configuration management guide - transport for nsw configuration management guide version 1.0 ......

T MU AM 04003 GU

Guide

Configuration Management Guide

Version 1.0

Issued date: 16 September 2015

Important Warning This document is one of a set of standards developed solely and specifically for use on Transport Assets (as defined in the Asset Standards Authority Charter). It is not suitable for any other purpose. You must not use or adapt it or rely upon it in any way unless you are authorised in writing to do so by a relevant NSW Government agency. If this document forms part of a contract with, or is a condition of approval by a NSW Government agency, use of the document is subject to the terms of the contract or approval. This document is uncontrolled when printed or downloaded. Users should exercise their own skill and care in the use of the document. This document may not be current. Current standards may be accessed from the Asset Standards Authority website at www.asa.transport.nsw.gov.au. © State of NSW through Transport for NSW

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

T MU AM 04003 GU Configuration Management Guide

Version 1.0 Issued date: 16 September 2015

Standard governance

Owner: Manager Asset Configuration Systems, Asset Standards Authority

Authoriser: Principal Manager Network and Asset Strategy, Asset Standards Authority

Approver: Executive Director, Asset Standards Authority on behalf of the ASA Configuration Control Board

Document history

Version Summary of Changes

1.0 Previously issued as TS 10751 Configuration Management Guide. Document updated for multi-modal transport. References updated to other documents and to CMAAC. Editorial consistencies applied.

For queries regarding this document, please email the ASA at [email protected] or visit www.asa.transport.nsw.gov.au

© State of NSW through Transport for NSW



Preface The Asset Standards Authority (ASA) is an independent unit within Transport for NSW (TfNSW)

and is the network design and standards authority for defined NSW transport assets.

The ASA is responsible for developing engineering governance frameworks to support industry

delivery in the assurance of design, safety, integrity, construction, and commissioning of

transport assets for the whole asset life cycle. In order to achieve this, the ASA effectively

discharges obligations as the authority for various technical, process, and planning matters

across the asset life cycle.

The ASA collaborates with industry using stakeholder engagement activities to assist in

achieving its mission. These activities help align the ASA to broader government expectations

of making it clearer, simpler, and more attractive to do business within the NSW transport

industry, allowing the supply chain to deliver safe, efficient, and competent transport services.

The ASA develops, maintains, controls, and publishes a suite of standards and other

documentation for transport assets of TfNSW. Further, the ASA ensures that these standards

are performance-based to create opportunities for innovation and improve access to a broader

competitive supply chain.

This document informs the stakeholders of the intentions and interpretations of the ASA's

approach to configuration management to maintain consistency in the application of

requirements established by the configuration management framework.

The guidance described in this document forms part of the ASA's configuration management

framework and the Authorised Engineering Organisation framework.

This document is a second issue and supersedes the previously issued TS 10751 Configuration

Management Guide version 1.0. The document number has been changed for this issue.

The changes to this version of the document are associated with updating references to other

documents and updating terminology.

© State of NSW through Transport for NSW of 23



Table of contents 1. Introduction .............................................................................................................................................. 5

2. Purpose .................................................................................................................................................... 5 2.1. Scope ..................................................................................................................................................... 5 2.2. Application ............................................................................................................................................. 5

3. Reference documents ............................................................................................................................. 6

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 ......................................................................................................... 9 6.1. Configuration management plans covering network configuration changes ....................................... 10 6.2. Scope of authority for network configuration changes ........................................................................ 11 6.3. Terms and definitions specified ........................................................................................................... 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 ............................................................................................................. 13 6.8. Configuration status accounting and asset 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 ......................................................................................... 14

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. Stakeholder identification ..................................................................................................................... 18 9.2. Stakeholder management .................................................................................................................... 19

10. Interaction with the Configuration Management and Asset Assurance 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. Asset information .................................................................................................................................. 20 14.1. Asset information systems ............................................................................................................... 21

15. Configuration auditing .......................................................................................................................... 21 15.1. Planning configuration audits........................................................................................................... 22

16. Reporting ................................................................................................................................................ 23 © State of NSW through Transport for NSW of 23



1. Introduction The Asset Standards Authority (ASA) owns the process for the network configuration

management and the authorisation of engineering organisations. This guide provides

information to support both the processes in the configuration management area. Standards

that apply to the processes include the following:

• T MU AM 04001 PL TfNSW Configuration Management Plan

• T MU MD 00007 ST AEO Authorisation Governance Framework

• T MU MD 00009 ST AEO Authorisation Requirements

2. Purpose This Configuration Management Guide provides guidance for the implementation of

configuration management particularly relating to network integration. It aims to assist parties

implementing part or all aspects of network configuration management as required in

T MU AM 04001 PL TfNSW Configuration Management Plan or any other associated

document.

2.1. Scope This document forms part of the ASA configuration management framework and supports the

configuration management components of the Authorised Engineering Organisation (AEO)

framework. It integrates the guidance information for both frameworks into a single document to

simplify access to the information.

2.2. Application This Configuration Management Guide is intended to be used by organisations that apply

network configuration management in accordance with T MU AM 04001 PL. An organisation

within the context of this document may be TfNSW or its agencies, an AEO or any part of such

organisations. This guide also assists any party that is required to interface with these

organisations.

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

provided in this document is not mandatory; however, the network configuration management

activities and outputs carried out by AEOs should comply with the guidance presented in this

document whenever practical and appropriate. Some elements of this guide refer to

requirements specified in other standards or systems and further details of those requirements

are found in the relevant documents.




3. Reference documents The following documents are cited in the text. For dated references, only the cited edition

applies. For undated references, the latest edition of the referenced document applies.

Australian standards

AS ISO 10007 Quality management systems - Guidelines for configuration management

Transport for NSW standards

TS 10752 Railway Asset Product Configuration Information Requirements

TS 20001 System Safety Standard for New or Altered Assets

T MU AM 02001 ST Asset Information Management

T MU AM 04001 PL TfNSW Configuration Management Plan

T MU AM 04002 GU TfNSW Configuration Management and Asset Assurance Committee

Submissions Guide

T MU MD 00007 ST AEO Authorisation Governance Framework

T MU MD 00009 ST AEO Authorisation Requirements

4. Terms and definitions The following terms and definitions apply in this document.

Some definitions have been derived from AS ISO 10007 Quality management systems -

Guidelines for configuration management in which the term ‘product’ is used. For ease of

understanding, the term ‘asset’ may be substituted for ‘product’.

AEO Authorised Engineering Organisation

ASA Asset Standards Authority

asset an item, thing or entity that has potential or actual value to an organisation

asset information the combined set of data (graphical and non-graphical) and documents

(drawings, manuals, plans, certificates) required to support the management of assets over the

life cycle

asset life the period from conception to end-of-life

CCB Configuration Control Board

CCR configuration change request

change control activities for control of the product

CMAAC Configuration Management and Asset Assurance Committee




configuration interrelated functional and physical characteristics of a product defined in

product configuration information

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

configuration baseline

configuration baseline an approved product configuration information that establishes the

characteristics of a product at a point in time that serves as reference for activities throughout

the life cycle of the product

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

change

configuration change request a formal request to add or change a TfNSW transport asset that

is subject to configuration control

CCB Configuration Control Board; person or a group of persons assigned responsibility and

authority to make decisions on the configuration

configuration documents product configuration information and its supporting medium

configuration identification activities comprising determination of the product structures,

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

characteristics including interfaces and subsequent changes, and allocating identification

characters or numbers to the configuration items and their documents

configuration information see asset information

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

configuration management coordinated activities to direct and control configuration

configuration management coordinator a person managing the business activities of a CCB

or otherwise facilitating configuration management activities

configuration status accounting formalised recording and reporting of product configuration

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

changes

network configuration the configuration of transport assets viewed as a system that is for

achieving the business objectives of TfNSW and is composed of discrete configuration items

identified at a level commonly identified by TfNSW

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

operation and support

Note: Asset information is also used for this term.

SME subject matter expert

TfNSW Transport for New South Wales




transport agencies Transport for NSW (and each of its divisions), Rail Corporation NSW,

Sydney Trains and NSW Trains

transport assets those assets which are vested in or owned, managed, controlled,

commissioned or funded by the NSW Government, a NSW Government agency or a Transport

Agency

5. Configuration management T MU AM 04001 PL TfNSW Configuration Management Plan states the requirement for

applying configuration management to the current and proposed transport assets of TfNSW.

AEOs changing or supplying TfNSW transport assets are required to implement configuration

management.

The ASA applies the definition of configuration management that is described in AS ISO 10007

Quality management systems - Guidelines for configuration management.

5.1. Configuration management guidance To align with AS ISO 10007 and comply with T MU AM 04001 PL, an AEO should demonstrate

the following:

• documented, consistent approach to implement the configuration management

requirements throughout the full scope of engineering activities that the AEO undertakes

• identification and assignment of responsibilities of configuration management activities

• recognition of and method of engagement with other parties performing configuration

management activities that interface with the configuration management activities of the

AEO

• method of identification of configuration items that are placed under configuration control

and the interfaces of those items

A configuration item may be a physical item or any other element appropriate to the type of

work the AEO or part thereof is performing.

• the approach to describe the physical and functional characteristics including maintenance

requirements of proposed and completed solutions and other asset attributes

• principles or methodology for assessing and approving configuration changes

• the method to maintain records pertaining to configuration changes as evidence of due

process

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

a system and the means of addressing impacts where necessary




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

requirements through to a final solution

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

meets requirements

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

case of configuration management. Network configuration management refers to configuration

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

integrated system. A network configuration change represents the management of the

integration of configuration item into the TfNSW transport network or changes that affect

configuration items integrated into the TfNSW transport network.

AEOs engaged to be the primary party responsible for managing the integration of configuration

items into the TfNSW transport network or with the responsibility of maintaining the

configuration of transport assets integrated with the TfNSW transport network, perform network

configuration management activities.

Configuration management related to developing and delivering an asset is not network

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

5.3. Other requirements associated with configuration changes When planning or implementing a configuration change, the AEO should take into account

requirements that are specified in associated plans or systems. These include design

management, project management and safety change management requirements.

Additional requirements may be integrated into the configuration change approval process. The

integration of any additional criteria into the configuration management process is at the

discretion of the organisation responsible for planning the configuration management activities.

6. Configuration management plans The AEO framework requires that the organisations performing configuration management

activities for TfNSW should have documentation that describes the organisations’ configuration

management arrangements. This documentation forms the organisations' configuration

management plan. Configuration management documentation can be a subset of broader

documentation such as the systems engineering management plan and should be tailored to be

suitable for application within the organisation.

AEOs and AEO applicants seeking authorisation to provide configuration management as a

specific service should be able to demonstrate high-level systems and capability for




configuration management. For example, specific configuration management plans or

configuration management plan templates should be available.

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

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

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

document.

A configuration management plan should cover the following elements:

• a definition of terms used in the plan

• scope of authority covered by the plan

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

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

involved in the identification of configuration items

• a description of how the organisation performs configuration management planning

• a description of how and when stakeholders are identified and process in which they are

engaged and consulted

• a description of how the organisation plans and implements configuration control including

the following:

o registering of configuration changes

o the process and requirements the organisation implements for configuration change

approval

o the requirements for managing the completion of a configuration change

o configuration status accounting and asset information planning

• a description of how the organisation assures TfNSW and the ASA that it fulfils its

configuration management responsibilities where appropriate

• a description of the organisation's approach to identify and manage configuration records

• a description of the reporting arrangements to TfNSW or parent CCB for network

configuration changes where appropriate

6.1. Configuration management plans covering network configuration changes T MU AM 04001 PL contains requirements for an organisation seeking authority to make

network configuration decisions has a configuration management plan with the approval of ASA

CCB. This ASA CCB approval is in addition to any approval provided to the organisation. Refer

to Section 7 for further information on ASA CCB approval of configuration management plans.




The following standards state the requirements for inclusion in the content of the configuration

management plan:

• AS ISO 10007 Quality management systems - Guidelines for configuration management

• T MU AM 04001 PL TfNSW Configuration Management Plan

• TS 20001 System Safety Standard for New or Altered Assets

• other applicable configuration management and asset information requirements published

by the ASA

When an AEO is seeking authority to make configuration control decisions, only a top-level

configuration management plan is presented for ASA CCB approval subject to the following:

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

• the means to demonstrate how delegation of authority through the subsequent plans is

managed

6.2. Scope of authority for network configuration changes When an organisation's configuration management plan is presented to the ASA CCB for

approval and for obtaining delegated network configuration control authority, the plan should

define the scope of the authority. The purpose of the scope is to identify clearly the assets and

the period for which the organisation obtains the network configuration control authority. The

scope of authority can take the form that is most appropriate to the organisation and the work

that the organisation performs. It may be expressed as a geographical area, types of assets,

specific configuration items or by other means.

6.3. Terms and definitions specified The configuration management plan should include terms and definitions that assist in the

consistent understanding of terminology applied to configuration management activities.

For configuration management plans that incorporate network configuration management, terms

and definitions should be consistent with those applied in T MU AM 04001 PL. This aids in

consistent communication between all organisations that apply configuration management to

TfNSW transport assets.

6.4. Authority and responsibility within the business unit or organisation The plan should identify the persons involved and the methods used to manage the authority

within the organisation and exercised through the inclusion of configuration management roles

and names or position titles of those that hold the roles. The authority, responsibilities and




corresponding scope of those roles should be clearly specified in the plan to show how the

organisation attributes its configuration management responsibilities and accountabilities.

6.4.1. Configuration management roles Configuration change stakeholders should be identified in configuration management plans.

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

a configuration management plan:

• configuration change manager

• stakeholders within the organisation

• person or entity that holds delegated configuration control authority

The scope of authority of stakeholders should be clearly identified, so that all areas that have

the potential to be affected by configuration changes are represented by an appropriate

stakeholder.

6.5. Addressing further configuration management planning If the organisation level configuration management plan is anticipated to be complemented by

additional configuration management plans the organisational level configuration management

plan should describe how further configuration management planning will be addressed.

6.6. Configuration identification planning Configuration management plans should identify configuration items and the basis for

identifying the configuration item. Items identified should be at a level of detail appropriate to the

plan.

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

configuration items identified within TfNSW asset information systems and corresponding

documents. To deliver the engineering services contracted, an organisation should perform a

more detailed breakdown of the configuration items than is applied by TfNSW.

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

items identified by TfNSW. This can include the management of project requirements as

individual project level configuration items.

For further content on asset information, refer to TS 10752 Railway Asset Product Configuration

Information Requirements and T MU AM 02001 ST Asset Information Management.




6.7. Configuration control planning As required in T MU AM 04001 PL, an organisation's configuration management plan details

how the organisation implements configuration control. This can be presented as a process that

demonstrates how configuration changes are managed.

6.7.1. Registering of configuration changes The plan should address the method of registration and management of configuration changes.

Where the configuration change is a network configuration change, the plan should include the

method of meeting the requirements of T MU AM 04001 PL and other ASA configuration

management framework documents that relate to the traceability of configuration changes.

6.7.2. Stakeholders and consultation The configuration management plan should address the way the stakeholders are identified,

when they are identified, and the process in which they are engaged to review and comment on

a proposed configuration change. Refer to Section 9 for more information.

6.7.3. 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 could be affected by the

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

requirements have been addressed and any other requirements have been met. The evidence

requirements specified in a configuration management plan should be adequate to provide

assurance that the configuration change has been managed appropriately.

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

compliance to any conditions of approval.

6.8. Configuration status accounting and asset information planning The process for collecting and managing asset information management should aim at

providing TfNSW with the confidence that the organisation has good control of the asset

information it is responsible and accountable for.

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

and tools for configuration status accounting.

Asset information should be defined within the scope of the configuration management plan.

Where a configuration management plan includes network configuration management, the plan

should describe the method by which the organisation addresses the requirements of asset




information management as described in T MU AM 04001 PL, TS 10752 and

T MU AM 02001 ST.

6.9. 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.

6.10. Planning configuration audit requirements The configuration management plan should describe the organisation's assurance for fulfilling

its configuration management responsibilities and applying its own documented configuration

management requirements.

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

configuration items, asset information and configuration management processes that the

organisation is responsible. The plan should demonstrate that audit requirements have been

determined considering the risk.

6.11. Configuration management records Records management requirement is often a standard component of business management

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

requirements associated with configuration management if the organisation can demonstrate

that standard records management requirements exist and are applied.

T MU AM 04001 PL requires that records related to network configuration changes should be

maintained to provide traceability of the following:

• the configuration of items under the organisation’s management

• configuration changes

• decisions about configuration management or configuration items particularly by those

holding network configuration change control authority

• stakeholder comments provided and received

7. Configuration management plan approval When a configuration management plan is presented for ASA CCB approval, relevant SMEs

from ASA review the configuration management plan and make a recommendation to the ASA

CCB. © State of NSW through Transport for NSW of 23



The ASA CCB approval of the configuration management plan indicates that the ASA is

satisfied that the plan adequately meets the requirements set out by T MU AM 04001 PL. The

ASA CCB approval of the plan only relates to the documented network configuration

management arrangements and does not represent approval of any other content that are

included in the presented documents.

Clear identification of the parts of the document relating to network configuration management

facilitates the process of gaining ASA CCB approval.

Unless specified by the ASA CCB, the ASA CCB approval indicates that authority to exercise

network configuration control is delegated to the organisation within the scope of the

configuration management plan.

ASA CCB approval should not be sought until the scope of network configuration control

authority required has been determined. ASA CCB approval is separate from the AEO

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

when it is contracted to be the party responsible for a network configuration change. Where a

party seeks AEO status at the same time as being engaged as the primary AEO, both approvals

may occur concurrently.

8. Configuration management roles Section 8.1 through to Section 8.3 describes the roles involved in configuration management.

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 assessing

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

to configuration management processes.

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

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

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

decisions should be documented.

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

configuration decisions should identify the configuration control board or boards that are

established to exercise that authority. The relationship between multiple CCBs within the

organisation should be documented including the scope of authority of each CCB.

A configuration change approval indicates a confirmation by a CCB that it is satisfied that the

change has been adequately assured through due process including aspects such as technical

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

resolution of stakeholder issues. If the CCB is delegated with the authority to make network




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

delegated to the board.

Where network configuration control authority is being exercised, the CCB confirms that the

safety management processes have been adequately addressed and that safety risks have

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

Where a configuration control board exercises delegated network configuration control

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

TfNSW.

To assist the CCBs in making informed decisions, the configuration control plan should clearly

identify reasons and requirements for the change when presenting a proposed configuration

change to a CCB.

Any allowance for the CCB to provide conditional approvals should be documented within the

configuration management plan. Establishing minimum evidence requirements for proposed

configuration changes can assist board members and projects understand the intent of the

process and provide assurances sought by the configuration control board.

Records of CCB meetings should be maintained. Records should include minutes of meetings

and any substantive information presented to the CCB.

8.1.1. Membership of configuration control boards with network configuration control authority Configuration control boards that make network configuration decisions should have at least

one representative from TfNSW, or a Transport agency as a member, or otherwise demonstrate

that TfNSW can be assured that the decisions taken are in the interest of TfNSW. TfNSW

representation should be sought from the TfNSW business group that procured the

configuration change services.

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

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

undertaken by a project.

The organisation convening the CCB may nominate the chair.

8.1.2. Alternative arrangements for configuration change approval From time to time, the alternative procedures can be used to benefit the configuration change

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

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

meeting is known in advance to be impractical. Alternative procedures may be developed to

meet the business requirements; however, they may involve the delegation of configuration

control authority from a CCB to nominated individuals. Alternative arrangements may also




include approvals predominantly based on assurances of due process provided in advance to

the CCB.

A risk-based approach should be applied in determining when simplified arrangements are

appropriate and adequate.

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

of the configuration management plan. Alternative procedures should not compromise the intent

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

for adequate assurance has not been compromised.

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 managers are required to meet are

described within T MU AM 04001 PL. Additional or more specific requirements may be added to

address organisation or project-specific situations.

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

associated with managing the configuration change. Individual activity responsibility may be

delegated within the scope of the applicable configuration management plans.

The configuration change manager is accountable for a change and should provide assurance

for the following to applicable configuration control boards:

• due process has been followed

• business and technical approvals have been obtained

• stakeholder consultation has been adequate

• stakeholder comment and other issues have been resolved

• all requirements within applicable configuration management plans have been complied

with

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

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

configuration control boards.

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

standardisation of the configuration management coordinator role provides a consistent

understanding across all parties undertaking network configuration management. Assistance

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

roles. © State of NSW through Transport for NSW of 23



Activities that configuration management coordinators may perform include the following:

• secretariat functions of the configuration control boards

• assist configuration change managers with identifying stakeholders

• maintain records of configuration management activities

• be the initial point of contact for configuration management assistance

9. Stakeholders Section 9.1 and Section 9.2 provides information on stakeholder identification and stakeholder

consultation.

9.1. Stakeholder identification When a change is proposed, an assessment should be undertaken to identify potential

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

change proceeds. Stakeholders that need to be consulted are likely to vary throughout the life

cycle of an asset.

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

groups, organisations or individuals that are affected due to interfaces to the proposed change

and users of the proposed change. Stakeholders can be internal or external to the organisation

managing the change.

Examples of stakeholders external to a project team include the following:

• project sponsors

• operators and maintainers

• other projects, occurring or scheduled to occur

• other transport providers, impacted both during and after implementing a configuration

change

• community and businesses

• councils and utilities

Stakeholders outside of TfNSW or AEOs that are required as stakeholders include other

government entities, business operators, interest groups and customers.

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

demonstrating adequate stakeholder engagement.




9.2. Stakeholder management Consultation with stakeholders involves providing them with enough information about the

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

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

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

external organisation exist, those procedures should be applied.

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

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

and have their questions answered.

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

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

result of stakeholder consultation should be assessed and the result of the assessment

recorded as evidence of due process. Issues that are assessed as being valid and within the

scope of the configuration change should be resolved.

For network configuration changes, the responsible configuration control board determines if

stakeholder consultation is adequate. The CCB can base this decision on the evidence provided

by the configuration change manager. The CCB may also provide a determination on

stakeholder issues that remain unresolved.

10. Interaction with the Configuration Management and Asset Assurance Committee TfNSW Configuration Management and Asset Assurance Committee (CMAAC) approval is

required at certain stages of a network configuration change and this is defined in

T MU AM 04001 PL. Only some classifications of configuration change requests are required to

be submitted to TfNSW CMAAC as described in T MU AM 04001 PL; however, the CMAAC

may request any network configuration change to be presented for its review.

Meetings with CMAAC can be requested where a determination of the committee is required,

such as in the case of resolving a dispute that is escalated to CMAAC by other configuration

control boards.

Guidance on presentations to the CMAAC should be sought from the secretary of CMAAC.

When intending to present to the Committee the secretary of CMAAC should be contacted as

early as possible via an email to [email protected].




11. Interaction with the ASA configuration control board Where a meeting is requested with the ASA CCB, the secretary of the ASA CCB should be

contacted as early as possible to provide opportunity for the secretary to vet agenda items and

provide advice if necessary.

The ASA CCB only considers configuration change matters related to assets covered in the

ASA Charter. It also considers configuration change when delegated network configuration

control authority is sought.

The secretary of the ASA CCB may be contacted via email to

[email protected].

12. Network configuration changes that impact multiple configuration control boards T MU AM 04001 PL states the following requirement:

“The organisation with responsibility for delivering a configuration change shall

establish the configuration control board that will make decisions relating to the

change.”

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

of other configuration control boards, stakeholders representing the other configuration control

boards are considered as stakeholders to the configuration change. Alternate arrangements

may be proposed for acceptance by a higher level CCB or the ASA CCB where it is related to

more than one ASA CCB approved configuration management plan.

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

boards, the ASA CCB or the TfNSW CMAAC should resolve the dispute.

13. Configuration change request numbers T MU AM 04001 PL states that configuration change request numbers should be assigned to all

proposed network configuration changes. An allocation of available CCR numbers can be

requested by contacting the ASA configuration management team via email to

[email protected].

14. Asset information TfNSW considers asset information and product configuration information to be equivalent.

All information about a configuration item is considered as asset information.




This includes information that assists in understanding the following:

• physical characteristics

• functional characteristics

• intents

• maintenance of the configuration item

• performance of the configuration item

Asset information is considered as a key asset and is used by TfNSW and its representatives to

understand the complete set of configuration items it owns and the capabilities and limitations of

the items when operating as an integrated system. The information is also used for determining

maintenance requirements, operations planning and the planning of future changes to the

system. The scope and level of asset information detail that supports these functions should be

maintained.

TfNSW applies specific asset information requirements to its configuration items. The general

requirements are defined in the ASA documents on asset information available on the ASA

website. Detailed requirements, specific to each type of asset information are addressed in

supporting documents.

The principles within the ASA documents on asset information may also be adopted by AEOs

that do not undertake network configuration management. An AEO should demonstrate that it

has the necessary configuration management systems in place to control products they supply

for integration with the TfNSW transport network by applying these principles.

14.1. Asset information systems The ASA documents on asset information, available on the ASA website, define the scope of

asset information owned by ASA on behalf of TfNSW. Standard requirements for managing

asset information are also defined in the ASA documents on asset information. Requirements

are further described for each asset information system. Asset information formally provided to

TfNSW or its representatives is stored in these systems.

The asset information held within the systems is managed for TfNSW by parties identified as

asset information system custodians. The asset information system custodians assist parties

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

the system.

15. Configuration auditing Configuration audits may be undertaken separately or integrated with any other audit plan

undertaken by the AEO. Results of all configuration audits should be assessed and where any

issues are identified, appropriate action should be taken to address the issues.




Configuration audits provide assurance that activities performed are adequately completed and

produce the intended results.

15.1. Planning configuration audits An assessment of configuration audit requirements should be performed at intervals appropriate

to the scope of work being undertaken. For parties performing ongoing maintenance on TfNSW

transport assets, an assessment of configuration audit requirements is expected on an annual

basis, at a minimum.

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

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

implementation as circumstances can necessitate changes to requirements. This is required in

order to maintain a satisfactory level of assurance that the configuration is well controlled and

documented.

A configuration audit does not have to be a separate activity. Some project or maintenance

activities are considered as an audit if it provides assurance equivalent to an audit. In such

situations, the activities should be clearly identified as contributing to the configuration audit

requirement.

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 asset information.

For network configuration changes, physical configuration audits should be performed on new

or altered assets prior to asset acceptance. Such audits should be performed as often as

deemed necessary and appropriate to the scope of work. This would be the responsibility of the

AEO responsible for delivering the configuration change.

Physical configuration audits should be performed by AEOs performing maintenance activities

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

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

the associated asset information.

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

time to time.

15.1.2. Functional configuration audits

Functional configuration audits involve comparing the functional performance of assets to

documented requirements, designs or existing asset information. Functional configuration audits

involve testing, trialling or any other appropriate activity.




For network configuration changes, functional configuration audits are required on new or

altered assets prior to asset acceptance and at other stages. This would be the responsibility of

the AEO responsible for delivering the configuration change.

Functional configuration audits should also be performed by AEOs performing maintenance

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

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

performance.

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

from time to time.

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 asset information.

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

other quality process audits performed.

16. Reporting AEOs that are delegated network configuration control authority for TfNSW transport assets are

required to provide assurance that they are appropriately exercising the authority. Part of that

assurance is provided though reporting arrangements with the ASA or the CMAAC.

T MU AM 04001 PL specifies the minimum requirements for reporting by configuration control

boards. AEOs should define their specific reporting intents and include it as part of their

configuration management plan when seeking authority for configuration change control.

Reports are expected at regular intervals from configuration control boards of AEOs that hold

delegated network configuration control authority, describing the configuration changes that are

presented to them and the decisions taken. Currently, the CCB reports are provided every three

months. The guidance for the data in reports is provided by the secretary of the ASA CCB.


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