Transport Network Assurance Committee Submissions Guide
T MU AM 04002 GU
Guide
Version 2.0
Issue date: 03 July 2018
© State of NSW through Transport for NSW 2018
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
Important message This document is one of a set of standards developed solely and specifically for use on
Transport Assets (as defined in the Asset Standards Authority Charter). It is not suitable for any
other purpose.
The copyright and any other intellectual property in this document will at all times remain the
property of the State of New South Wales (Transport for NSW).
You must not use or adapt this document or rely upon it in any way unless you are providing
products or services to a NSW Government agency and that agency has expressly authorised
you in writing to do so. If this document forms part of a contract with, or is a condition of
approval by a NSW Government agency, use of the document is subject to the terms of the
contract or approval. To be clear, the content of this document is not licensed under any
Creative Commons Licence.
This document may contain third party material. The inclusion of third party material is for
illustrative purposes only and does not represent an endorsement by NSW Government of any
third party product or service.
If you use this document or rely upon it without authorisation under these terms, the State of
New South Wales (including Transport for NSW) and its personnel does not accept any liability
to you or any other person for any loss, damage, costs and expenses that you or anyone else
may suffer or incur from your use and reliance on the content contained in this document. Users
should exercise their own skill and care in the use of the document.
This document may not be current and is uncontrolled when printed or downloaded. Standards
may be accessed from the Transport for NSW website at www.transport.nsw.gov.au
For queries regarding this document, please email the ASA at [email protected] or visit www.transport.nsw.gov.au © State of NSW through Transport for NSW 2018
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
Standard governance
Owner: Manager Asset Configuration Systems, Asset Standards Authority
Authoriser: Director Network and Asset Strategy, Asset Standards Authority
Approver: Executive Director, Asset Standards Authority on behalf of the ASA Configuration Control Board
Document history
Version Summary of changes
1.0 First issue 22 June 2015
2.0 Renaming of guide from TfNSW Configuration Management and Asset Assurance Committee Submissions Guide and minor related updates
© State of NSW through Transport for NSW 2018 Page 3 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
Preface
The Asset Standards Authority (ASA) is a key strategic branch of Transport for NSW (TfNSW).
As the network design and standards authority for NSW Transport Assets, as specified in the
ASA Charter, the ASA identifies, selects, develops, publishes, maintains and controls a suite of
requirements documents on behalf of TfNSW, the asset owner.
The ASA deploys TfNSW requirements for asset and safety assurance by creating and
managing TfNSW's governance models, documents and processes. To achieve this, the ASA
focuses on four primary tasks:
• publishing and managing TfNSW's process and requirements documents including TfNSW
plans, standards, manuals and guides
• deploying TfNSW's Authorised Engineering Organisation (AEO) framework
• continuously improving TfNSW’s Asset Management Framework
• collaborating with the Transport cluster and industry through open engagement
The AEO framework authorises engineering organisations to supply and provide asset related
products and services to TfNSW. It works to assure the safety, quality and fitness for purpose of
those products and services over the asset's whole-of-life. AEOs are expected to demonstrate
how they have applied the requirements of ASA documents, including TfNSW plans, standards
and guides, when delivering assets and related services for TfNSW.
Compliance with ASA requirements by itself is not sufficient to ensure satisfactory outcomes for
NSW Transport Assets. The ASA expects that professional judgement be used by competent
personnel when using ASA requirements to produce those outcomes.
About this document
This document provides guidance in relation to submissions to the Transport Network
Assurance Committee. Configuration Management arrangements within TfNSW are based on
AS ISO 10007 Quality management systems – Guidelines for configuration management.
Configuration management in TfNSW also encompasses an asset assurance role.
This guide is a second issue. The guide was previously titled TfNSW Configuration
Management and Asset Assurance Committee Submissions Guide.
This document has been developed in consultation with key stakeholders across TfNSW.
© State of NSW through Transport for NSW 2018 Page 4 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
Table of contents 1. Introduction .............................................................................................................................................. 6
2. Purpose .................................................................................................................................................... 6 2.1. Scope ...................................................................................................................................................... 6 2.2. Application .............................................................................................................................................. 6
3. Reference documents ............................................................................................................................. 7
4. Terms and definitions ............................................................................................................................. 7
5. CCRs presented to the TNAC ................................................................................................................. 8 5.1. Significance of a configuration change ................................................................................................... 8
6. Gate 0 configuration changes ................................................................................................................ 9 6.1. Significant CCRs at gate 0 .................................................................................................................... 10 6.2. Minor or moderate CCRs at gate 0 ....................................................................................................... 13
7. Gate 1 configuration changes .............................................................................................................. 14 7.1. Significant CCRs at gate 1 .................................................................................................................... 15 7.2. Minor or moderate CCRs at gate 1 ....................................................................................................... 17
8. Gate 5 configuration changes .............................................................................................................. 19 8.1. Significant CCRs at gate 5 .................................................................................................................... 19 8.2. Moderate or minor CCRs at gate 5 ....................................................................................................... 22
9. Gate 6 configuration changes .............................................................................................................. 23 9.1. Overview submission document at gate 6 ............................................................................................ 24
10. Submission relating to third party work ............................................................................................. 25
11. Assurance update to the TNAC ............................................................................................................ 25
12. Submission templates .......................................................................................................................... 26
13. ASA guidance to TNAC ......................................................................................................................... 26
14. CCR presentations to the TNAC .......................................................................................................... 26
15. TNAC assessment ................................................................................................................................. 27
16. TNAC decision ....................................................................................................................................... 27
Appendix A Submission steps for configuration change .................................................................. 28
© State of NSW through Transport for NSW 2018 Page 5 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
1. Introduction A configuration change within the context of the TfNSW Transport Network is any change that
results in the removal of, addition or change to TfNSW transport assets or interfaces whether it
is as a result of a project or maintenance activity. In certain circumstances, configuration
change requests (CCRs) are required to be submitted to the Transport Network Assurance
Committee (TNAC) or a delegated authority of the TNAC.
T MU AM 04001 PL TfNSW Configuration Management Plan defines requirements for the
management of configuration changes on the TfNSW Transport Network. This document
supports T MU AM 04001 PL by providing practical guidance for the preparation of CCR
submissions to the TNAC. This document is based on principles from AS ISO 10007 Quality
management systems – Guidelines for configuration management.
2. Purpose This document provides guidance to configuration change managers (CCMs) for preparing,
submitting and presenting CCR submissions or notifications to the TNAC in order to progress
through the relevant configuration management (CM) gates.
2.1. Scope This document describes the expectations and approach for preparing, submitting and
presenting submissions to the TNAC meeting at the following configuration management gates:
• gate 0 – strategic assessment (initiation)
• gate 1 – business case (requirements complete)
• gate 5 – asset handover
• gate 6 – asset assurance review
Guidance for submissions made to delegated authorities, known as configuration control boards
(CCBs) are not covered by this document.
This document should be used in conjunction with T MU AM 04001 PL which specifies the
arrangements for TfNSW configuration management.
2.2. Application This document is applicable to any party accountable or responsible for preparing CCR
submissions or notifications required at configuration management gate 0, gate1, gate 5 and
gate 6. Submissions and notifications are presented to the TNAC for acceptance in order to
progress through the relevant configuration management gates.
© State of NSW through Transport for NSW 2018 Page 6 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
These configuration management gates occur respectively in the lead up to the strategic
assessment and final business case as described in CPsd13001 TfNSW Investment Gating and
Assurance Guidelines, followed by asset handover and maintenance activities.
3. Reference documents The following documents are cited in the text. For dated references, only the cited edition
applies. For undated references, the latest edition of the referenced document applies.
Transport for NSW standards
T MU AM 01001 ST Life Cycle Costing
T MU AM 04001 PL TfNSW Configuration Management Plan
T MU MD 20000 GU Risk Tolerability, Quantified Risk Assessment and its Role in the
Assurance of Change
T MU MD 20001 ST System Safety Standard for New or Altered Assets
Other references
CPsd13001 TfNSW Investment Gating and Assurance Guidelines, (available on request from
Environmental Planning and Assessment Act 1979
4. Terms and definitions The following terms and definitions apply in this document:
AGP assurance and governance plan
ASA Asset Standards Authority
BRS business requirements specification
CCB configuration control board
CCM configuration change manager; person who has primary responsibility for a configuration
change
CCR configuration change request; formal request to add or change a TfNSW transport asset
that is subject to configuration control
CM configuration management
ConOps concept of operations
ISA independent safety assessment
ISCA initial safety change assessment
© State of NSW through Transport for NSW 2018 Page 7 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
RAMS reliability, availability maintainability and safety
SFAIRP so far as is reasonably practicable
SME subject matter expert
SRS system requirements specification
TfNSW Transport for NSW
TfNSW transport assets transport assets vested in or owned, managed, controlled,
commissioned or funded by TfNSW or a subsidiary NSW Government Transport Agency
TfNSW Transport Network the transport system (transport services and transport
infrastructure) owned and operated by TfNSW, its operating agencies or private entities upon
which TfNSW has power to exercise its functions as conferred by the Transport Administration
Act or any other Act
TNAC Transport Network Assurance Committee
5. CCRs presented to the TNAC Configuration changes affecting current or planned TfNSW transport assets, including property
and airspace, need to be accepted by the TNAC at the gates defined in T MU AM 04001 PL.
The TNAC will review changes that pose substantial risks to TfNSW assets. Safety, financial,
reputational, operational, maintenance factors and a whole-of-life costing approach should be
considered when determining risk. Configuration changes that are not significant may be
presented to the TNAC for acceptance in the form of a notification.
Each configuration change will be considered on a case by case basis. Each set of
configuration changes should be assessed holistically, taking into consideration all interrelated
configuration changes. For example, consideration should be given to the effects of individual
commissioning stages, the effect to overall change and how changes will integrate into the
network.
The TNAC may request CCRs submissions or audit configuration changes at any point in time.
When CCRs are presented to the TNAC, a representative from the sponsoring business unit
should attend irrespective of the team that has produced the submission.
5.1. Significance of a configuration change The means of determining the significance of a configuration change is defined within the
T MU AM 04001 PL and T MU MD 20001 ST System Safety Standard for New or Altered
Assets. CCMs are responsible for determining the significance of the configuration change and
for presenting to the TNAC at gate 0, gate 1, gate 5 and gate 6.
© State of NSW through Transport for NSW 2018 Page 8 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
6. Gate 0 configuration changes A proposed configuration change should be presented to the TNAC, or an appropriately
authorised delegate, for acceptance at an early stage of planning i.e. gate 0 and 1 as shown in
Figure 1.
Acceptance by the TNAC or delegate forms part of the initial business requirements of a project
and needs to occur prior to the strategic business case submission to investment assurance
gate 1 as shown in Figure 1.
CM
gat
e 0
CM
gat
e 1
CM
gat
e 2
CM
gat
e 3
CM
gat
e 4
CM
gat
e 5
End
of a
sset
life
cyc
le
Inve
stm
ent a
ssur
ance
gat
e 2
Bus
ines
s ca
se
Inve
stm
ent a
ssur
ance
gat
e 1
Str
ateg
ic a
sses
smen
t
Pre
-com
mis
sion
ing
gate
5
Inve
stm
ent a
ssur
ance
gat
e 0
Pro
ject
just
ifica
tion
Gates managed through CCBs
Transport Network Assurance Committee (TNAC)
Mai
nten
ance
pla
n ga
te 6
Ong
oing
CM
gat
e 6
Demand/Need Plan Aquire DisposeOperate/Maintain
© State of NSW through Transport for NSW 2018 Page 9 of 28
Figure 1 – TfNSW asset life cycle
The gate 0 is submitted when initial business requirements are developed and preliminary
assessments of the configuration change have been performed. At this point, a single
configuration change option may not have been developed but a number of options should have
been identified. Evidence of a safety change impact assessment and initial assurance and
governance arrangements of the configuration change are also required at this point.
Gate 0 aligns to investment assurance gate 1, described as strategic assessment by
Infrastructure NSW or strategic business case by TfNSW. Configuration management gate 0
CCR is a pre-requisite to go to an investment assurance gate 1 submission.
The order of preceding assurance activities that is required for gate 0 submission is as shown in
Figure 2.
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
Initial business requirements Options identifiedSafety change
impact assessment Initial AGP
TNAC gate 0 submission
Figure 2 – Gate 0 submission relative to preceding activities
The gate 0 submission provides TfNSW with confidence that adequate assurance activities
have been performed, that the proposed configuration change is feasible and that the project
has an adequate plan for progressing the proposal from gate 0 through to gate 1. It is intended
that any decisions to date will be demonstrated to have ensured safety so far as is reasonably
practicable (SFAIRP).
Demonstration that a systems engineering approach has been used to manage the
development of the proposed configuration change will assist in providing confidence that
appropriate assurance activities have been and will continue to be conducted.
Where appropriate, a single consolidated gate 0 submission may be submitted to cover a set of
similar or related proposed configuration changes that are being managed as a single program
of work. Assessment of the significance should be considered based on the overall program
submission.
6.1. Significant CCRs at gate 0 Gate 0 configuration changes determined by the CCM as being significant are to be presented
to the TNAC at a scheduled meeting unless specific arrangements exist for the CCR to be
accepted by other means.
6.1.1. Overview submission document at gate 0 The CCM provides an overview of the proposed configuration change through a written
submission and short presentation. The submission is not intended to provide in-depth details of
the project but should comprise enough information to provide the TNAC with an adequate
understanding of the proposal, particularly from an assurance perspective.
© State of NSW through Transport for NSW 2018 Page 10 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
The overview should include a summary of the following information:
• the scope of the configuration change
• assurance and governance arrangements, detailed in an initial assurance and governance
plan (AGP), demonstrating that the structured assurance and governance approach will be
taken to progress to gate 1 and further gates
• project alignment to TfNSW network strategies
• information relating to interfacing projects and activities and their impact on the change
• identified initial business requirements and the approach taken to develop the requirements
• network alignment, where appropriate providing the network concept of operations
(ConOps)
• stakeholder identification and adequate consultation demonstrating consideration of
feedback with any significant issues identified
• compliance with the Environmental Planning and Assessment Act 1979
• whole-of-life sustainability outcomes appropriately addressed (see guidance for
sustainability requirements in T MU AM 04001 PL)
• considerations of whole-of-life costs as outlined in T MU AM 01001 ST Life Cycle Costing
where possible
• appropriately completed safety change assessment and for transport projects approved
initial safety change assessment (ISCA)
• consideration of the impact of the change in the context of TfNSW risk tolerability as
outlined in T MU MD 20000 GU targets safety arrangements beyond gate 0 particularly
how the risk based decision will be made and assured, including human factors
consideration where applicable
• assessments, reports or other evidence that show how the safety risks of the configuration
change has been assessed and reduced SFAIRP
• identified significant risks or outstanding issues (documented risks and issues may include
delivery, stakeholder, operational, maintainability, interfaces and safety at a
whole of network level) and the approach for controlling and managing these
• any other matter the CCM believes the TNAC should be aware of
The overview should demonstrate that a systematic approach has been applied to developing
the assurance evidence leading to gate 0 and the planned activities through to gate 1.The
information provided in the overview should be adequate so as to enable the TNAC to make an
informed decision on the proposed change.
© State of NSW through Transport for NSW 2018 Page 11 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
Templates for TNAC submissions and presentations are available from the TNAC Secretary at
6.1.2. Supporting documentation at gate 0 for a significant CCR
A list of supporting documentation should be provided in the overview submission document.
Supporting documentation provides evidence that due process has been followed in preparing
the proposed configuration change.
With the exception of the AGP, copies of which need to be included in the submission,
supporting documentation does not need to be included as part of the submission itself.
Supporting documentation should however be readily available at the time of submission and be
available to the TNAC or the Asset Standards Authority (ASA) if requested.
Supporting documentation can include the following:
• completed ISCA for transport projects and equivalent to other parties
• initial AGP
• evidence of initial business requirements specification (BRS)
• The following supporting documentation should be available upon request but does not
need to be included in the submission:
• initial ConOps document
• evidence that stakeholders have been identified, consulted and feedback appropriately
considered
• risk registers, initial safety assurance plan, hazard assessments and reports or other
evidence that show how the safety risks of the configuration change has been assessed
and reduced SFAIRP
• evidence of risk based decision making in optioneering
• consideration of human factor issues or a human factors integration plan
• assessments showing that cost, maintenance and other factors relevant to the proposed
change have been considered to a level appropriate for the stage of the project and are
planned to be completely addressed in due course
6.1.3. Process for submission and presentation at gate 0
The CCM or their representative should present proposals for a significant configuration change
to the TNAC.
In the case where gate 0 submissions come from delivery organisation, the presentation to the
TNAC should be led by the business unit accountable for the proposed change.
© State of NSW through Transport for NSW 2018 Page 12 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
Any queries regarding submissions and presentations can be directed to the TNAC Secretary at
Refer to Table 1 in Appendix A for information on the submission steps for significant CCRs to
the TNAC.
6.2. Minor or moderate CCRs at gate 0 Gate 0 configuration changes determined by the CCM as being of minor or moderate
significance should be presented to the TNAC by notification unless specific arrangements exist
for the CCR to be accepted by a delegated body.
Notification should comprise enough information to provide the TNAC with an adequate
understanding of the proposal, particularly from an assurance perspective but not as detailed as
the submission. Generally a two to three page notification is expected from the CCM.
6.2.1. Notification submission document at gate 0 The CCM provides a notification of the proposed configuration change through a written
submission. The notification should comprise information focusing on the proposed change and
key issues. The notification should be submitted to the regular meeting of the TNAC for
acceptance, unless specific arrangements exist for the CCR to be accepted by a delegated
body.
The notification is similar to a significant gate 0 submission, however, less detailed.
A presentation and attendance is not required for the notification. Where a number of issues are
identified by subject matter experts (SMEs) project representatives will be required to attend the
meeting to resolve issues.
The notification should include a summary of the following:
• the scope of the configuration change
• assurance and governance arrangements, detailed in an initial AGP, demonstrating that
the structured assurance and governance approach will be taken to progress to gate 1 and
further gates
• project alignment to TfNSW network strategies
• identified initial business requirements and the approach taken to develop the requirements
• operational and maintenance considerations, such as a high-level ConOps
• stakeholder identification and adequate consultation demonstrating consideration of
feedback with any significant issues identified
• compliance with the Environmental Planning and Assessment Act 1979
© State of NSW through Transport for NSW 2018 Page 13 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
• whole-of-life sustainability outcomes appropriately addressed (see guidance for
sustainability requirements in T MU AM 04001 PL)
• considerations of whole-of-life costs as outlined in T MU AM 01001 ST where possible
• appropriately completed safety change assessment and for transport projects approved
ISCA
• safety arrangements beyond gate 0 particularly how the risk based decision will be made
and assured, including human factors consideration where applicable
• assessments, reports or other evidence that show how the safety risks of the configuration
change has been assessed and reduced SFAIRP
• identified significant risks or outstanding issues (documented risks and issues may include
delivery, stakeholder, operational, maintainability, interfaces and safety at a whole-of-
network level) and the approach for controlling and managing these
• any other matter the CCM believes the TNAC should be aware of
6.2.2. Supporting documentation at gate 0 for a minor or moderate CCR Where further evidence is required to support the notification, supporting document will be
requested by the TNAC Secretary.
6.2.3. Process for providing a notification at gate 0 The CCM should prepare the notification of the proposed minor or moderate configuration
change to the TNAC.
Any queries regarding the submissions and presentations are to be sent to the TNAC Secretary
Refer to Table 1 in Appendix A for the submission steps for minor or moderate CCRs to the
TNAC.
7. Gate 1 configuration changes Proposed configuration changes should be presented to the TNAC for acceptance at gate 1. At
this point, the project is expected to have an approved set of BRS and SRS. Acceptance of the
CCR at gate 1 is an input to the final business case and needs to be obtained before the final
business case submission.
Gate 1 aligns to investment assurance gate 2, described as business case by Infrastructure
NSW or final business case by TfNSW. For the projects subsequently progressing to investment
assurance, the CCM is responsible for obtaining configuration management acceptance at gate
1 and addressing any outstanding conditions. © State of NSW through Transport for NSW 2018 Page 14 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
The order of activities that precede a gate 1 submission will commence with the approval of the
BRS. Demonstration that the operation and maintenance concept and the system requirements
have been developed will provide the TNAC with confidence that appropriate assurances are
taking place. At this point the project is expected to have an approved assurance and
governance arrangements of the configuration change.
A gate 1 submission to the TNAC can proceed once these activities have taken place. Refer to
Figure 3 that illustrates this process.
Final operations and maintenance concept
definitionApproved SRSApproved ISCA Approved AGP
TNAC gate 1 submission
Approved BRS
Figure 3 – Gate 1 submission relative to preceding assurance activities
7.1. Significant CCRs at gate 1 Gate 1 configuration changes determined by the CCM as being significant should be presented
to the TNAC at a regular meeting.
7.1.1. Overview submission document at gate 1 The CCM provides an overview of the proposed configuration change through a written
submission and short presentation. The submission is not intended to provide in-depth details of
the project, however, it should contain enough information to provide the TNAC with an
understanding of the proposal, key issues and the management plan for those key issues.
The overview should include a summary of the following:
• the scope of the configuration change
• assurance and governance arrangements, detailed in a final AGP, demonstrating that the
structured assurance and governance approach will be taken beyond gate 1 through to
delivery of the configuration change
• project alignment to TfNSW network strategies
• information relating to interfacing projects and activities and their impact on the change
• evidence of approved BRS and SRS
• operations concept definition (OCD)
© State of NSW through Transport for NSW 2018 Page 15 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
• stakeholder identification and adequate consultation demonstrating consideration of
feedback with any significant issues identified
• compliance with the Environmental Planning and Assessment Act 1979
• whole-of-life sustainability outcomes appropriately addressed (see guidance for
sustainability requirements in T MU AM 04001 PL)
• details of whole-of-life cost assessment activities and processes (not dollar values)
• appropriately completed safety change assessment and approved ISCA for transport
projects
• the safety SFAIRP argument supporting the preferred option over other options and
evidence that the selected option is most effective in terms of reducing safety risk when
balanced against cost and effort
• assessments, reports or other evidence that show how the safety risks of the configuration
change has been assessed and reduced SFAIRP
• identified significant risks or outstanding issues (documented risks and issues may include
delivery, stakeholder, operational, maintainability, interfaces and safety at a whole of
network level) and the approach for controlling and managing these
• independent safety assessment (ISA) report for safety significant changes
• reliability, availability maintainability and safety (RAMS) considerations
• concessions to TfNSW standards that are likely to be required, including impact of the
concession to operations, maintenance, safety and costs
• any other matter the CCM believes the TNAC should be aware of
7.1.2. Supporting documentation at gate 1 for a significant CCR The supporting documentation should demonstrate that assurance activities have been
undertaken by the project. All the supporting documents are reviewed by ASA SMEs and any
issues identified are notified to the project.
Copies of the following supporting documentation should be provided as separate documents
with the submission to the ASA:
• approved ISCA for transport projects and equivalent to other parties
• approved AGP or equivalent
• evidence of approved BRS and SRS
• approved safety assurance plan
© State of NSW through Transport for NSW 2018 Page 16 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
• independent safety assessment (ISA) report (where an independent safety assessor is
required to be appointed)
The following supporting documentation should be available upon request but does not need to
be included in the submission:
• evidence of final operation concept definition document
• evidence that stakeholders have been identified, consulted and feedback appropriately
considered
• risk registers, hazard assessments and reports or other evidence demonstrating how the
safety risks of the configuration change has been assessed and reduced SFAIRP
• evidence of risk based decision making in optioneering
• consideration of human factor issues or human factors integration plan
• assessments showing that cost, maintenance and other factors relevant to the proposed
change have been considered to a level appropriate for the stage of the project and are
planned to be completely addressed in due course including the following:
• concessions register if available
• evidence of whole-of-life costing activities and outcomes
7.1.3. Process for submission and presentation at gate 1 The CCM or their representative should present their submission to the TNAC.
Gate 1 submissions should have representation from the sponsor but may also include external
consultants and personnel from the delivery organisation.
Any queries regarding the submissions and presentations can be directed to the TNAC
Secretary at [email protected].
Refer to Table 1 in Appendix A for an outline of the submission steps for significant CCRs to the
TNAC.
7.2. Minor or moderate CCRs at gate 1 Gate 1 configuration changes determined by the CCM as being of minor or moderate
significance are submitted to the TNAC by notification unless specific arrangements exist for the
CCR to be accepted by a delegated body.
7.2.1. Notification submission document at gate 1 The CCM provides a notification of the proposed configuration change through a written
submission. The notification should comprise information focusing on the proposed change and
© State of NSW through Transport for NSW 2018 Page 17 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
key issues. The notification should be submitted to the regular meeting of the TNAC for
acceptance, unless specific arrangements exist for the CCR to be accepted by a delegated
body.
The notification is similar to significant gate 1 submission, however, less detailed.
A presentation and attendance is not required for the notification. Where a number of issues are
identified with the notification the project representatives are required to attend the meeting to
resolve issues.
The notification should include a summary of the following:
• the scope of the configuration change
• assurance and governance arrangements, detailed in a final AGP, demonstrating that the
structured assurance and governance approach will be taken beyond gate 1 through to
delivery
• project alignment to TfNSW network strategies and interfacing projects and activities
information and its impact
• evidence of approved BRS and SRS
• operations concept definition
• stakeholder identification and adequate consultation demonstrating consideration of
feedback with any significant issues identified
• compliance with the Environmental Planning and Assessment Act 1979
• whole-of-life sustainability outcomes appropriately addressed (see guidance for
sustainability requirements in T MU AM 04001 PL)
• details of whole-of-life cost assessment activities and processes (not dollar values)
• appropriately completed safety change assessment and approved ISCA for transport
projects
• the safety SFAIRP argument supporting the preferred option over other options, and
evidence that the selected option is most effective in terms of reducing safety risk when
balanced against cost and effort
• assessments, reports or other evidence that show how the safety risks of the configuration
change has been assessed and reduced SFAIRP
• identified significant risks or outstanding issues (documented risks and issues may include
delivery, stakeholder, operational, maintainability, interfaces and safety at a whole-of-
network level) and the approach for controlling and managing these
© State of NSW through Transport for NSW 2018 Page 18 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
7.2.2. Supporting documentation at gate 1 for a minor or moderate
CCR Where further evidence is required to support the notification, supporting documents will be
requested.
7.2.3. Process for providing a notification at gate 1 The CCM should prepare a notification of the proposed minor or moderate configuration change
to the TNAC.
Any queries regarding the notification and attendance can be directed to the TNAC Secretary at
Refer to Table 1 in Appendix A for an outline of the submission steps for minor or moderate
CCRs to the TNAC.
8. Gate 5 configuration changes The TNAC or the CCB with delegated authority needs to accept any configuration change that
is due for commissioning.
8.1. Significant CCRs at gate 5 Gate 5 configuration changes determined by the CCM as being significant should be presented
to the TNAC at a regular meeting. This gate occurs at the point shortly before the handover of
the asset from the project team to the maintainer.
8.1.1. Overview submission document at gate 5 The CCM provides an overview of the configuration change through a written submission and
short presentation. The overview is not intended to provide in-depth details of the project but
should comprise enough information to provide the TNAC with an adequate understanding of
the proposed configuration, key issues and the management plan for those issues.
The overview should include a summary of the following:
• the scope of the configuration change
• compliance to the approved AGP
• compliance with the Environmental Planning and Assessment Act, 1979
• whole-of-life sustainability outcomes appropriately addressed (see guidance for
sustainability requirements in T MU AM 04001 PL)
• preceding CCRs, particularly any associated outstanding conditions
© State of NSW through Transport for NSW 2018 Page 19 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
• evidence that the approved business and system requirements have been met and
evidence that any variance to the requirements have been managed since initial approval
• stakeholder consultation, particularly in relation to operational readiness with summarised
significant issues identified from stakeholders consultation and how they have been
managed
• ISA that includes operational safety for safety significant changes
• evidence that the argument that the implemented configuration change is safe SFAIRP and
evidence of the ISA and conclusion
• residual safety risks and hazards that TfNSW is being asked to accept and the status of
these in relation to the future asset operator and maintainer
• the status of the operational safety argument
• commissioning and operational readiness planning activities
• evidence that technical approvals for all the elements of the configuration change has been
obtained
• concessions to TfNSW standards that have been required, including the status and
resulting impact to safety, whole-of-life cost, operations and maintenance of the
concessions configuration changes are to be managed so as to be presented at gate 5 with
no outstanding concessions
• whole-of-life cost assessments prepared for handover where appropriate
• RAMS consideration have been appropriately addressed
• asset information has been delivered and schedules in place for the delivery of the
remaining asset information
• how asset information has or will be checked for accuracy and completeness before being
delivered to the custodian
• evidence demonstrating that the client representative (division of TfNSW that represents
the client, the Secretary TfNSW) agrees that the service provider is ready to operate and
maintain
• any risks, issues and outstanding matters addressed prior to the completion of the project
and time frames for their completion
© State of NSW through Transport for NSW 2018 Page 20 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
8.1.2. Supporting documentation at gate 5 for a significant CCR A list of the supporting documentation should be provided in the overview.
Copies of the following supporting documentation should be provided as separate documents,
but still form part of the submission to TNAC Secretary:
• safety assurance report
• evidence, in the form of a safety report, that safety risks of the configuration change have
been reduced SFAIRP
• an operational safety argument and supporting evidence with content as required by
T MU MD 20001 ST
• an ISA report
The following supporting documentation should be available upon request but does not need to
be included in the submission:
• evidence that stakeholders have been identified, consulted and feedback appropriately
considered
• evidence of acceptance of preceding CCRs
• evidence of compliance with an AGP
• stakeholder consultation report and register
• operational readiness arrangements such as an operational readiness plan
• asset hand over plan
• evidence that technical approvals for all the elements of the configuration change have
been obtained
• requirements traceability
• evidence that asset information has been checked for accuracy and completeness before
being delivered
• evidence of hazard identification, hazard log and analysis report
• any other document that supports the claims made in the submission document
8.1.3. Process for submission and presentation at gate 5 The CCM or their representative should present their submission to the TNAC.
Any queries regarding the submissions and presentations can be directed to the TNAC
Secretary at [email protected].
© State of NSW through Transport for NSW 2018 Page 21 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
Refer to Table 1 in Appendix A for an outline of the submission steps for significant CCRs to the
TNAC.
8.2. Moderate or minor CCRs at gate 5 Gate 5 configuration changes determined by the CCM as being of moderate or minor
significance are to be presented to the TNAC by notification unless specific arrangements exist
for the CCR to be accepted by a delegated body.
8.2.1. Notification submission document at gate 5 The CCM provides a notification of the proposed configuration change through a written
submission. The notification is not intended to provide in-depth details of all activities performed
in supporting the project but should comprise enough information to provide the TNAC with an
adequate understanding of the proposed change and key issues in relation to configuration
management and asset assurance.
The notification is similar to gate 5 significant submissions, however, less detailed.
A presentation and attendance is not required for the notification. Where a number of issues are
identified with the notification project representatives are required to attend the meeting to
resolve the issues.
The notification should include a summary of the following:
• the scope of the configuration change
• compliance to the approved AGP or a summary of the assurance and governance
arrangements if the project was started prior to the requirement for an AGP
• preceding CCRs, particularly any associated outstanding conditions
• confirmation that business and system requirements have been met
• stakeholder consultation particularly in relation to operational readiness
• evidence that the implemented configuration change is safe SFAIRP and evidence of the
ISA and conclusion
• residual safety risks and hazards that TfNSW is being asked to accept and the status of
these in relation to the future asset operator and maintainer
• the status of the operational safety argument
• commissioning and operational readiness planning activities
• evidence that technical approvals for all the elements of the configuration change has been
obtained
© State of NSW through Transport for NSW 2018 Page 22 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
• concessions to TfNSW standards that have been required, noting the status and resulting
impact to safety, whole-of-life cost, operations and maintainability of the concessions.
Configuration changes should be managed so as to be presented at gate 5 with no
outstanding concessions
• asset information has been delivered and schedules in place for the delivery of the
remaining asset information
• asset information has or will be checked for accuracy and completeness before being
delivered to the custodian
• any risks, issues or outstanding matters to be addressed prior to the completion of the
project; and timeframes for their completion
8.2.2. Supporting documentation at gate 5 for a minor of moderate CCR Where further evidence is required to support the notification, supporting documentation will be
requested.
8.2.3. Process for providing a notification at gate 5 The CCM should prepare a notification of the proposed moderate or minor configuration change
to the TNAC.
Any queries regarding the submissions and presentations can be directed to the TNAC
Secretary at [email protected].
Refer to Table 1 of Appendix A for an outline of the submission steps for moderate configuration
change to the TNAC.
9. Gate 6 configuration changes TNAC gate 6 gate reviews occur annually as a single whole of TfNSW Transport Network
submission unless otherwise determined by the ASA or TNAC. This gate is a demonstration
that TfNSW transport assets are being appropriately managed. The evidence of assurance shall
cover the management of the configuration, safety risks, reliability, maintainability, availability
and whole-of-life costs to deliver the service objectives for TfNSW.
TfNSW Infrastructure and Services Division is accountable for the gate 6 submission. The
Director Infrastructure Management, Service Delivery and Asset Management is normally the
CCM in the context of gate 6 submissions to the TNAC.
© State of NSW through Transport for NSW 2018 Page 23 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
The submission is intended to achieve the following objectives:
• demonstrate that a risk based approach has been applied in developing the asset
maintenance plan and annual works plan
• assurance argument that the asset maintenance plan and annual works plan provided
maintains the integrity of the TfNSW Transport Network balanced against TfNSW
objectives and maintenance requirements
• demonstrate that the previous asset maintenance plan and annual works plan have been
achieved and the resulting network configuration and continues to deliver the transport
objectives
• identify incomplete work and justification of risks and mitigation activities
• demonstrate that monthly key performances such as punctuality, reliability, reduced
incidents and so on have been achieved
• provide evidence of appropriate control and assurance of assets in the form of asset
condition or audit reports, or reviews of such documents by second or third parties
• demonstration of an appropriate level of surveillance of service providers
9.1. Overview submission document at gate 6 The CCM provides an overview of the configuration change through a written submission and
short presentation. The overview is not intended to provide in-depth details of all activities
performed in the course of managing the assets being controlled but should comprise enough
information to provide the TNAC with an adequate understanding of the processes and
decisions made in the course of managing and planning for the management of the asset as
appropriate.
The overview should include summaries of the following:
• scope of assets and activities performed
• assurance and governance arrangements
• planning arrangements for maintenance activities and planned configuration changes
having been selected based on an appropriate processes that consider the network
strategy and the long term interests of TfNSW
• evidence to support the case that the assets managed over the preceding review period
have been done safely SFAIRP
• evidence to support the case that the planning for the management of the assets over the
proceeding period will result in assets that are safe SFAIRP
© State of NSW through Transport for NSW 2018 Page 24 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
9.1.1. Supporting documentation at gate 6
The available supporting documentation should be listed in the overview and be readily
available for TNAC review.
Copies of the following supporting documentation should be included as part of the submission
to the TNAC Secretary:
• asset maintenance plan
• past and planned annual works plan
• asset assurance reports
• key performance indicator (KPI) reports
• evidence of audit report carried out on asset conditions and performance
• evidence of appropriate configuration change control over the preceding review period
• evidence of appropriate safety and risk assurance in the course of maintaining and
changing assets over the preceding review period
10. Submission relating to third party work CCR submissions for configuration change initiated and managed by third parties shall be
submitted to the TNAC. Third party work includes work on third party assets interfacing with
transport assets or work initiated and managed by a third party resulting in new or changed
TfNSW transport assets. Generally third party works are initiated, designed and delivered by the
third party therefore CM gate requirements may vary depending on the nature of the change.
Typically a third party project has no business requirement as approval goes through an
external governance body without the usual business case and financial assurance pathways of
TfNSW. Depending on the type of change, assurance evidence should be provided to the TNAC
demonstrating that the risk and its impact on TfNSW assets is appropriately managed.
The CCM for a third party is usually the person within TfNSW or transport agency responsible
for managing the relationship between TfNSW or transport agency and the third party.
11. Assurance update to the TNAC If the scope of a previously presented CCR changes, an assurance update presentation shall
be provided to the TNAC. If the configuration change project continues over a period of time
then updates shall be provided in between the gates to ensure that assurance arrangements
apply as stated previously. In some cases the TNAC or the delegated bodies may request an
updated presentation.
© State of NSW through Transport for NSW 2018 Page 25 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
An assurance update presentation should focus on details of the scope change and impact on
overall assurance and governance arrangements.
An assurance update presentation is not the submission therefore no determination will be
made by the TNAC however, the TNAC can impose actions. The presentation can be tailored
depending to the complexity of the project however should not exceed 5 slides.
12. Submission templates The ASA manages a set of CCR templates for submissions to the TNAC. The latest versions of
the templates are available to CCMs from the ASA when a project initially engages with the
ASA to discuss their submission.
CCMs should ensure that the latest template has been used in their submission.
13. ASA guidance to TNAC The ASA provides assistance to the TNAC members when reviewing a configuration change
request submission using a guidance document. The document generally provides context and
key matters that SMEs believe the TNAC members should take particular note of when making
their decision. The guidance to the TNAC does not provide a recommended determination for
the TNAC but may include recommendations associated with specific aspects of the
submission.
The content of the guidance document is produced based on consultation and input from SMEs.
Issues identified by SMEs and relevant to the scope of the TNAC shall be included in the
guidance document.
The guidance document is issued to TNAC members and the project with the agenda.
14. CCR presentations to the TNAC Presentations to the TNAC should consist of a concise slide show lasting less than five minutes.
The slide show should focus on the key governance and assurance activities and supporting
evidence developed by the project. Information about the project background and scope should
be minimised in the presentation slides.
Presentations should be limited to 5 slides of content. Presentations should also focus on
resolving the issues listed in the document referred to in Section 13 to improve the possibility of
an unconditional acceptance by the TNAC.
Fifteen minutes will usually be allocated to each CCR presented to the TNAC. This is to allow
time for questions and discussion.
© State of NSW through Transport for NSW 2018 Page 26 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
15. TNAC assessment The TNAC will assess each proposal or asset acceptance CCR on a case by case basis.
The TNAC members base their decisions on the following:
• compliance to appropriate due processes
• evidence showing that the configuration change will be adequately controlled
• evidence showing that expected outcomes will be delivered
• identification of potential risks and measures to address those risks
16. TNAC decision Upon assessment of a concept or asset acceptance CCR, the TNAC may decide to accept the
change, accept the change with conditions or defer its decision.
Where an acceptance to the change is granted with conditions, the conditions should be met
and maintained for the acceptance to remain valid.
Where conditions require specific activities to be performed, CCMs are expected to provide
evidence to the TNAC that the conditions have been met prior to proceeding to the subsequent
CM gates.
© State of NSW through Transport for NSW 2018 Page 27 of 28
T MU AM 04002 GU Transport Network Assurance Committee Submissions Guide
Version 2.0 Issue date: 03 July 2018
Appendix A Submission steps for configuration change
The submission steps for significant, moderate and minor configuration change are outlined in
Table 1.
All notifications and submissions should be sent to [email protected].
Table 1 – Submission steps for significant, moderate, minor configuration and third party work project CCRs
Step Description When What
1 Notify Manager Asset Configuration Systems, ASA of the development of a proposed configuration change.
Early in the development of the proposed configuration change
Submission or notification
2 Notify the TNAC Secretary that acceptance of the proposed configuration change will be sought in the near future. This assists the ASA and TNAC to plan meeting arrangements.
Three months prior to presentation at the TNAC
Submission
3 Request the TNAC Secretary add the proposed configuration change to the next available TNAC meeting. If feedback from the ASA is sought then provide a draft submission.
Six weeks prior to presentation at the TNAC
Submission or notification
4 Provide the TNAC Secretary with the final submission and supporting documentation for circulation to TNAC members. This is required for the submission to be included on the agenda.
Two weeks prior to presentation at the TNAC
Submission or notification
5 Provide the TNAC Secretary with the presentation.
Two days prior to presentation at the TNAC
Submission
© State of NSW through Transport for NSW 2018 Page 28 of 28