Division / Business Unit: Function: Document Type: Enterprise Services Engineering Procedure Rail Network Configuration Management Applicability ARTC Network Wide SMS Publication Requirement Internal / External Primary Source Document Status Version # Date Reviewed Prepared by Reviewed by Endorsed Approved 1.6 13 Feb 15 Configuration Management Administrator Configuration Manager Manager Standards GM Technical Standards 24/02/2015 Amendment Record Amendment # Date Reviewed Clause Description of Amendment 1.0 16 Dec 09 All Updated from PP-158 to reflect changes in the Network Alteration Notice form and process and provide clarification on classification of types of work performed. Supersedes PP-158 version 3.1. 1.1 29 Sep 10 Various Updated to include Design Management. 1.2 30 Nov 10 3.5 Note added to Block 12 instructions to clarify requirement for updating MSTs on installed Australian Rail Track Corporation Limited 2015 (ARTC) Disclaimer Page 1 of 28 This document has been prepared by ARTC for internal use and may not be relied on by any other party without ARTC s prior written consent. Use of this document shall be subject to the terms of the relevant contract with ARTC. ARTC and its employees shall have no liability to unauthorised users of the information for any loss, damage, cost or expense incurred or arising by reason of an unauthorised user using or relying upon the information in this document, whether caused by error, negligence, omission or misrepresentation in this document. This document is uncontrolled when printed. Authorised users of this document should visit ARTC s intranet or extranet (www.artc.com.au) to access the latest version of this document.
1.7, 1.8 & 3.7 infrastructure which is yet to be commissioned. Clarification on requirements for Safe Notices, Train Notices and TOC Waivers and definition of terms added. 1.3 19 Aug 13 Various Document references and changes relating to the revision of PP-157 Project Management have been updated. 1.4 17 Dec 13 Various Addition of references to procedure EGP-03-02 Equipment Register Updating & Maintenance in response to audit findings. 1.5 14 Jan 14 Various Risk references updated. 1.6 13 Feb 15 1.7 & 3.10 3.5 3.7.4 Removed reference to Configuration Change Checklist form & FACA 027 Added details about use of NAN folders and links in the NAN register NAN status options Not Approved and Completed removed Added new section for Route Access Condition Notices. Page 2 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
TABLE OF CONTENTS 1. INTRODUCTION... 5 1.1. Purpose... 5 1.2..Scope... 5 1.3. Configuration Management Manual... 6 1.4. Configuration Management Standard... 6 1.5. Procedure Owner... 6 1.6. Responsibilities... 6 1.7. Reference Documents... 6 1.8. Definitions... 7 2. CONFIGURATION MANAGEMENT... 9 2.1. Introduction... 9 2.2. Pre-Approval Activities... 9 2.3. Configuration Change Management... 10 2.4. New Configuration Management Baseline... 10 2.4.1. The Contract Baseline 11 2.4.2. The Functional Baseline 11 2.4.3. The Design Baseline 11 2.4.4. The Commissioned Baseline 11 2.5. The Product Baseline... 12 2.6. Configuration Assessment... 12 3. NETWORK ALTERATION NOTICE (NAN)...13 3.1. Introduction... 13 3.2. Purpose... 14 3.3. Responsible Officer... 14 3.4. Process... 14 3.5. Generate the NAN... 14 3.6. Approval and Signoff... 17 3.7. Issue of Notification to Affected Parties... 18 3.7.1. Train Notices 18 Page 3 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
3.7.2. Safe Notices 18 3.7.3. Train Operating Conditions (TOC) Amendment/Waiver 18 3.7.4. Route Access Condition (RAC) Notice 18 3.8. Changes to Planned Works... 19 3.9. Response to Incidents... 19 3.10. Close out of NAN... 19 3.11. NAN and CCL Auditing... 19 4. DESIGN CHANGE MANAGEMENT...20 4.1. Inspection and Test... 20 4.2. Verification of Design Integrity... 20 APPENDIX 1 - NAN PROCESS FLOWCHART...23 APPENDIX 2 - NETWORK ALTERATION NOTICE...24 Page 4 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Introduction 1. Introduction 1.1. Purpose The purpose of this procedure is to 1. define rail network configuration management in ARTC; 2. provide tools for management and implementation of Configuration Management; and 3. provide guidance on Configuration Change and Network Alteration Notices including documentation and approvals 1.2..Scope This procedure covers all rail network items managed by ARTC, and the documentation that describes these items. Rail network items include all assets, systems and related documentation and software required to operate and maintain the ARTC rail network. This procedure does not cover the assessment of new rail network equipment and systems from a suitability perspective. Specific detail on change management for infrastructure documents, operations documents and for drawings is detailed in Table 1-1. The following table clarifies what procedures are applicable: Topic Risk considerations for change management Regulatory Notification Changes to infrastructure documents Changes to operations documents New rail network equipment and systems approval New rail network drawings and drawing updates Configuration management of rail network items Equipment data updating Procedures to use RM-01 ARTC SMS EGP-01-01 ARTC SMS EGP-21-01 EGP-04-01 EGP-04-02 EGP-03-02 EGP-10-01 EGP-10-02 Procedure Title Risk considerations for change management Regulatory Notification in accordance with the ARTC Safety Management System (Manage Accreditation Variation and Change) Engineering Document Control ARTC SMS (Document Control) New Equipment and Systems Approvals Engineering Drawings & Documentation Drawing Management System (DMS) Rail Network Configuration Management Equipment Register Updating & Maintenance Asset Maintenance Works Management Asset Maintenance Works Management Procedure Table 1-1 Applicable Procedures for Change Management Page 5 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Introduction 1.3. Configuration Management Manual This procedure refers to and must be read in conjunction with the Configuration Management Manual EGN-03-01 for greater detail to deal with more complex projects and for training purposes. 1.4. Configuration Management Standard This configuration management procedure is based upon AS/ NZ 10007-2003 Guidelines for Configuration Management. 1.5. Procedure Owner The Configuration Manager is the Procedure Owner and is the initial point of contact for all queries relating to this procedure. 1.6. Responsibilities General Managers are responsible for implementation of configuration management within their area of responsibility in accordance with this procedure. General Manager(s) may delegate their responsibility for defined scope of work to Project Managers or other staff. These delegations can be for specific periods of time or for specific projects and shall be recorded for audit purposes. The Configuration Manager is responsible for the provision of training in configuration management, and for ensuring that configuration management auditing is taking place and that audit findings are being responded to by responsible staff. The Infrastructure Managers are responsible for ensuring that an appropriate level of risk assessment is performed per RM-01 for Major Periodic Maintenance and Capital Works Projects identified in the Annual Work Program undertaken per PP-151. The General Manager Technical Standards is responsible for ensuring that an appropriate level of risk assessment is performed per RM-01 for new equipment and systems introduced into the ARTC Network per EGP-21-01. 1.7. Reference Documents The following documents are referred to in this procedure: AS/ NZ 10007 2003 Guidelines for Configuration Management AS4292.1-2006 Clauses 6.3 and 6.4, AS4292.4-2006 Clauses 3.4, 4.3 and 7 EGN-03-01 Configuration Management Manual EGP0301F-01 Network Alteration Notice EGP-03-02 Equipment Register Updating and Maintenance Infrastructure System Maps PP-115 Asset Identification EGP-04-01 Engineering Drawings and Documentation Page 6 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Introduction EGP-04-02 Drawing Management System [DMS] EGP-21-01 New Equipment and System Approvals PP-129 Control of Configuration of Signalling and Communications Systems PP-130 Control of Software Configuration for Signalling & Communications Systems PP-151 Annual Work Program PP-157 or EGP-20-01 Project Management EGP-10-01 Asset Maintenance Works Management RM-01 Risk Management Procedure ARTC SMS Safety Audit ARTC SMS Manage Accreditation Variation and Change OWP-01-00 NSW TOC Waiver Preparation SP-03-11 Safe Notice Preparation & Distribution TA-02 Network Interface Coordination Plan 1.8. Definitions The following terms and acronyms are used within this document: Term or acronym Approved Alternative Item ARTC Fixed Asset Register (AFAR) Change Initiator Description An item that has been type approved in accordance with EGP-21-01 and that fulfils the function of the original item that it replaces. A register used for financials of all items of equipment within the ARTC Network. The person initiating the change. This may be, for example, the ARTC Project Manager, Major Works Alliance Partner, Team Manager, Infrastructure Manager, Delivery Manager, or Maintenance Alliance Partner. Configuration The Functional and Physical characteristics of an existing or planned product, or a combination of products. One of a series of sequentially created variations of a product. Configuration Audit Configuration Baseline Configuration Change List (CCL) Configuration Item An audit of the functional and physical status of an item and the documents which fully describe it (specifications, design reports, drawings, test reports, commissioning reports, user manuals etc) Configuration of a product and the documents which fully describe it, formally established at a specific point in time, which serves as reference for further activities. A list of configuration items and the changes required to be made to them. A non-specific term used to denote any product, including systems, Page 7 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Introduction materials, parts, software, subassemblies, sets, accessories, etc. Configuration Management Configuration Management Plan Equipment Register (Ellipse) Infrastructure System Maps (ISM) MST Network Network Alteration Notice (NAN) Product Project Management Procedure Safe Notice TOC Amendment/Waiver TMP Train Notice Works Management Technical and Organisational activities comprising of configuration identification, configuration control, configuration status accounting and configuration auditing and provides the necessary management controls that enable: The orderly establishment, recording, and maintenance of a product s performance, functional and physical characteristics. Orderly management and control of changes to the product s characteristics. A Configuration Management Plan describes how Configuration Management is accomplished and how consistency between the product s definition, its configuration, and the configuration management records is achieved and maintained throughout the applicable phases of the product s life. A register of all items of Network equipment and data within the Network. Refer EGP-03-02 Equipment Register Updating & Maintenance for more information. Infrastructure System Maps can be found on the ARTC website at http://www.artc.com.au/content.aspx?p=37. Maintenance Schedule Tasks - an instruction to perform a specific maintenance inspection. Any defined infrastructure or operational system, on / off track maintenance / measuring equipment that is required for the purpose of creating or supporting ARTC deliverables. The form used to coordinate the notification and authorisation of a configuration change. Something that is used or produced to satisfy a need or is as a result of a process (e.g., documents, facilities, firmware, hardware, materials, processes, services, software, systems,). PP-157 Project Management can be used until 30/6/2014 for existing projects. EGP-20-01 Project Management is to be used for all new projects and for transition of existing projects where applicable. Document used in NSW to advise temporary and permanent changes to Safeworking Rules and Procedures. Also used to advise changes to infrastructure as detailed in Local Appendix Units (LAUs) Document used in NSW to advise temporary and permanent changes to the Train Operating Conditions Manual (TOC Manual). Technical Maintenance Plan Document used in SA, Vic and WA to advise permanent changes to the Code of Practice for Operations and Safeworking (TA02 and TA20). Also used to advise temporary changes to operating conditions. A system for recording defects, faults and failures found, so that their repair Page 8 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Configuration Management System (WMS) and/or removal can be planned by the Corridor s Asset Maintainers. 2. Configuration Management 2.1. Introduction Configuration Management (CM) in ARTC is a risk control and change management process that is applied over the life cycle of the network or a product to provide visibility and control of its functional and physical characteristics. This is usually due to maintenance or approved project activity. This process comprises of six integrated process elements; Management Responsibility, Planning, Configuration Identification, Configuration Control, Configuration Status Accounting and Configuration Auditing, as shown in Figure 1.1. CONFIGURATION MANAGEMENT PROCESS MANAGEMENT RESPONSIBILITY PLANNING IDENTIFICATION CONTROL STATUS ACCOUNTING AUDITS ORGANISATION RESPONSIBILITIES TRAINING CONTRACT REVIEW CM PLAN CM TOOLS ITEM IDENTIFICATION CONFIGURATION IDENTIFIERS BASELINES FORMAL CHANGE PROCESS DATA RECORDING MANAGEMENT REPORTS FUNCTIONAL CONFIGURATION VERIFICATION PHYSICAL CONFIGURATION VERIFICATION ENGINEERING RELEASE Figure 1.1 Configuration Management Model In broad terms it can be split into the following areas: 1. Pre Approval activities 2. Configuration Change Management 3. New Configuration Management Baseline 2.2. Pre-Approval Activities During this period assessments are undertaken to determine the changes required to the configuration of particular items to meet requirements. During this stage there are no changes Page 9 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Configuration Management to the configuration of the current items or the documents that fully describe them. Activities in this period include: 1. Identify rail network items and where relevant identify the Asset Category or Type from the Asset Register; 2. Describe the Scope of Works which is judged to be reportable per ; ARTC SMS Manage Accreditation Variation and Change 3. Conduct a Risk Assessment per RM-01 on the defined changes of the activity; 4. Prepare the Network Alteration Notice (NAN) including the Configuration Change List (CCL) as required; and 5. Plan the implementation of the configuration change. 2.3. Configuration Change Management The commencement of this stage is when the formal approval is granted for a project (or other configuration change) to proceed. This is linked with the Project Plan approval for the work to proceed and the fulfilment of all applicable regulatory requirements per ARTC SMS Manage Accreditation Variation and Change. During this stage the configuration of the item is modified or changed in accordance with the approved project scope. During change implementation, variation from the approved specifications may be required. The variance is recorded and authorised by the responsible manager in accordance with their delegation of authority. Variances are to be managed using the Network Alteration Notice to approve and communicate the change. Approved variances are recorded in the documentation of the as built configuration of the affected items. Refer to Section 4 for Design Change Management. For complex projects the management of this change is by an approved Configuration Management Plan that is prepared under the Project Management Procedure. The template for the Configuration Management Plan is provided as EGN0301T-01. Change notification is achieved using the Network Alteration Notice (NAN) detailed in Section 3. The NAN/CCL is a live document and may change during the course of the project. For simple projects consideration of Configuration Management issues is to be included in the Project Management Plan. Notification of change management is achieved using the NAN. Detailed guidance on change management and development of configuration baselines for complex projects is provided at Section 4.5.1 of EGN-03-01 Configuration Management Manual. For configuration changes arising during maintenance, changes cannot commence until the NAN is approved. 2.4. New Configuration Management Baseline For complex network changes, there will be several configuration baselines between specification and final commissioning. These can include the functional, design and allocated baselines per EGN-03-01 Section 4.5. Page 10 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Configuration Management Configuration baselines should be established whenever it is necessary to define a reference configuration during the product life cycle, which serves as a starting point for further activities. The level of detail to which a product is defined in the configuration baseline is dependent on the degree of control required. 2.4.1. The Contract Baseline The Contract and any Functional and Performance Specifications shall be placed under configuration control at the commencement of the contracted activity (Contract Effective Date or as soon as possible after). These documents form the contract baseline. These documents shall be released on a controlled circulation through the CM process under the authority of the Project Manager and recorded on the Document Management System. 2.4.2. The Functional Baseline The Functional Configuration Baseline consists of the functional configuration documentation, which describes the systems functional performance, interoperability, interface requirements, and the verifications required to demonstrate the achievement of those specified requirements. The proposed Functional Configuration Documentation (e.g. Customer Requirements or Design Brief) shall be released prior to the Preliminary Design Review, for review and agreement at the Preliminary Design Review. The Functional Baseline is established following Functional Configuration Documentation approval and Preliminary Design Review close out. 2.4.3. The Design Baseline The Design Configuration Baseline consists of the approved design configuration documentation, which is the combined performance and design documentation utilised for the production and procurement of a product, it may include documentation on tooling and production processes. The proposed Design Configuration Documentation shall be released prior to the Design Review, for review and agreement at the Design Review. The Design Baseline is established following Design Review close out. 2.4.4. The Commissioned Baseline The Commissioned Configuration Baseline consists of the marked up approved design configuration documentation. This documentation is established after close out of the Functional and Physical configuration audits and prior to the commencement of operation. The documentation shall be released prior to the Product Configuration As Built Baseline. Page 11 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Configuration Management 2.5. The Product Baseline The Product Baseline consists of the approved product configuration documentation, which is the As Built documentation. The Product Baseline is established after the commissioned baseline has been formally drafted and then released. This new baseline is typically, but not exclusively, described by the following: Specifications, design reports, drawings, user and maintenance manuals, spares lists, test reports, updates to related documents and systems (eg. Ellipse), and commissioning reports. It is a requirement that all technical documentation relevant to the as-built configuration, per the list above, be stored electronically in the applicable record management systems for ready future access e.g.: Drawings in the Drawing Management System (DMS), Structures Documents in the Bridge Management System (BMS) and general Engineering Documents in HP Trim. 2.6. Configuration Assessment Configuration assessment is used to ensure that a configuration change complies with its contracted or specified requirements and to ensure that a configuration change is accurately reflected in the configuration data. At least two types of assessments shall be performed during commissioning: Functional Configuration Assessment (FCA) which verifies whether the configuration item meets the functional performance requirements specified. Physical Configuration Assessment (PCA) which verifies whether the configuration item meets the physical characteristics specified in the approved design documentation (including any approved changes). General audits will also be carried out for configuration compliance against project or maintenance requirements per the standard audit program, as required by the Configuration Manager from time to time. Further details on configuration auditing may be found in Section 3.16, EGN-03-01 Configuration Management Manual Section 7 and ARTC SMS Safety Audit. Page 12 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Network Alteration Notice (NAN) 3. Network Alteration Notice (NAN) 3.1. Introduction The process of managing the configuration change of ARTC items; informing stakeholders and obtaining approvals is undertaken though a Network Alteration Notice (NAN) as part of the approval process during all project management or maintenance activities as shown in Figure 3-1. Figure 3-1 NAN and CCL flowchart for maintenance and project configuration changes Page 13 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Network Alteration Notice (NAN) 3.2. Purpose The NAN covers the requirement for the advice, approval and notification of Network alterations which alter the operational capability, configuration, documentation or safe working requirements of the ARTC Network and the maintenance of ARTC operational systems. A Network alteration can be any software component, release, tool, documentation or hardware unit required for the purpose of creating or supporting ARTC Network deliverables. All Network alterations undertaken by ARTC, Alliance Partners and / or (sub) Contractors are required to conform to this procedure. 3.3. Responsible Officer The ARTC officers responsible for approving alterations to the Network are the relevant Delivery Manager or delegated officer and the relevant General Manager or delegated officer. 3.4. Process For complex projects, the NAN is written in the Project Assessment Phase, and is part of the Project Approval. The NAN shall also be raised on commencement of a simple project, or when maintenance action leads to a necessary configuration change. The aim is to report, record and update system information that comes through the major / minor or periodic maintenance work schedules, using the NAN as the approval form covering updated MST s. There may be minor or major changes to the NAN content during Detailed Design or Project Implementation. In the case of minor changes to the NAN that do not alter the project objectives the project proceeds as planned, and the NAN is updated with all such minor changes prior to commissioning. However in the case of major changes that impact on project objectives, the amended NAN shall be re-approved by the responsible manager. For complex projects, a revision to the Configuration Management Plan shall be developed and approved. During maintenance, changing an item with one of exactly the same manufacturer and part number is not a configuration change. Replacing an item with an approved alternative item is a configuration change and a NAN is required. Approval of the NAN is not required when replacing an item with an approved alternative item that does not result in any changes to the operational capability, configuration or safe-working requirements of the ARTC Network; however distribution of the change information on the unapproved NAN is required so that records can be updated. For items managed under a Equipment Register / Works Management System, the responsible manager shall also approve any changes to MST s, and address any defects that are no longer relevant per EGP-10-01 Asset Maintenance Works Management. 3.5. Generate the NAN The NAN is prepared and managed by the Change Initiator. The initiator can be an ARTC employee or service providers and will be able to obtain a number from the system. The Change Initiator assigns each NAN a number based on the NAN register. The Change Initiator opens the NAN register, takes the next available number and fills in the Status, Date Raised, who it was Raised By, the Jurisdiction of the change (eg North South, Hunter, East West), the Location of the change, a short description of the change and the Project Number. Page 14 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Network Alteration Notice (NAN) The NAN register is available at: http://intranet.artc.com.au/eng_network-config_nan.html#nanregister. Each NAN number on the register is a link to a folder where the configuration change documents are to be stored for use by the relevant stakeholders. Each NAN folder contains the following sub-folders to help sort the information into clearly defined sections: 01 NAN 02 CCL Confirmation 03 Ellipse Data 04 Drawings 05 Risk Assessment 06 Notices (Safe, Train, Route Access Condition (RAC), Train Operating Condition (TOC) 07 Correspondence When the NAN number is initially obtained, the Status column of the NAN register shall be filled in with Awaiting Approval, or Approval not required in the case of approved alternative item replacements. During the project or works, the status and other NAN details are to be updated to reflect the progress of the configuration process. Throughout the process, the NAN may have the following status: Awaiting Approval before approval of the changes indicated on the NAN has been gained. Approved the changes proposed on the NAN have been approved. On Hold the changes indicated on the NAN are put on hold. Cancelled the changes indicated on the NAN have been cancelled. Closed Out All changes indicated on the NAN have been completed and all required Configuration systems updated, regulators informed where necessary (as per NAN Part 3 Item 11) and the completed Configuration Change List (CCL) has been signed off. Approval not Required - Network alterations that do not alter the operational capability, configuration or safeworking requirements of the ARTC Network do not require approval i.e. approved alternative item replacement. The Date sent for Approval column shall have the date that the NAN was sent for approval entered into it by the change initiator. The Date Approved column shall have the date of approval of the NAN entered into it by the change initiator. The Date sent for Scope Change Approval column shall have the date that the NAN was sent for approval entered into it by the change initiator. The Date Scope Change Approved column shall have the date of approval of the NAN entered into it by the change initiator. The Project Start Date column shall have the date the project began entered into it by the change initiator. Page 15 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Network Alteration Notice (NAN) The Date of Practical Completion column shall have the date that the works being undertaken for the project are completed entered into it by the change initiator. The date all items detailed in the CCL have been actioned shall be entered into the CCL Close Out column by the change initiator. The NAN Close Out date shall have the date that the NAN was closed out entered into it by the change initiator. EGP0301F-01 Network Alteration Notice (NAN) is available at: http://extranet.artc.com.au/docs/eng/all/forms/egp0301f-01.doc. The Change Initiator is required to complete the NAN (as per the following). Block 1: Enter the NAN Number and the details of the organisation responsible for the configuration change. Block 2: Enter the Project details. Block 3: Enter details of the proposed change and works to implement the change. Block 4: Enter the location details of the proposed alteration. Block 5: Identify whether the project will affect network operations. To reach a decision, the initiator may need to seek guidance from Network Controllers or Corridor Operations Managers to determine how significant the effect would be. If the project is considered to affect network operations, then the relevant Operations Manager must approve the Network Alteration Notice. Details of the effect on operations are to be provided and a Train / Safe Notice must be drafted as per Section 3.7. Block 6: Provide details of internal and external stakeholders who will be affected during and after the alterations. Stakeholders identified in this section must also be included in Part 3 to ensure that they receive notification during distribution of the NAN. Block 7: Provide a copy of the Risk Assessment for the project or maintenance works and provide a schematic diagram showing the changes being made. Block 8: Approval of the NAN as discussed in Section 3.6 Blocks 9 & 10: Should the scope of the work change significantly during the project or activity, details of the scope change are to be provided in this section and approval of the scope change is to be gained as per the instructions in Section 3.6. This change of scope is to accompany financial approval documents. Block 11: Enter person and date of advice to inform regulators as per ARTC SMS Manage Accreditation Variation and Change. Block 12: Identify Documents/Systems Requiring Update: As part of the configuration management process, it is necessary to identify any systems and/or documents which will require updating due to the changes resulting from the project, maintenance or other activities identified in the NAN. A tool to assist in identifying the relevant documents or systems to be updated is available at: http://intranet.artc.com.au/eng_network-config_nan.html. Page 16 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Network Alteration Notice (NAN) The details of the documents/systems requiring change are to be included in the Configuration Change List at the end of the Network Alteration Notice or by using the form available from the Document and System List tool. During the configuration change, all configuration items identified in the Configuration Change List shall be updated to reflect the final status of the items involved in the configuration change. The change initiator is to liaise with the relevant stakeholder responsible for the document or system update and, also provide all relevant information to ensure that the information is correct, and in the required format to enable the document or system to be accurately updated. The stakeholders can be directed to the relevant NAN folder and its individual subfolders to locate the configuration change information to enable the document or system to be updated. Once this information has been compiled, the parties identified in the CCL are required to perform the action listed and then advise the change initiator of the completion of the task. Note 1: Refer to procedure EGP-03-02 Equipment Register Updating and Maintenance for instructions on updating changes to configuration items and associated maintenance scheduled tasks. Note 2: During construction, if assets are installed into the active network and to be commissioned at a later date, then the Change Initiator, in conjunction with the Team Manager and Asset Data Administrator, is to ensure that the relevant MST s are activated as appropriate when the asset is initially installed. The completion date of the update shall be entered onto the electronic version of the CCL stored on the server. Once all the updates have been completed, the CCL shall be printed off and signed off by the Change Initiator. The signed and completed CCL shall then be scanned into the NAN folder and the paper copy filed with all the other project records. All updates are expected to be completed within 60 days of the commissioning of the configuration change and the updates shall be coordinated to meet the demands of the FAR. Blocks 13/14/15: Identify stakeholders who will need to be advised of the activities detailed in the NAN and provide advice at the appropriate phase of the project or work that meets the stakeholder s needs. Some guidance on this matter is included in Part 3 of the NAN. Stakeholders may be included on the CCL if they are involved in an activity to update a document or system or may receive advice of the NAN for information only purposes to assist with the performance of their duties. A detailed NAN process flowchart is provided in Appendix 1 and an example of a NAN template is provided in Appendix 2 Network Alteration Notice. 3.6. Approval and Signoff In the case of maintenance changes or simple projects the NAN is raised as soon as a need for change is identified and forwarded by the Change Initiator to the Delivery Manager (or delegate per Section 1.5) and relevant General Manager (or delegate per Section 1.5) for approval and sign-off prior to the start of the configuration change. Page 17 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Network Alteration Notice (NAN) In the case of complex projects the NAN is initially raised in accordance with the Configuration Management Plan (CMP) guidance before detailed design commences and forwarded to the approval authority identified in the CMP. The date that the NAN was sent for approval shall be entered into the Date Sent for Approval column of the NAN and register by the change Initiator. A NAN may be amended prior to approval. The NAN will be rejected if it does not align with the ARTC Network strategy or does not meet with infrastructure and operational requirements. The initiator will be informed of the decision and this will be recorded. If the NAN is rejected, Not Approved must be entered in the Status column of the NAN register. If the NAN is approved per the delegations in Section 1.5, Approved must be entered in the Status column of the NAN register, and the date of approval entered into the Date Approved Column of the register by the change initiator. Approval of the NAN shall be sought for any changes to the NAN in particular the CCL Section. If multiple Scope Change Approvals are required an additional Approvals sheet shall be produced. A NAN shall be produced and distributed for all Network alterations, but approval is NOT required for Network alterations that do not alter the operational capability, configuration or safeworking requirements of the ARTC Network i.e. approved alternative item replacement. 3.7. Issue of Notification to Affected Parties The Change Initiator is responsible to advise the relevant corridor operators as detailed. Notification advices are to be prepared and sent to the relevant parties for issue, so that notification can be made at least two weeks prior to the change coming into effect. 3.7.1. Train Notices Train Notices shall be produced and distributed in accordance with TA 02 Appendix XIV ARTC notices. 3.7.2. Safe Notices SAFE Notices shall be produced and distributed in accordance with SP-03-11 SAFE Notice Preparation & Distribution. 3.7.3. Train Operating Conditions (TOC) Amendment/Waiver TOC Amendments/Waivers shall be produced and distributed in accordance with OWP-01-00 NSW TOC Waiver Preparation. 3.7.4. Route Access Condition (RAC) Notice RAC notices shall be produced and distributed in accordance with OGP-30-01 Route Access Condition Notice. Page 18 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Network Alteration Notice (NAN) 3.8. Changes to Planned Works If changes are required to previously issued NAN's and Train/SAFE Notices regarding the planned dates or extensions to agreed track closures then, notice shall be given to the operations project representative and the Assistant Planner (or Train Transit Manager (TTM) outside of normal business hours) as soon as possible. An amended Train/SAFE Notice shall be issued identifying when the works will be completed and referencing the previous versions of the Train/SAFE Notice. 3.9. Response to Incidents NAN s are only required for items that will incur a permanent change. For incidents a NAN shall be retrospectively issued if permanent changes to the infrastructure will result from any restoration works. 3.10. Close out of NAN The close out of the NAN is achieved by completing Part 4. The Change Initiator shall confirm that the following conditions are met: All changes indicated on the NAN have been completed and all required Configuration Systems updated, and the completed Configuration Change List (CCL) has been signed off. The Change Initiator shall sign off and date the NAN. The completed NAN shall be electronically stored in the NAN register folder and the original hardcopy shall be stored with the project file. The change initiator is responsible to ensure that the NAN register is updated to indicate that the NAN has Closed Out in the status column and the date that the NAN was closed out shall be entered into the Close Out Date column. 3.11. NAN and CCL Auditing The relevant General Manager shall ensure the audit of the progress and completion of NAN's and CCL's. Emphasis shall also be given to auditing that NAN s are approved prior to the commencement of configuration changes. Further audit details are provided at Section 2.5 and in EGN-03-01 Configuration Management Manual Section 7. Page 19 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Design Change Management 4. Design Change Management 4.1. Inspection and Test ARTC utilises independent agents for the verification and validation of design integrity. Verification is achieved by inspection and assessment against a checklist of items, which may be more extensive than that required for construction certification. For example; the verification activity will include inspection and assessment of the infrastructure against ARTC and Alliance Partners documented monitoring and maintenance practices. There are various types of inspection and testing activities that can be carried out for given condition parameters. Each inspection type has specific conditions it is aimed at detecting. Visual and other inspection types are generally carried out for one the following reasons: To detect unsafe conditions, which may be expected to occur in the infrastructure between other more detailed inspections, To detect unsafe conditions that may occur in the infrastructure due to accelerated deterioration; and To detect faults that cannot be measured by any other means. Verification methods by inspection or test must take into account the following considerations: Clear definition of the defect conditions that may be found from each inspection method. The ability of the inspection and test process to reliably detect the defect condition to an appropriate accuracy. Location, method, level of detail and frequency of inspection and testing; and Control, calibration and maintenance of equipment used for inspection and testing. 4.2. Verification of Design Integrity ARTC accepts changes to the design or configuration of the infrastructure on the basis that the changes conform to an approved design. The acceptance process must include the verification of integrated engineering and operating systems in terms of requirements, standards and designs, and validation against as built documentation. The various verification and validation tasks during modification of infrastructure are the same as those for the concept and design, construction and implementation, and commissioning phases of the asset life cycle. These verification and validation tasks are listed at table A1 of AS4292.4. Internal verification procedures are to include inspection, testing and monitoring of design, commissioning and maintenance of the infrastructure, and independent audits of the infrastructure changes and processes. Figure 2.1 illustrates the verification of design integrity. Page 20 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Design Change Management Figure 2.1 Verification of Design Integrity Figure 2.2 illustrates the relationship between the configuration management documentation, change control and project phases. Page 21 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Design Change Management Figure 2.2 Relationship of CM Documentation to Baselines, Change Control and Project Phase Page 22 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Appendix 1 - NAN Process Flowchart Appendix 1 - NAN Process Flowchart Page 23 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Appendix 2 - Network Alteration Notice Appendix 2 - Network Alteration Notice Page 24 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
Appendix 2 - Network Alteration Notice Page 25 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed
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Appendix 2 - Network Alteration Notice Page 28 of 28 Version Number: 1.6 Date Reviewed: 13 Feb 15 This document is uncontrolled when printed