MIL-HDBK-61A(SE)_Configuration_Management_Guidance.pdf

NOT MEASUREMENT SENSITIVE

MIL-HDBK-61A(SE)

7 February 2001

SUPERSEDING

MIL-HDBK-61

30 SEPTEMBER 1997

MILITARY HANDBOOK

CONFIGURATION MANAGEMENT

GUIDANCE

AMSC N/A AREA CMAN

DISTRIBUTION STATEMENT A: Approved for public release; distribution is unlimited.

This handbook is for guidance only.

Do not cite this document as a requirement

MIL-HDBK-61A

This Page Intentionally Blank

Page i

FOREWORD

1. This military handbook is approved for use by the Office of the Under Secretary of Defense (Acquisition, Technology, and Logistics), Systems Engineering Office, and is available for use by all Departments and Agencies of the Department of Defense. This handbook is for guidance only. This handbook cannot be cited as a requirement. If it is, the contractor does not have to comply.

2. -This handbook provides guidance to DoD managers assigned the responsibility for configuration management on how to ensure the application of product and data configuration management to defense materiel items, in each phase of their life cycle. Acquisition practices, including the manner in which CM is specified in a contract, and the process of monitoring contractor application are evolving as the result of two interacting transitions.

3. The first transition is the change in acquisition approach initiated in the acquisition reforms introduced in June 1994, which resulted in the following conceptual changes:

a. A shift from the Government imposing requirements on a contractor by citing a military standard to the Government asking the contractor how he intends to apply his standard management practices to a given program and evaluating those practices against industry standards.

b. Limiting the focus of Government configuration control to performance requirements rather than the details of the design solution in most instances.

c. Basing Government oversight of contractor practice on adequacy of process rather than on inspection of product.

4. The second significant transition influencing configuration management practice results from the rapid advance of information technology. Opportunities for improvements in methodology are constantly challenging the status quo. The predominant media for exchange of information has transitioned from a paper base to a digital one.

Information technology concepts and standards for data access, data transfer, and data sharing are increasing the opportunities for Government and industry to productively integrate information from distributed sources. Both Government and industry are evolving infrastructures that will support information interoperability. This is leading toward the heretofore conceptual notion of a true virtual enterprise that will include all the configuration management information necessary for the life cycle support and maintenance of equipment and software. Each party in the enterprise, both Government activities and contractor, will be able to input and/or access product information via their own diversified automated information systems.

5. As a consequence of these transitions, DoD standardization for Configuration Management has evolved to the use of industry standards rather than military standards. MIL-STDs-973 and 2549 have been cancelled, effective 30 September 2000. DoD has adopted ANSI/EIA-649, “National Consensus Standard for Configuration Management,” as the guiding document providing the basic principles of Configuration Management. DoD has been instrumental in the on-going development of EIA-836, “Consensus Standard for CM Data Exchange and Interoperability” and will adopt it when it is published by the Electronics Industries Alliance as a web-based asset. This limited coordination revision to MIL-HDBK-61 is being issued to provide continuing up-to-date guidance for effective application of configuration management as the transition from MIL-STDs continues.

5. Beneficial comments (recommendations, additions, deletions) and other pertinent data which may be of use in improving this document should be addressed to: Mr. George Desiderio, Systems Engineering Office (OUSD(AT&L)/IO/SE), The Pentagon, Room 3D1075, Washington, DC 20301 by using the self-addressed Standardization Document Improvement Proposal (DD Form 1426) appearing at the end of this document, by letter, or by e-mail to desideriogj@acq.osd.mil.

Page ii

This page intentionally blank

Page iii

TABLE OF CONTENTS

PARAGRAPH PAGE

1. SCOPE 1-1

1.1 Scope and Purpose 1.1

1.2 Application of CM over the Program Life Cycle phases 1-2

1.3 Configuration Management Overview 1-3

1.3.1 Government and Contractor Roles in the CM Process 1-5

1.3.2 CM Benefits, Risks, and Cost Impact 1-6

2. APPLICABLE DOCUMENTS 2-1

2.1 General 2-1

2.2 Government Documents 2-1

2.3 Non-Government Publications 2-2

2.4 Order of Precedence 2-3

3. DEFINITIONS 3-1

3.1 Definitions And Terminology 3-1

3.2 Acronyms 3-1

3.3 Definitions 3-4

4. CM LIFE CYCLE MANAGEMENT AND PLANNING 4-1

4.1 General 4-1

4.2 Management and Planning Concepts 4-2

4.2.1 CM Functional Activity 4-2

4.2.2 Relation to Systems Engineering Process 4-5

4.2.3 Relation to Logistics Process 4-6

4.3 Government Management and Planning Activities 4-7

4.3.1 Preparing for the Next Phase 4-7

4.3.2 Implementing the Government CM Process 4-9

4.3.3 Measuring/Evaluating Government/Contractor CM Process 4-9

4.3.4 Effect Process Improvement & Document Lessons Learned 4-11

4.4 CM Implementation over the Program Life Cycle 4-12

5. CONFIGURATION IDENTIFICATION 5-1

5.1 Configuration Identification Activity 5-1

5.1.1 Configuration Identification General Concepts and Principles 5-3

5.1.2 Configuration Identification General Activity Guides 5-3

5.2 Product Structure 5-5

5.2.1 Product Structure Concepts 5-5

5.3 Configuration Items 5-6

5.3.1 Configuration Item Concepts 5-6

5.3.2 Configuration Item Activity Guides 5-7

5.4 Configuration Documentation 5-10

5.4.1 Specification Concepts 5-10

5.4.2 Specification Activity Guides 5-11

5.4.3 Design Solution Document Concepts 5-16

5.4.4 Design Solution and Software Documentation Activity Guides 5-17

5.5 Configuration Baselines 5-22

5.5.1 Configuration Baseline Concepts 5-22

5.5.2 Configuration Baseline Activity Guides 5-25

5.6 Document and Item Identification 5-28

5.6.1 Document Identification Concepts 5-28

5.6.2 Document Identification Activity Guides 5-29

Page iv

TABLE OF CONTENTS

PARAGRAPH PAGE

5.6.3 Item Identification Concepts 5-29

5.6.4 Item Identification Activity Guide 5-31

5.7 Engineering Release 5-34

5.7.1 Engineering Release Concepts 5-34

5.7.2 Engineering Release Activity Guides 5-35

5.8 Interface Management 5-37

5.8.1 Interface Management Concepts 5-37

5.8.2 Interface Management Activity Guides 5-38

6 CONFIGURATION CONTROL 6-1

6.1 Configuration Control Activity 6-1

6.1.1 Configuration Control General Concepts and Principles 6-5

6.1.1.1 Current Authority 6-6

6.1.1.2 Change Classification. 6-8

6.1.1.3 Configuration Control Board (CCB) 6-9

6.1.1.4 Effectivity 6-10

6.1.2 Configuration Control General Activity Guides 6-10

6.2 Engineering Change Proposal 6-12

6.2.1 ECP Concepts and Principles 6-12

6.2.1.1 ECP Initiation 6-12

6.2.1.2 ECP Preparation and Submittal 6-12

6.2.1.3 ECP Supporting Data 6-13

6.2.1.4 Review and Dispositioning ECPs 6-13

6.2.1.5 Implementing Class I ECPs 6-15

6.2.2 ECP Activity Guides 6-16

6.3 Request for Deviation 6-27

6.3.1 RFD Concepts and Principles 6-27

6.3.2 RFD Activity Guide 6-29

6.4 Notice of Revision 6-31

6.4.1 NOR Concepts and Principles 6-31

6.4.2 NOR Activity Guides 6-31

7 CONFIGURATION STATUS ACCOUNTING 7-1

7.1 Configuration Status Accounting Activity 7-1

7.2 CSA Concepts and Principles 7-1

7.3 CSA Activity Guides 7-5

8 CONFIGURATION VERIFICATION AND AUDIT 8-1

8.1 Configuration Verification and Audit Activity 8-1

8.2 Configuration Verification and Audit Concepts and Principles 8-2

8.2.1 Configuration Verification 8-2

8.2.2 Configuration Audit 8-3

8.2.2.1 Functional Configuration Audit 8-4

8.2.2.2 Physical Configuration Audit 8-4

8.2.2.3 Application of Audits during Life Cycle 8-5

8.2.2.4 Auditing in the Performance-based Acquisition Environment 8-6

8.3 Configuration Verification and Audit Activity Guides 8-6

9. DATA MANAGEMENT 9-1

9.1 CM Related Data Management Activity 9-1

9.2 CM Related Data Management Concepts and Principles 9-2

9.2.1 Document Identification 9-2

9.2.2 Data Status Level Management 9-3

Page v

TABLE OF CONTENTS

PARAGRAPH PAGE

9.2.3 Data and Product Configuration Relationships 9-5

9.2.4 Data Version Control 9-6

9.2.5 Digital Data Transmittal 9-6

9.2.6 Data Access Control 9-7

9.3 Data Management Activity Guides 9-7

9.3.1 Document Identification 9-8

9.3.2 Configuration Management Data Acquisition Guidance 9-8

10 NOTES

10.1 Intended Use

10.2 Key Word Listing

10.3 Changes From Previous Issue

A. CONFIGURATION MANAGEMENT PLANS A-1

A.1 Scope A-1 A.2 Principles and Concepts A-1 A.2.1 Government CM Plan A-1 A.2.2 Contractor CM Plan A-2 A.3 CM Plan Activity Guides A-3

B. ENGINEERING CHANGE PROPOSAL COST SPREADSHEET TEMPLATE B-1

B.1 Scope B-1 B.2 Application and Use B-1

C CM GUIDANCE FOR INTEGRATION OF HIGH INTENSITY COMMERCIAL-

OFF-THE-SHELF PRODUCTS

C-1

C.1 Scope C-1 C.2 Principles and Concepts C-1 C.2.1 Standards C-1 C.2.2 Source Selection C-2 C.2.3 Configuration Identification C-2 C.2.3.1 Acquisition Documentation C-2 C.2.3.2 Performance Baseline C-3 C.2.3.3 Item Identification C-3 C.2.4 Configuration Control C-3 C.2.5 Configuration Status Accounting C-4 C.2.6 Software Control C-4 C.3 COTS Activity Guides C-5

D. ECP MANAGEMENT GUIDE D-1

D.1 Scope D-1 D-2 Principles and Concepts D-1 D.3 ECP Management Activity Guides D-2

E. SAMPLE CONFIGURATION AUDIT CERTIFICATIONS E-1

E.1 Scope E-1 E.2 Sample Certifications E-1

F. CM STANDARDS COMPARISON MATRIX F-1

F.1 Scope F-1 F.2 Comparison Matrix F-1

Page vi

LIST OF TABLES

TABLE NO. PAGE

1-1 Typical Government and Contractor CM Roles and Responsibilities 1-6

4-1 CM Template for Concept & Technology Development Phase 4-13 4-1A Operational Definition Concept & Technology Development Phase Metric-

Checklist of Actions 4-14

4-2 CM Template for System Development & Demonstration Phase 4-15 4-2A Operational Definition of System Development & Demonstration Phase Metric

- Checklist of Actions 4-24

4-2B Operational Definition of System Development & Demonstration Phase ECP Cycle Time Metric

4-25

4-2C Operational Definition of System Development & Demonstration Phase ECP Approval Rate Metric

4-26

4-2D Operational Definition of System Development & Demonstration Phase Deviation Performance Metric

4-27

4-2E Operational Definition of System Development & Demonstration Phase Configuration Audit Metric

4-28

4-3 CM Template for Production and Deployment Phase 4-29 4-3A Operational Definition of Production and Deployment Phase

Checklist of CM Actions Metric 4-36

4-3B Operational Definition of Production and Deployment Phase Change Incorporation Rate Metric

4-37

4-3C Operational Definition of Production and Deployment Phase Class I Implementing Action Metric

4-38

4-4 CM Template for Operations & Support Phase 4-39

5-1 Activity Guide: Configuration Identification process Evaluation Checklist 5-4 5-2 Activity Guide: Configuration Item Selection Criteria 5-8 5-3 Activity Guide: Order of Precedence for Specifications 5-11 5-4 Activity Guide: Specification Types Categorized by Source 5-13 5-5 Activity Guide: Specification Types Categorized by Utility 5-14 5-6 Activity Guide: Specification Types Categorized by Object 5-15 5-7 Activity Guide: Specification Types Categorized by Purpose 5-16 5-8 Activity Guide: Engineering Drawings and Associated Lists 5-18 5-9 Activity Guide: Software Documentation 5-20 5-10 Activity Guide: Document identification 5-29 5-11 Activity Guide: Item identification 5-32 5-12 Activity Guide: Engineering Release Record Data Content and Functional Capability 5-35 5-13 Activity Guide: Government Acquisition of Detailed Design Data 5-36 5-14 Activity Guide: Documentation Defining Interfaces 5-39 5-15 Activity Guide: Interface Management Process Matrix 5-40

6-1 Activity Guide: Configuration Control Process Evaluation Checklist 6-11 6-2 Activity Guide: Change Classification 6-16 6-3 Activity Guide: ECP Justification Codes 6-18 6-4 Activity Guide: Class I ECP Types and Their Function 6-19 6-5 Activity Guide: ECP Priorities 6-20 6-6 Activity Guide: ECP Content 6-21 6-7 Activity Guide: ECP Review and Disposition Actions 6-25 6-8 Activity Guide: ECP Implementation Actions 6-26 6-9 Activity Guide: RFD Content 6-30 6-10 Activity Guide: NOR Content 6-32

Page vii

LIST OF TABLES

TABLE NO. PAGE

7-1 Typical CSA Information Over the Acquisition Program Life Cycle 7-4 7-2 Activity Guide: Configuration Status Accounting Process Evaluation Checklist 7-6 7-3 Activity Guide: Configuration Status Accounting Tasks 7-7

8-1 Activity Guide: Audit Planning and Pre-Audit Preparation 8-7 8-2 Activity Guide: Conducting Configuration Audits 8-9 8-3 Activity Guide: Post Configuration Audit Actions/Audit Close-out 8-12

9-1 Activity Guide: CM Data Acquisition Factors 9-9

A-1 CM Principles Effected in government CM Plan A-2 A-2 Activity Guide: Government CM Plan Content A-4 A-3 Activity Guide: Contractor CM Plan Content A-6

B-1 ECP Cost Spreadsheet Template-with Formulas B-2 B-2 ECP Cost Spreadsheet Template-Blank Form B-3 B-3 ECP Cost Spreadsheet Template-with Sample Data B-4

C-1 Activity Guide: COTS Supplier CM Market Analysis Questionnaire C-5 C-2 Activity Guide: Example Selection Matrix To Choose the Appropriate COTS

Acquisition Document C-6

D-1 Activity Guide: ECP Coordination and Communication at a Glance D-3 D-2 Government/Contractor ECP Coordination Meetings D-4 D-3 Activity Guide: Checklist A - Request for an ECP Readiness for Release (For Sole

Source Class I ECPs) D-5

D-4 Activity Guide: Checklist B - ECP Readiness for Submittal D-6 D-5 Activity Guide: Checklist C - ECP Management Meetings D-8

E-1 Audit Certification Checklist Contents E-2

F-1 Comparison Matrix - CM Standards F-2

LIST OF FIGURES

FIGURE NO. PAGE

1-1 MIL-HDBK-61 Provides a Roadmap to the Application of CM in each Phase of the

Life Cycle 1-3

1-2 DoD Configuration Management Process Model - Overview 1-4

4-1 Top Level Configuration Management Activity Model 4-3 4-2 How CM Relates to Systems Engineering 4-5 4-3 How CM Relates to Logistics 4-6 4-4 Implementation of “Global” Government CM Management Activity 4-8 4-5 CM Objectives for each Phase are Keyed to Program Objectives and Activities 4-10

5-1 Configuration Identification Process Activity Model 5-2 5-2 Tiering of CI Designations 5-7 5-3 Selection of Specification Types 5-10

Page viii

LIST OF FIGURES

FIGURE NO. PAGE

5-4a Activity Guide: MIL-STD-973 Baseline Concept 5-26 5-4b Activity Guide: MIL-STD-973, Notice 3 Baseline Concept 5-26 5-4c Activity Guide: EIA-649 Baseline Concept 5-27 5-4d Activity Guide: Performance-Based Acquisition Baseline Concept - Scenario 1 5-27 5-4e Activity Guide: Performance-Based Acquisition Baseline Concept - Scenario 2 5-28 5-5 Understanding the Levels of Interface 5-38 5-6 Interface Management Process Flow 5-41

6-1 Activity Model: Configuration Control Process 6-2 6-2 Activity Model: Government Configuration Control: Change Initiation 6-3 6-3 Activity Model: Contractor Configuration Control 6-3 6-4 Activity Model: Government Configuration Control: Change Evaluation and

Disposition 6-4

7-1 Configuration Status Accounting Activity Model 7-2 7-2 Configuration Status Accounting Evolution over the System/CI Life Cycle 7-2

8-1 Configuration Verification and Audit Activity Model 8-2 8-2 Change Implementation and Verification 8-3 8-3 Audit Certification Package Content 8-12

9-1 CM Related Data Management Activity Model 9-2 9-2 Illustration of Document Representation Concepts 9-4 9-3 Activity Guide: Generic Document Identifier Characteristics 9-8 9-4 Activity Guide: CM Data Acquisition Definition Model 9-9

D-1 Government and Contractor Expectations in a Well managed ECP Process D-1

E-1 Contents of a Typical Configuration Audit Certification Package E-1

Page 1-1

SECTION 1

SCOPE

QUESTIONS THIS SECTION WILL ANSWER: PARA.

1. What are the scope and purpose of this handbook? Who should use it? 1.1

2. To what other documents does this handbook relate, and what is the nature of the relationship?

1.1

3. How does the user locate specific information related to each life cycle phase and CM function?

1.2

4. What is configuration management? 1.3

5. What is the Government’s role in the CM process; what is a contractor's role; and how do they relate?

1.3.1

6. How does CM impact program costs? 1.3.2

7. What are the benefits of having effective CM on a DoD program? 1.3.2

8. What risks are associated with the lack of CM, or ineffectual CM? 1.3.2

1.1 Scope and Purpose.

This military handbook provides guidance and information to DoD acquisition managers, logistics managers, and other individuals assigned responsibility for Configuration Management. Its purpose is to assist them in planning for and implementing effective DoD configuration management activities and practices during all life cycle phases of defense systems and configuration items. It supports acquisition based on performance specifications, and the use of industry standards and methods to the greatest practicable extent.

This handbook is closely related to the following Electronic Industries Alliance (EIA) Standards:

• ANSI/EIA-649-1998, “National Consensus Standard for Configuration Management,”

• EIA-836, "Consensus Standard for Configuration Management Data Exchange and Interoperability," and

• ANSI/EIA-632-1998, “Processes for Engineering a System.”

ANSI/EIA Standard 649 provides the basic configuration management principles and the best practices employed by industry to identify product configuration and effect orderly management of product change.

EIA-836 (scheduled for initial draft publication in January 2001) EIA-836 facilitates the interoperability and exchange of configuration management data. The level of interoperability between dissimilar systems is determined by trading partner agreement. The extensible markup language (XML) facilitates data sharing and exchange among different systems. EIA-836 provides a set of standard definitions and business objects that can be used by XML frameworks in interfacing the content elements among one or more systems or databases. To be most effective, the capabilities of the process, tools or systems, should embody the CM principles in ANSI/EIA-649 in conjunction with the business objects and data element definitions in EIA-836.

ANSI/EIA-632 describes the Systems Engineering process of which CM is an integral part. [See 4.2.2]

The acquisition reform environment is significantly different from one in which the Government imposed its own management requirements on contractors by military standards. Configuration management activity must be applied to items at a level that is consistent with acquisition strategy, protects the interests of the government, and flexibly accommodates contractor standard methodology. With a major share of configuration control authority shifted to contractors, the DoD configuration management activity must still continue to provide assurance of supportability and interoperability of military equipment and software. This responsibility requires careful planning and implementation of a DoD configuration management strategy that is in concert with the acquisition, logistic support, and maintenance philosophy of each given material item.

Page 1-2

As the DoD transitions to performance based acquisition and the use of digital CM information interfaces, this handbook provides the insight necessary to:

• Understand the application of the basic principles of CM articulated in ANSI/EIA-649 to the DoD acquisition and operational environment

• Plan for and make prudent and cost effective choices in effecting DoD configuration management activities throughout the life cycle of a material item

• Provide the necessary basis for CM in RFPs and Contracts

• Evaluate contractor proposals and CM processes

• Acquire and process necessary CM information

• Use data models (schema), data dictionaries, and CM data object templates as a framework for translating and communicating configuration information among diverse, distributed, data bases in an integrated data environment

• Measure CM performance effectiveness of both Government activities and contractors

1.2 Application of CM over the Program Life Cycle Phases

Figure 1-1 illustrates how this military handbook’s content is structured to provide a comprehensive guide (roadmap) to the application of configuration management through all life cycle phases of a program. As defined in DoD Instruction 5000.2 and DoD Regulation 5000.2-R, the life cycle extends from concept studies through demilitarization and disposal. A given military program however may not include all of the phases. Following Section 1 “Scope,” Section 2 “Applicable Documents,” and Section 3 “Definitions,” the handbook is divided into the following major sections:

a. Section 4. CM Life Cycle Management and Planning. Since management and planning are the keys to effective implementation of CM, Section 2 provides the focus for the entire handbook. It contains an overview of the CM process, a discussion of CM’s relationships to other processes, and a synopsis of Government/contractor configuration management during the entire program life cycle. It addresses global CM Management activities applicable to all phases such as planning, process implementation, and performance measurement. A series of templates [Tables 4-1 through 4-4] address the following for each life cycle phase:

• CM Objectives keyed to the program objectives for the Phase [Figure 4-5]

• CM Activities supporting those objectives

• Benefits and risks

• Metrics to assess achievement of objectives and foster process improvement

• Key actions to be taken, interfaces to be established and information needed to perform the activities

• Pointers and references to specific supporting details found in Sections 2 through 7 and Appendices.

b. Sections 5 through 9. Major CM Functions. In support of Section 2, Sections 3 through 7 contain detailed information in the form of activity descriptions, activity models, principles and concepts, and activity guides (diagrams, checklists, tables, etc.) for the following topics:

• Section 5 Configuration Identification

• Section 6 Configuration Control

• Section 7 Configuration Status Accounting

• Section 8. Configuration Verification and Audit

• Section 9. Data Management

c. Appendices. The appendices to this handbook consist of additional information, supporting either the planning and information timeline in Section 4 or the details in Sections 5 through 9.

Page 1-3

Figure 1-1. MIL-HDBK-61 Provides a Roadmap to the Application of CM in each Phase of the Life Cycle

Section 5. Configuration Identification Section 6. Configuration Control

Section 7. Configuration Status Accounting Section 8. Configuration Verification & Audit

Supporting Appendices

Details Details Details

Section 4. CM Life Cycle Management & Planning

CM TEMPLATES FOR EACH PHASE

Section 9. Data Management

Activity Descriptions + Concepts & Principles + Activity Guides

Concept & Technology

Development

Planning Production & Deployment

Operations & SupportSystem Development

& Demonstration

Objectives/Metrics Activities Benefit/Risk

Objectives/Metrics Activities Benefit/Risk

Objectives/Metrics Activities Benefit/Risk

Objectives/Metrics Activities Benefit/Risk

1.3 Configuration Management Overview.

Configuration management embodies two concepts: (1) the configuration management of items and their defining technical data, referred to herein as configuration documentation; and (2) the application of CM principles to digital data in general. [Section 9] Because, digital data management is critical to the control of configuration documentation and therefore to the configuration management of Weapon Systems, document management rules are integral to the CM process.

Configuration management is defined1 as a process for establishing and maintaining consistency of a product’s performance, functional and physical attributes with its requirements, design and operational information throughout its life. Figure 1-2 is a top-level activity model depicting the CM process showing:

• Inputs - Information needed to initiate and perform the process

• Constraints - Factors or information that inhibits or puts limitations on the process

• Mechanisms/Facilitators - Information, tools, methods, and technologies which enable or enhance the process

• Outputs - Results that derive from the process or information that is provided by the process.

NOTE: Activity models in this handbook follow the above format, which is a simplification of the

IDEF0 (Activity Model) protocol.

DoD Regulation 5000.2-R states the requirement for:

“....... a configuration management process to control the system products, processes and related documentation. The configuration management effort includes identifying, documenting and verifying the functional and physical characteristics of an item; recording the configuration of an item; and controlling changes to an item and its documentation. It shall provide a complete audit trail of decisions and design modifications.”

1 ANSI/EIA-649

Page 1-4

CONFIGURATION

MANAGEMENT

PROCESS

INPUTS OUTPUTS,

RESULTS•Mission Need

•Program Initiation •Syst Eng. Reqmts, Funct Analysis, Alloc & Synthesis

•Logistics & Maintenance Plans

•Performance Measurements

•Communication

CONSTRAINTS

•Timing •Resources •Inadequate planning and preparation

MECHANISMS/

FACILITATORS

•Management support •Effective working relationship among Govt & Contractor CM, Program Management, Systems Engineering, Logistics & Quality

•Facilities •Resources •Training •Guidance Handbooks & Standards

•Documented CM process consistent with planning

•Consistent & appropriate:

-RFP & Contract CM/DM -Acquisition of data; EDI -Items identified -Performance attributes identified and achieved

-Supported items documented

-Identification and marking sufficient for support

•Proposed changes dispositioned expeditiously

•Verified changes incorporated in all affected items, documents

•Status accounting data base appropriate to each phase

•CM-competent contractor base

•CM process performance measured & continuously improved

•Lesson learned •Program image enhanced

Figure 1-2. DoD Configuration Management Process Model - Overview

The CM process encompasses:

• Configuration items

• Documents that define the performance, functional, and physical attributes of an item. These documents are referred to as configuration documentation.

• Other documents which are used for training, operation and maintenance of an item

• Associated and interfacing items that are used for training, operation, or maintenance of the configuration item.

The CM process is embodied in rules, procedures, techniques, methodology and resources to assure that:

• The configuration of the system and/or item (its attributes) are documented. [Section 5]

• Changes made to the item in the course of development, production and operation, are beneficial and are effected without adverse consequences. [Section 6]

• Changes are managed until incorporated in all items affected. [Sections 6, 7 and 8]

CM is applied to defense material, whether hardware or software, that are designated as “systems” and “configuration items.” Systems generally refer to the level at which major defense acquisitions are defined and managed. A configuration item (CI) may be an individual item, or may be a significant part of a system or of a higher-level CI. It is designated at an appropriate level for documenting performance attributes and managing changes to those attributes. The CI concept s has confused some people into thinking that the level at which CIs are designated is the point where configuration management stops. In reality, the CI level is where configuration management really begins; the process encompasses, to some degree, every item of hardware and software down to the lowest bolt, nut and screw, or lowest software unit. This does not mean that the acquiring activity, the prime contractor, or even subcontractors have visibility or configuration control authority over every part. Rather it means that some organization within either the supply chain or the standardization process has configuration documentation and change control responsibility for each part.

Page 1-5

The attributes of configuration items are defined in configuration documentation. Configuration baselines are established to identify the current approved documents. Configuration items are uniquely identified. They are verified to make sure they conform to, and perform as defined in, the configuration documentation.

Whenever a change is contemplated to an item, the effect of that change on other items and associated documents is evaluated. Changes are systematically processed and are approved by the appropriate change control authority.

Change implementation involves update and verification of all affected items and documentation.

Information about item configuration, document identification and status, and change status is collected as activities associated with the CM process occur. This configuration status accounting information is correlated, maintained, and provided in useable form, as required.

The responsibility for the CM process and supporting activities is shared between the Government and the contractor and will usually vary according to the acquisition philosophy (performance or design-based) and according to the phase of the life cycle.

1.3.1 Government and Contractor Roles in the CM Process.

Both the Government and the contractor participate in the CM process. However, depending on the agencies involved in a particular “contracting “ arrangement, there are several other terms that may also be used. (See the list below.) In the context of this handbook, a Government activity engaged in design, development or production of hardware or software items is referred to as if it were a “contractor.”

Alias Terms Used in:

Term Used in

MIL-HDBK-61

Government to Commercial Environment

Government to Government Environment

Contractor • Contractor

• Design Activity

• Performing Activity

• Design Activity

• Performing Activity

Government • Government

• Managing Activity

• Tasking Activity

• Managing Activity

• Tasking Activity

Contract • Contract

• Purchase Order

• Tasking Directive

• Memo of Agreement

• Military Interdepartmental

Purchase Request (MIPR)

Since, the Government has ultimate responsibility for the performance and configuration of the systems and equipment it acquires and operates, the Government is always the configuration control authority for the top-level performance attributes, and for selected lower level performance and design attributes that it specifies and contracts for. A significant degree of authority for configuration control may be exercised by contractors during any or all phases of the life cycle, depending on such factors as type of acquisition, contractual requirements, and ownership of the data.

For a specific acquisition, configuration control authority means that the activity or organization exercising that authority controls the configuration of the product and determines what changes are to be installed or incorporated in that product. The configuration control authority to effect a product configuration change under a contract does not automatically mean that a change can be directed or made to a document for which another organization is the controlling design activity and has content responsibility. Each configuration document has a current document change authority (CDCA), i.e. an agency or activity or organizational entity that is responsible for the content of the document and is the only authority that can effect changes to the document. . An activity that uses a product and its documentation, but is not the CDCA, is referred to as an Application Activity (AA). An AA can only approve for use (adopt) the document, but cannot direct changes to it. These concepts become increasingly more important as DoD

Page 1-6 acquisition looks to the commercial industrial base, and it is central to the management of an automated information system concerning documentation used by different application activities. [Details: 6.1.1.1]

The CM process is applicable both to development of new systems and items and to modifications of existing systems and items. A typical distribution of CM-related roles is shown in Table 1-1; italicized responsibilities are not primarily configuration management activity but are included for continuity.

Table 1-1. Typical Government and Contractor CM Roles and Responsibilities

Applies to Development of New Systems and to Modifications of Existing Systems Government Contractor(s) or Government Performing Activities

• Solicits concept (Systems Engineering) studies.

May participate on Integrated Product Team

(IPT)

• Specifies desired performance attributes for a system/CI

• Selects Contractor or approves engineering change proposal or modification request

• Approves and baselines top level performance configuration documentation (specifications) and acts as current document control authority (CDCA) for those performance specifications and configuration control authority for the System/CI

• Monitors contractor CM process via:

- IPT participation

- Metrics

- Performance reviews

• Baselines selected product performance configuration documentation after verifying (e.g.

FCA) that performance requirements have been achieved

• Continues as CDCA for selected performance configuration documentation; may become CDCA for other documentation as contractually established

• Consistent with support approach for selected CIs, baselines selected product (design) configuration documentation after verifying (e.g.

at a PCA for the CI) that the design documentation matches the delivered configuration.

• Continues as configuration control authority for the System/CI during its life as a Government asset and CDCA for selected performance and design documentation, as contractually established.

• Similar cycle repeats for modifications

• Performs system engineering studies. Determines alternative system approaches

• Proposes Items or Design Solution

• Prepares and submits performance specification for approval. May participate with Government on IPT.

• Initiates development. Incrementally baselines design solution and acts as current document control authority (CDCA) for released configuration documentation, e.g. performance and detail specifications (below the level controlled by the Government), engineering drawings, engineering models, etc. for which another Government activity or commercial organization is not already the CDCA)

• Baselines product (design) configuration documentation after verifying performance attributes and consistency between item and configuration documentation. (FCA & PCA)

• Continues as CDCA for configuration documentation which it does not transition to the Government

• Similar cycle repeats for modifications

Page 1-7

1.3.2 CM Benefits, Risks and Cost Impact.

Configuration Management provides knowledge of the correct current configuration of defense assets and the relationship of those assets to associated documents. The CM process efficiently manages necessary changes, ensuring that all impacts to operation and support are addressed.

The benefits of the process should be obvious but are often overlooked. ANSI/EIA-649 summarizes the benefits of CM from an industry view, as follows:

• Product attributes are defined. Provides measurable performance parameters. Both Buyer and Seller have a common basis for acquisition and use of the product.

• Product configuration is documented and a known basis for making changes is established. Decisions are based on correct, current information. Production repeatability is enhanced.

• Products are labeled and correlated with their associated requirements, design and product information.

The applicable data (such as for procurement, design or servicing the product) is accessible, avoiding guesswork and trial and error.

• Proposed changes are identified and evaluated for impact prior to making change decisions. Downstream surprises are avoided. Cost and schedule savings are realized.

• Change activity is managed using a defined process. Costly errors of ad hoc, erratic change management are avoided.

• Configuration information, captured during the product definition, change management, product build, distribution, operation, and disposal processes [the equivalent of the DoD acquisition life cycle], is organized for retrieval of key information and relationships, as needed. Timely, accurate information avoids costly delays and product down time; ensures proper replacement and repair; and decreases maintenance costs.

• Actual product configuration is verified against the required attributes. Incorporation of changes to the product is verified and recorded throughout the product life. A high level of confidence in the product information is established.

These benefits are equally applicable to Government and industry. Additionally, the effective application of CM principles to defense products contributes to and enhances the partnering environment desired between the DoD and its suppliers.

In the absence of CM, or where it is ineffectual, there may be

• Equipment failures due to incorrect part installation or replacement;

• Schedule delays and increased cost due to unanticipated changes;

• Operational delays due to mismatches with support assets;

• Maintenance problems, down-time, and increased maintenance cost due to inconsistencies between equipment and its maintenance instructions; and,

• Numerous other circumstances which decrease operational effectiveness, and add cost.

The severest consequence is catastrophic loss of expensive equipment and human life. Of course these failures may be attributed to causes other than poor CM. The point is that the intent of CM is to avoid cost and minimize risk.

Those who consider the small investment in the CM process a cost-driver may not be considering the compensating benefits of CM and may be ignoring or underestimating the cost, schedule and technical risk of an inadequate or delayed CM process.

Throughout this handbook, selection criteria are provided to aid in making choices concerning implementation of various CM activities and functions. In each applicable instance, the means to complete a benefit/risk analysis is provided.

Page 1-8

This Page Intentionally Blank

Page 2-1

SECTION 2

APPLICABLE DOCUMENTS

2.1 General

The documents listed below are not necessarily all of the documents referenced herein, but are the ones that are needed in order to fully understand the information provided by this handbook.

2.2 Government Documents

2.2.1 Specifications, standards, and handbooks. The following specifications, standards, and handbooks form a part of this document to the extent specified herein. Unless otherwise specified, the issues of these documents are those listed in the latest issue of the Department of Defense Index of Specifications and Standards (DoDISS) and supplement thereto.

SPECIFICATIONS

DEPARTMENT OF DEFENSE

MIL-PRF-28000 Digital Representation for Communication of Product Data: IGES Application Subsets and IGES Application Protocols

MIL-PRF-28001 Markup Requirements and Generic Style Specification for Exchange of Text and It’s Presentation

MIL-PRF-28002 Raster Graphics Representation in Binary Format, Requirements For MIL-DTL-31000 Technical Data Packages

STANDARDS

DEPARTMENT OF DEFENSE

MIL-STD-129 Military Marking MIL-STD-196 Joint Electronics Type Designation System MIL-STD-787 Joint Optical Range Instrumentation Type Designation System MIL-STD-882 System Safety MIL-STD-974 Contractor Integrated Technical Information Service MIL-STD-1812 Type Designation, Assignment and Method for Obtaining MIL-STD-1464 Army Nomenclature System MIL-STD-1661 MARK and MOD Nomenclature System MIL-STD-1840 Automated Interchange of Technical Information

(Unless otherwise indicated, copies of the above specifications and standards are available from the Standardization Document Order Desk, 700 Robbins Avenue, Building 4D, Philadelphia, PA 19111-5094.)

2.2.2 Other Government documents, drawings, and publications. The following other Government documents, drawings, and publications form a part of this document to the extent specified herein.

DoD Directive 5000.1 The Defense Acquisition System DoD Instruction 5000.2 Operation of the Defense Acquisition System DoD Interim Regulation 5000.2-R

Mandatory Procedures for Major Defense Acquisition Programs (MDAPS) and Major Automated Information Systems (MAIS) Acquisition Programs

Page 2-2

(Unless otherwise indicated, copies of the above DoD documents are available from the Standardization Document Order Desk, 700 Robbins Avenue, Building 4D, Philadelphia, PA 19111-5094.)

2.3 Non-Government Publications.

The following document(s) form a part of this document to the extent specified herein. Unless otherwise specified, the issues of the documents that are DoD adopted are those listed in the latest issue of the DoDISS, and supplement thereto

AMERICAN SOCIETY OF MECHANICAL ENGINEERS

ASME Y14-100M Engineering Drawing Practices

ASME Y14.24 Types and Applications of Engineering Drawings

ASME Y14.34M Associated Lists

(Application for copies should be addressed to the American Society of Mechanical Engineers, 345 East 47th Street, New York, NY 10017-2392.)

ELECTRONICS INDUSTRIES ALLIANCE

ANSI/EIA-649-1998 National Consensus Standard for Configuration Management (DoD adopted)

ANSI/EIA-632-1998 Processes for Engineering a System

EIA-836 Consensus Standard for CM Data Exchange and Interoperability

(Application for copies should be addressed to Global Engineering Documents, 15 Inverness Way East, Englewood, CO 80112.)

INSTITUTE OF ELECTRICAL AND ELECTRONIC ENGINEERS

IEEE STD 828-1990 Software Configuration Management Plans

(Application for copies should be addressed to the IEEE Service Center, P.O. Box 1331, 445 Hoes Lane, Piscataway, NJ 08855-1331)

INTERNATIONAL ORGANIZATION FOR STANDARDIZATION

IS0 10007 Quality Management -- Guidelines for Configuration Management

ISO/IEC 12207 Information Technology – Software Life Cycle Processes

(Application for copies should be addressed to the American National Standards Institute, 11 West 42nd St.

New York, NY 10036)

2.4 Order of Precedence.

In the event of a conflict between the text of this document and the references cited herein, the text of this document takes precedence. Nothing in this document, however, supersedes applicable laws and regulations unless a specific exemption has been obtained.

Page 3-1

SECTION 3

DEFINITIONS

QUESTIONS THIS SECTION WILL ANSWER Para.

1. What are the basic CM definitions used in this handbook? What is the “correct” CM terminology to use on a DoD program/project?

3.1 through 3.3

3.1 Definitions and Terminology.

Since a major goal of acquisition streamlining is to use commercial and industry practices to the greatest extent possible, there is no single correct set of CM terminology that must be rigidly adhered to. ANSI/EIA -649 and EIA- 836 contain many aliases that are commonly used in different industrial environments. It is appropriate to allow the use of terms common (local) to a given industry when dealing with that industry.

The following acronyms and definitions are provided for reference:

3.2 Acronyms

AA Application Activity ABL Allocated Baseline ACD Allocated Configuration Documentation ACO Administrative Contracting Officer AECMA Association Europeenne des Construceurs de Materiel Aerospace AFB [U.S.] Air Force Base AFM [U.S.] Air Force Manual AFR [U.S.] Air Force Regulation AGE Aerospace Ground Equipment AIA Aeronautical Industry Association AIS Automated Information System ALT Alteration Instruction AMSDL Acquisition Management Systems and Data Requirements Control List ANSI American National Standards Institute AR [U.S.] Army Regulation ARDEC [U.S. Army] Armament Research, Development and Engineering Center ASCII American Standard Code for Information Interchange ASTM American Society for the Testing of Materials BOM Bill of Materials CAGE Commercial and Government Entity CALS Continuous Acquisition and Life-cycle Support CCB Configuration Control Board, Configuration Change Board CDCA Current Document Change Authority CDR Critical Design Review CDRL Contract Data Requirements List CFR Code of Federal Regulations CI Configuration Item CITIS Contractor Integrated Technical Information Service CLIN Contract Line Item Number CM Configuration Management CMP Configuration Management Plan CNWDI Critical Nuclear Weapons Design Information CPIN Computer Program Identification Number CRYPTO Cryptographic information CSA Configuration Status Accounting CSCI Computer Software Configuration Item

Page 3-2

DCMC [U.S.] Defense Contract Management Command DDRS [U.S.] Department of Defense Data Repository System DED Data Element Definition DFARS [U.S.] Defense Department Supplement to the Federal Acquisition Regulation DID Data Item Description DIN Deutsches Institute fur Normung DLA [U.S.] Defense Logistics Agency DoD [U.S.] Department of Defense DODISS [U.S.] Department of Defense Index of Specifications and Standards DOE [U.S.] Department of Energy DOT [U.S.] Department of Transportation DTIC [U.S.] Defense Technical Information Center ECN Engineering Change Notice ECO Engineering Change Order ECP Engineering Change Proposal ECS Embedded Computer Software EDM Enterprise Data Model EEPROM Electronically Erasable Programmable Read-only Memory EIA Electronic Industries Association ELIN Exhibit Line Item Number Email Electronic mail FBL Functional Baseline FCA Functional Configuration Audit FCD Functional Configuration Documentation FFT First Flight Test FSC [U.S.] Federal Supply Class FSCM [U.S.] Federal Supply Code for Manufacturers GFD Government-Furnished Documents GFE Government-Furnished Equipment GFP Government-Furnished Property GLAA Government Lead Application Activity GPLR Government Purpose License Rights GPO Government Printing Office GSN Government Serial Number HEI High Explosive Incendiary HTML Hypertext Mark-up Language HWCI Hardware Configuration Item ICD Interface Control Drawing, Interface Control Documentation ICWG Interface Control Working Group IEEE Institute of Electrical and Electronics Engineering IFF Identify Friend or Foe.

IGES Initial Graphics Exchange Specification IPT Integrated Product Team IRPOD Individual Repair Part Ordering Data ISO International Standardization Organization MACHALT Machinery Alteration MACHALTINST Machinery Alteration Instruction MICOM [U.S. Army] Missile Command MIL-STD Military Standard MIP Modification Improvement Program MRB Material Review Board MS Military Standard MSN Manufacturer's Serial Number MWO Modification Work Order NAS [U.S.] National Aerospace Standard NASA [U.S.] National Aeronautics & Space Administration

Page 3-3

NATO North Atlantic Treaty Organization NAVAIR [U.S.] Naval Air Systems Command NAVMATINST [U.S.] Naval Materiel Systems Command Instruction NAVSEA [U.S.] Naval Sea Systems Command NIIN [U.S.] National Item Identification Number NIST [U.S.] National Institute of Standards and Technology NOR Notice of Revision NSA [U.S.] National Security Agency NSCM NATO Supply Code for Manufacturers NSN National Stock Number NTIS National Technical Information Service NUCALTINST Nuclear Alteration Instruction NWS [U.S.] Naval Weapons Station ORDALTINST Ordnance Alteration Instruction OSD [U.S.] Office of the Secretary of Defense OSHA [U.S.] Occupational Safety & Health Agency PAN Procuring Activity Number PBL Product Baseline PCA Physical Configuration Audit PCD Product Configuration Documentation PCO Procurement Contracting Officer PCTSS Provisioning & Cataloging Technical Support System PDM Product Data Management [System] PDF Page Description File PDR Preliminary Design Review PHST Packaging, Handling, Storage, and Transportation PIN Part or Identification Number POC Point of Contact PROM Programmable Read-only Memory RAC Rapid Action Change [order] RFD Request For Deviation SAE Society of Automotive Engineers SBIR Small Business Innovative Research SCN Specification Change Notice SDR System Design Review SFR System Functional Review SGML Standard Generalized Markup Language SHIPALT Ship Alteration SHIPALTINST Ship Alteration Instruction SIE Special Inspection Equipment SOW Statement of Work SRR System Requirements Review SSAN Social Security Account Number SSR Software Specification Review STANAG Standard NATO Agreement STEP Standard for the Exchange of Product model data TA Tasking Activity TCTO Time-compliance Technical Order TD Technical Directive TDP Technical Data Package TM Technical Manual TOPS Technical Order Page Supplement TPS Test Program Set U.S. United States [of America] USAF United States Air Force VDD [Software] Version Description Document

Page 3-4

VECP Value Engineering Change Proposal VHSIC Very High Speed Integrated Circuit WINTEL Warning: Intelligence methods and sources disclosed

3.3 Definitions

Definitions for configuration management terms used in this standard are consistent with ANSI/EIA 649.

Allocated Baseline (ABL). The approved allocated configuration documentation.

Allocated Configuration Documentation (ACD). The documentation describing a CI's functional, performance, interoperability, and interface requirements that are allocated from those of a system or higher level configuration item; interface requirements with interfacing configuration items; and the verifications required to confirm the achievement of those specified requirements.

Application Activity (AA). An activity that has selected an item or a document for use on programs under its control. However, it is not the current document change authority for the document(s).

Approval. The agreement that an item is complete and suitable for its intended use.

Approved Document (or Data). Document that has been approved by an appropriate authority and is the official (identified) version of the document until replaced by another approved version.

Archived Document (or Data). Released or approved Document that is to be retained for historical purposes

Assembly. A number of basic parts or subassemblies, or any…