Rail Network Configuration Management

© Australian Rail Track Corporation Limited 2015 (ARTC) Disclaimer

This document has been prepared by ARTC for internal use and may not be relied on by any other party without ARTC’s prior written consent. Use of this document

Function: Engineering

Document Type: Procedure

Rail Network Configuration

Management

EGP-03-01

Applicability

ARTC Network Wide SMS

Publication Requirement

Internal / External

Primary Source

Document Status

Version # Date Reviewed Prepared by Reviewed by Endorsed Approved

1.6 13 Feb 15 Configuration Management Administrator Configuration Manager Manager Standards GM Technical Standards 24/02/2015 Amendment Record

Amendment # Date Reviewed Clause Description of Amendment

1.0 16 Dec 09 All Updated from PP-158 to reflect changes in the Network Alteration Notice form and process and provide clarification on classification of types of work performed. Supersedes PP-158 version 3.1. 1.1 29 Sep 10 Various Updated to include Design Management.

1.2 30 Nov 10 3.5 Note added to Block 12 instructions to clarify requirement for updating MSTs on installed

1.7, 1.8 & 3.7 infrastructure which is yet to be commissioned. Clarification on requirements for Safe Notices, Train Notices and TOC Waivers and definition of terms added.

1.3 19 Aug 13 Various Document references and changes relating to the revision of PP-157 Project Management have been updated.

1.4 17 Dec 13 Various Addition of references to procedure EGP-03-02 Equipment Register Updating & Maintenance in response to audit findings.

1.5 14 Jan 14 Various Risk references updated. 1.6 13 Feb 15 1.7 & 3.10

3.5

3.7.4

Removed reference to Configuration Change Checklist form & FACA 027

Added details about use of NAN folders and links in the NAN register NAN status options Not Approved and Completed removed

Added new section for Route Access Condition Notices.

EGP-03-01

TABLE OF CONTENTS

1.

I

... 5

1.1. Purpose ... 5

1.2. .Scope ... 5

1.3. Configuration Management Manual ... 6

1.4. Configuration Management Standard ... 6

1.5. Procedure Owner ... 6 1.6. Responsibilities ... 6 1.7. Reference Documents ... 6 1.8. Definitions ... 7

2.

C

M

... 9

2.3. Configuration Change Management ... 10

2.4. New Configuration Management Baseline ... 10

2.4.1. The Contract Baseline 11 2.4.2. The Functional Baseline 11 2.4.3. The Design Baseline 11 2.4.4. The Commissioned Baseline 11 2.5. The Product Baseline ... 12

2.6. Configuration Assessment ... 12

3.

N

A

N

(NAN) ...13

3.1. Introduction ... 13

3.2. Purpose ... 14

3.3. Responsible Officer ... 14

3.4. Process ... 14

3.5. Generate the NAN ... 14

3.6. Approval and Signoff ... 17

3.7. Issue of Notification to Affected Parties ... 18

EGP-03-01

3.7.2. Safe Notices 18

3.7.3. Train Operating Conditions (TOC) Amendment/Waiver 18

3.7.4. Route Access Condition (RAC) Notice 18

3.8. Changes to Planned Works ... 19

3.9. Response to Incidents ... 19

3.10.Close out of NAN ... 19

3.11.NAN and CCL Auditing ... 19

4.

D

C

M

...20

4.1. Inspection and Test ... 20

4.2. Verification of Design Integrity ... 20

A

1

-

NAN

P

F

...23

Introduction

1. Introduction

1.1. Purpose

The purpose of this procedure is to

1. define rail network configuration management in ARTC;

2. provide tools for management and implementation of Configuration Management; and 3. provide guidance on Configuration Change and Network Alteration Notices including

documentation and approvals

1.2.

Scope

This procedure covers all rail network items managed by ARTC, and the documentation that describes these items. Rail network items include all assets, systems and related

documentation and software required to operate and maintain the ARTC rail network. This procedure does not cover the assessment of new rail network equipment and systems from a suitability perspective.

Specific detail on change management for infrastructure documents, operations documents and for drawings is detailed in Table 1-1.

The following table clarifies what procedures are applicable:

Topic Procedures

to use

Procedure Title

Risk considerations for change management

Regulatory Notification

RM-01

ARTC SMS

Risk considerations for change management Regulatory Notification in accordance with the ARTC Safety Management System (Manage Accreditation – Variation and Change) Changes to infrastructure

documents

EGP-01-01 Engineering Document Control

Changes to operations documents

ARTC SMS ARTC SMS (Document Control)

New rail network equipment and systems approval

EGP-21-01 New Equipment and Systems Approvals

New rail network drawings and drawing updates

EGP-04-01 EGP-04-02

Engineering Drawings & Documentation Drawing Management System (DMS) Configuration management of

rail network items

EGP-03-01 Rail Network Configuration Management

Equipment data updating EGP-03-02 EGP-10-01 EGP-10-02

Equipment Register Updating & Maintenance Asset Maintenance Works Management Asset Maintenance Works Management Procedure

Introduction

1.3. Configuration Management Manual

This procedure refers to and must be read in conjunction with the Configuration Management Manual EGN-03-01 for greater detail to deal with more complex projects and for training purposes.

1.4. Configuration Management Standard

This configuration management procedure is based upon AS/ NZ 10007- 2003 Guidelines for Configuration Management.

1.5. Procedure Owner

The Configuration Manager is the Procedure Owner and is the initial point of contact for all queries relating to this procedure.

1.6. Responsibilities

General Managers are responsible for implementation of configuration management within their area of responsibility in accordance with this procedure. General Manager(s) may

delegate their responsibility for defined scope of work to Project Managers or other staff. These delegations can be for specific periods of time or for specific projects and shall be recorded for audit purposes.

The Configuration Manager is responsible for the provision of training in configuration

management, and for ensuring that configuration management auditing is taking place and that audit findings are being responded to by responsible staff.

The Infrastructure Managers are responsible for ensuring that an appropriate level of risk assessment is performed per RM-01 for Major Periodic Maintenance and Capital Works Projects identified in the Annual Work Program undertaken per PP-151.

The General Manager Technical Standards is responsible for ensuring that an appropriate level of risk assessment is performed per RM-01 for new equipment and systems introduced into the ARTC Network per EGP-21-01.

1.7. Reference Documents

The following documents are referred to in this procedure:

• AS/ NZ 10007 – 2003 Guidelines for Configuration Management • AS4292.1-2006 Clauses 6.3 and 6.4,

• AS4292.4-2006 Clauses 3.4, 4.3 and 7

• EGN-03-01 Configuration Management Manual • EGP0301F-01 Network Alteration Notice

• EGP-03-02 Equipment Register Updating and Maintenance • Infrastructure System Maps

• PP-115 Asset Identification

Introduction

• EGP-04-02 Drawing Management System [DMS] • EGP-21-01 New Equipment and System Approvals

• PP-129 Control of Configuration of Signalling and Communications Systems

• PP-130 Control of Software Configuration for Signalling & Communications Systems • PP-151 Annual Work Program

• PP-157 or EGP-20-01 Project Management

• EGP-10-01 Asset Maintenance Works Management • RM-01 Risk Management Procedure

• ARTC SMS – Safety Audit

• ARTC SMS – Manage Accreditation – Variation and Change • OWP-01-00 NSW TOC Waiver Preparation

• SP-03-11 Safe Notice Preparation & Distribution • TA-02 Network Interface Coordination Plan

1.8. Definitions

The following terms and acronyms are used within this document:

Term or acronym Description

Approved Alternative Item

An item that has been type approved in accordance with EGP-21-01 and that fulfils the function of the original item that it replaces.

ARTC Fixed Asset Register (AFAR)

A register used for financials of all items of equipment within the ARTC Network.

Change Initiator The person initiating the change. This may be, for example, the ARTC Project Manager, Major Works Alliance Partner, Team Manager, Infrastructure Manager, Delivery Manager, or Maintenance Alliance Partner.

Configuration  The Functional and Physical characteristics of an existing or planned product, or a combination of products.

 One of a series of sequentially created variations of a product.

Configuration Audit An audit of the functional and physical status of an item and the documents which fully describe it (specifications, design reports, drawings, test reports, commissioning reports, user manuals etc)

Configuration Baseline Configuration of a product and the documents which fully describe it, formally established at a specific point in time, which serves as reference for further activities.

Configuration Change List (CCL)

A list of configuration items and the changes required to be made to them.

Introduction

materials, parts, software, subassemblies, sets, accessories, etc. Configuration

Management

Technical and Organisational activities comprising of configuration identification, configuration control, configuration status accounting and configuration auditing and provides the necessary management controls that enable:

 The orderly establishment, recording, and maintenance of a product’s performance, functional and physical characteristics.

 Orderly management and control of changes to the product’s characteristics.

Configuration Management Plan

A Configuration Management Plan describes how Configuration Management is accomplished and how consistency between the product’s definition, its configuration, and the configuration management records is achieved and maintained throughout the applicable phases of the product’s life.

Equipment Register (Ellipse)

A register of all items of Network equipment and data within the Network. Refer EGP-03-02 Equipment Register Updating & Maintenance for more information.

Infrastructure System Maps (ISM)

Infrastructure System Maps can be found on the ARTC website at

http://www.artc.com.au/Content.aspx?p=37.

MST Maintenance Schedule Tasks - an instruction to perform a specific maintenance inspection.

Network Any defined infrastructure or operational system, on / off track maintenance / measuring equipment that is required for the purpose of creating or supporting ARTC deliverables.

Network Alteration Notice (NAN)

The form used to coordinate the notification and authorisation of a configuration change.

Product Something that is used or produced to satisfy a need or is as a result of a process (e.g., documents, facilities, firmware, hardware, materials, processes, services, software, systems,).

Project Management Procedure

PP-157 Project Management can be used until 30/6/2014 for existing projects.

EGP-20-01 Project Management is to be used for all new projects and for transition of existing projects where applicable.

Safe Notice Document used in NSW to advise temporary and permanent changes to Safeworking Rules and Procedures. Also used to advise changes to infrastructure as detailed in Local Appendix Units (LAUs)

TOC

Amendment/Waiver

Document used in NSW to advise temporary and permanent changes to the Train Operating Conditions Manual (TOC Manual).

TMP Technical Maintenance Plan

Train Notice Document used in SA, Vic and WA to advise permanent changes to the Code of Practice for Operations and Safeworking (TA02 and TA20). Also used to advise temporary changes to operating conditions.

Configuration Management

System (WMS) and/or removal can be planned by the Corridor’s Asset Maintainers.

2. Configuration Management

2.1. Introduction

Configuration Management (CM) in ARTC is a risk control and change management process that is applied over the life cycle of the network or a product to provide visibility and control of its functional and physical characteristics. This is usually due to maintenance or approved project activity.

This process comprises of six integrated process elements; Management Responsibility, Planning, Configuration Identification, Configuration Control, Configuration Status Accounting and Configuration Auditing, as shown in Figure 1.1.

Figure 1.1 Configuration Management Model

In broad terms it can be split into the following areas: 1. Pre–Approval activities

2. Configuration Change Management 3. New Configuration Management Baseline

2.2. Pre-Approval Activities

During this period assessments are undertaken to determine the changes required to the configuration of particular items to meet requirements. During this stage there are no changes

CONFIGURATION MANAGEMENT PROCESS

MANAGEMENT

RESPONSIBILITY PLANNING IDENTIFICATION CONTROL ACCOUNTING STATUS AUDITS

ORGANISATION RESPONSIBILITIES TRAINING CONTRACT REVIEW CM PLAN CM TOOLS ITEM IDENTIFICATION BASELINES ENGINEERING RELEASE CONFIGURATION IDENTIFIERS FORMAL CHANGE

PROCESS DATA RECORDING MANAGEMENT REPORTS PHYSICAL CONFIGURATION VERIFICATION FUNCTIONAL CONFIGURATION VERIFICATION

Configuration Management

to the configuration of the current items or the documents that fully describe them. Activities in this period include:

1. Identify rail network items and where relevant identify the Asset Category or Type from the Asset Register;

2. Describe the Scope of Works which is judged to be reportable per ; ARTC SMS – Manage Accreditation – Variation and Change

3. Conduct a Risk Assessment per RM-01 on the defined changes of the activity; 4. Prepare the Network Alteration Notice (NAN) including the Configuration Change List

(CCL) as required; and

5. Plan the implementation of the configuration change.

2.3. Configuration Change Management

The commencement of this stage is when the formal approval is granted for a project (or other configuration change) to proceed. This is linked with the Project Plan approval for the work to proceed and the fulfilment of all applicable regulatory requirements per ARTC SMS – Manage Accreditation – Variation and Change.

During this stage the configuration of the item is modified or changed in accordance with the approved project scope. During change implementation, variation from the approved

specifications may be required. The variance is recorded and authorised by the responsible manager in accordance with their delegation of authority. Variances are to be managed using the Network Alteration Notice to approve and communicate the change. Approved variances are recorded in the documentation of the as built configuration of the affected items. Refer to Section 4 for Design Change Management.

For complex projects the management of this change is by an approved Configuration Management Plan that is prepared under the Project Management Procedure. The template for the Configuration Management Plan is provided as EGN0301T-01. Change notification is achieved using the Network Alteration Notice (NAN) detailed in Section 3. The NAN/CCL is a live document and may change during the course of the project.

For simple projects consideration of Configuration Management issues is to be included in the Project Management Plan. Notification of change management is achieved using the NAN. Detailed guidance on change management and development of configuration baselines for complex projects is provided at Section 4.5.1 of EGN-03-01 Configuration Management Manual.

For configuration changes arising during maintenance, changes cannot commence until the NAN is approved.

2.4. New Configuration Management Baseline

For complex network changes, there will be several configuration baselines between

specification and final commissioning. These can include the functional, design and allocated baselines per EGN-03-01 Section 4.5.

Configuration Management

Configuration baselines should be established whenever it is necessary to define a reference configuration during the product life cycle, which serves as a starting point for further activities. The level of detail to which a product is defined in the configuration baseline is dependent on the degree of control required.

2.4.1. The Contract Baseline

The Contract and any Functional and Performance Specifications shall be placed under configuration control at the commencement of the contracted activity (Contract Effective Date or as soon as possible after). These documents form the contract baseline. These documents shall be released on a controlled circulation through the CM process under the authority of the Project Manager and recorded on the Document Management System.

2.4.2. The Functional Baseline

The Functional Configuration Baseline consists of the functional configuration documentation, which describes the systems functional performance, interoperability, interface requirements, and the verifications required to demonstrate the achievement of those specified requirements. The proposed Functional Configuration Documentation (e.g. Customer Requirements or Design Brief) shall be released prior to the Preliminary Design Review, for review and

agreement at the Preliminary Design Review. The Functional Baseline is established following Functional Configuration Documentation approval and Preliminary Design Review close out.

2.4.3. The Design Baseline

The Design Configuration Baseline consists of the approved design configuration

documentation, which is the combined performance and design documentation utilised for the production and procurement of a product, it may include documentation on tooling and production processes. The proposed Design Configuration Documentation shall be released prior to the Design Review, for review and agreement at the Design Review. The Design Baseline is established following Design Review close out.

2.4.4. The Commissioned Baseline

The Commissioned Configuration Baseline consists of the “marked up” approved design configuration documentation. This documentation is established after close out of the

Functional and Physical configuration audits and prior to the commencement of operation. The documentation shall be released prior to the Product Configuration “As Built” Baseline.

Configuration Management

2.5. The Product Baseline

The Product Baseline consists of the approved product configuration documentation, which is the “As Built” documentation. The Product Baseline is established after the commissioned baseline has been formally drafted and then released.

This new baseline is typically, but not exclusively, described by the following:

• Specifications, design reports, drawings, user and maintenance manuals, spares lists, test reports, updates to related documents and systems (eg. Ellipse), and commissioning reports.

It is a requirement that all technical documentation relevant to the as-built configuration, per the list above, be stored electronically in the applicable record management systems for ready future access e.g.: Drawings in the Drawing Management System (DMS), Structures

Documents in the Bridge Management System (BMS) and general Engineering Documents in HP Trim.

2.6. Configuration Assessment

Configuration assessment is used to ensure that a configuration change complies with its contracted or specified requirements and to ensure that a configuration change is accurately reflected in the configuration data. At least two types of assessments shall be performed during commissioning:

• Functional Configuration Assessment (FCA) which verifies whether the configuration item meets the functional performance requirements specified.

• Physical Configuration Assessment (PCA) which verifies whether the configuration item meets the physical characteristics specified in the approved design documentation (including any approved changes).

General audits will also be carried out for configuration compliance against project or maintenance requirements per the standard audit program, as required by the Configuration Manager from time to time.

Further details on configuration auditing may be found in Section 3.16, EGN-03-01 Configuration Management Manual Section 7 and ARTC SMS – Safety Audit.

Network Alteration Notice (NAN)

3. Network Alteration Notice (NAN)

3.1. Introduction

The process of managing the configuration change of ARTC items; informing stakeholders and obtaining approvals is undertaken though a Network Alteration Notice (NAN) as part of the approval process during all project management or maintenance activities as shown in Figure 3-1.

Network Alteration Notice (NAN)

3.2. Purpose

The NAN covers the requirement for the advice, approval and notification of Network

alterations which alter the operational capability, configuration, documentation or safe working requirements of the ARTC Network and the maintenance of ARTC operational systems. A Network alteration can be any software component, release, tool, documentation or hardware unit required for the purpose of creating or supporting ARTC Network deliverables. All Network alterations undertaken by ARTC, Alliance Partners and / or (sub) Contractors are required to conform to this procedure.

3.3. Responsible Officer

The ARTC officers responsible for approving alterations to the Network are the relevant Delivery Manager or delegated officer and the relevant General Manager or delegated officer.

3.4. Process

For complex projects, the NAN is written in the Project Assessment Phase, and is part of the Project Approval. The NAN shall also be raised on commencement of a simple project, or when maintenance action leads to a necessary configuration change. The aim is to report, record and update system information that comes through the major / minor or periodic maintenance work schedules, using the NAN as the approval form covering updated MST’s. There may be minor or major changes to the NAN content during Detailed Design or Project Implementation. In the case of minor changes to the NAN that do not alter the project objectives the project proceeds as planned, and the NAN is updated with all such minor changes prior to commissioning. However in the case of major changes that impact on project objectives, the amended NAN shall be re-approved by the responsible manager. For complex projects, a revision to the Configuration Management Plan shall be developed and approved. During maintenance, changing an item with one of exactly the same manufacturer and part number is not a configuration change.

Replacing an item with an approved alternative item is a configuration change and a NAN is required. Approval of the NAN is not required when replacing an item with an approved alternative item that does not result in any changes to the operational capability, configuration or safe-working requirements of the ARTC Network; however distribution of the change information on the unapproved NAN is required so that records can be updated. For items managed under a Equipment Register / Works Management System, the responsible manager shall also approve any changes to MST’s, and address any defects that are no longer relevant per EGP-10-01 Asset Maintenance Works Management.

3.5. Generate the NAN

The NAN is prepared and managed by the Change Initiator. The initiator can be an ARTC employee or service providers and will be able to obtain a number from the system.

The Change Initiator assigns each NAN a number based on the NAN register. The Change Initiator opens the NAN register, takes the next available number and fills in the Status, Date Raised, who it was Raised By, the Jurisdiction of the change (eg North South, Hunter, East West), the Location of the change, a short description of the change and the Project Number.

Network Alteration Notice (NAN)

The NAN register is available at: http://intranet.artc.com.au/eng_network-config_nan.html#nan-register. Each NAN number on the register is a link to a folder where the configuration change documents are to be stored for use by the relevant stakeholders. Each NAN folder contains the following sub-folders to help sort the information into clearly defined sections:

01 NAN

02 CCL Confirmation 03 Ellipse Data 04 Drawings

05 Risk Assessment

06 Notices (Safe, Train, Route Access Condition (RAC), Train Operating Condition (TOC) 07 Correspondence

When the NAN number is initially obtained, the Status column of the NAN register shall be filled in with “Awaiting Approval”, or “Approval not required” in the case of approved alternative item replacements. During the project or works, the status and other NAN details are to be updated to reflect the progress of the configuration process.

Throughout the process, the NAN may have the following status:

• “Awaiting Approval” – before approval of the changes indicated on the NAN has been gained.

• “Approved” – the changes proposed on the NAN have been approved. • “On Hold” – the changes indicated on the NAN are put on hold. • “Cancelled” – the changes indicated on the NAN have been cancelled.

• “Closed Out” – All changes indicated on the NAN have been completed and all required Configuration systems updated, regulators informed where necessary (as per NAN Part 3 Item 11) and the completed Configuration Change List (CCL) has been signed off.

• “Approval not Required” - Network alterations that do not alter the operational capability, configuration or safeworking requirements of the ARTC Network do not require approval i.e. approved alternative item replacement.

The Date sent for Approval column shall have the date that the NAN was sent for approval entered into it by the change initiator.

The Date Approved column shall have the date of approval of the NAN entered into it by the change initiator.

The Date sent for Scope Change Approval column shall have the date that the NAN was sent for approval entered into it by the change initiator.

The Date Scope Change Approved column shall have the date of approval of the NAN entered into it by the change initiator.

The Project Start Date column shall have the date the project began entered into it by the change initiator.

Network Alteration Notice (NAN)

The Date of Practical Completion column shall have the date that the works being undertaken for the project are completed entered into it by the change initiator.

The date all items detailed in the CCL have been actioned shall be entered into the CCL Close Out column by the change initiator.

The NAN Close Out date shall have the date that the NAN was closed out entered into it by the change initiator.

EGP0301F-01 Network Alteration Notice (NAN) is available at: http://extranet.artc.com.au/docs/eng/all/forms/EGP0301F-01.doc.

The Change Initiator is required to complete the NAN (as per the following).

 Block 1: Enter the NAN Number and the details of the organisation responsible for the configuration change.

 Block 2: Enter the Project details.

 Block 3: Enter details of the proposed change and works to implement the change.  Block 4: Enter the location details of the proposed alteration.

 Block 5: Identify whether the project will affect network operations. To reach a decision, the initiator may need to seek guidance from Network Controllers or Corridor Operations Managers to determine how significant the effect would be. If the project is considered to affect network operations, then the relevant Operations Manager must approve the Network Alteration Notice. Details of the effect on operations are to be provided and a Train / Safe Notice must be drafted as per Section 3.7.

 Block 6: Provide details of internal and external stakeholders who will be affected during and after the alterations. Stakeholders identified in this section must also be included in Part 3 to ensure that they receive notification during distribution of the NAN.

 Block 7: Provide a copy of the Risk Assessment for the project or maintenance works and provide a schematic diagram showing the changes being made.

 Block 8: Approval of the NAN as discussed in Section 3.6

 Blocks 9 & 10: Should the scope of the work change significantly during the project or activity, details of the scope change are to be provided in this section and approval of the scope change is to be gained as per the instructions in Section 3.6. This change of scope is to accompany financial approval documents.

 Block 11: Enter person and date of advice to inform regulators as per ARTC SMS – Manage Accreditation – Variation and Change.

 Block 12: Identify Documents/Systems Requiring Update:

As part of the configuration management process, it is necessary to identify any systems and/or documents which will require updating due to the changes resulting from the project, maintenance or other activities identified in the NAN.

A tool to assist in identifying the relevant documents or systems to be updated is available at:

Network Alteration Notice (NAN)

The details of the documents/systems requiring change are to be included in the Configuration Change List at the end of the Network Alteration Notice or by using the form available from the Document and System List tool.

During the configuration change, all configuration items identified in the Configuration Change List shall be updated to reflect the final status of the items involved in the configuration change. The change initiator is to liaise with the relevant stakeholder responsible for the document or system update and, also provide all relevant information to ensure that the information is correct, and in the required format to enable the document or system to be accurately updated. The stakeholders can be directed to the relevant NAN folder and its individual subfolders to locate the configuration change information to enable the document or system to be updated. Once this information has been compiled, the parties identified in the CCL are required to perform the action listed and then advise the change initiator of the completion of the task.

Note 1: Refer to procedure EGP-03-02 Equipment Register Updating and Maintenance for

instructions on updating changes to configuration items and associated maintenance scheduled tasks.

Note 2: During construction, if assets are installed into the active network and to be

commissioned at a later date, then the Change Initiator, in conjunction with the Team Manager and Asset Data Administrator, is to ensure that the relevant MST’s are activated as appropriate when the asset is initially installed.

The completion date of the update shall be entered onto the electronic version of the CCL stored on the server. Once all the updates have been completed, the CCL shall be printed off and signed off by the Change Initiator. The signed and completed CCL shall then be scanned into the NAN folder and the paper copy filed with all the other project records. All updates are expected to be completed within 60 days of the commissioning of the configuration change and the updates shall be coordinated to meet the demands of the FAR.

 Blocks 13/14/15: Identify stakeholders who will need to be advised of the activities detailed in the NAN and provide advice at the appropriate phase of the project or work that meets the stakeholder’s needs. Some guidance on this matter is included in Part 3 of the NAN.

Stakeholders may be included on the CCL if they are involved in an activity to update a document or system or may receive advice of the NAN for information only purposes to assist with the performance of their duties.

A detailed NAN process flowchart is provided in Appendix 1 and an example of a NAN template is provided in Appendix 2 Network Alteration Notice.

3.6. Approval and Signoff

In the case of maintenance changes or simple projects the NAN is raised as soon as a need for change is identified and forwarded by the Change Initiator to the Delivery Manager (or delegate per Section 1.5) and relevant General Manager (or delegate per Section 1.5) for approval and sign-off prior to the start of the configuration change.

Network Alteration Notice (NAN)

In the case of complex projects the NAN is initially raised in accordance with the Configuration Management Plan (CMP) guidance before detailed design commences and forwarded to the approval authority identified in the CMP.

The date that the NAN was sent for approval shall be entered into the Date Sent for Approval column of the NAN and register by the change Initiator.

A NAN may be amended prior to approval.

The NAN will be rejected if it does not align with the ARTC Network strategy or does not meet with infrastructure and operational requirements. The initiator will be informed of the decision and this will be recorded.

If the NAN is rejected, “Not Approved” must be entered in the Status column of the NAN register.

If the NAN is approved per the delegations in Section 1.5, “Approved” must be entered in the Status column of the NAN register, and the date of approval entered into the Date Approved Column of the register by the change initiator.

Approval of the NAN shall be sought for any changes to the NAN in particular the CCL Section. If multiple “Scope Change Approvals” are required an additional Approvals sheet shall be produced.

A NAN shall be produced and distributed for all Network alterations, but approval is NOT required for Network alterations that do not alter the operational capability, configuration or safeworking requirements of the ARTC Network i.e. approved alternative item replacement.

3.7. Issue of Notification to Affected Parties

The Change Initiator is responsible to advise the relevant corridor operators as detailed. Notification advices are to be prepared and sent to the relevant parties for issue, so that notification can be made at least two weeks prior to the change coming into effect.

3.7.1. Train Notices

Train Notices shall be produced and distributed in accordance with TA 02 Appendix XIV ARTC notices.

3.7.2. Safe Notices

SAFE Notices shall be produced and distributed in accordance with SP-03-11 SAFE Notice Preparation & Distribution.

3.7.3. Train Operating Conditions (TOC) Amendment/Waiver

TOC Amendments/Waivers shall be produced and distributed in accordance with OWP-01-00 NSW TOC Waiver Preparation.

3.7.4. Route Access Condition (RAC) Notice

RAC notices shall be produced and distributed in accordance with OGP-30-01 Route Access Condition Notice.

Network Alteration Notice (NAN)

3.8. Changes to Planned Works

If changes are required to previously issued NAN's and Train/SAFE Notices regarding the planned dates or extensions to agreed track closures then, notice shall be given to the operations project representative and the Assistant Planner (or Train Transit Manager (TTM) outside of normal business hours) as soon as possible. An amended Train/SAFE Notice shall be issued identifying when the works will be completed and referencing the previous versions of the Train/SAFE Notice.

3.9. Response to Incidents

NAN’s are only required for items that will incur a permanent change. For incidents a NAN shall be retrospectively issued if permanent changes to the infrastructure will result from any restoration works.

3.10.

Close out of NAN

The close out of the NAN is achieved by completing Part 4. The Change Initiator shall confirm that the following conditions are met:

• All changes indicated on the NAN have been completed and all required Configuration Systems updated,

• and the completed Configuration Change List (CCL) has been signed off. The Change Initiator shall sign off and date the NAN. The completed NAN shall be

electronically stored in the NAN register folder and the original hardcopy shall be stored with the project file.

The change initiator is responsible to ensure that the NAN register is updated to indicate that the NAN has “Closed Out” in the status column and the date that the NAN was closed out shall be entered into the “Close Out Date” column.

3.11.

NAN and CCL Auditing

The relevant General Manager shall ensure the audit of the progress and completion of NAN's and CCL's. Emphasis shall also be given to auditing that NAN’s are approved prior to the commencement of configuration changes. Further audit details are provided at Section 2.5 and in EGN-03-01 Configuration Management Manual Section 7.

Design Change Management

4. Design Change Management

4.1. Inspection and Test

ARTC utilises independent agents for the verification and validation of design integrity. Verification is achieved by inspection and assessment against a checklist of items, which may be more extensive than that required for construction certification. For example; the verification activity will include inspection and assessment of the infrastructure against ARTC and Alliance Partners documented monitoring and maintenance practices.

There are various types of inspection and testing activities that can be carried out for given condition parameters. Each inspection type has specific conditions it is aimed at detecting. Visual and other inspection types are generally carried out for one the following reasons: • To detect unsafe conditions, which may be expected to occur in the infrastructure between other more detailed inspections,

• To detect unsafe conditions that may occur in the infrastructure due to accelerated deterioration; and

• To detect faults that cannot be measured by any other means.

Verification methods by inspection or test must take into account the following considerations: • Clear definition of the defect conditions that may be found from each inspection method. • The ability of the inspection and test process to reliably detect the defect condition to an appropriate accuracy.

• Location, method, level of detail and frequency of inspection and testing; and • Control, calibration and maintenance of equipment used for inspection and testing.

4.2. Verification of Design Integrity

ARTC accepts changes to the design or configuration of the infrastructure on the basis that the changes conform to an approved design. The acceptance process must include the verification of integrated engineering and operating systems in terms of requirements, standards and designs, and validation against ‘as built’ documentation.

The various verification and validation tasks during modification of infrastructure are the same as those for the concept and design, construction and implementation, and commissioning phases of the asset life cycle. These verification and validation tasks are listed at table A1 of AS4292.4. Internal verification procedures are to include inspection, testing and monitoring of design, commissioning and maintenance of the infrastructure, and independent audits of the infrastructure changes and processes.

Design Change Management

Figure 2.1 Verification of Design Integrity

Figure 2.2 illustrates the relationship between the configuration management documentation, change control and project phases.

Design Change Management

Appendix 1 - NAN Process Flowchart

Appendix 2 - Network Alteration Notice