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Division / Business Unit: Corporate Services & Safety
Function: Engineering
Document Type: Procedure
© Australian Rail Track Corporation Limited (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 wri tten consent. Use of this document shall be subject
to the terms of the relevant contract with ARTC.
ARTC and its employees shall have no liability to unauthorised users of the information for any loss, damage, cost or expense incurred or arising by reason of an unauthorised user
using or relying upon the information in this document, whether caused by error, negligence, omission or misrepresentation in this document.
This document is uncontrolled when printed.
Authorised users of this document should visit ARTC’s intranet or extranet (www.artc.com.au) to access the latest version of this document.
CONFIDENTIAL Page 1 of 27
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
2.0 18 Apr 19 Configuration
Management
Administrator
Configuration
Manager
Manager
Standards
General Manager
Technical Standards
29/04/2019
Amendment Record
Amendment
Version #
Date Reviewed Clause Description of Amendment
2.0 18 Apr 19 Appendix 2 NAN example updated to include new mandatory stakeholder of
Train Control Systems Manager
Rail Network Configuration Management
EGP-03-01
Table of Contents
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Table of Contents
Table of Contents ............................................................................................................................................. 2
1 Introduction ............................................................................................................................................. 4
1.1 Purpose .......................................................................................................................................... 4
1.2 Scope ............................................................................................................................................. 4
1.3 Configuration Management Manual ............................................................................................... 5
1.4 Configuration Management Standard ............................................................................................ 5
1.5 Procedure Owner ........................................................................................................................... 5
1.6 Responsibilities .............................................................................................................................. 5
1.7 Reference Documents ................................................................................................................... 5
1.8 Definitions ....................................................................................................................................... 6
2 Configuration Management ................................................................................................................... 8
2.1 Introduction ..................................................................................................................................... 8
2.2 Pre-Approval Activities ................................................................................................................... 8
2.3 Configuration Change Management .............................................................................................. 9
2.4 New Configuration Management Baseline ..................................................................................... 9
2.4.1 The Contract Baseline .................................................................................................................... 9
2.4.2 The Functional Baseline ............................................................................................................... 10
2.4.3 The Design Baseline..................................................................................................................... 10
2.4.4 The Commissioned Baseline ........................................................................................................ 10
2.5 The Product Baseline ................................................................................................................... 10
2.6 Configuration Assessment ........................................................................................................... 10
3 Network Alteration Notice (NAN) ........................................................................................................ 12
3.1 Introduction ................................................................................................................................... 12
3.2 Purpose ........................................................................................................................................ 13
3.3 Responsible Officer ...................................................................................................................... 13
3.4 Process ........................................................................................................................................ 13
3.5 Generate the NAN ........................................................................................................................ 13
3.6 Approval and Signoff .................................................................................................................... 16
3.7 Issue of Notification to Affected Parties ....................................................................................... 17
3.7.1 Train Notices ................................................................................................................................ 17
3.7.2 SAFE Notices ............................................................................................................................... 17
3.7.3 Train Operating Conditions (TOC) Amendment/Waiver................................................................ 17
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3.7.4 Route Access Condition (RAC) Notice ......................................................................................... 17
3.8 Changes to Planned Works ......................................................................................................... 17
3.9 Response to Incidents .................................................................................................................. 18
3.10 Close out of NAN ......................................................................................................................... 18
3.11 Independent Review of the CCL .................................................................................................. 18
3.12 NAN and CCL Auditing ................................................................................................................ 18
4 Design Change Management .............................................................................................................. 19
4.1 Inspection and Test ...................................................................................................................... 19
4.2 Verification of Design Integrity ..................................................................................................... 19
Appendix 1 – NAN Process Flowchart ................................................................................................... 22
Appendix 2 - Network Alteration Notice.................................................................................................. 23
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Introduction
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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
RSK-PR-001
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
Equipment Register Updating & Maintenance
Asset Management System
Table 1-1 Applicable Procedures for Change Management
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EGP-03-01
Introduction
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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
The General Managers Asset 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 General Managers Asset are also responsible for ensuring that an appropriate level of risk
assessment is performed per RSK-PR-001 for Major Periodic Maintenance and Capital Works
Projects identified in the Annual Work Program undertaken per PP-151.
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 General Manager Technical Standards is responsible for ensuring that an appropriate level
of risk assessment is performed per RSK-PR-001 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
• Network Information Books and diagrams
• PP-115 Asset Identification
• EGP-04-01 Engineering Drawings and Documentation
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Introduction
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• EGP-04-02 Drawing Management System [DMS]
• EGP-21-01 New Equipment and System Approvals
• Route Access Standard
• PP-130 Control of Software Configuration for Signalling & Communications Systems
• PP-151 Annual Work Program
• EGP-20-01 Project Management
• EGP-10-01 Asset Management System
• RSK-PR-001 Risk Management Procedure
• ARTC SMS – Safety Audit
• ARTC SMS – Manage Accreditation – Variation and Change
• OGP-30-01 Route Access Condition Notice
• OPE-PR-001 Preparation and Distribution of Operational Notices
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, Area Manager, Project Delivery
Manager, Corridor 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.
Configuration Item A non-specific term used to denote any product, including systems, 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.
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▪ 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. Guidance is
provided in EGN-03-01 Configuration Management Manual
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.
General Managers
Asset
General Manager Asset Management – Interstate Business Unit
General Manager Asset Delivery – Hunter Valley Business Unit
Network Information
Books and Diagrams
Network Information Books and associated line diagrams can be found on the
ARTC website at https://www.artc.com.au/customers/operations/nib/
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
EGP-20-01 Project Management is the primary document for reference and
further guidance is provided in the supporting work instructions and templates
depending on whether a project is deemed to be simple or complex
Route Access
Condition (RAC)
Notice
Document used to approve changes to the Route Access Standard (RAS)
Manual between versions of the RAS Manual
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 Network Information Books (NIBs)
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.
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EGP-03-01
Configuration Management
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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 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 RSK-PR-001 on the defined changes of the activity;
CONFIGURATION MANAGEMENT PROCESS
MANAGEMENT RESPONSIBILITY
AUDITS STATUS ACCOUNTING
CONTROL IDENTIFICATION PLANNING
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
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Configuration Management
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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 guidance of the Project Management Procedure
and Project Management Plan template EGW2001T-01. 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 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.
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Configuration Management
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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.
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 and Engineering Reports in the Drawing Management System (DMS),
Structures Documents in Ellipse and general Engineering Documents in Sharepoint.
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.
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Configuration Management
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▪ 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.
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Network Alteration Notice (NAN)
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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.
Figure 3-1 NAN and CCL flowchart for maintenance and project configuration changes
Rail Network Configuration Management
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Network Alteration Notice (NAN)
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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 staff responsible for approving alterations to the Network are the relevant Corridor
Manager/Manager Maintenance (where titles vary, the manager shall be a direct report to the
relevant General 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.
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.
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Network Alteration Notice (NAN)
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The NAN register is available via the link shown on CONNECT under Our Network/Standards &
Procedures/Network Configuration. 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.
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.
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Network Alteration Notice (NAN)
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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:
https://extranet.artc.com.au/eng_all_form.html#configuration
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 by
contacting [email protected]
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.
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Network Alteration Notice (NAN)
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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 Area
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 Corridor Manager/Manager
Maintenance (or delegate per Section 1.6) and relevant General Manager (or delegate per
Section 1.6) for approval and sign-off prior to the start of the configuration change.
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.
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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 OPE-PR-001 Preparation &
Distribution of Operational Notices.
3.7.2 SAFE Notices
SAFE Notices shall be produced and distributed in accordance with OPE-PR-001 Preparation &
Distribution of Operational Notices.
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.
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.
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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 Independent Review of the CCL
An independent review is to be performed to ensure completeness and accuracy of the CCL after
it has been signed off as completed by the change initiator.
3.12 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 2.6 and in EGN-03-01
Configuration Management Manual Section 7.
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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
Contractor/Alliance Partner 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.
Figure 2.1 illustrates the verification of design integrity.
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Figure 2.1 Verification of Design Integrity
Figure 2.2 illustrates the relationship between the configuration management documentation,
change control and project phases.
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Figure 2.2 Relationship of CM Documentation to Baselines, Change Control and Project Phase
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Appendix 1 – NAN Process Flowchart
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Appendix 2 - Network Alteration Notice
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