuration items identified within TfNSW asset information systems and corresponding documents. To deliver the engineering services contracted, an organisation should 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 in addition to items identified by TfNSW. This can include the management of project requirements as individual project level configuration items. For further content on asset information, refer to TS Railway Asset Product Configuration Information Requirements and T MU AM ST Asset Information Management. State of NSW through Transport for NSW Page 12 of 23

13 6.7. Configuration control planning T MU AM GU As required in T MU AM PL, an organisation's configuration management plan details how the organisation implements configuration control. This can be presented as a process that demonstrates how configuration changes are managed Registering of configuration changes The plan should address the method of registration and management of configuration changes. Where the configuration change is a network configuration change, the plan should include the method of meeting the requirements of T MU AM PL and other ASA configuration management framework documents that relate to the traceability of configuration changes Stakeholders and consultation The configuration management plan should address the way the stakeholders are identified, when they are identified, and the process in which they are engaged to review and comment on a proposed configuration change. Refer to Section 9 for more information 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 could be affected by the configuration change, resolution of issues raised by stakeholders, evidence that safety requirements have been addressed and any other requirements have been met. The evidence requirements specified in a configuration management plan should be adequate to provide assurance that the configuration change has been managed appropriately. Processes for managing conditions of approval should include steps for providing traceability of compliance to any conditions of approval Configuration status accounting and asset information planning The process for collecting and managing asset information management should aim at providing TfNSW with the confidence that the organisation has good control of the asset information it is responsible and accountable for. The configuration management plan should specify the organisation's requirements, procedures and tools for configuration status accounting. Asset information should be defined within the scope of the configuration management plan. Where a configuration management plan includes network configuration management, the plan should describe the method by which the organisation addresses the requirements of asset State of NSW through Transport for NSW Page 13 of 23

14 information management as described in T MU AM PL, TS and T MU AM ST 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 Planning configuration audit requirements The configuration management plan should describe the organisation's assurance for fulfilling its configuration management responsibilities and applying its own documented configuration management requirements. The plan should identify roles or people responsible for planning and undertaking audits of configuration items, asset information and configuration management processes that the organisation is responsible. The plan should demonstrate that audit requirements have been determined considering the risk Configuration management records Records management requirement is often a standard component of business management systems. A configuration management plan should 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. T MU AM PL requires that records related to network configuration changes should be maintained to provide traceability of the following: the configuration of items under the organisation s management configuration changes 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 for ASA CCB approval, relevant SMEs from ASA review the configuration management plan and make a recommendation to the ASA CCB. State of NSW through Transport for NSW Page 14 of 23

15 The ASA CCB approval of the configuration management plan indicates that the ASA is satisfied that the plan adequately meets the requirements set out by T MU AM PL. The ASA CCB approval of the plan only relates to the documented network configuration management arrangements and does not represent approval of any other content that are included in the presented documents. Clear identification of the parts of the document relating to network configuration management facilitates the process of gaining ASA CCB approval. Unless specified by the ASA CCB, the ASA CCB approval indicates that authority to exercise network configuration control is delegated to the organisation within the scope of the configuration management plan. ASA CCB approval should not be sought until the scope of network configuration control authority required has been determined. ASA CCB approval is separate from the AEO authorisation process. Approval to exercise configuration control is only provided to an AEO when it is contracted to be the party responsible 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 Section 8.1 through to Section 8.3 describes the roles involved in configuration management 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 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 influences the decision to implement one or more configuration control boards. If an organisation with network configuration control authority chooses not to have a CCB, alternative arrangements for making configuration control decisions should be documented. The configuration management plan of an organisation that intends to make network configuration decisions should identify the configuration control board or boards that are established to exercise that authority. The relationship between multiple CCBs within the organisation should be documented including the scope of authority of each CCB. A configuration change approval indicates a confirmation by a CCB that it is satisfied that the change has been adequately assured through due process including aspects such as technical approvals, safety approvals, business approvals, stakeholder consultation, and adequate resolution of stakeholder issues. If the CCB is delegated with the authority to make network State of NSW through Transport for NSW Page 15 of 23

16 configuration decisions, the authority and responsibility to provide safety risk acceptance is also delegated to the board. Where network configuration control authority is being exercised, the CCB confirms that the 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 exercises delegated network configuration control authority, the decisions of the configuration control board should be made in the interest of TfNSW. To assist the CCBs in making informed decisions, the configuration control plan should clearly identify reasons and requirements for the change when presenting a proposed configuration change to a CCB. Any allowance for the CCB to provide conditional approvals should be documented within the configuration management plan. Establishing minimum evidence requirements for proposed configuration changes can assist board members and projects understand the intent of the process and provide assurances sought by the configuration control board. Records of CCB meetings should be maintained. Records should include minutes of meetings and any substantive information presented to the CCB Membership of configuration control boards with network configuration control authority Configuration control boards that make network configuration decisions should have at least one representative from TfNSW, or a Transport agency as a member, or otherwise demonstrate that TfNSW can be assured that the decisions taken are in the interest of TfNSW. TfNSW representation should 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 assess the adequacy of safety assurance activities undertaken by a project. The organisation convening the CCB may nominate the chair Alternative arrangements for configuration change approval From time to time, the alternative procedures can be used to benefit the 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 CCB 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 CCB to nominated individuals. Alternative arrangements may also State of NSW through Transport for NSW Page 16 of 23

17 include approvals predominantly based on assurances of due process provided in advance to the CCB. A risk-based approach should be applied in determining when simplified arrangements are appropriate and adequate. Alternative procedures for configuration change approval should be documented and form part of the configuration management plan. Alternative procedures should not compromise the intent of the configuration management system and should still be able to demonstrate that the need for adequate assurance has not been compromised 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 managers are required to meet are described within T MU AM PL. 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. Individual activity responsibility may be delegated within the scope of the applicable configuration management plans. The configuration change manager is accountable for a change and should provide assurance for the following to applicable configuration control boards: due process has been followed business and technical approvals have been obtained stakeholder consultation has been adequate stakeholder comment and other issues have been resolved all requirements within applicable configuration management plans have 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. Assistance with configuration management procedures or interfaces can be sought from people in those roles. State of NSW through Transport for NSW Page 17 of 23

18 Activities that configuration management coordinators may perform include the following: secretariat functions of the configuration control boards assist configuration change managers with identifying stakeholders maintain records of configuration management activities be the initial point of contact for configuration management assistance 9. Stakeholders Section 9.1 and Section 9.2 provides information on stakeholder identification and stakeholder consultation Stakeholder identification 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. Stakeholders that need to be consulted are likely to vary throughout the life cycle of an asset. Parties that should be considered as stakeholders to a configuration change include any groups, organisations or individuals that are affected due to interfaces to the proposed change and users of the proposed change. Stakeholders can be internal or external to the organisation managing the change. Examples of stakeholders external to a project team include the following: project sponsors operators and maintainers other projects, occurring or scheduled to occur other transport providers, impacted both during and after implementing a configuration change community and businesses councils and utilities Stakeholders outside of TfNSW or AEOs that are required 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. State of NSW through Transport for NSW Page 18 of 23

19 9.2. Stakeholder management T MU AM GU 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 a minimum, stakeholders should be given the opportunity to provide feedback and have their questions answered. 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 should be assessed and the result of the assessment recorded as evidence of due process. Issues that 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 determines if stakeholder consultation is adequate. The CCB can base this decision on the evidence provided by the configuration change manager. The CCB may also provide a determination on stakeholder issues that remain unresolved. 10. Interaction with the Configuration Management and Asset Assurance Committee TfNSW Configuration Management and Asset Assurance Committee (CMAAC) approval is required at certain stages of a network configuration change and this is defined in T MU AM PL. Only some classifications of configuration change requests are required to be submitted to TfNSW CMAAC as described in T MU AM PL; however, the CMAAC may request any network configuration change to be presented for its review. Meetings with CMAAC can be requested where a determination of the committee is required, such as in the case of resolving a dispute that is escalated to CMAAC by other configuration control boards. Guidance on presentations to the CMAAC should be sought from the secretary of CMAAC. When intending to present to the Committee the secretary of CMAAC should be contacted as early as possible via an to configuration@transport.nsw.gov.au. State of NSW through Transport for NSW Page 19 of 23

20 11. Interaction with the ASA configuration control board Where a meeting is requested with the ASA CCB, the secretary of the ASA CCB should be contacted as early as possible to provide opportunity for the secretary to vet agenda items and provide advice if necessary. The ASA CCB only considers configuration change matters related to assets covered in the ASA Charter. It also considers configuration change when delegated network configuration control authority is sought. The secretary of the ASA CCB may be contacted via to configuration@transport.nsw.gov.au. 12. Network configuration changes that impact multiple configuration control boards T MU AM PL states the following requirement: 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 the potential to impact configuration items under the control of other configuration control boards, stakeholders representing the other configuration control boards are considered as stakeholders to the configuration change. Alternate arrangements may be proposed for acceptance by a higher level CCB or the ASA CCB where it is related to more than one ASA CCB approved configuration management plan. Where there is a dispute over the identification of responsible and affected configuration control boards, the ASA CCB or the TfNSW CMAAC should resolve the dispute. 13. Configuration change request numbers T MU AM PL states that configuration change request numbers should be assigned to all proposed network configuration changes. An allocation of available CCR numbers can be requested by contacting the ASA configuration management team via to configuration@transport.nsw.gov.au. 14. Asset information TfNSW considers asset information and product configuration information to be equivalent. All information about a configuration item is considered as asset information. State of NSW through Transport for NSW Page 20 of 23

21 This includes information that assists in understanding the following: physical characteristics functional characteristics intents maintenance of the configuration item performance of the configuration item Asset information is considered as a key asset and is used by TfNSW and its representatives to understand the complete set of configuration items it owns and the capabilities and limitations of the items when operating as an integrated system. The information is also used for determining maintenance requirements, operations planning and the planning of future changes to the system. The scope and level of asset information detail that supports these functions should be maintained. TfNSW applies specific asset information requirements to its configuration items. The general requirements are defined in the ASA documents on asset information available on the ASA website. Detailed requirements, specific to each type of asset information are addressed in supporting documents. The principles within the ASA documents on asset information may also be adopted by AEOs that do not undertake network configuration management. An AEO should demonstrate that it has the necessary configuration management systems in place to control products they supply for integration with the TfNSW transport network by applying these principles Asset information systems The ASA documents on asset information, available on the ASA website, define the scope of asset information owned by ASA on behalf of TfNSW. Standard requirements for managing asset information are also defined in the ASA documents on asset information. Requirements are further described for each asset information system. Asset information formally provided to TfNSW or its representatives is stored in these systems. The asset information held within the systems is managed for TfNSW by parties identified as asset information system custodians. The asset information system custodians assist parties who wish to add or modify information in the system or who wish to access the information in the system. 15. Configuration auditing Configuration audits may be undertaken separately or integrated with any other audit plan undertaken by the AEO. Results of all configuration audits should be assessed and where any issues are identified, appropriate action should be taken to address the issues. State of NSW through Transport for NSW Page 21 of 23

22 Configuration audits provide assurance that activities performed are adequately completed and produce the intended results Planning configuration audits An assessment of configuration audit requirements should be performed at intervals appropriate to the scope of work being undertaken. For parties performing ongoing maintenance on TfNSW transport assets, an assessment of configuration audit requirements is expected on an annual basis, at a minimum. As a result of the requirements assessment and other coordination activities, an audit plan should be developed. Audit plans should allow for variations throughout the course of implementation as circumstances can necessitate changes to requirements. This is required in order to maintain a satisfactory level of assurance that the configuration is well controlled and documented. A configuration audit does not have to be a separate activity. Some project or maintenance activities are considered as an audit if it provides assurance equivalent to an audit. In such situations, the activities should be clearly identified as contributing to the configuration audit requirement Physical configuration audits Physical configuration audits are a type of audit that involve comparing physical assets to documented requirements, designs or existing asset information. For network configuration changes, physical configuration audits should be performed on new or altered assets prior to asset acceptance. Such audits should be performed as often as deemed necessary and appropriate to the scope of work. This would be the responsibility of the AEO responsible for delivering the configuration change. Physical configuration audits should 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 asset information. TfNSW can also perform audits or request that physical configuration audits be performed from time to time Functional configuration audits Functional configuration audits involve comparing the functional performance of assets to documented requirements, designs or existing asset information. Functional configuration audits involve testing, trialling or any other appropriate activity. State of NSW through Transport for NSW Page 22 of 23

23 For network configuration changes, functional configuration audits are required on new or altered assets prior to asset acceptance and at other stages. This would be the responsibility of the AEO responsible for delivering the configuration change. 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 can also perform audits or request that functional configuration audits be performed from time to time 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 asset information. Configuration management process audits may be undertaken similarly to and as part of any other quality process audits performed. 16. Reporting AEOs that are delegated network configuration control authority for TfNSW transport assets are required to provide assurance that they are appropriately exercising the authority. Part of that assurance is provided though reporting arrangements with the ASA or the CMAAC. T MU AM PL 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. Reports are expected at regular intervals from configuration control boards of AEOs that hold delegated network configuration control authority, describing the configuration changes that are presented to them and the decisions taken. Currently, the CCB reports are provided every three months. The guidance for the data in reports is provided by the secretary of the ASA CCB. State of NSW through Transport for NSW Page 23 of 23