GU TS 10751: 2013 04003 Management standard · TS 10751: 2013 . Management standard . Configuration Management Guide . Version 1.0 . Issued Date: 25 June 2013 . Effective Date: 1

TS 10751: 2013

Management standard

Configuration Management Guide

Version 1.0 Issued Date: 25 June 2013 Effective Date: 1 July 2013 Important Warning This document is one of a set of standards developed solely and specifically for use on the rail network owned or managed by the NSW Government and its agencies. It is not suitable for any other purpose. You must not use or adapt it or rely upon it in any way unless you are authorised in writing to do so by a relevant NSW Government agency. If this document forms part of a contract with, or is a condition of approval by, a NSW Government agency, use of the document is subject to the terms of the contract or approval. This document may not be current. Current standards are available for download from the Asset Standards Authority website at www.asa.transport.nsw.gov.au.

© State of NSW through Transport for NSW Page 1 of 23

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http://www.asa.transport.nsw.gov.au/

TS 10751: 2013 Configuration Management Guide

Version 1.0 Effective Date: 1 July 2013


Standard Approval Owner: Garry Thong, Configuration Assurance Manager Authorised by: Jagath Peiris, Network Standards Manager Approved by: Jim Modrouvanos, A/Director Asset Standards Authority Document Control Version Summary of Change 1.0 First issue For queries regarding this document

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Preface

The Asset Standards Authority sets configuration control standards for New South Wales

railway assets. It also sets, maintains and administers the framework for organisations who

provide services in relation to the asset life cycle of NSW Rail Assets;

This requirements document aims to inform stakeholders of the intentions and interpretations of

the Asset Standards Authority's approach to configuration management so that there is

consistency in the application of requirements established by the configuration management

framework.

The requirements of this document forms part of the Asset Standards Authority configuration

management framework and Authorised Engineering Organisation framework.

This guide has been prepared and reviewed by the Asset Standards Authority Establishment

team and approved by the Asset Standards Authority Establishment Project Committee.

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Table of contents

1. Introduction .......................................................................................................................................5

2. Purpose ..............................................................................................................................................5

2.1 Scope..................................................................................................................................................5 2.2 Application.........................................................................................................................................5

3. Reference documents.......................................................................................................................5

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

5. Configuration management .............................................................................................................8

5.1 Configuration management guidance.............................................................................................8 5.2 Network configuration management...............................................................................................9 5.3 Other requirements associated with configuration changes .......................................................9

6. Configuration management plans.................................................................................................10

6.2 Terms and definitions used in the plan ........................................................................................11 6.3 Scope of authority...........................................................................................................................11 6.4 Authority and responsibility within the business unit or organisation.....................................11 6.5 Addressing further configuration management planning ..........................................................12 6.6 Configuration identification planning ...........................................................................................12 6.7 Configuration control planning .....................................................................................................12 6.8 Configuration status accounting and product configuration information

planning ...........................................................................................................................................13 6.9 Closing configuration change requests .......................................................................................14 6.10 Planning configuration audit requirements .................................................................................14 6.11 Configuration management records .............................................................................................14

7. Configuration management plan approval ...................................................................................15

8. Configuration management roles..................................................................................................15

8.1 Configuration control boards ........................................................................................................15 8.2 Configuration change managers ...................................................................................................17 8.3 Configuration management coordinator role...............................................................................17

9. Stakeholders....................................................................................................................................18

9.1 Identifying stakeholders.................................................................................................................18 9.2 Consulting with stakeholders ........................................................................................................18

10. Interaction with the configuration management committee.......................................................19

10.1 Presentations to the configuration management committee .....................................................19

11. Interaction with the ASA configuration control board ................................................................20

12. Network configuration changes that impact multiple configuration control boards ..............................................................................................................................................20

13. Configuration change request numbers.......................................................................................20

14. Product configuration information................................................................................................20

14.1 Configuration information systems ..............................................................................................21

15. Auditing............................................................................................................................................21

15.1 Planning audits................................................................................................................................22

16. Reporting .........................................................................................................................................23 Sup

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1. Introduction

The Asset Standards Authority owns the process for network configuration management and for

the authorisation of engineering organisations. This guide provides additional information to

support both of these processes.

2. Purpose

This document provides guidance for the implementation of configuration management

particularly relating to network integration. It aims to assist parties implementing part or all

aspects of network configuration management where required to do so by the TfNSW Rail Asset

Configuration Management Plan or any other associated document.

2.1 Scope

This document forms part of the Asset Standards Authority configuration management

framework but also supports the authorised engineering organisation framework. It integrates

the guidance information for both frameworks into a single document to simplify access to the

information.

2.2 Application

This configuration management guide is intended to be used by organisations that apply

network configuration management in accordance with the TfNSW Rail Asset Configuration

Management Plan. An organisation within the context of this document may be TfNSW, an

agency of TfNSW, an AEO or any part of such organisations. This guide may also assist any

party that is required to interface with these organisations.

Explanatory information and guidance is included within this document. Guidance information

provided in this document is not mandatory however it is expected that network configuration

management activities and outputs shall comply with the guidance presented in this document

whenever practical. Some elements of this guide refer to requirements specified in other

documents or systems, where this occurs, such requirements are mandatory.

3. Reference documents

TfNSW Rail Asset Configuration Management Plan

Product Configuration Information Requirements

Configuration Management Committee Terms of Reference

Configuration Change Request Numbering System Manual

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4. Terms and definitions

AEO Authorised Engineering Organisation

ASA the Asset Standards Authority

CCB Configuration Control Board

CCM configuration change manager

CCP configuration change plan

CDR critical design review

change control means activities for control of the product after formal approval of its product

configuration information

CI configuration item

CM configuration management

CMC Configuration Management Committee

configuration audit an examination to determine whether a configuration item conforms to its

configuration baseline

configuration baseline an approved product configuration that establishes the characteristics

of a product at a point in time that serves as reference for activities throughout the life cycle of

the product

configuration change manager the person who has primary responsibility for a configuration

change

configuration change request a formal request to add or change an asset that is subject to

configuration control

configuration control board a person or a group of persons assigned responsibility and

authority to make decisions on the configuration

configuration documents product configuration information and its supporting medium

configuration identification activities comprising determination of the product structures,

selection of configuration items, documenting the configuration item’s physical and functional

characteristics

configuration information custodian a person who has responsibility for managing


configuration item an entity within a configuration that satisfies an end use function

configuration management coordinator means a person managing the business activities of

a configuration control board or otherwise facilitating configuration management activities

configuration management means coordinated activities to direct and control configuration Sup

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configuration interrelated functional and physical characteristics of a product defined in product


configuration status accounting the formalised recording and reporting of product

configuration information, the status of proposed changes and the status of the implementation

of approved changes

delivery AEO means an AEO responsible for delivery of part or all of a configuration change

FCA functional configuration audit

maintenance AEO an AEO responsible for maintaining configuration items

network configuration the configuration of assets viewed as a system

PCA physical configuration audit

product configuration information requirements for product design, realisation, verification,

operation and support

railway assets rail infrastructure, rolling stock and associated systems

railway operations any of the following:

the construction of a railway, railway tracks and associated railway track structures

the construction of rolling stock

the management , commissioning, maintenance, repair, modification, installation,

operation or decommissioning of rail infrastructure

the commissioning, use, modification, maintenance, repair or decommissioning of rolling

stock

the operation or movement, or causing the operation or movement by any means, of

rolling stock on a railway (including for the purposes of construction or restoration of rail

infrastructure)

the movement, or causing the movement, of rolling stock for the purposes of operating a

railway service

the scheduling, control and monitoring of rolling stock being operated or moved on rail

infrastructure

rail infrastructure the facilities that are necessary to enable a railway to operate and includes:

railway tracks and associated railway track structures

service roads, signalling systems, communications systems, rolling stock control systems,

train control systems and data management systems

notices and signs

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associated buildings, workshops, depots and yards

plant, machinery and equipment

but does not include:

rolling stock

any facility, or facility of a class, that is prescribed by the national regulations not to be rail

infrastructure

rolling stock a vehicle that operates on or uses a railway, and includes a locomotive, carriage,

rail car, rail motor, light rail vehicle, train, tram, light inspection vehicle, self propelled

infrastructure maintenance vehicle, trolley, wagon or monorail vehicle, but does not include a

vehicle designed to operate both on and off a railway when the vehicle is not operating on a

railway.

SFAIRP so far as is reasonably practicable

TfNSW Transport for New South Wales

5. Configuration management

TfNSW requires that configuration management be applied to its current and proposed railway

assets. Authorised Engineering Organisations (AEOs) changing or supplying TfNSW railway

assets are required to implement configuration management.

The Asset Standards Authority applies the definition of configuration management that is

described in ISO 10007-2003 – Quality management system – Guidelines for configuration

management.

5.1 Configuration management guidance

An Authorised Engineering Organisation is required to meet the requirements of ISO 10007-

2003 – Quality management system – Guidelines for configuration management and the TfNSW

Rail Asset Configuration Management Plan.

In meeting the requirements of ISO 10007-2003, Authorised Engineering Organisations will

generally need to demonstrate the following:

a documented, consistent approach to implementing configuration management

requirements throughout the full scope of engineering activities that the Authorised

Engineering Organisation will undertake

a method to identify items that will be placed under configuration control and the

interfaces of those items. A configuration item may be a physical item or any other

element appropriate to the type of work the Authorised Engineering Organisation or part

thereof is performing

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traceability of the development of a solution, including tracing requirements and changes

to requirements through to a final solution

systematic methods for assessing the impacts of changes to other parts or components of

a system and the means of addressing impacts where necessary

identification and assignment of responsibilities of configuration management activities

principles or methodology for assessing and approving configuration changes

the approach to describing the physical and functional characteristics including

maintenance requirements of proposed and completed solutions

recognition of and method of engagement with other parties performing configuration

management activities that interface with the configuration management activities of the

Authorised Engineering Organisation

maintaining records pertaining to configuration changes as evidence of due process

activities that provide assurance that the delivered solution is correctly documented and

meets requirements

5.2 Network configuration management

Network configuration management is a concept applied within TfNSW to describe a specific

case of configuration management. Network configuration management refers to configuration

management at a level that has an impact on the TfNSW railway network when viewed as an

integrated system. Authorised Engineering Organisations engaged to be the primary party

responsible for managing the integration of configuration items into the TfNSW railway network

or with responsibility for maintaining the configuration of railway assets integrated with the

TfNSW railway network will be performing network configuration management activities.

Configuration management related to developing and delivering a railway asset is not network

configuration management if it does not include integration with the TfNSW railway network.

5.3 Other requirements associated with configuration changes

When planning or implementing a configuration change it is necessary to meet all other

requirements that apply to the type of change being implemented including design management,

project management and safety change management requirements.

The fulfilment of certain additional criteria may be integrated into the configuration change

approval process such as by identifying them as pre-requisites. The integration of any additional

criteria into the configuration management process is at the discretion of the organisation

responsible for planning the configuration management activities.

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6. Configuration management plans

Organisations performing configuration management activities for TfNSW are required under the

AEO framework and the TfNSW Rail Asset Configuration Management Plan to have a

configuration management plan or equivalent document that describes the organisations

configuration management arrangements. Configuration management plans may be a subset of

an overall systems engineering management plan.

An organisation may structure and develop more than one configuration management plan so

long as any dependencies or interfaces between the plans are addressed.

Configuration management plans should be developed based on the guidance provided in this

document.

A configuration management plan should cover the following elements:

a definition of terms and conditions used in the plan

scope of authority covered by the plan

the delegation of authority and responsibilities within the business unit or organisation

the known configuration items that are covered by the scope of work and the processes

involved in the identification of configuration items

a description of how the organisation performs configuration management planning

a description of how the organisation will plan and implement configuration control

including the following:

registering of configuration changes

how and when stakeholders are identified and process in which they are engaged

and consulted

the process and requirements the organisation implements for configuration

change approval

configuration status accounting and product configuration information planning

the requirements for managing the completion of a configuration change

a description of how the organisation will assure TfNSW and the ASA that it is fulfilling its

configuration management responsibilities

a description of an organisation's approach to identifying and managing configuration

records

reporting arrangements to TfNSW or parent configuration control board for network

configuration changes

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6.1.1 Configuration management plans covering network configuration changes

An organisation seeking authority to make network configuration decisions requires a

configuration management plan approved by the ASA configuration control board (CCB). This

ASA configuration control board approval is additional to any approval provided by the

organisation the plan is to be applied to.

The content of the configuration management plan shall comply with ISO 10007-2003 – Quality

management system – Guidelines for configuration management, TfNSW Rail Asset

Configuration Management Plan and any other applicable TfNSW configuration management

requirement.

Generally, each organisation seeking authority to make configuration control decisions need

only present a top-level configuration management plan to the ASA CCB for approval as long as

subsequent plans are covered under the scope of the top level plan.

6.1.2 Scope of authority

Where an organisation's configuration management plan will be presented to the ASA

configuration control board for approval and hence obtain delegated network configuration

control authority, the plan should define the scope of the authority. The purpose of the scope is

to clearly identify to what assets and for what time period the organisation will have network

configuration control authority for. The scope of authority can take the form that is most

appropriate to the organisation and the work that the organisation is to perform. It may be

expressed as a geographical area, types of assets, specific configuration items or by other

means.

6.2 Terms and definitions used in the plan

The configuration management plan should include terms and definitions that assist in the

consistent understanding of terminology applied to configuration management activities. For

network configuration management, terms and definitions should be consistent with those

applied in the TfNSW Configuration Management Plan as it aids consistent communication

between all organisations that apply configuration management to TfNSW railway assets.

6.3 Authority and responsibility within the business unit or organisation

The plan should identify who and how authority within the organisation is managed and

exercised through the inclusion of configuration management roles and names or position titles

of those that hold the roles. The authority, responsibilities and corresponding scope of those

roles should be clearly specified in the plan to show how the organisation attributes its

configuration management responsibilities and accountabilities.

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6.3.1 Network configuration management roles

For network configuration management situations, the following key roles should be included in

a configuration management plan:

configuration change manager

primary and secondary stakeholders within the organisation

person or entity that holds delegated configuration control authority

It is important to clearly identify the scope of authority of primary stakeholders to ensure that all

areas which have the potential to be affected by configuration changes are represented by a

primary stakeholder.

For a network configuration change the scope of a primary stakeholder's consent is defined in

the TfNSW Rail Asset Configuration Management Plan.

6.4 Addressing further configuration management planning

If it is anticipated that the organisation level configuration management plan will be

complemented by additional configuration management plans an Authorised Engineering

Organisation's configuration management plan should describe how further configuration

management planning will be addressed.

6.5 Configuration identification planning

The plan should identify configuration items and the basis for configuration item identification.

For network configuration management, configuration items in the plan should align with

configuration items identified within TfNSW configuration information systems and

corresponding documents. To deliver the engineering services contracted, an organisation may

need to perform a more detailed breakdown of the configuration items than is applied by

TfNSW.

An organisation may choose to identify and manage configuration items that are additional to

TfNSW's-identified items. This could include the management of project requirements as

individual project level configuration items.

6.6 Configuration control planning

An organisation's configuration management plan is required to detail how the organisation will

implement configuration control. This is generally presented as a process.

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6.6.1 Registering of configuration changes

The plan should address how configuration changes are registered and managed. Where the

configuration change is a network configuration change, the plan should address how the

organisation meets the requirements of the TfNSW Rail Asset Configuration Management Plan,

Configuration Change Request Numbering System Manual and other Asset Standards Authority

configuration management framework documents that relate to the traceability of configuration

changes.

6.6.2 Stakeholders and consultation

The configuration management plan should address how and when stakeholders are identified

and the process in which they are engaged to review and comment on a proposed configuration

change.

Related topics:

Stakeholders; section 9

6.6.3 Configuration change approval

The process and requirements for configuration change approval should be documented in the

configuration management plan. Documented approval requirements should include

demonstration of adequate consultation with all stakeholders that may be affected by the

configuration change, resolution of issues raised by stakeholders, evidence that safety

requirements have been addressed and evidence that other applicable requirements have been

met.

Processes for managing conditions of approval should include steps for providing traceability of

compliance to those conditions of approval.

6.7 Configuration status accounting and product configuration information planning

The process of collecting and managing product configuration information management should

aim to provide TfNSW with confidence that the organisation has good control of the product

configuration information it is responsible and accountable for.

The configuration management plan should specify the organisation's requirements, procedures

and tools for configuration status accounting.

Product configuration information should be defined within the scope of the configuration

management plan.

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Where a configuration management plan includes network configuration management it should

describe how the organisation addresses the requirements of configuration information

management described in the TfNSW Rail Asset Configuration Management Plan, the ASA

Product Configuration Information Requirements document and other documents that form part

of the Asset Standards Authority configuration management framework.

As defined in the Railway Asset Product Configuration Information Requirements document,

organisations shall use ASA-nominated configuration information templates when providing

product configuration information to TfNSW or its representative. In most cases the Asset

Standards Authority-nominated templates will be developed and managed by Sydney Trains.

6.8 Closing configuration change requests

Where the scope of the configuration management plan includes network configuration

changes, the requirements for closing a configuration change request should be addressed in

the plan. The method of addressing this requirement should provide assurance that the

configuration change has been implemented in accordance with the configuration change

approval and demonstrate that all mandatory conditions have been met and all deliverables

have been provided.

Where the Asset Standards Authority issued the configuration change request number, the

configuration change can only be closed by the Asset Standards Authority. Organisations,

should request the Asset Standards Authority to close the configuration change, along with

evidence that due process was applied.

6.9 Planning configuration audit requirements

The configuration management plan should describe how the organisation will assure TfNSW

and the ASA that it is fulfilling its configuration management responsibilities.

The plan should identify roles or people responsible for planning and undertaking audits of

configuration items, product configuration information and configuration management processes

that the organisation is responsible for. The plan should demonstrate that audit requirements

have been determined with consideration of risk.

6.10 Configuration management records

Records management requirement is often a standard component of business management

systems. A configuration management plan need only specify or elaborate on specific

requirements associated with configuration management if the organisation can demonstrate

that standard records management requirements exist and are applied.

Records must be kept to provide traceability of:

the configuration of items under the organisations management

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decisions about configuration management or configuration items particularly by those

holding network configuration change control authority

stakeholder comments provided and received

7. Configuration management plan approval

When a configuration management plan is presented to the Asset Standards Authority (ASA)

configuration control board (CCB) for approval, the ASA configuration management

representatives will review the configuration management plan and make a recommendation to

the ASA CCB.

Approval of the configuration management plan by the ASA configuration control board indicates

that the ASA is satisfied that the plan meets the intent of the requirements set out by the TfNSW

Rail Asset Configuration Management Plan as applied to network configuration management.

Approval of the plan by the ASA configuration control board does not represent approval of any

other content that may be included in the presented documents.

Clearly identifying the parts of the document relating to network configuration management will

facilitate the process of gaining approval from the ASA configuration control board.

Unless otherwise specified by the ASA configuration control board, approval indicates that

authority to exercise network configuration control is delegated to the organisation within the

scope of the configuration management plan.

Approval by the ASA configuration control board should not be sought until the scope of network

configuration control authority required has been determined. Configuration control board

approval is separate from the Authorised Engineering Organisation (AEO) authorisation

process. Approval to exercise configuration control is only provided to an AEO when it is

engaged as the primary AEO for a network configuration change. Where a party seeks AEO

status at the same time as being engaged as the primary AEO both approvals may occur

concurrently.

8. Configuration management roles

8.1 Configuration control boards

A configuration control board is a committee that has the authority to provide configuration

change approval. Configuration control boards should consist of members capable of properly

assessing the assurances provided by a party seeking configuration change approval and its

compliance to configuration management processes.

The scope of work being undertaken by an organisation will influence the decision to implement

one or more configuration control boards. If an organisation with network configuration control

authority chooses not to have a configuration control board, alternative arrangements for making

configuration control decisions should be documented. Sup

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The configuration management plan of an organisation that intends to make network

configuration decisions, should identify the configuration control board or boards that will be

established to exercise that authority. The relationship between multiple configuration control

boards within the organisation should be documented including the scope of authority each

configuration control board.

By providing configuration change approval, a configuration control board is, confirming that it is

satisfied that due process has been adequately followed including other technical approvals,

safety approvals, business approvals, stakeholder consultation, and adequate resolution of

stakeholder issues. If the configuration control board is delegated with authority to make network

configuration decisions, the authority and responsibility to provide safety risk acceptance will

also be delegated to the board.

Where network configuration control authority is being exercised, the configuration control board

must confirm that safety management processes have been adequately addressed and that

safety risks have been reduced so far as is reasonably practicable (SFAIRP).

Where a configuration control board is exercising delegated network configuration control

authority, the decisions of the configuration control board should be made in the interest of

TfNSW.

To assist configuration control boards to make informed decisions, the configuration control plan

should clearly identify minimum requirements when presenting a proposed configuration change

to a configuration control board.

Any allowance for the configuration control board to provide conditional approvals should be

documented within the configuration management plan. Establishing minimum evidence

requirements for proposed configuration changes may assist board members and projects

understand the intent of the process and the assurances the configuration control board is

seeking.

Records of configuration control board meetings are to be kept. Records should include minutes

of meetings and any substantive information presented to the configuration control board.

8.1.1 Membership of configuration control boards with network configuration control authority

Configuration control boards that will make network configuration decisions are required by the

TfNSW Rail Assets Configuration Management Plan to have at least one representative from

TfNSW, or a TfNSW agency as a member. TfNSW representation should generally be sought

from the TfNSW business group that procured the configuration change services.

Safety acceptance authority is delegated to configuration control boards. Configuration control

boards should have the capability to properly assess the adequacy of safety assurance activities

undertaken by a project.

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8.1.2 Alternative arrangements for configuration change approval

From time to time it may be beneficial to use alternative procedures for configuration change

approval. Alternative procedures may be required for situations where unexpected approvals are

required, or where project timeframes mean that formal presentation at a scheduled

configuration control board meeting is known in advance to be impractical. Alternative

procedures may be developed to meet the business requirements however they may involve the

delegation of configuration control authority from a configuration control board to nominated

individuals. Alternative arrangements may also include approvals predominately based of

assurances of due process provided in advance to the configuration control board.

Alternative procedures for configuration change approval should be documented and form part

of the configuration management plan. Alternative procedures are not to compromise the intent

of the configuration management system and should still be able to demonstrate that the

interests of TfNSW have not been compromised.

8.2 Configuration change managers

The role of configuration change manager is used when referring to network configuration

changes. The concept may be extended to configuration changes of any type.

The definition and requirements that configuration change mangers shall meet are described

within the TfNSW Rail Asset Configuration Management Plan. Additional or more specific

requirements may be added to address organisation or project-specific situations.

The person identified as the configuration change manager is accountable for the activities

associated with managing the configuration change. Responsibility for individual activities may

be delegated within the scope of the applicable configuration management plans.

By being accountable for a change, the configuration change manager is required to provide

assurance to applicable configuration control boards that due process has been followed,

business and technical approvals have been obtained, stakeholder consultation has been

adequate, issues have been resolved, and that any other requirement set out within applicable

configuration management plans has been complied with.

8.3 Configuration management coordinator role

The role of configuration management coordinator may be established as and when required to

facilitate the application of the configuration management process or the business activities of

configuration control boards.

While the need for the role and the function of the role may vary between organisations, the

standardisation of the configuration management coordinator role provides a consistent

understanding across all parties undertaking network configuration management that assistance

with configuration management procedures or interfaces may be sought from people in those

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Activities that configuration management coordinators may perform include the following:

secretariat of configuration control boards

assisting configuration change managers with identifying stakeholders

maintaining records of configuration management activities

be the initial point of contact for configuration management assistance

9. Stakeholders

9.1 Identifying stakeholders

When a change is proposed, an assessment should be undertaken to identify potential

stakeholders. Additional stakeholders can also be included as the proposed configuration

change proceeds.

Parties that should be considered as stakeholders to a configuration change include any groups,

organisations or individuals that may be affected due to interfaces to the proposed change as

well as users of the proposed change. Stakeholders may be internal or external to the

organisation managing the change.

The ASA keeps a register of primary stakeholders. AEOs are able to reference the ASA's

register of primary stakeholders to help identify primary stakeholder s that may be affected by a

specific proposed configuration change. A primary stakeholder is a person who has been

nominated by the manager of a business group to represent the group.

Stakeholders outside of TfNSW or AEOs that may need to be considered as stakeholders

include other government entities, business operators, interest groups and customers.

Evidence of stakeholder assessment and selection should be maintained to assist in

demonstrating adequate stakeholder engagement.

9.2 Consulting with stakeholders

Consultation with stakeholders involves providing them with enough information about the

proposed change to allow the stakeholder to assess the potential impact of the configuration

change to their area of responsibility. Information may be provided as documents, briefings or

other means appropriate to the stakeholder. If alternate procedures for engaging with an

external organisation exist those procedures should be applied.

The level of engagement with a stakeholder depends on the role and potential impact to the

stakeholder. At minimum, stakeholders should be given the opportunity to provide feedback and

have their questions answered.

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Stakeholders should be engaged early enough in the process of a configuration change for any

reasonable feedback to be efficiently incorporated into the proposed change. Issues raised as a

result of stakeholder consultation are to be assessed and the result of the assessment recorded

as evidence of due process. Issues which are assessed as being valid and within the scope of

the configuration change should be resolved.

For network configuration changes, the responsible configuration control board will ultimately

determine if stakeholder consultation is adequate. The CCB will base this decision on the

evidence provided by the configuration change manager. The configuration control board will

also be able to provide a determination on stakeholder issues that remain unresolved.

10. Interaction with the configuration management committee

Approval of the TfNSW configuration management committee is required at certain stages of a

network configuration change. The TfNSW Rail Asset Configuration Management Plan defines

when this is required. Meetings with the configuration management committee may also be

sought where a determination of the committee is required, such as in the case of resolving a

dispute that has been escalated to it by other configuration control boards.

The secretary of the TfNSW configuration management committee manages the agenda of the

committee and is to be contacted when intending to present to the committee.

10.1 Presentations to the configuration management committee

Presentations with the intent of obtaining configuration change approval from the configuration

management committee should generally include the following:

an overview of the configuration change or project including maps and diagrams as

necessary for the configuration management committee to understand the nature of the

configuration change request.

the type or stage of approval being sought.

a summary of the process that has led to the request for configuration change approval.

the stakeholders identified, consulted, summary of issues raised and the status of any

issues that have not been resolved.

a summary of the business approvals and technical approvals required including the

status of any that have not been obtained.

where the proposed change does not fully comply with original business or technical

approvals a summary of how the variances have been managed.

a summary of the product configuration information affected by the configuration change

and the status of such product configuration information.

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evidence that safety risks have been reduced so far as is reasonably practicable

(SFAIRP).

any other matter that the configuration change manager believes the configuration

management committee should be aware of.

a summary of the future activities, particularly in relation to providing assurance that the

configuration change is on track to produce the outcome desired by TfNSW.

11. Interaction with the ASA configuration control board

Where a meeting is sought with the ASA configuration control board (CCB), the secretary of the

ASA CCB is to be contacted as early as possible to provide opportunity for the secretary to vet

agenda items and provide advice if necessary.

Generally, the ASA CCB will only consider configuration changes related to assets that the ASA

is owner of or where delegated configuration control authority is sought.

12. Network configuration changes that impact multiple configuration control boards

The organisation with responsibility for delivering a configuration change shall establish the

configuration control board that will make decisions relating to the change.

Where a configuration change has potential to impact configuration items under the control of

other configuration control boards, stakeholders representing the other configuration control

boards are generally considered as primary stakeholders to the configuration change.

Where there is a dispute over the identification of responsible and affected configuration control

boards, the ASA configuration control board or the configuration management committee will

resolve the dispute.

13. Configuration change request numbers

The TfNSW Rail Asset Configuration Management Plan sets a requirement that configuration

change request numbers be assigned to all proposed network configuration changes. The

Configuration Change Request Numbering System Manual describes how this is applied.

14. Product configuration information

Information about a configuration item that assists in understanding the physical, functional and

performance characteristics or intents of a configuration item is considered as 'product

configuration information'. Within TfNSW, the term also applies to information that describes the

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Product configuration information is used by TfNSW and its representatives to understand the

complete set of configuration items it owns and the capabilities and limitations of when operating

as an integrated system. The information is also used for determining maintenance

requirements, operations planning and the planning of future changes to system. It is necessary

to maintain a scope and level of product configuration information detail that supports these

functions.

TfNSW applies specific product configuration information requirements to its configuration items.

The general requirements are defined in the TfNSW Railway Assets Product Configuration

Information Requirements document. Detailed requirements, specific to each type of product

configuration information, are addressed in supporting documents. Information produced during

the course of a configuration change that is outside the scope of what is defined in these

documents need not be provided to TfNSW.

The principles within TfNSW Railway Assets Product Configuration Information Requirements

may also be adopted by AEOs which will not undertake network configuration management.

Applying the principles may assist in demonstrating that the AEO has configuration

management systems in place to control products they supply for integration with the TfNSW rail

network.

14.1 Configuration information systems

The Railway Assets Product Configuration Information Requirements document defines the

scope of product configuration information owned by the Asset Standards Authority on behalf of

TfNSW. Standard requirements for managing product configuration information is also defined in

the TfNSW Railway Assets Product Configuration Information Requirements document. Specific

requirements are further described in requirements which are specific to each configuration

information system.

The ASA generally nominates only one system for the storage of each type of product

configuration information. Configuration information formally provided to TfNSW is stored in

these systems. The majority of the systems holding configuration information for the

metropolitan heavy rail network is managed by Sydney Trains.

The product configuration information held within the systems is managed for the Asset

Standards Authority by parties identified as configuration information system custodians. The

configuration information system custodians provide assistance to parties who wish to add or

modify information in the system or who wish to access the information in the system.

15. Auditing

Configuration audits are a requirement set by the TfNSW Rail Asset Configuration Management

Plan. Audits are required to provide assurance that activities that are required to be performed

are being adequately completed and producing intended results.

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Audits may be undertaken separately or integrated with any other audit plan undertaken by the

responsible party. Results of all audits should be assessed and where any issues are identified

appropriate action taken to address issues as necessary.

15.1 Planning audits

An assessment of audit requirements should be performed at intervals appropriate to the scope

of work being undertaken. For parties performing ongoing maintenance on TfNSW railway

assets, an assessment of audit requirements is generally expected at least on an annual basis.

As a result of the requirements assessment and other coordination activities, an audit plan

should be developed. Audit plans should generally allow for variations throughout the course of

implementation as circumstances may necessitate changes to requirements in order to maintain

a satisfactory level of assurance that the configuration is well controlled and documented.

An audit does not have to be a separate activity. Some project or maintenance activities may be

considered an audit if it provides assurance equivalent to an audit. In such situations, it should

be clear that such activities are identified as contributing to the audit requirement.

15.1.1 Physical configuration audits

Physical configuration audits are a type of audit that involve comparing physical assets to

documented requirements, designs or existing product configuration information.

For network configuration changes, physical configuration audits are expected to be performed

on new or altered assets prior to asset acceptance. Such audits may be performed as often as

deemed necessary and appropriate to the scope of work. Generally this would be the

responsibility of the AEO responsible for delivering the configuration change.

Physical configuration audits may also be performed by AEOs performing maintenance activities

on assets. Such audits should be planned and performed as necessary to provide assurance

that the configuration of assets being managed by the AEO reflects the approved baseline and

the associated product configuration information.

TfNSW may also perform audits or request that physical configuration audits be performed from

time to time.

15.1.2 Functional configuration audits

Functional configuration audits involve comparing the functional performance of assets to

documented requirements, designs or existing product configuration information. Functional

configuration audits may involve testing, trailing or any other appropriate activity.

For network configuration changes, functional configuration audits may be required on new or

altered assets prior to asset acceptance and at other stages. Generally this would be the

responsibility of the AEO responsible for delivering the configuration change.

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Functional configuration audits should also be performed by AEOs performing maintenance

activities on assets. Such audits should be planned and performed as necessary to provide

assurance that the function of assets being managed by the AEO reflects the expected

performance.

TfNSW may also perform audits or request that functional configuration audits be performed

from time to time.

15.1.3 Configuration process audits

Audits of the configuration management process are intended to provide assurance that the

processes and procedures are complied with and that the intended results of such activities

have been obtained.

Such audits should be planned for and carried out by parties that manage configuration

management processes, including management of product configuration information.

Configuration management process audits may be undertaken similarly to and as part of any

other quality process audits performed.

16. Reporting

Authorised engineering organisations that are delegated configuration control authority for

TfNSW railway assets are required to provide assurance that they are appropriately exercising

the authority. Part of that assurance is provided though reporting arrangements with the Asset

Standards Authority or the Configuration Management Committee. The TfNSW Rail Assets

Configuration Management Plan specifies the minimum requirements for reporting by

configuration control boards. AEOs should define their specific reporting intents and include it as

part of their configuration management plan when seeking authority for configuration change

control.

Generally, reports are expected at regular intervals from configuration control boards of AEOs

describing the configuration changes that have been presented to them and the decisions that

have been made.

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Documents

GU TS 10751: 2013 04003 Management standard · TS 10751: 2013 . Management standard . Configuration Management Guide . Version 1.0 . Issued Date: 25 June 2013 . Effective Date: 1