Transport Network Assurance Committee Submissions Guide · • gate 0 – strategic assessment...

Transport Network Assurance Committee Submissions Guide

T MU AM 04002 GU

Guide

Version 2.0

Issue date: 03 July 2018

© State of NSW through Transport for NSW 2018

T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide

Version 2.0 Issue date: 03 July 2018

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Standard governance

Owner: Manager Asset Configuration Systems, Asset Standards Authority

Authoriser: Director 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 First issue 22 June 2015

2.0 Renaming of guide from TfNSW Configuration Management and Asset Assurance Committee Submissions Guide and minor related updates

© State of NSW through Transport for NSW 2018 of 28



Preface

The Asset Standards Authority (ASA) is a key strategic branch of Transport for NSW (TfNSW).

As the network design and standards authority for NSW Transport Assets, as specified in the

ASA Charter, the ASA identifies, selects, develops, publishes, maintains and controls a suite of

requirements documents on behalf of TfNSW, the asset owner.

The ASA deploys TfNSW requirements for asset and safety assurance by creating and

managing TfNSW's governance models, documents and processes. To achieve this, the ASA

focuses on four primary tasks:

• publishing and managing TfNSW's process and requirements documents including TfNSW

plans, standards, manuals and guides

• deploying TfNSW's Authorised Engineering Organisation (AEO) framework

• continuously improving TfNSW’s Asset Management Framework

• collaborating with the Transport cluster and industry through open engagement

The AEO framework authorises engineering organisations to supply and provide asset related

products and services to TfNSW. It works to assure the safety, quality and fitness for purpose of

those products and services over the asset's whole-of-life. AEOs are expected to demonstrate

how they have applied the requirements of ASA documents, including TfNSW plans, standards

and guides, when delivering assets and related services for TfNSW.

Compliance with ASA requirements by itself is not sufficient to ensure satisfactory outcomes for

NSW Transport Assets. The ASA expects that professional judgement be used by competent

personnel when using ASA requirements to produce those outcomes.

About this document

This document provides guidance in relation to submissions to the Transport Network

Assurance Committee. Configuration Management arrangements within TfNSW are based on

AS ISO 10007 Quality management systems – Guidelines for configuration management.

Configuration management in TfNSW also encompasses an asset assurance role.

This guide is a second issue. The guide was previously titled TfNSW Configuration

Management and Asset Assurance Committee Submissions Guide.

This document has been developed in consultation with key stakeholders across TfNSW.




Table of contents 1. Introduction .............................................................................................................................................. 6

2. Purpose .................................................................................................................................................... 6 2.1. Scope ...................................................................................................................................................... 6 2.2. Application .............................................................................................................................................. 6

3. Reference documents ............................................................................................................................. 7

4. Terms and definitions ............................................................................................................................. 7

5. CCRs presented to the TNAC ................................................................................................................. 8 5.1. Significance of a configuration change ................................................................................................... 8

6. Gate 0 configuration changes ................................................................................................................ 9 6.1. Significant CCRs at gate 0 .................................................................................................................... 10 6.2. Minor or moderate CCRs at gate 0 ....................................................................................................... 13

7. Gate 1 configuration changes .............................................................................................................. 14 7.1. Significant CCRs at gate 1 .................................................................................................................... 15 7.2. Minor or moderate CCRs at gate 1 ....................................................................................................... 17

8. Gate 5 configuration changes .............................................................................................................. 19 8.1. Significant CCRs at gate 5 .................................................................................................................... 19 8.2. Moderate or minor CCRs at gate 5 ....................................................................................................... 22

9. Gate 6 configuration changes .............................................................................................................. 23 9.1. Overview submission document at gate 6 ............................................................................................ 24

10. Submission relating to third party work ............................................................................................. 25

11. Assurance update to the TNAC ............................................................................................................ 25

12. Submission templates .......................................................................................................................... 26

13. ASA guidance to TNAC ......................................................................................................................... 26

14. CCR presentations to the TNAC .......................................................................................................... 26

15. TNAC assessment ................................................................................................................................. 27

16. TNAC decision ....................................................................................................................................... 27

Appendix A Submission steps for configuration change .................................................................. 28




1. Introduction A configuration change within the context of the TfNSW Transport Network is any change that

results in the removal of, addition or change to TfNSW transport assets or interfaces whether it

is as a result of a project or maintenance activity. In certain circumstances, configuration

change requests (CCRs) are required to be submitted to the Transport Network Assurance

Committee (TNAC) or a delegated authority of the TNAC.

T MU AM 04001 PL TfNSW Configuration Management Plan defines requirements for the

management of configuration changes on the TfNSW Transport Network. This document

supports T MU AM 04001 PL by providing practical guidance for the preparation of CCR

submissions to the TNAC. This document is based on principles from AS ISO 10007 Quality

management systems – Guidelines for configuration management.

2. Purpose This document provides guidance to configuration change managers (CCMs) for preparing,

submitting and presenting CCR submissions or notifications to the TNAC in order to progress

through the relevant configuration management (CM) gates.

2.1. Scope This document describes the expectations and approach for preparing, submitting and

presenting submissions to the TNAC meeting at the following configuration management gates:

• gate 0 – strategic assessment (initiation)

• gate 1 – business case (requirements complete)

• gate 5 – asset handover

• gate 6 – asset assurance review

Guidance for submissions made to delegated authorities, known as configuration control boards

(CCBs) are not covered by this document.

This document should be used in conjunction with T MU AM 04001 PL which specifies the

arrangements for TfNSW configuration management.

2.2. Application This document is applicable to any party accountable or responsible for preparing CCR

submissions or notifications required at configuration management gate 0, gate1, gate 5 and

gate 6. Submissions and notifications are presented to the TNAC for acceptance in order to

progress through the relevant configuration management gates.




These configuration management gates occur respectively in the lead up to the strategic

assessment and final business case as described in CPsd13001 TfNSW Investment Gating and

Assurance Guidelines, followed by asset handover and maintenance activities.

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.

Transport for NSW standards

T MU AM 01001 ST Life Cycle Costing

T MU AM 04001 PL TfNSW Configuration Management Plan

T MU MD 20000 GU Risk Tolerability, Quantified Risk Assessment and its Role in the

Assurance of Change

T MU MD 20001 ST System Safety Standard for New or Altered Assets

Other references

CPsd13001 TfNSW Investment Gating and Assurance Guidelines, (available on request from

[email protected])

Environmental Planning and Assessment Act 1979

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

AGP assurance and governance plan

ASA Asset Standards Authority

BRS business requirements specification

CCB configuration control board

CCM configuration change manager; person who has primary responsibility for a configuration

change

CCR configuration change request; formal request to add or change a TfNSW transport asset

that is subject to configuration control

CM configuration management

ConOps concept of operations

ISA independent safety assessment

ISCA initial safety change assessment




RAMS reliability, availability maintainability and safety

SFAIRP so far as is reasonably practicable

SME subject matter expert

SRS system requirements specification

TfNSW Transport for NSW

TfNSW transport assets transport assets vested in or owned, managed, controlled,

commissioned or funded by TfNSW or a subsidiary NSW Government Transport Agency

TfNSW Transport Network the transport system (transport services and transport

infrastructure) owned and operated by TfNSW, its operating agencies or private entities upon

which TfNSW has power to exercise its functions as conferred by the Transport Administration

Act or any other Act

TNAC Transport Network Assurance Committee

5. CCRs presented to the TNAC Configuration changes affecting current or planned TfNSW transport assets, including property

and airspace, need to be accepted by the TNAC at the gates defined in T MU AM 04001 PL.

The TNAC will review changes that pose substantial risks to TfNSW assets. Safety, financial,

reputational, operational, maintenance factors and a whole-of-life costing approach should be

considered when determining risk. Configuration changes that are not significant may be

presented to the TNAC for acceptance in the form of a notification.

Each configuration change will be considered on a case by case basis. Each set of

configuration changes should be assessed holistically, taking into consideration all interrelated

configuration changes. For example, consideration should be given to the effects of individual

commissioning stages, the effect to overall change and how changes will integrate into the

network.

The TNAC may request CCRs submissions or audit configuration changes at any point in time.

When CCRs are presented to the TNAC, a representative from the sponsoring business unit

should attend irrespective of the team that has produced the submission.

5.1. Significance of a configuration change The means of determining the significance of a configuration change is defined within the

T MU AM 04001 PL and T MU MD 20001 ST System Safety Standard for New or Altered

Assets. CCMs are responsible for determining the significance of the configuration change and

for presenting to the TNAC at gate 0, gate 1, gate 5 and gate 6.




6. Gate 0 configuration changes A proposed configuration change should be presented to the TNAC, or an appropriately

authorised delegate, for acceptance at an early stage of planning i.e. gate 0 and 1 as shown in

Figure 1.

Acceptance by the TNAC or delegate forms part of the initial business requirements of a project

and needs to occur prior to the strategic business case submission to investment assurance

gate 1 as shown in Figure 1.

CM

gat

e 0

CM

gat

e 1

CM

gat

e 2

CM

gat

e 3

CM

gat

e 4

CM

gat

e 5

End

of a

sset

life

cyc

le

Inve

stm

ent a

ssur

ance

gat

e 2

Bus

ines

s ca

se

Inve

stm

ent a

ssur

ance

gat

e 1

Str

ateg

ic a

sses

smen

t

Pre

-com

mis

sion

ing

gate

5

Inve

stm

ent a

ssur

ance

gat

e 0

Pro

ject

just

ifica

tion

Gates managed through CCBs

Transport Network Assurance Committee (TNAC)

Mai

nten

ance

pla

n ga

te 6

Ong

oing

CM

gat

e 6

Demand/Need Plan Aquire DisposeOperate/Maintain


Figure 1 – TfNSW asset life cycle

The gate 0 is submitted when initial business requirements are developed and preliminary

assessments of the configuration change have been performed. At this point, a single

configuration change option may not have been developed but a number of options should have

been identified. Evidence of a safety change impact assessment and initial assurance and

governance arrangements of the configuration change are also required at this point.

Gate 0 aligns to investment assurance gate 1, described as strategic assessment by

Infrastructure NSW or strategic business case by TfNSW. Configuration management gate 0

CCR is a pre-requisite to go to an investment assurance gate 1 submission.

The order of preceding assurance activities that is required for gate 0 submission is as shown in

Figure 2.



Initial business requirements Options identifiedSafety change

impact assessment Initial AGP

TNAC gate 0 submission

Figure 2 – Gate 0 submission relative to preceding activities

The gate 0 submission provides TfNSW with confidence that adequate assurance activities

have been performed, that the proposed configuration change is feasible and that the project

has an adequate plan for progressing the proposal from gate 0 through to gate 1. It is intended

that any decisions to date will be demonstrated to have ensured safety so far as is reasonably

practicable (SFAIRP).

Demonstration that a systems engineering approach has been used to manage the

development of the proposed configuration change will assist in providing confidence that

appropriate assurance activities have been and will continue to be conducted.

Where appropriate, a single consolidated gate 0 submission may be submitted to cover a set of

similar or related proposed configuration changes that are being managed as a single program

of work. Assessment of the significance should be considered based on the overall program

submission.

6.1. Significant CCRs at gate 0 Gate 0 configuration changes determined by the CCM as being significant are to be presented

to the TNAC at a scheduled meeting unless specific arrangements exist for the CCR to be

accepted by other means.

6.1.1. Overview submission document at gate 0 The CCM provides an overview of the proposed configuration change through a written

submission and short presentation. The submission is not intended to provide in-depth details of

the project but should comprise enough information to provide the TNAC with an adequate

understanding of the proposal, particularly from an assurance perspective.




The overview should include a summary of the following information:

• the scope of the configuration change

• assurance and governance arrangements, detailed in an initial assurance and governance

plan (AGP), demonstrating that the structured assurance and governance approach will be

taken to progress to gate 1 and further gates

• project alignment to TfNSW network strategies

• information relating to interfacing projects and activities and their impact on the change

• identified initial business requirements and the approach taken to develop the requirements

• network alignment, where appropriate providing the network concept of operations

(ConOps)

• stakeholder identification and adequate consultation demonstrating consideration of

feedback with any significant issues identified

• compliance with the Environmental Planning and Assessment Act 1979

• whole-of-life sustainability outcomes appropriately addressed (see guidance for

sustainability requirements in T MU AM 04001 PL)

• considerations of whole-of-life costs as outlined in T MU AM 01001 ST Life Cycle Costing

where possible

• appropriately completed safety change assessment and for transport projects approved

initial safety change assessment (ISCA)

• consideration of the impact of the change in the context of TfNSW risk tolerability as

outlined in T MU MD 20000 GU targets safety arrangements beyond gate 0 particularly

how the risk based decision will be made and assured, including human factors

consideration where applicable

• assessments, reports or other evidence that show how the safety risks of the configuration

change has been assessed and reduced SFAIRP

• identified significant risks or outstanding issues (documented risks and issues may include

delivery, stakeholder, operational, maintainability, interfaces and safety at a

whole of network level) and the approach for controlling and managing these

• any other matter the CCM believes the TNAC should be aware of

The overview should demonstrate that a systematic approach has been applied to developing

the assurance evidence leading to gate 0 and the planned activities through to gate 1.The

information provided in the overview should be adequate so as to enable the TNAC to make an

informed decision on the proposed change.




Templates for TNAC submissions and presentations are available from the TNAC Secretary at

[email protected].

6.1.2. Supporting documentation at gate 0 for a significant CCR

A list of supporting documentation should be provided in the overview submission document.

Supporting documentation provides evidence that due process has been followed in preparing

the proposed configuration change.

With the exception of the AGP, copies of which need to be included in the submission,

supporting documentation does not need to be included as part of the submission itself.

Supporting documentation should however be readily available at the time of submission and be

available to the TNAC or the Asset Standards Authority (ASA) if requested.

Supporting documentation can include the following:

• completed ISCA for transport projects and equivalent to other parties

• initial AGP

• evidence of initial business requirements specification (BRS)

• The following supporting documentation should be available upon request but does not

need to be included in the submission:

• initial ConOps document

• evidence that stakeholders have been identified, consulted and feedback appropriately

considered

• risk registers, initial safety assurance plan, hazard assessments and reports or other

evidence that show how the safety risks of the configuration change has been assessed

and reduced SFAIRP

• evidence of risk based decision making in optioneering

• consideration of human factor issues or a human factors integration plan

• assessments showing that cost, maintenance and other factors relevant to the proposed

change have been considered to a level appropriate for the stage of the project and are

planned to be completely addressed in due course

6.1.3. Process for submission and presentation at gate 0

The CCM or their representative should present proposals for a significant configuration change

to the TNAC.

In the case where gate 0 submissions come from delivery organisation, the presentation to the

TNAC should be led by the business unit accountable for the proposed change.




Any queries regarding submissions and presentations can be directed to the TNAC Secretary at

[email protected].

Refer to Table 1 in Appendix A for information on the submission steps for significant CCRs to

the TNAC.

6.2. Minor or moderate CCRs at gate 0 Gate 0 configuration changes determined by the CCM as being of minor or moderate

significance should be presented to the TNAC by notification unless specific arrangements exist

for the CCR to be accepted by a delegated body.

Notification should comprise enough information to provide the TNAC with an adequate

understanding of the proposal, particularly from an assurance perspective but not as detailed as

the submission. Generally a two to three page notification is expected from the CCM.

6.2.1. Notification submission document at gate 0 The CCM provides a notification of the proposed configuration change through a written

submission. The notification should comprise information focusing on the proposed change and

key issues. The notification should be submitted to the regular meeting of the TNAC for

acceptance, unless specific arrangements exist for the CCR to be accepted by a delegated

body.

The notification is similar to a significant gate 0 submission, however, less detailed.

A presentation and attendance is not required for the notification. Where a number of issues are

identified by subject matter experts (SMEs) project representatives will be required to attend the

meeting to resolve issues.

The notification should include a summary of the following:


• assurance and governance arrangements, detailed in an initial AGP, demonstrating that

the structured assurance and governance approach will be taken to progress to gate 1 and

further gates


• identified initial business requirements and the approach taken to develop the requirements

• operational and maintenance considerations, such as a high-level ConOps









• considerations of whole-of-life costs as outlined in T MU AM 01001 ST where possible

• appropriately completed safety change assessment and for transport projects approved

ISCA

• safety arrangements beyond gate 0 particularly how the risk based decision will be made

and assured, including human factors consideration where applicable




delivery, stakeholder, operational, maintainability, interfaces and safety at a whole-of-

network level) and the approach for controlling and managing these


6.2.2. Supporting documentation at gate 0 for a minor or moderate CCR Where further evidence is required to support the notification, supporting document will be

requested by the TNAC Secretary.

6.2.3. Process for providing a notification at gate 0 The CCM should prepare the notification of the proposed minor or moderate configuration

change to the TNAC.

Any queries regarding the submissions and presentations are to be sent to the TNAC Secretary

at [email protected].

Refer to Table 1 in Appendix A for the submission steps for minor or moderate CCRs to the

TNAC.

7. Gate 1 configuration changes Proposed configuration changes should be presented to the TNAC for acceptance at gate 1. At

this point, the project is expected to have an approved set of BRS and SRS. Acceptance of the

CCR at gate 1 is an input to the final business case and needs to be obtained before the final

business case submission.

Gate 1 aligns to investment assurance gate 2, described as business case by Infrastructure

NSW or final business case by TfNSW. For the projects subsequently progressing to investment

assurance, the CCM is responsible for obtaining configuration management acceptance at gate

1 and addressing any outstanding conditions. © State of NSW through Transport for NSW 2018 of 28



The order of activities that precede a gate 1 submission will commence with the approval of the

BRS. Demonstration that the operation and maintenance concept and the system requirements

have been developed will provide the TNAC with confidence that appropriate assurances are

taking place. At this point the project is expected to have an approved assurance and

governance arrangements of the configuration change.

A gate 1 submission to the TNAC can proceed once these activities have taken place. Refer to

Figure 3 that illustrates this process.

Final operations and maintenance concept

definitionApproved SRSApproved ISCA Approved AGP

TNAC gate 1 submission

Approved BRS

Figure 3 – Gate 1 submission relative to preceding assurance activities

7.1. Significant CCRs at gate 1 Gate 1 configuration changes determined by the CCM as being significant should be presented

to the TNAC at a regular meeting.

7.1.1. Overview submission document at gate 1 The CCM provides an overview of the proposed configuration change through a written

submission and short presentation. The submission is not intended to provide in-depth details of

the project, however, it should contain enough information to provide the TNAC with an

understanding of the proposal, key issues and the management plan for those key issues.

The overview should include a summary of the following:


• assurance and governance arrangements, detailed in a final AGP, demonstrating that the

structured assurance and governance approach will be taken beyond gate 1 through to

delivery of the configuration change


• information relating to interfacing projects and activities and their impact on the change

• evidence of approved BRS and SRS

• operations concept definition (OCD)









• details of whole-of-life cost assessment activities and processes (not dollar values)

• appropriately completed safety change assessment and approved ISCA for transport

projects

• the safety SFAIRP argument supporting the preferred option over other options and

evidence that the selected option is most effective in terms of reducing safety risk when

balanced against cost and effort




delivery, stakeholder, operational, maintainability, interfaces and safety at a whole of


• independent safety assessment (ISA) report for safety significant changes

• reliability, availability maintainability and safety (RAMS) considerations

• concessions to TfNSW standards that are likely to be required, including impact of the

concession to operations, maintenance, safety and costs


7.1.2. Supporting documentation at gate 1 for a significant CCR The supporting documentation should demonstrate that assurance activities have been

undertaken by the project. All the supporting documents are reviewed by ASA SMEs and any

issues identified are notified to the project.

Copies of the following supporting documentation should be provided as separate documents

with the submission to the ASA:

• approved ISCA for transport projects and equivalent to other parties

• approved AGP or equivalent


• approved safety assurance plan




• independent safety assessment (ISA) report (where an independent safety assessor is

required to be appointed)

The following supporting documentation should be available upon request but does not need to

be included in the submission:

• evidence of final operation concept definition document


considered

• risk registers, hazard assessments and reports or other evidence demonstrating how the

safety risks of the configuration change has been assessed and reduced SFAIRP

• evidence of risk based decision making in optioneering

• consideration of human factor issues or human factors integration plan

• assessments showing that cost, maintenance and other factors relevant to the proposed

change have been considered to a level appropriate for the stage of the project and are

planned to be completely addressed in due course including the following:

• concessions register if available

• evidence of whole-of-life costing activities and outcomes

7.1.3. Process for submission and presentation at gate 1 The CCM or their representative should present their submission to the TNAC.

Gate 1 submissions should have representation from the sponsor but may also include external

consultants and personnel from the delivery organisation.

Any queries regarding the submissions and presentations can be directed to the TNAC

Secretary at [email protected].

Refer to Table 1 in Appendix A for an outline of the submission steps for significant CCRs to the

TNAC.

7.2. Minor or moderate CCRs at gate 1 Gate 1 configuration changes determined by the CCM as being of minor or moderate

significance are submitted to the TNAC by notification unless specific arrangements exist for the

CCR to be accepted by a delegated body.


submission. The notification should comprise information focusing on the proposed change and




key issues. The notification should be submitted to the regular meeting of the TNAC for

acceptance, unless specific arrangements exist for the CCR to be accepted by a delegated

body.

The notification is similar to significant gate 1 submission, however, less detailed.


identified with the notification the project representatives are required to attend the meeting to

resolve issues.



• assurance and governance arrangements, detailed in a final AGP, demonstrating that the

structured assurance and governance approach will be taken beyond gate 1 through to

delivery

• project alignment to TfNSW network strategies and interfacing projects and activities

information and its impact


• operations concept definition






• details of whole-of-life cost assessment activities and processes (not dollar values)

• appropriately completed safety change assessment and approved ISCA for transport

projects

• the safety SFAIRP argument supporting the preferred option over other options, and

evidence that the selected option is most effective in terms of reducing safety risk when

balanced against cost and effort




delivery, stakeholder, operational, maintainability, interfaces and safety at a whole-of-





7.2.2. Supporting documentation at gate 1 for a minor or moderate

CCR Where further evidence is required to support the notification, supporting documents will be

requested.

7.2.3. Process for providing a notification at gate 1 The CCM should prepare a notification of the proposed minor or moderate configuration change

to the TNAC.

Any queries regarding the notification and attendance can be directed to the TNAC Secretary at

[email protected].

Refer to Table 1 in Appendix A for an outline of the submission steps for minor or moderate

CCRs to the TNAC.

8. Gate 5 configuration changes The TNAC or the CCB with delegated authority needs to accept any configuration change that

is due for commissioning.

8.1. Significant CCRs at gate 5 Gate 5 configuration changes determined by the CCM as being significant should be presented

to the TNAC at a regular meeting. This gate occurs at the point shortly before the handover of

the asset from the project team to the maintainer.

8.1.1. Overview submission document at gate 5 The CCM provides an overview of the configuration change through a written submission and

short presentation. The overview is not intended to provide in-depth details of the project but

should comprise enough information to provide the TNAC with an adequate understanding of

the proposed configuration, key issues and the management plan for those issues.

The overview should include a summary of the following:


• compliance to the approved AGP

• compliance with the Environmental Planning and Assessment Act, 1979



• preceding CCRs, particularly any associated outstanding conditions




• evidence that the approved business and system requirements have been met and

evidence that any variance to the requirements have been managed since initial approval

• stakeholder consultation, particularly in relation to operational readiness with summarised

significant issues identified from stakeholders consultation and how they have been

managed

• ISA that includes operational safety for safety significant changes

• evidence that the argument that the implemented configuration change is safe SFAIRP and

evidence of the ISA and conclusion

• residual safety risks and hazards that TfNSW is being asked to accept and the status of

these in relation to the future asset operator and maintainer

• the status of the operational safety argument

• commissioning and operational readiness planning activities

• evidence that technical approvals for all the elements of the configuration change has been

obtained

• concessions to TfNSW standards that have been required, including the status and

resulting impact to safety, whole-of-life cost, operations and maintenance of the

concessions configuration changes are to be managed so as to be presented at gate 5 with

no outstanding concessions

• whole-of-life cost assessments prepared for handover where appropriate

• RAMS consideration have been appropriately addressed

• asset information has been delivered and schedules in place for the delivery of the

remaining asset information

• how asset information has or will be checked for accuracy and completeness before being

delivered to the custodian

• evidence demonstrating that the client representative (division of TfNSW that represents

the client, the Secretary TfNSW) agrees that the service provider is ready to operate and

maintain

• any risks, issues and outstanding matters addressed prior to the completion of the project

and time frames for their completion




8.1.2. Supporting documentation at gate 5 for a significant CCR A list of the supporting documentation should be provided in the overview.

Copies of the following supporting documentation should be provided as separate documents,

but still form part of the submission to TNAC Secretary:

• safety assurance report

• evidence, in the form of a safety report, that safety risks of the configuration change have

been reduced SFAIRP

• an operational safety argument and supporting evidence with content as required by

T MU MD 20001 ST

• an ISA report

The following supporting documentation should be available upon request but does not need to

be included in the submission:


considered

• evidence of acceptance of preceding CCRs

• evidence of compliance with an AGP

• stakeholder consultation report and register

• operational readiness arrangements such as an operational readiness plan

• asset hand over plan

• evidence that technical approvals for all the elements of the configuration change have

been obtained

• requirements traceability

• evidence that asset information has been checked for accuracy and completeness before

being delivered

• evidence of hazard identification, hazard log and analysis report

• any other document that supports the claims made in the submission document

8.1.3. Process for submission and presentation at gate 5 The CCM or their representative should present their submission to the TNAC.






Refer to Table 1 in Appendix A for an outline of the submission steps for significant CCRs to the

TNAC.

8.2. Moderate or minor CCRs at gate 5 Gate 5 configuration changes determined by the CCM as being of moderate or minor

significance are to be presented to the TNAC by notification unless specific arrangements exist

for the CCR to be accepted by a delegated body.


submission. The notification is not intended to provide in-depth details of all activities performed

in supporting the project but should comprise enough information to provide the TNAC with an

adequate understanding of the proposed change and key issues in relation to configuration

management and asset assurance.

The notification is similar to gate 5 significant submissions, however, less detailed.


identified with the notification project representatives are required to attend the meeting to

resolve the issues.



• compliance to the approved AGP or a summary of the assurance and governance

arrangements if the project was started prior to the requirement for an AGP

• preceding CCRs, particularly any associated outstanding conditions

• confirmation that business and system requirements have been met

• stakeholder consultation particularly in relation to operational readiness

• evidence that the implemented configuration change is safe SFAIRP and evidence of the

ISA and conclusion

• residual safety risks and hazards that TfNSW is being asked to accept and the status of

these in relation to the future asset operator and maintainer

• the status of the operational safety argument

• commissioning and operational readiness planning activities

• evidence that technical approvals for all the elements of the configuration change has been

obtained




• concessions to TfNSW standards that have been required, noting the status and resulting

impact to safety, whole-of-life cost, operations and maintainability of the concessions.

Configuration changes should be managed so as to be presented at gate 5 with no

outstanding concessions

• asset information has been delivered and schedules in place for the delivery of the

remaining asset information

• asset information has or will be checked for accuracy and completeness before being

delivered to the custodian

• any risks, issues or outstanding matters to be addressed prior to the completion of the

project; and timeframes for their completion

8.2.2. Supporting documentation at gate 5 for a minor of moderate CCR Where further evidence is required to support the notification, supporting documentation will be

requested.

8.2.3. Process for providing a notification at gate 5 The CCM should prepare a notification of the proposed moderate or minor configuration change

to the TNAC.



Refer to Table 1 of Appendix A for an outline of the submission steps for moderate configuration

change to the TNAC.

9. Gate 6 configuration changes TNAC gate 6 gate reviews occur annually as a single whole of TfNSW Transport Network

submission unless otherwise determined by the ASA or TNAC. This gate is a demonstration

that TfNSW transport assets are being appropriately managed. The evidence of assurance shall

cover the management of the configuration, safety risks, reliability, maintainability, availability

and whole-of-life costs to deliver the service objectives for TfNSW.

TfNSW Infrastructure and Services Division is accountable for the gate 6 submission. The

Director Infrastructure Management, Service Delivery and Asset Management is normally the

CCM in the context of gate 6 submissions to the TNAC.




The submission is intended to achieve the following objectives:

• demonstrate that a risk based approach has been applied in developing the asset

maintenance plan and annual works plan

• assurance argument that the asset maintenance plan and annual works plan provided

maintains the integrity of the TfNSW Transport Network balanced against TfNSW

objectives and maintenance requirements

• demonstrate that the previous asset maintenance plan and annual works plan have been

achieved and the resulting network configuration and continues to deliver the transport

objectives

• identify incomplete work and justification of risks and mitigation activities

• demonstrate that monthly key performances such as punctuality, reliability, reduced

incidents and so on have been achieved

• provide evidence of appropriate control and assurance of assets in the form of asset

condition or audit reports, or reviews of such documents by second or third parties

• demonstration of an appropriate level of surveillance of service providers

9.1. Overview submission document at gate 6 The CCM provides an overview of the configuration change through a written submission and

short presentation. The overview is not intended to provide in-depth details of all activities

performed in the course of managing the assets being controlled but should comprise enough

information to provide the TNAC with an adequate understanding of the processes and

decisions made in the course of managing and planning for the management of the asset as

appropriate.

The overview should include summaries of the following:

• scope of assets and activities performed

• assurance and governance arrangements

• planning arrangements for maintenance activities and planned configuration changes

having been selected based on an appropriate processes that consider the network

strategy and the long term interests of TfNSW

• evidence to support the case that the assets managed over the preceding review period

have been done safely SFAIRP

• evidence to support the case that the planning for the management of the assets over the

proceeding period will result in assets that are safe SFAIRP




9.1.1. Supporting documentation at gate 6

The available supporting documentation should be listed in the overview and be readily

available for TNAC review.

Copies of the following supporting documentation should be included as part of the submission

to the TNAC Secretary:

• asset maintenance plan

• past and planned annual works plan

• asset assurance reports

• key performance indicator (KPI) reports

• evidence of audit report carried out on asset conditions and performance

• evidence of appropriate configuration change control over the preceding review period

• evidence of appropriate safety and risk assurance in the course of maintaining and

changing assets over the preceding review period

10. Submission relating to third party work CCR submissions for configuration change initiated and managed by third parties shall be

submitted to the TNAC. Third party work includes work on third party assets interfacing with

transport assets or work initiated and managed by a third party resulting in new or changed

TfNSW transport assets. Generally third party works are initiated, designed and delivered by the

third party therefore CM gate requirements may vary depending on the nature of the change.

Typically a third party project has no business requirement as approval goes through an

external governance body without the usual business case and financial assurance pathways of

TfNSW. Depending on the type of change, assurance evidence should be provided to the TNAC

demonstrating that the risk and its impact on TfNSW assets is appropriately managed.

The CCM for a third party is usually the person within TfNSW or transport agency responsible

for managing the relationship between TfNSW or transport agency and the third party.

11. Assurance update to the TNAC If the scope of a previously presented CCR changes, an assurance update presentation shall

be provided to the TNAC. If the configuration change project continues over a period of time

then updates shall be provided in between the gates to ensure that assurance arrangements

apply as stated previously. In some cases the TNAC or the delegated bodies may request an

updated presentation.




An assurance update presentation should focus on details of the scope change and impact on

overall assurance and governance arrangements.

An assurance update presentation is not the submission therefore no determination will be

made by the TNAC however, the TNAC can impose actions. The presentation can be tailored

depending to the complexity of the project however should not exceed 5 slides.

12. Submission templates The ASA manages a set of CCR templates for submissions to the TNAC. The latest versions of

the templates are available to CCMs from the ASA when a project initially engages with the

ASA to discuss their submission.

CCMs should ensure that the latest template has been used in their submission.

13. ASA guidance to TNAC The ASA provides assistance to the TNAC members when reviewing a configuration change

request submission using a guidance document. The document generally provides context and

key matters that SMEs believe the TNAC members should take particular note of when making

their decision. The guidance to the TNAC does not provide a recommended determination for

the TNAC but may include recommendations associated with specific aspects of the

submission.

The content of the guidance document is produced based on consultation and input from SMEs.

Issues identified by SMEs and relevant to the scope of the TNAC shall be included in the

guidance document.

The guidance document is issued to TNAC members and the project with the agenda.

14. CCR presentations to the TNAC Presentations to the TNAC should consist of a concise slide show lasting less than five minutes.

The slide show should focus on the key governance and assurance activities and supporting

evidence developed by the project. Information about the project background and scope should

be minimised in the presentation slides.

Presentations should be limited to 5 slides of content. Presentations should also focus on

resolving the issues listed in the document referred to in Section 13 to improve the possibility of

an unconditional acceptance by the TNAC.

Fifteen minutes will usually be allocated to each CCR presented to the TNAC. This is to allow

time for questions and discussion.




15. TNAC assessment The TNAC will assess each proposal or asset acceptance CCR on a case by case basis.

The TNAC members base their decisions on the following:

• compliance to appropriate due processes

• evidence showing that the configuration change will be adequately controlled

• evidence showing that expected outcomes will be delivered

• identification of potential risks and measures to address those risks

16. TNAC decision Upon assessment of a concept or asset acceptance CCR, the TNAC may decide to accept the

change, accept the change with conditions or defer its decision.

Where an acceptance to the change is granted with conditions, the conditions should be met

and maintained for the acceptance to remain valid.

Where conditions require specific activities to be performed, CCMs are expected to provide

evidence to the TNAC that the conditions have been met prior to proceeding to the subsequent

CM gates.




Appendix A Submission steps for configuration change

The submission steps for significant, moderate and minor configuration change are outlined in

Table 1.

All notifications and submissions should be sent to [email protected].

Table 1 – Submission steps for significant, moderate, minor configuration and third party work project CCRs

Step Description When What

1 Notify Manager Asset Configuration Systems, ASA of the development of a proposed configuration change.

Early in the development of the proposed configuration change

Submission or notification

2 Notify the TNAC Secretary that acceptance of the proposed configuration change will be sought in the near future. This assists the ASA and TNAC to plan meeting arrangements.

Three months prior to presentation at the TNAC

Submission

3 Request the TNAC Secretary add the proposed configuration change to the next available TNAC meeting. If feedback from the ASA is sought then provide a draft submission.

Six weeks prior to presentation at the TNAC


4 Provide the TNAC Secretary with the final submission and supporting documentation for circulation to TNAC members. This is required for the submission to be included on the agenda.

Two weeks prior to presentation at the TNAC


5 Provide the TNAC Secretary with the presentation.

Two days prior to presentation at the TNAC

Submission


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