Engineering Management Manual

Engineering Management Manual Configuration Management ED0014 Document Category: DMS: Document Control: Procedure CRN-EPR-ENG-014 Version Date Author/discipline Reviewer Approver Remarks 1.0 13/12/2011 J. Gangoda G. Dewberry Manager Asset & Engineering Services G. Dewberry Manager Asset & Engineering Services Summary of changes from previous version: Section Summary of change Distribution There are no restrictions on the distribution/circulation of this procedure/work instruction within John Holland Rail Pty Ltd Country Regional Network Project (JHR CRN). 1. Introduction Effective management of the configuration of infrastructure, plant and equipment is essential for efficient operation and maintenance of JHR CRN assets and for compliance with the NSW Rail Safety Act 2008, Rail Safety (General) Regulation 2008, NSW OH&S Act 2000 & Regulations 2001 and other Statutory requirements. Accurate information about the current approved design (configuration) is also essential for defining and managing all changes to existing designs, either through Configuration Change Request (CCR) action, or during the introduction of new projects. Management of this information through a Configuration Management (CM) process is a key element of the design control element of JHR CRN accreditation under AS/NZS ISO 9001:2008 and ITSR accreditation under the Rail Safety Act. It should be noted that the current configuration documentation for the CRN is fragmented with errors and gaps in data. A process is in place to verify existing data and capture additional configuration data over the initial period of the contract. Functional baseline information is primarily derived or implied by the existing configuration. Functional requirements will be re-established and validated with stakeholders as Route Strategies are developed. Doc No: CRN-EPR-ENG-014 Date: [Issue Date] Ver: 1 Page 1 of 10

2. Scope This Procedure establishes requirements for Configuration Management of JHR CRN assets in the context of design. The application and management of asset configuration in the wider JHR CRN, is contained within the Asset Configuration Management Plan. 3. Referenced Documents New South Wales Rail Safety Act 2008 & Rail Safety (General) Regulation 2008 New South Wales Occupational Health and Safety Act 2000 & Regulations 2001 AS ISO 10007: 2003 Quality Management Systems Guidelines for Configuration Management AS 4292.1: 2006 Parts 1 to 7 Railway safety management requirements ANSI/EIA Standard 649 National Consensus Standard for Configuration Management IEEE Standard 1220: 2005 Standard for Application and Management of the Systems Engineering Process 4. Definitions And Terms Terms used within this Procedure are in accordance with the Glossary included in Procedure ED 0001. Terms having specific importance within this Procedure are reproduced below. Approved Configuration: The approved configuration of any system, sub-system or item of infrastructure is the approved As Built design plus all approved changes to the design. Configuration Baseline: The configuration (of the asset) at any point in time recorded in documentation that fully describes the functional, performance, useability, interface requirements, and design characteristics, as appropriate to the stage in the life cycle. (IEEE Standard 1220: 2005). Note that during the in service phase the approved configuration represents a configuration baseline. Configuration Management: Australian Standard AS ISO 10007: 2003 sets out general principles for Configuration Management (CM). Key elements of the process are: Documenting the approved design of plant and equipment (plant configuration) Managing and controlling changes to this configuration, including documentation of each change Verifying that the physical installation remains consistent with design documentation. Configuration Item: A configuration item is defined as an aggregation of hardware, software, processed materials, services or any of its discrete portions that is designated for configuration management and treated as a single entity in the configuration management process. Design (Configuration) Change: A design (configuration) change is any change that affects the physical or functional characteristics of the infrastructure, including operating limitations and conditions of use, hardware and software (including Programmable Electronic Systems). Ver: 1 Page 2 of 10

Design Records: Design records provide traceability of the evolution of the approved design (including design changes) from the specification to approved configuration documentation. Design records include, but are not limited to, assumptions and calculations, investigations and reports (such as Hazard analyses or reliability models), test and commissioning records, modelling results and any other data that supports the final design solution. Configuration Documents: Configuration documents include specifications, drawings, plans, equipment lists and datasheets, electronic and electrical logic diagrams, software documents and code lists, approved CCRs and modification records, and any other documents required to fully define the capabilities and limitations of the infrastructure design. Configuration documents may include mandatory inspection requirements and retirement lives for designs that are based on a safety-by-inspection regime. Drawings: Drawings include but are not limited to, Track, Signalling and OHW plans and layouts, piping layouts and isometrics, Civil and Structural fabrication details, Electrical Schematics, Single Line Diagrams and Terminations, Instrument Loop and Hookup Diagrams and Vendor Drawings. Drawings include Parts Lists and associated schedules. Interface: Interfaces are common boundaries or points of connection between two or more items or systems. These may include mechanical connections, electrical/electronic connections, software to software/hardware interfaces, data transfer requirements, procedural requirements or input conditions and constraints that exist between one system and another or between items within the same system. Interface Specification: The description of essential functional, performance, and design requirements and constraints at a common boundary between two or more system elements. This includes interfaces between humans and hardware or software, as well as interfaces between humans themselves. (IEEE Standard 1220: 2005) Maintenance Data: Maintenance Data comprises Scheduled Maintenance and MPM requirements, operating and repair procedures, maintenance instructions, procedures and manuals as well as maintenance documentation and compliance records. Except for mandatory safety-by-inspection requirements and retirement lives, maintenance data does not form part of the configuration documentation but must accurately reflect the approved design, must be approved through a process similar to design approval, and must be maintained for compliance purposes. 5. Requirements 5.1. Key Requirements Accurate definition, control and recording of the approved configuration of all infrastructure assets is essential to enable JHR CRN to: Provide safe and efficient infrastructure for use by clients Develop and approve changes to the design Comply with the JHR Pty Ltd requirements for accreditation as an operator within the terms of the NSW Rail Safety Act 2008 & Rail Safety (General) Regulation 2008 Comply with the requirements of NSW Occupational Health and Safety Act 2000 & Regulations 2001. The JHR/CRN Asset Configuration Management (CM) system incorporates the following key requirements: Ver: 1 Page 3 of 10

A set of configuration documents shall be maintained for all assets for which JHR/CRN has management responsibility and control Configuration documentation for each asset shall fully and accurately define the current approved configuration (baseline) for that asset at any time A single, master configuration record shall be maintained for each asset The master configuration record (excluding drawings) will be recorded in the Asset Management Information System (Maximo) Configuration records for each asset must be accessible to all applicable stakeholders, either by the use of controlled copies of approved hardcopy documentation or through electronic means All changes to the approved configuration, including changes that become necessary during construction, shall be subject to design approval by a properly authorised engineer Changes to the master configuration documentation shall only be made following approval of the design by a properly authorised engineer and (where applicable) approval to incorporate the change by the appropriate Configuration Control Board (CCB) Changes to the master configuration records will be managed by the Strategic Asset Manager Changes to the approved configuration shall be accompanied by the necessary changes to support documents and methods. These include, but are not limited to: Maintenance requirements i.e. Technical Maintenance Plan revision Updated hazard and risk analyses, including Process Control Plans Training needs Other support requirements such as updated spares, tools and support equipment to the extent that they are not covered by the applicable Process Control Plan. Regular Physical Configuration Audits shall be carried out to verify that the physical standard of assets conforms to the approved configuration. 5.2. Approved Design to be Documented 5.2.1. General Requirements A master set of configuration documentation shall be created and/or maintained for each infrastructure system, sub-system, installation and configuration item for which the JHR CRN is responsible. The level of documentation to be maintained as part of the configuration record will include that which is essential to: Clearly and unambiguously define the approved configuration of the infrastructure at any time Control interfaces between elements of the system, including the conditions of use and the relevant procedural requirements Ver: 1 Page 4 of 10

Comply with statutory requirements for documentation and reporting of infrastructure items Support maintenance and design change activity. The general scope of design documentation for new projects and for changes to the configuration of existing infrastructure is defined in Sections 5.2.4 and 5.2.5 respectively. 5.2.2. Configuration Baselines Three Baselines will normally be established for Major or Minor design projects. These are lists of approved configuration documents that fully describe the configuration of an asset at specific point in time, as follows: Functional Baseline: The Functional Baseline establishes the basis for development and validation of design solutions. The Baseline normally comprises the client specification for the equipment, but may include additional specifications and interface control documents as well as specific environmental or other design criteria, where this is necessary to fully define the basis for development of the item. For-construction Baseline: The For-construction Baseline (sometimes called the Preliminary Production Baseline) documents the approved design that is released for construction purposes. The Baseline normally comprises drawings, specifications and plans that provide full details necessary to construct the asset (or part of the asset if the design is released in stages). As-built Baseline: The As-built Baseline (sometimes called the Production Baseline) defines the configuration of the asset as constructed and commissioned. This Baseline is evolved from the For-construction Baseline and incorporates all changes that have approved during the construction phase. The As-built Baseline shall be defined and documented for all JHR CRN design projects. 5.2.3. Derived Documents Configuration Documentation included in the respective Baselines has a common characteristic of serving to define the functional and physical characteristics of the asset design. An additional set of documents is produced for many assets, for the purpose of providing support and guidance during the utilization phase. These include management documents such as the Technical Maintenance Plan (TMP), operating and maintenance manuals, servicing schedules and checklists and spares catalogues. This set of documentation is required under the provisions of NSW OH&S Act 2000 & Regulations 2001. Support documents are developed from configuration documents and must accurately reflect the design at all times, to ensure that logistic support arrangements remain aligned with the physical assets. However, they do not control the basic configuration of the asset, and are classed as derived documents. Derived documents do not form part of the configuration documentation for the asset and are not listed in configuration baselines. The issue or revision status of derived documents must be controlled to the same standards as is applied to configuration documents. This is to be managed through the documentation control system in accordance with separate instructions. Ver: 1 Page 5 of 10

5.2.4. Documentation Requirements for New Projects The minimum level of documentation that shall be established for new infrastructure or equipment includes but is not limited to, the following. 5.2.4.1. Configuration Documents The following configuration documents shall be established for new Minor and Major projects: Engineering Specification The Engineering Specification represents the design basis and is the primary means of documenting the performance requirements, technical characteristics, statutory and other design standards be met within the design. The scope of the specification will vary with the scope of the project and equipment. Procedure ED 0004 provides additional detail on the content of Engineering Specifications. As-built drawings These define the physical and functional characteristics of the asset as it was constructed and commissioned, and provide the basis for management of all subsequent changes. Vendor drawings for major items are to be included wherever possible. Equipment Lists Equipment lists are to be created for each new drawing showing details of major items, e.g. Signals, turnouts, point machines. Details to be recorded in the Equipment List should include part /model number, manufacturer (as distinct from supplier) and leading characteristics of each item that forms part of the approved design. Configuration documentation recording the As-built configuration of infrastructure introduced by new projects shall be incorporated into the JHR CRN Asset Management Information system (Maximo) following commissioning of the new asset. 5.2.4.2. Design Files and Records Design files and records to be maintained for all new projects include design assumptions and calculations, simulation & modelling results, Validation (including Type Test) and Commissioning plans and results, or other information relevant to the design decision. These include Hazard and Risk Analyses (See Procedure ED 0008), records of Technical / Design reviews and specific reports prepared as part of the project. Design files and records are to be kept and issued to JHR CRN, and maintained within the JHR CRN Document Management System. 5.2.4.3. Support Documentation Unless otherwise agreed as part of the contract or agreement for the task, support documentation is to be developed in accordance with the requirements of Procedure ED 0018 to meet, as a minimum, the requirements of OH&S Regulations 2001. 5.2.5. Documentation of Changes to Existing Infrastructure Documentation for existing infrastructure includes drawings, plans, specifications and standards, design records, test and commissioning data and other information. The documentation has been prepared to varying standards and the currency of the information is dependent on the age of the existing assets and other factors such as the source of the equipment and previous management arrangements. Data for existing infrastructure and equipment is to be progressively reviewed and revised, as the need arises to change or modify the data as a result of configuration change action. Ver: 1 Page 6 of 10

All future changes shall be documented in accordance with the requirements of Procedures ED 0015 and ED 0016, respectively. Documentation and records to be established and maintained for changes to the configuration of existing infrastructure shall include, but not be limited to: Copies of the Configuration Change Request (CCR) setting out the purpose of the change. Revised configuration documents, including drawings, specifications, and other data necessary to provide full details of the change as built. Design records including design calculations, analyses test and other data that provide traceability of design decisions in support of the change. Revisions to support documentation The master copies of all configuration documentation raised for the change shall be incorporated into the JHR CRN Document Management Information system following commissioning of the new infrastructure. This is essential to be able to establish traceability to the approved configuration at any point, i.e. to determine what changes have been made and why, for maintenance support purposes and to provide an accurate baseline to support future changes. 5.2.6. JHR CRN Standards JHR CRN Standards form part of the configuration record for JHR CRN infrastructure. These Standards establish the basis for the detailed design of many parts of the system and, as such, they are incorporated into the approved configuration for specific installations or systems by reference in the design documentation. The master copies of all approved Standards, as well as superseded Standards that have been used for existing infrastructure, are maintained within the JHR CRN Document Management System. 5.2.7. Configuration Records Asset Configuration Information & Records shall be progressively established and updated to ensure that: A master set of configuration records exist for each element of the infrastructure design. This is necessary to ensure that all stakeholders having a requirement to access or use the configuration record shall have access to a common set of data. The configuration record shall reflect a consolidation of the most current available information from all sources within JHR CRN. Changes to the configuration record shall only be made by authorised persons. Details of configuration changes shall only be added to the master configuration record after approval of the design by a properly authorised engineer and (where applicable) approval to incorporate the change by the appropriate Configuration Control Board. Procedure ED 0017 includes additional information and requirements on documentation requirements and standards. Ver: 1 Page 7 of 10

5.3. Managing Configuration Changes 5.3.1. Identification of Changes Proper management and approval of configuration changes is fundamental to the CM process. It is essential for JHR CRN business management purposes and for compliance with legislative and regulatory requirements. Changes to the design will take place progressively and continuously throughout the life of the infrastructure through the addition of new systems and installations and upgrading of existing infrastructure. Design changes will often be incorporated as part of other activities, such as Major Periodic Maintenance (MPM). The need for changes will be generated by requirements such as the need to accommodate new operating or business requirements, upgrading to improve operating performance or to reduce costs, to adapt to changes in operating rules, to improve reliability, maintainability features. Examples of design changes include: Replacement of ballasted track with slab track Replacement of timber sleepers with concrete Changes to the operating environment or conditions of use, including the introduction of new rolling stock, modification of existing rolling stock, or changes in train configuration, speed and axle loading Replacement of major components, such as signals Introduction of new products or materials having different properties to those which they replace Changes to software which are outside of the normal operating parameters permitted within the existing design. A more comprehensive list of examples is in Procedure ED 0015. Proposed changes to the infrastructure may originate in several ways, including; Proposals by Asset Managers or Clients for the purpose of introducing changes to the operating environment, or to upgrade the standard of the infrastructure to meet new business requirements, or to improve safety, reliability or efficiency Proposals by Design, Integrated Support or Assurance staff to improve safety, reliability or efficiency, or to meet new legislative requirements or changes in national standards Changes to incorporate new interface requirements, including new procedural requirements. 5.3.2. Processing and Approval of Configuration Changes The approval process for Configuration changes involves two separate and distinct approvals. These are: Implementation Approval. Approval to implement the proposed configuration change follows is essentially a financial and operational approval. Approval to implement a proposed configuration change is the prerogative of the CCB for Major Changes. Design Approval. Design Approval is mandatory for all configuration changes. Design approval certifies that the design has been completed in accordance with the appropriate standards and methods and will meet the specified requirements, and Ver: 1 Page 8 of 10

must be provided by an engineer having the appropriate competencies and who has been specifically authorised. The Design approval process is described in detail in Procedure ED 0010. The general process for processing and approval of Configuration Change Requests, including primary responsibilities within the process, is described in the JHR CRN Asset Configuration Plan. Detailed requirements for processing and approval of configuration changes for existing infrastructure are in Procedure ED 0015. 5.3.3. Configuration Control Board In most cases configuration changes for infrastructure will require the involvement of several stakeholders and will require inputs from more than one discipline. In addition every change must be assessed to determine the impact on hazards and risks (See procedure ED 0008) and on supportability aspects, such as the maintenance requirements included in the relevant Technical Maintenance Plan(s). The primary roles of CCB are to: Sponsor proposals for configuration changes within their area of responsibility Ensure that user requirements are properly specified before the proposed change is submitted for design assessment, including coordination with external stakeholders, as appropriate Approve (or decline ) the incorporation of configuration changes, following design approval Ensure that support requirements for all approved changes have been defined and are implemented concurrently with the introduction of the change Selectively monitor the incorporation of critical changes. CCBs cannot hold engineering authority and are not empowered to provide Design Approval for Configuration Changes. This is an engineering function and can only be given by properly authorised engineers. Refer to procedure ED 0010. 5.3.4. JHR CRN Classification of Configuration Changes Configuration change proposals within JHR CRN will be classified according to their level of complexity and impact on the system. The classifications will be used to establish processing and approval requirements and responsibilities within JHR CRN. Changes will be classified as either Minor or Major, based on a set of criteria which includes: Effect on infrastructure operation and function Engineering complexity of the change, including interface management requirements Cost. Detailed requirements for classification of changes for existing infrastructure are outlined in Procedure ED 0015. Classification and management of design changes during new projects are covered in Procedure ED 0016. Ver: 1 Page 9 of 10

5.3.5. ITSR Reporting The JHR CRN Configuration Management Plan includes processes and responsibilities for reporting and liaison with ITSR in support of this requirement. 5.4. Physical Configuration Audits Physical Configuration Audit (PCA) is a part of the Configuration Management process. It involves a comparison of the actual configuration of the infrastructure at any time with the approved configuration documents. Procedure ED 0013 requires that a PCA be completed at the conclusion of RIC projects, to ensure that the actual configuration of the infrastructure As-built conforms to the approved design. PCAs may also be conducted periodically on existing assets, to verify that the actual remains in line with the approved design and that unauthorised changes are not being introduced. 6. Responsibilities 6.1. Asset Management & Engineering Services Manager The Asset Management & Engineering Services Manager shall be responsible for implementing a Configuration Management System for JHR CRN that meets the supports this Procedure. 6.2. Design Delivery Managers The Design Delivery Manager shall be responsible for ensuring that: All design action undertaken within design project, including that which is completed as part of defined major projects, is managed in accordance with this Procedure Development and approval of all new or changed designs are managed in accordance with this Procedure All proposed configuration changes are assessed to establish the impact on maintenance, safety and other asset support requirements. 6.3. Manager Technical Compliance The Manager, Technical Compliance shall be responsible for auditing and ensuring compliance with the requirements of this Procedure. 6.4. Configuration Manager The Configuration Manager shall be responsible for developing and implementing systems for management of JHR CRN Configuration Records. Ver: 1 Page 10 of 10