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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

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TS 10751: 2013
Configuration Management Guide
Version 1.0
Effective Date: 1 July 2013

Standard Approval
Owner:
Authorised by:
Approved by:

Garry Thong, Configuration Assurance Manager
Jagath Peiris, Network Standards Manager
Jim Modrouvanos, A/Director Asset Standards Authority

Document Control
Version
1.0

Summary of Change
First issue

For queries regarding this document

standards@asa.transport.nsw.gov.au
www.asa.transport.nsw.gov.au

© State of NSW through Transport for NSW

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This guide has been prepared and reviewed by the Asset Standards Authority Establishment team and approved by the Asset Standards Authority Establishment Project Committee. maintains and administers the framework for organisations who provide services in relation to the asset life cycle of NSW Rail Assets. © State of NSW through Transport for NSW Page 3 of 23 . It also sets.TS 10751: 2013 Configuration Management Guide Version 1. The requirements of this document forms part of the Asset Standards Authority configuration management framework and Authorised Engineering Organisation framework.0 Effective Date: 1 July 2013 Preface The Asset Standards Authority sets configuration control standards for New South Wales railway 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.

.................................................................................1 2........................................................................................................................................................12 Configuration status accounting and product configuration information planning ......................15 Configuration change managers ............................................................................................5 4.......................................................1 Configuration information systems .......3 Configuration management guidance................................................................................................................13 Closing configuration change requests ....9 Other requirements associated with configuration changes ..5 2..............................20 14.................... Configuration management plans ....................................................15 8..... Introduction .................................................................17 Configuration management coordinator role.............................................................................19 10................................................................................. Network configuration changes that impact multiple configuration control boards ..6 6........23 © State of NSW through Transport for NSW Page 4 of 23 ....2 Scope..................4 6..........15 8.....................14 7.......1 9....21 15.................................................................................................................................................................................1 5..............18 Consulting with stakeholders ................ Interaction with the configuration management committee............20 12......................................................................................................................... Configuration management ......................................14 Configuration management records ................................................................................ Stakeholders............................................................6 5.........................................................10 6.....9 6...................................................................................................11 Addressing further configuration management planning .........2 5.......................................................................................3 Configuration control boards ...........................................................19 11.............. Configuration management plan approval ....14 Planning configuration audit requirements .......................................... Reporting ......8 Network configuration management............3 6................................................................22 16...................................................................................................................................................... Reference documents.............................................................................................TS 10751: 2013 Configuration Management Guide Version 1................................................................................................... Configuration management roles...................................... Auditing......17 9.................................................................................................. Terms and definitions ...................................................1 Presentations to the configuration management committee ................................................................21 15.5 2........... Purpose ...............1 8..................................12 Configuration control planning . Configuration change request numbers.........................20 13.................................................................................................................................................... Interaction with the ASA configuration control board .................................................................. Product configuration information........................................5 Application..............................11 Terms and definitions used in the plan ....................................................................................................................................................................................................................................20 14.....................18 10.............2 6..7 6.......................................................................0 Effective Date: 1 July 2013 Table of contents 1....................................8 6.............2 8..........10 6........................11 Scope of authority....................................................................................................................................................................9 6.............................................................................................18 9....11 Authority and responsibility within the business unit or organisation.............................................................................................................................................................................................................................................8 5.....5 3...............................................5 6................................12 Configuration identification planning ....................................................................................2 Identifying stakeholders..........................1 Planning audits.......

This guide provides additional information to support both of these processes. Introduction The Asset Standards Authority owns the process for network configuration management and for the authorisation of engineering organisations. an AEO or any part of such organisations.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. Reference documents TfNSW Rail Asset Configuration Management Plan Product Configuration Information Requirements Configuration Management Committee Terms of Reference Configuration Change Request Numbering System Manual © State of NSW through Transport for NSW Page 5 of 23 . An organisation within the context of this document may be TfNSW. 3. Purpose This document provides guidance for the implementation of configuration management particularly relating to network integration.0 Effective Date: 1 July 2013 1. Some elements of this guide refer to requirements specified in other documents or systems. 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. an agency of TfNSW. where this occurs. Explanatory information and guidance is included within this document. such requirements are mandatory. It integrates the guidance information for both frameworks into a single document to simplify access to the information. 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.TS 10751: 2013 Configuration Management Guide Version 1. 2. This guide may also assist any party that is required to interface with these organisations.1 Scope This document forms part of the Asset Standards Authority configuration management framework but also supports the authorised engineering organisation framework. 2. 2.

TS 10751: 2013 Configuration Management Guide Version 1. documenting the configuration item’s physical and functional characteristics configuration information custodian a person who has responsibility for managing configuration information 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 © State of NSW through Transport for NSW Page 6 of 23 . 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.0 Effective Date: 1 July 2013 4.

of rolling stock for the purposes of operating a railway service  the scheduling. railway tracks and associated railway track structures  the construction of rolling stock  the management . installation. or causing the operation or movement by any means. commissioning. verification. 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.TS 10751: 2013 Configuration Management Guide Version 1. train control systems and data management systems  notices and signs  electrical power supply and electric traction systems © State of NSW through Transport for NSW Page 7 of 23 . modification. maintenance. use. maintenance. communications systems.0 Effective Date: 1 July 2013 configuration interrelated functional and physical characteristics of a product defined in product configuration information configuration status accounting the formalised recording and reporting of product configuration information. signalling systems. 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. operation or decommissioning of rail infrastructure  the commissioning. of rolling stock on a railway (including for the purposes of construction or restoration of rail infrastructure)  the movement. operation and support railway assets rail infrastructure. realisation. repair or decommissioning of rolling stock  the operation or movement. or causing the movement. repair. rolling stock control systems. modification. rolling stock and associated systems railway operations any of the following:  the construction of a railway.

5. In meeting the requirements of ISO 10007-2003. wagon or monorail vehicle. that is prescribed by the national regulations not to be rail infrastructure rolling stock a vehicle that operates on or uses a railway. Configuration management TfNSW requires that configuration management be applied to its current and proposed railway assets.0 Effective Date: 1 July 2013  associated buildings. carriage. machinery and equipment but does not include:  rolling stock  any facility. workshops. train. and includes a locomotive. rail motor. depots and yards  plant. SFAIRP so far as is reasonably practicable TfNSW Transport for New South Wales 5.TS 10751: 2013 Configuration Management Guide Version 1. but does not include a vehicle designed to operate both on and off a railway when the vehicle is not operating on a railway. Authorised Engineering Organisations will generally need to demonstrate the following:  a documented. rail car. light inspection vehicle. The Asset Standards Authority applies the definition of configuration management that is described in ISO 10007-2003 – Quality management system – Guidelines for configuration management. tram. 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. light rail vehicle. self propelled infrastructure maintenance vehicle. or facility of a class. trolley. Authorised Engineering Organisations (AEOs) changing or supplying TfNSW railway assets are required to implement configuration management. 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 © State of NSW through Transport for NSW Page 8 of 23 .1 Configuration management guidance An Authorised Engineering Organisation is required to meet the requirements of ISO 100072003 – Quality management system – Guidelines for configuration management and the TfNSW Rail Asset Configuration Management Plan.

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. project management and safety change management requirements. 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. 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.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. 5. 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.2 Network configuration management Network configuration management is a concept applied within TfNSW to describe a specific case of configuration management. © State of NSW through Transport for NSW Page 9 of 23 .TS 10751: 2013 Configuration Management Guide Version 1. 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 5.0 Effective Date: 1 July 2013  traceability of the development of a solution. The fulfilment of certain additional criteria may be integrated into the configuration change approval process such as by identifying them as pre-requisites.

Configuration management plans should be developed based on the guidance provided in this document.TS 10751: 2013 Configuration Management Guide Version 1. 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 © State of NSW through Transport for NSW Page 10 of 23 .0 Effective Date: 1 July 2013 6. 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 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.

Generally.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 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. 6. 6. 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. 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. The authority. The content of the configuration management plan shall comply with ISO 10007-2003 – Quality management system – Guidelines for configuration management. types of assets.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.0 Effective Date: 1 July 2013 6. For network configuration management. specific configuration items or by other means. This ASA configuration control board approval is additional to any approval provided by the organisation the plan is to be applied to. TfNSW Rail Asset Configuration Management Plan and any other applicable TfNSW configuration management requirement.TS 10751: 2013 Configuration Management Guide Version 1. the plan should define the scope of the authority. It may be expressed as a geographical area. © State of NSW through Transport for NSW Page 11 of 23 . 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.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. 6. The scope of authority can take the form that is most appropriate to the organisation and the work that the organisation is to perform.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).1.

0 Effective Date: 1 July 2013 6. 6. an organisation may need to perform a more detailed breakdown of the configuration items than is applied by TfNSW. For a network configuration change the scope of a primary stakeholder's consent is defined in the TfNSW Rail Asset Configuration Management Plan.3. To deliver the engineering services contracted.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 Configuration control planning An organisation's configuration management plan is required to detail how the organisation will implement configuration control.5 Configuration identification planning The plan should identify configuration items and the basis for configuration item identification. This could include the management of project requirements as individual project level configuration items.TS 10751: 2013 Configuration Management Guide Version 1. 6.1 Network configuration management roles For network configuration management situations. This is generally presented as a process. 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. 6. For network configuration management. configuration items in the plan should align with configuration items identified within TfNSW configuration information systems and corresponding documents. An organisation may choose to identify and manage configuration items that are additional to TfNSW's-identified items. © State of NSW through Transport for NSW Page 12 of 23 .

procedures and tools for configuration status accounting. © State of NSW through Transport for NSW Page 13 of 23 .3 Stakeholders. Related topics:  6. Product configuration information should be defined within the scope of the configuration management plan.6. Configuration Change Request Numbering System Manual and other Asset Standards Authority configuration management framework documents that relate to the traceability of configuration changes. Documented approval requirements should include demonstration of adequate consultation with all stakeholders that may be affected by the configuration change. Processes for managing conditions of approval should include steps for providing traceability of compliance to those conditions of approval. the plan should address how the organisation meets the requirements of the TfNSW Rail Asset Configuration Management Plan.6.6. The configuration management plan should specify the organisation's requirements.0 Effective Date: 1 July 2013 6. 6. section 9 Configuration change approval The process and requirements for configuration change approval should be documented in the configuration management plan.1 Registering of configuration changes The plan should address how configuration changes are registered and managed. evidence that safety requirements have been addressed and evidence that other applicable requirements have been met. 6.TS 10751: 2013 Configuration Management Guide Version 1.7 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. Where the configuration change is a network configuration change. resolution of issues raised by stakeholders.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.

along with evidence that due process was applied. product configuration information and configuration management processes that the organisation is responsible for. 6. Organisations. In most cases the Asset Standards Authority-nominated templates will be developed and managed by Sydney Trains. Where the Asset Standards Authority issued the configuration change request number.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 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. organisations shall use ASA-nominated configuration information templates when providing product configuration information to TfNSW or its representative. should request the Asset Standards Authority to close the configuration change.8 Closing configuration change requests Where the scope of the configuration management plan includes network configuration changes. the configuration change can only be closed by the Asset Standards Authority. 6.10 Configuration management records Records management requirement is often a standard component of business management systems. 6. 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.0 Effective Date: 1 July 2013 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. Records must be kept to provide traceability of:  the configuration of items under the organisations management  configuration changes © State of NSW through Transport for NSW Page 14 of 23 .TS 10751: 2013 Configuration Management Guide Version 1. The plan should identify roles or people responsible for planning and undertaking audits of configuration items. the requirements for closing a configuration change request should be addressed in the plan. The plan should demonstrate that audit requirements have been determined with consideration of risk. 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.

alternative arrangements for making configuration control decisions should be documented. Where a party seeks AEO status at the same time as being engaged as the primary AEO both approvals may occur concurrently. 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. stakeholder comments provided and received Configuration management plan approval When a configuration management plan is presented to the Asset Standards Authority (ASA) configuration control board (CCB) for approval. 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.0 Effective Date: 1 July 2013  decisions about configuration management or configuration items particularly by those holding network configuration change control authority  7. Configuration control board approval is separate from the Authorised Engineering Organisation (AEO) authorisation process. Approval by the ASA configuration control board should not be sought until the scope of network configuration control authority required has been determined. Approval to exercise configuration control is only provided to an AEO when it is engaged as the primary AEO for a network configuration change. 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 ASA configuration management representatives will review the configuration management plan and make a recommendation to the ASA CCB. Configuration management roles 8. Unless otherwise specified by the ASA configuration control board.1 Configuration control boards A configuration control board is a committee that has the authority to provide configuration change approval. © State of NSW through Transport for NSW Page 15 of 23 . approval indicates that authority to exercise network configuration control is delegated to the organisation within the scope of the configuration management plan. If an organisation with network configuration control authority chooses not to have a configuration control board. 8. 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.TS 10751: 2013 Configuration Management Guide Version 1. The scope of work being undertaken by an organisation will influence the decision to implement one or more configuration control boards.

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).1. business approvals. The relationship between multiple configuration control boards within the organisation should be documented including the scope of authority each configuration control board. should identify the configuration control board or boards that will be established to exercise that authority. and adequate resolution of stakeholder issues. the configuration control plan should clearly identify minimum requirements when presenting a proposed configuration change to a configuration control board. To assist configuration control boards to make informed decisions. a configuration control board is. stakeholder consultation. If the configuration control board is delegated with authority to make network configuration decisions. confirming that it is satisfied that due process has been adequately followed including other technical approvals. Safety acceptance authority is delegated to configuration control boards. Where a configuration control board is exercising delegated network configuration control authority. Configuration control boards should have the capability to properly assess the adequacy of safety assurance activities undertaken by a project. Where network configuration control authority is being exercised. Records of configuration control board meetings are to be kept.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. Any allowance for the configuration control board to provide conditional approvals should be documented within the configuration management plan. By providing configuration change approval. the authority and responsibility to provide safety risk acceptance will also be delegated to the board. or a TfNSW agency as a member. TfNSW representation should generally be sought from the TfNSW business group that procured the configuration change services. Records should include minutes of meetings and any substantive information presented to the configuration control board. the decisions of the configuration control board should be made in the interest of TfNSW.TS 10751: 2013 Configuration Management Guide Version 1. © State of NSW through Transport for NSW Page 16 of 23 . 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. safety approvals. The organisation convening the CCB may nominate the chair.0 Effective Date: 1 July 2013 The configuration management plan of an organisation that intends to make network configuration decisions. 8.

stakeholder consultation has been adequate.TS 10751: 2013 Configuration Management Guide Version 1. 8. Alternative procedures may be required for situations where unexpected approvals are required. the configuration change manager is required to provide assurance to applicable configuration control boards that due process has been followed. © State of NSW through Transport for NSW Page 17 of 23 . While the need for the role and the function of the role may vary between organisations. Alternative arrangements may also include approvals predominately based of assurances of due process provided in advance to the configuration control board. 8. 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. issues have been resolved.0 Effective Date: 1 July 2013 8. Alternative procedures for configuration change approval should be documented and form part of the configuration management plan. 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. Responsibility for individual activities may be delegated within the scope of the applicable configuration management plans. The concept may be extended to configuration changes of any type. The person identified as the configuration change manager is accountable for the activities associated with managing the configuration change. Additional or more specific requirements may be added to address organisation or project-specific situations.2 Alternative arrangements for configuration change approval From time to time it may be beneficial to use alternative procedures for configuration change approval. and that any other requirement set out within applicable configuration management plans has been complied with. The definition and requirements that configuration change mangers shall meet are described within the TfNSW Rail Asset Configuration Management Plan. or where project timeframes mean that formal presentation at a scheduled configuration control board meeting is known in advance to be impractical.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.2 Configuration change managers The role of configuration change manager is used when referring to network configuration changes. business and technical approvals have been obtained.1. 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 roles. By being accountable for a change.

0 Effective Date: 1 July 2013 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. Evidence of stakeholder assessment and selection should be maintained to assist in demonstrating adequate stakeholder engagement. At minimum. Additional stakeholders can also be included as the proposed configuration change proceeds. briefings or other means appropriate to the stakeholder.1 Identifying stakeholders When a change is proposed.TS 10751: 2013 Configuration Management Guide Version 1. The ASA keeps a register of primary stakeholders. organisations or individuals that may be affected due to interfaces to the proposed change as well as users of the proposed change. © State of NSW through Transport for NSW Page 18 of 23 . A primary stakeholder is a person who has been nominated by the manager of a business group to represent the group. business operators. stakeholders should be given the opportunity to provide feedback and have their questions answered. The level of engagement with a stakeholder depends on the role and potential impact to the stakeholder. 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.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. Parties that should be considered as stakeholders to a configuration change include any groups. interest groups and customers. Stakeholders may be internal or external to the organisation managing the change. Stakeholders outside of TfNSW or AEOs that may need to be considered as stakeholders include other government entities. Information may be provided as documents. an assessment should be undertaken to identify potential stakeholders. Stakeholders 9. If alternate procedures for engaging with an external organisation exist those procedures should be applied. 9.

For network configuration changes. The configuration control board will also be able to provide a determination on stakeholder issues that remain unresolved.  a summary of the product configuration information affected by the configuration change and the status of such product configuration information. Interaction with the configuration management committee Approval of the TfNSW configuration management committee is required at certain stages of a network configuration change.  where the proposed change does not fully comply with original business or technical approvals a summary of how the variances have been managed.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. Meetings with the configuration management committee may also be sought where a determination of the committee is required. 10.TS 10751: 2013 Configuration Management Guide Version 1. 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. the responsible configuration control board will ultimately determine if stakeholder consultation is adequate.  a summary of the process that has led to the request for configuration change approval. The TfNSW Rail Asset Configuration Management Plan defines when this is required. consulted. summary of issues raised and the status of any issues that have not been resolved. © State of NSW through Transport for NSW Page 19 of 23 .  the type or stage of approval being sought. 10. 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. The CCB will base this decision on the evidence provided by the configuration change manager.  the stakeholders identified.  a summary of the business approvals and technical approvals required including the status of any that have not been obtained.0 Effective Date: 1 July 2013 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. such as in the case of resolving a dispute that has been escalated to it by other configuration control boards.

0 Effective Date: 1 July 2013  evidence that safety risks have been reduced so far as is reasonably practicable (SFAIRP). the ASA configuration control board or the configuration management committee will resolve the dispute. 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 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. The Configuration Change Request Numbering System Manual describes how this is applied. the term also applies to information that describes the condition of a configuration item. 14.TS 10751: 2013 Configuration Management Guide Version 1.  any other matter that the configuration change manager believes the configuration management committee should be aware of. 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. 13. Where a configuration change has potential to impact configuration items under the control of other configuration control boards. 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.  a summary of the future activities. 11. particularly in relation to providing assurance that the configuration change is on track to produce the outcome desired by TfNSW. © State of NSW through Transport for NSW Page 20 of 23 . stakeholders representing the other configuration control boards are generally considered as primary stakeholders to the configuration change. Generally. Where there is a dispute over the identification of responsible and affected configuration control boards. Interaction with the ASA configuration control board Where a meeting is sought with the ASA configuration control board (CCB). Product configuration information Information about a configuration item that assists in understanding the physical. Within TfNSW. functional and performance characteristics or intents of a configuration item is considered as 'product configuration information'.

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. Auditing Configuration audits are a requirement set by the TfNSW Rail Asset Configuration Management Plan. 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. are addressed in supporting documents. The principles within TfNSW Railway Assets Product Configuration Information Requirements may also be adopted by AEOs which will not undertake network configuration management. The majority of the systems holding configuration information for the metropolitan heavy rail network is managed by Sydney Trains. Detailed requirements. Configuration information formally provided to TfNSW is stored in these systems. Specific requirements are further described in requirements which are specific to each configuration information 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. operations planning and the planning of future changes to system. © State of NSW through Transport for NSW Page 21 of 23 . The information is also used for determining maintenance requirements. 14.0 Effective Date: 1 July 2013 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. Audits are required to provide assurance that activities that are required to be performed are being adequately completed and producing intended results. The ASA generally nominates only one system for the storage of each type of product configuration information.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.TS 10751: 2013 Configuration Management Guide Version 1. The general requirements are defined in the TfNSW Railway Assets Product Configuration Information Requirements document. 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. 15. The product configuration information held within the systems is managed for the Asset Standards Authority by parties identified as configuration information system custodians. specific to each type of product configuration information. Standard requirements for managing product configuration information is also defined in the TfNSW Railway Assets Product Configuration Information Requirements document.

Some project or maintenance activities may be considered an audit if it provides assurance equivalent to an audit. designs or existing product configuration information. an audit plan should be developed. As a result of the requirements assessment and other coordination activities. 15.0 Effective Date: 1 July 2013 Audits may be undertaken separately or integrated with any other audit plan undertaken by the responsible party. 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. © State of NSW through Transport for NSW Page 22 of 23 . 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. Functional configuration audits may involve testing. trailing or any other appropriate activity. 15. physical configuration audits are expected to be performed on new or altered assets prior to asset acceptance. For parties performing ongoing maintenance on TfNSW railway assets. 15.1 Physical configuration audits Physical configuration audits are a type of audit that involve comparing physical assets to documented requirements. For network configuration changes. Generally this would be the responsibility of the AEO responsible for delivering the configuration change. designs or existing product configuration information. 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. An audit does not have to be a separate activity.1 Planning audits An assessment of audit requirements should be performed at intervals appropriate to the scope of work being undertaken.2 Functional configuration audits Functional configuration audits involve comparing the functional performance of assets to documented requirements. For network configuration changes. In such situations. Physical configuration audits may also be performed by AEOs performing maintenance activities on assets. it should be clear that such activities are identified as contributing to the audit requirement. TfNSW may also perform audits or request that physical configuration audits be performed from time to time. Results of all audits should be assessed and where any issues are identified appropriate action taken to address issues as necessary.1. functional configuration audits may be required on new or altered assets prior to asset acceptance and at other stages.TS 10751: 2013 Configuration Management Guide Version 1. an assessment of audit requirements is generally expected at least on an annual basis.1.

TfNSW may also perform audits or request that functional configuration audits be performed from time to time. Part of that assurance is provided though reporting arrangements with the Asset Standards Authority or the Configuration Management Committee. Generally.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. AEOs should define their specific reporting intents and include it as part of their configuration management plan when seeking authority for configuration change control. 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. 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.TS 10751: 2013 Configuration Management Guide Version 1. 15. Configuration management process audits may be undertaken similarly to and as part of any other quality process audits performed.0 Effective Date: 1 July 2013 Functional configuration audits should also be performed by AEOs performing maintenance activities on assets. 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.1. The TfNSW Rail Assets Configuration Management Plan specifies the minimum requirements for reporting by configuration control boards. including management of product configuration information. 16. © State of NSW through Transport for NSW Page 23 of 23 .