PROCEDURE

Performing System Changes in

the Operational Technology
Group

Current 8110-600-052 Rev 4.01 UNCONTROLLED IF PRINTED

Date Approved: 8/06/2020 © PUBLIC TRANSPORT AUTHORITY OF WESTERN AUSTRALIA 2019

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Procedure 8110-600-052 - Performing System Changes in the Operational Technology Group

Document History and Governance

Document Governance
Role
Document Owner Manager Operational Technology

Document History
Rev Date Prepared by Reviewed by Authorised by Comments
1.10 08-Apr-2013 Control Systems Engineering Control Systems Engineering A/General Manager Network & Removal of Manager Infrastructure
Manager L Sanchez Manager L Sanchez Infrastructure Rob Davies Systems
2.00 09-04-2014 A/Control Systems Engineer YL Control Systems Supervisor S A/Control Systems Engineering Removal of Application for System
Phay Williams Mgr. A Nurman Changes form, referencing 8130-600-010
General review
3.00 07/11/2018 Control Systems Team Leader, Manager Operational Director Operational Systems & Reformatted to PTA standard
M Law Technology, J Reeve Technology, Information Updated to reflect migration into standard
Engineer Operational Technology – Dan Kerr IT change management process
Technology, T Tran Removal of reference to document
Operational Systems Team number 8130-600-010
Leader , D Cohn Template and format review
Technical Writer, Jo Turbett

4.00 26-06-2019 Manager Operational Engineer Operational Director Operational Systems & Updates to Table 3 to align with data in
Technology – J Reeve Technology, T Tran Technology, Information Service Now
Technology – Dan Kerr Updates to Table 1 to reference new
documents
Minor updates to Sections 2.1 and 2.6

Current 8110-600-052 Rev 4.01 UNCONTROLLED IF PRINTED

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Procedure 8110-600-052 - Performing System Changes in the Operational Technology Group

4.01 08/06/2020 Manager Operational Engineer Operational A/Director Operational Systems Annual review and updates to Tables 1
Technology – J Reeve Technology, T Tran & Technology, Information and 3
Technology – R Taylor

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Table of Contents
1. Introduction .................................................................................................... 7
1.1 Document Purpose............................................................................................................. 7
1.2 Audience and Applicability.................................................................................................. 7
1.2.1 Document Applicability/Scope......................................................................................... 8
1.2.2 Document Exclusions ..................................................................................................... 9
1.3 Roles and Responsibilities.................................................................................................. 9
2. Key Concepts ............................................................................................... 10
2.1 Guiding Principles ............................................................................................................ 10
2.2 Documentation and Record Keeping ................................................................................ 11
2.3 Consultation ..................................................................................................................... 11
2.4 Software........................................................................................................................... 12
2.5 Version Control ................................................................................................................ 12
2.6 Emergency Works............................................................................................................ 12
3. Glossary ........................................................................................................ 12
4. Abbreviations and Acronyms...................................................................... 13

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8110-600-052 - Performing System Changes in the Operational Technology

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List of Tables
Table 1: Related Documents............................................................................................................. 6
Table 2: Document Audience............................................................................................................ 7
Table 3: Business Services............................................................................................................... 8
Table 4: Description of Roles ............................................................................................................ 9
Table 5: Terms and Definitions ....................................................................................................... 13
Table 6: Abbreviations and Acronyms............................................................................................. 13

Current 8110-600-052 Rev 4.01 UNCONTROLLED IF PRINTED

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8110-600-052 - Performing System Changes in the Operational Technology

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Related Documents
Table 1: Related Documents
Document Number Name
8070-250-001 Process: IT Change Management Process
8110-600-023 Procedure: Archiving of System Data Software & Equipment
8130-600-010 Form: Application for System Changes
8190-700-005 Code of Practice: Control Systems Security
8190-700-006 Code of Practice: Control Systems Design
8990-250-001 Code of Practice: Testing and Commissioning of Control Systems
8990-250-002 Code of Practice: Operational Technology Systems
8990-250-003 Code of Practice: Information Technology Service Management
A3929117 OT System RACI’s
9502-000-001 PTA Risk Management Policy
9500-000-004 Records Management Manual

Current 8110-600-052 Rev 4.01 UNCONTROLLED IF PRINTED

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8110-600-052 - Performing System Changes in the Operational Technology

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1. Introduction
Change Management is important to the Public Transport Authority as it ensures
standardised methods and processes are used to ensure efficient and prompt handling of all
change. Through this process the impact of change related incidents to both service quality
and day to day operations are minimised.

1.1 Document Purpose

The primary purpose of this document is to control the lifecycle of change for Operational
Technology assets, enabling beneficial changes to be made with minimum disruption to
services.
Additional objectives include:
a. Ability to be able to respond to the customer’s changing needs whilst maximising value
and reducing incident, disruption and re-work;
b. Ability to be able to respond to the businesses needs and IT change requirements,
ensuring alignment with business and service needs;
c. Ensure that changes are recorded and evaluated, and that authorised changes are
prioritised, planned, tested, implemented, documented and reviewed in a controlled
manner; and
d. Ensure that changes are managed to optimise overall business risk.

1.2 Audience and Applicability

This document is intended to be used by personnel listed in Table 2: Document Audience.
Table 2: Document Audience
Role
Manager Operational Technology
Business Owners
IT Change Managers
Operational Technology Team Leaders
Operational Technology Officers, comprising of:
 Control Systems Officers
 Operational Systems Support Officers/Administrators
Operational Technology Engineers
Project Managers
Project Engineers
Commissioning Engineer/s
Testing Engineer/s

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8110-600-052 - Performing System Changes in the Operational Technology

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Role
Operational Technology/PTA Contractors

1.2.1 Document Applicability/Scope

This procedure applies to any change performed on an Operational Technology System.

Within the ISTM toolset these systems are classified as Business Services. A list of these
services is shown below in Table 3: Business Services, with the applicable Operational
Technology Support Group.
Table 3: Business Services
Business Service Name
WhatsUp Gold
Vizirail
Train Control System
Traction Power SCADA (TPS)
Wayside Area Monitoring System
(WAMS)
Zetron
Rail Ambient Temperature SCADA
(RATS)
Fire SCADA
Passenger Information System
Infrastructure Monitoring SCADA
(IMS)
Automatic Train Protection (ATP)
Vizirail – Archive
OPS Domain (AD)
PABX
Cardax
Description Support Group
Software application used to measure the availability of Control Systems
the Layer 2 field switches (Ruggedcomm RS400) for Vital
Signalling communications. Currently consists of an
office-based workstation with a dedicated network
interface per network.
Software application to support train scheduling and Control Systems
historical reporting.
Hardware and supporting infrastructures support the Control Systems
TCS. Includes changes to RTUs.
Hardware and supporting infrastructure to support the Control Systems
Traction Power SCADA application includes changes to
RTUs.
Hardware and software to monitor current states of level Control Systems
crossings where infrastructure is shared.
Hardware and supporting infrastructure to support the Control Systems
Zetron Radio console systems used in both the Central
Monitoring Room and Train Control.
Server hardware and software used to provide an Control Systems
interface for Perway staff to monitor ambient and rail
temperature in real time.
Workstations and software to support the Onyxworks Control Systems
application (includes gateway device).
Server hardware and software used to provide Control Systems
passengers with train departure information (does not
include field based or associated network equipment).
Hardware and supporting infrastructure to support the Control Systems
Infrastructure Monitoring SCADA systems includes
software and hardware changes to PLCs.
Backend compute and storage to support the Automatic Control Systems
Train Protection application.
Vizirail Data Store Control Systems
Infrastructure consisting of physical and virtual hardware Operational Team
on which roles are hosted for the OPS Domain. Roles
include Active Directory, DNS, DHCP, Exchange, etc.
Server equipment (i.e. hardware and operating system). Operational Team
Server equipment (i.e. hardware and operating system). Operational Team

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8110-600-052 - Performing System Changes in the Operational Technology

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Business Service Name Description Support Group

RAPID
CCTV Domain (AD)
Driver Assisted Video systems
(DAVS)
Lightning Servers (Zoneworks)
Genetec Security Centre
Longline Public Announcement
System (LLPA)
Server equipment (i.e. hardware and operating system). Operational Team
Infrastructure consisting of physical and virtual hardware Operational Team
on which roles are hosted for the OPS Domain. Roles
include Active Directory, DNS, DHCP, Exchange, etc.
Operational Team
Server equipment (i.e. hardware and operating system).
Server equipment (i.e. hardware and operating system). Operational Team
Supporting IT infrastructure to support the Genetec VMS Operational Team
application includes storage and HLIs.
Operational Team
Server equipment (i.e. hardware and operating system).

A more detailed breakdown of responsibilities in relation to equipment can be found in the

Operational Technology Code of Practice RACI models (Objective Reference: A3929117).
Prior to the submission of a request for change, the requestor shall first discuss with either
the applicable Operational Technology Team Leader or the Manager Operational
Technology. This step helps to clearly understand the nature of the change, potential impact
to operations, affected devices, required documentation and implementation strategy.

1.2.2 Document Exclusions

This procedure does not include changes to timetable data in train scheduling software (i.e.
Vizirail and Austrics) or work done as part of routine maintenance activities carried out by
Operational Technology staff. Any routine changes, however, which have the potential to
impact production environments or users shall be treated as a change.
A more detailed breakdown of exclusions in relation to change management within the
Operational Technology area can be found within the Operational Technology Code of
Practice RACI models (Objective Reference: A3929117).

1.3 Roles and Responsibilities

The stakeholders and their respective roles referenced by this document are listed below in
Table 4: Description of Roles.
Table 4: Description of Roles
Role
Manager Operational
Technology
Business Owners
IT Change Managers
Description
The person within PTA nominated as responsible for the management of
maintenance/installation of all Operational Technology assets. Has the authority
to approve or reject changes covered under the scope of this procedure.
The person within PTA nominated as responsible for the management of the
assets that form part of that disciplines responsibility. Has the authority to
approve or reject changes covered under the scope of this procedure.
Through the CAB process, consider approval or pass decisions on change
requests.

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8110-600-052 - Performing System Changes in the Operational Technology

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Role
Operational Technology
Team Leaders
Operational Technology
Officer, comprising of:
a. Control Systems Officers
b. Operational Systems
Support Officers/
Administrators
Description
PTA officer allocated the task of overseeing and supervising the maintenance
and servicing of all equipment related to the operation of train control and
operational systems assets. Has the authority to reject any changes covered
under the scope of this procedure.
PTA officer or contractor allocated the task of maintaining and servicing all
equipment related to the operation of train control and operational system
assets. Has the delegated authority to perform or witness changes on behalf of
the Manager Operational Technology. Also has the authority to halt works if
deemed to be unsafe, detrimental to the operation of the asset/system or
contrary to the submitted work plans.

Operational Technology
Engineers
Project Managers
Project Engineers
Commissioning Engineer/s
Testing Engineer/s
Operational
Technology/PTA Contractor
PTA Officer allocated by the PTA to provide technical and engineering oversight
for work undertaken on PTA’s Operational Technology assets and systems.
The person or group appointed by the PTA to manage a project.
The person or group appointed by the PTA to manage technical or engineering
aspects of a project, including the submission of change requests through the
ITSM toolset.
The person nominated and approved by the Communications Engineer
Manager, Signal Engineering Manager or Operational Technology Manager with
the responsibility and authority to oversee the commissioning of new or altered
works.
The person designated to test new or altered works within the scope of a
contract or job.
An organisation or individual contracted or sub-contracted to perform works for
PTA, including the delivery of services, supply of goods and installation. Has the
authority to perform changes once approvals have been given in accordance
with this procedure.

2. Key Concepts

2.1 Guiding Principles

Change Management within the OT environment is driven in accordance with the ITSM
Code of Practice and IT Change Management Process. There are, however, a number of
additional requirements that are unique to the Operational Technology area due to the highly
critical nature of services/assets. These are:
a. A properly formatted request for all changes shall be submitted through the ITSM
toolset at least 10 working days prior to the proposed implementation date. Within the
OT environment, responsibility for submitting change request is the assigned OT
project engineer. These are either raised directly into the ITSM toolset or by data
provided by external vendor through PTA Document: 8130-600-010 Application for
System Changes.
b. No works shall commence without the approval from the Manager Operational
Technology or approved delegate.

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c. Where possible standard changes shall be used to reduce the need for approvals,
however this does not negate to provide at least 3 working days’ notice of the change.
If a standard change is unsuccessful, the standard change shall be suspended and
reviewed. Standard changes shall be used where the level of risk is Low (1-6) as
described by the PTA Document: 9502-000-001 Risk Management Policy.
d. Exemptions to the above mentioned points may be granted in exceptional
circumstances with the prior approval from the Manager Operational Technology or
their approved delegate. In these situations, a change request shall be raised after the
event and categorised as either an ‘Unauthorised Normal’ change or Retrospective
Emergency Change through the ITSM toolset.

2.2 Documentation and Record Keeping

The request for change shall include the following attachments or any further documentation
relating to the execution of the change as detailed in the relevant Operational Technology
Code of Practice document:
a. A copy of the current state of the Factory Acceptance Test documents for the
change(s).
b. A copy of the Site Acceptance Test document for the change(s) or a copy of a work
method statement describing the process for performing the change(s). For small
changes, this may be combined with the Factory Acceptance Test document.
c. Safety Management Plan – detailing safety management requirements through all
stages of the change (i.e. migration, rollouts and testing). This shall also include where
applicable relevant safe work method statements (SWMS).
d. Inspection and test plans, commissioning and cutover plans, and roll back plans.
e. Any further supporting documentation that will assist in the approval process (i.e.
project risk registers).
It is accepted that some minor changes to Operational Technology Systems may not require
or be able to provide the level of documentation needed. On such instances, these
requirements shall be discussed with the Manager Operational Technology or approved
delegate prior to submitting the request for change.
The officer/contractor performing the work shall sign off any associated ITPs or other related
commissioning documentation.
Any completed forms must be scanned and stored within the ITSM toolset against the
relevant change ticket. Notwithstanding this requirement, all forms and records are to be
retained and disposed of in accordance with PTA Document: 9500-000-004 Records
Management Manual – Part 4 Retention and Disposal of Records.

2.3 Consultation
Stakeholders or System Owners shall be consulted if any possibility exists of disruption to
either infrastructure or train services. These stakeholders or System Owners may include,
but are not limited to:

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a. TTO Operations Manager;

b. Train Services Manager;
c. Electrical Control Officer (ECO);
d. Infrastructure Control Officer (ICO);
e. Signals Engineering Manager;
f. Communications Engineering Manager;
g. Electrical Engineering Manager;
h. Facilities Branch Manager; and
i. Central Monitoring Room (CMR) Coordinator.
It is the responsibility of the change requestor to ensure that stakeholder consultation is
undertaken and managed throughout the lifecycle of the change. Although there is automatic
email notification through the ITSM toolset, this does not negate the need for effective
stakeholder engagement.

2.4 Software
Archives and backups in accordance with PTA Procedure for the archiving of System Data
Software & Equipment (8110-600-023) shall be completed once the change has been
completed and verified as successful by the system owners.

2.5 Version Control

Version control and updates to SVN repositories as a result of a system changes shall be
managed in accordance with PTA Procedure for the Archiving of System Data Software and
Equipment (8110-600-023).

2.6 Emergency Works

Any urgent changes to systems based on immediate safety concerns or potential
operational/financial impacts are permitted provided verbal approval is given from the
Manager Operational Technology or approved delegate.
A properly formatted request for change shall be submitted after the changes are complete
and any relevant documentation attached. Within the ITSM toolset this shall be raised as an
‘Emergency’ change. Retrospective to the change, either a PI incident or work order shall be
raised to capture the incident.

3. Glossary
The following terms are used in this document:

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Table 5: Terms and Definitions

Term Definition
This is defined as:
 The management of change and development within a business or a similar
Change
organisation.
Management
 The controlled identification and implementation of required changes within a
computer system.
Shall This indicates that a statement is mandatory.
Emergency Works Classified as immediate work necessary to protect life or property.
Specifically relating to change management in the OT area, defined as written approval
Exemption from the Manager Operational Technology to implement a change within the OT
environment outside of the standard change management process.
All changes that represent a low operational, safety or financial risk to the organisation,
Minor Change i.e. changes that will not delay train operations, will not cause a safety hazard for
employees or public and are low cost.
Tool used for identifying roles and responsibilities during an organisational change
RACI Model
process.
A formal request for a change to be implemented via s scheduled change request in
Request for Change
ITSM

4. Abbreviations and Acronyms

The following abbreviations and acronyms are used in this document:
Table 6: Abbreviations and Acronyms
Term Definition
AD Active Directory
ATP Automatic Train Protection
CAB Change Advisory Board
CCTV Closed Circuit Television
CMR Central Monitoring Room
DAVS Driver Assisted Video System
DHCP Dynamic Host Configuration Protocol
DNS Domain Name System
ECO Electrical Control Officer
HLI High Level Interface
ICO Infrastructure Control Officer
IMS Infrastructure Monitoring SCADA
IT Information Technology
ITP Inspection and Test Plan
ITSM IT Service Management

Current 8110-600-052 Rev 4.01 UNCONTROLLED IF PRINTED

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Term Definition
LLPA Long Line Public Address
OT Operational Technology
PABX Private Automatic Branch Exchange
PLC Programmable Logic Controller
PTA Public Transport Authority
RACI Responsible, Accountable, Consulted, Informed
RATs Rail Ambient Temperature SCADA
RTU Remote Terminal Unit
SCADA Supervisory Control And Data Acquisition
SVN Subversion Repository
SWMS Safe Work Method Statement
TCS Train Control System
TPS Traction Power SCADA
TTO Transperth Train Operations
VMS Video Management System
WAMS Wayside Asset Monitoring System

Current 8110-600-052 Rev 4.01 UNCONTROLLED IF PRINTED

Date Approved: 8/06/2020 © PUBLIC TRANSPORT AUTHORITY OF WESTERN AUSTRALIA 2019