AFRL_RQRO_CM_Plan_2013.pdf

AFRL/RQRO

EXPIREMENTAL DEMONSTRATION BRANCH

CONFIGURATION MANAGEMENT PLAN

Revision A

APPROVED:

Julie A. Carlile Date Chief, Experimental Demonstration Branch

Revision Page

DATE NAME COMMENTS REV NUMBER DATE

APPROVED

20 December 2012 J. Carlile Changed PRSO to

RQRO.

Attachments revised.

Updated link to WA database.

Changed Redline Field Change Notice (RFC) to Redline Change Notice

(RCN).

1.0 INTRODUCTION

This is a general Configuration Management Plan. This Plan defines the procedures and methods used to maintain uniform and concise Configuration Management for all associated documentation during the life cycle of a specific test facility and its associated system(s). Configuration Management is an integral part of the Systems Engineering process directly involving technical documentation management and change control.

These procedures and methods are to ensure proper control of the review, approval, and tracking processes of all related documentation, while providing a means of achieving accessibility, accuracy and completeness of facility configuration. In addition, it will assure the availability of current, complete, and accurate technical documentation for personnel who operate and maintain systems and facilities critical to the testing mission. To ensure successful configuration management control, the policies, procedures, and methods outlined in this document shall be fully implemented.

Configuration Management efforts shall be tailored to assure efficient, effective implementation. Projects may require their own configuration management plans to address multiple interfaces with other contractors and agencies and are responsible for developing a separate plan that follows these guidelines.

2.0 SCOPE

This Configuration Management Plan is intended to provide project overall guidance for the configuration management of Documents, Vendor Data, Records, Drawings, Specifications, and similar project information, hereafter generically referred to as “Documentation”. Additionally, the Configuration Management Plan will help maintain and control documentation which defines the Test Stand (Area) configuration baseline and ensure changes to the baseline are controlled and documented. This Configuration Management Plan shall be kept under formal configuration management, i.e. it will be formally archived, maintained and issued. The configuration manager is responsible to maintain this document in the Air Force Research Laboratory (AFRL) central archives.

3.0 BASELINE DOCUMENTS

The following identified documents are the primary configuration management documents to be controlled under configuration management. However, other documents not listed here may also be managed under configuration management. At the minimum, the following documents baseline the facility configuration.

Once approved, changes must follow the change processes given in this document.

Drawings Procedures Requirement Documents Vendor Data and Vendor Drawings Specifications Design Calculations Reports Work Authorizations

3.1 Drawings

Drawings will include but not limited to: Piping and Identification Drawings (P & ID’s), Isometrics (ISO’s), and construction drawings, e.g. foundation or structural drawings, electrical power, line, grounding, instrumentation, and patch board maps.

Drawings shall be prepared, checked, reviewed, formally issued, and archived in accordance with OI 91-101.

Upon final acceptance, the Configuration Manager enters the electronic copy of the final drawings into a database along with a copy of the signature page and issues a memo that the drawings are ready for release.

The drawings are issued as working documents and given a control number that will be used for tracking and configuration management.

The Project Manager, Test Director, and Configuration Manager shall jointly develop distribution lists for the drawings, i.e. the documents that describe which project team member receives the drawings. The Configuration Manager shall be responsible to maintain the distribution list for each drawing. A record copy of who received the initial distribution for each drawing shall be maintained by the Configuration Manager. All documents will remain as a controlled document and part of the configuration management system until the job is complete and the final records are filed to archive.

Note – Each person who is listed on the distribution list and receives either new or revised drawings is responsible to maintain that set of drawings to ensure it is the latest drawing.

3.2 Baseline Test Plans and Procedures

Test plans and procedures are common documents used to support testing. These documents provide clear and detailed information for operations. They are prepared and approved in accordance with OI 91-101. After the test plan and procedures have been reviewed and approved, they shall be submitted to the Configuration Manager for filing and archive. Test Director or Test Conductor is responsible for distributing to test crew.

3.3 Requirement Documents

Requirement documents include Interface Control Documents (ICD’s), Test Requirement Documents (TRD’s), and Facility Requirement Documents (FRD’s). OI 91-101 provides the details on preparing. Once have been reviewed and approved, they shall be submitted to the Configuration Manager for filing and archive.

In addition requirement documents include Request for Quotes (RFQ) and Statements of Work (SOW). RFQs and SOWs are documents that provide clear and detailed information about a specific procurement. These are submitted to purchasing department as a tool to assist in the procurement or contract negotiation for specialty vendors or subcontractors. A copy of the RFQ and SOW is issued to configuration management for filing and archive.

3.4 Vendor Drawings and Vendor Data

There is a considerable amount of vendor data that has been, is being, and will be generated in connection with most test areas. It is assumed the primary goal of managing the vendor data is at the completion of the program, a complete and accurate set of files will exist that will contain the desired information for each component, each piece of equipment, and each major subcontract associated with each program. Availability of this information in a timely manner is critical to support follow-on operations and testing for the test area. A secondary goal of managing the vendor data will be to have accurate and complete vendor information available as required for the engineering, construction, and installation efforts. Vendor Drawings are documents that are generated by a vendor or subcontractor to reflect a detailed description of a component, part or facility that the vendor is providing, fabricating or modifying. Vendor literature may include operations and maintenance manuals, spare parts lists, and related documents. Vendor drawings and literature are submitted to the Test Director and Program Manager or their designee for review and approval. Once approved, the vendor will complete the task per and will notify the Program Manager and Test Director if there is any deviation from the approved documents. The vendor drawings and literature will be shipped with the components or parts that were fabricated and the drawings will accurately reflect the component or part that was fabricated. The inspector will verify that the drawings are accurate and match the component or part that was delivered. After the vendor drawings and literature have been reviewed and approved, they shall be submitted to the Configuration Manager for filing and archive, (or as specified in the purchase documents).

3.5 Specifications (construction and engineering)

Construction specifications are written for new construction or modifications to facilities or test stands. This specification provides detailed information about construction processes, materials, applications, codes and regulations and quality assurance. Construction specifications are generally written by the Designer or Development Engineer. Engineering specifications are to be prepared for equipment and services not covered by constructions specifications.

The specifications are issued to the Program Manager; Test Director, or other designated reviewers for review and comments which are given to the author for incorporation. The Program Manager and Test Director approve the specification for release. They are then issued as a controlled document by the Configuration Manager.

After the specifications have been reviewed and approved, they shall be submitted to the Configuration Manager for filing and archive, (or as specified in the purchase documents). All specifications will remain as controlled documents and part of the configuration management system until the job and the final records are filed to archive.

3.6 Reports

Reports include but are not limited Design Calculations and Analysis, Vessel/Boiler Certification Packages, Inspection Reports/Non-Destructive Examination (NDE), and Test Records Non-Conformance and Corrective Action Report (NCAR). They are archived by the Configuration Manager and do not undergo any change process.

3.7 Work Authorization

Authorization to start work is required for processes that needs to be controlled as determined by the worker, development engineer, Test Director, Program Manager, work lead, supervisor, or customer. Examples of processes (but not limited to) are: non-routine, not covered by existing procedure, configuration management, safety, scheduled work, etc. A Work Authorization (WA) form is used to initiate and approve work. A WA form is not required for normal day-to-day activities.

The originator first prepares a WA form which is accessed on the AFRL WA database intranet site https://129.198.183.197:84/prsoweb/erwa/ After entering the required information onto a WA form (including dates, charge number, description of work, who is initiating the document, etc.) the originator prints and releases the WA out of draft. Additionally, copies of drawings, specifications or other attachments are attached by the originator to the WA to support the work. The WA undergoes a peer review and is then given to the WA Site Administrator to obtain approval signatures and formally release the signed WA to begin work. The WA is given to the supervisor or work lead of the person/s performing the work.

The WA site administrator is responsible to make the following distributions of the approved WA. The original and one copy of the approved WA are given to the operations supervisor or work lead for action. A file copy is put into the site log book and any additional copies for the WA requestor or others. At this point the WA is referred to as “released for work”-- meaning it has been approved and the work requested has been authorized.

Once released the WA site administrator is responsible to track the status of released WAs.

When the WA is completed and signed off by the Supervisor or work lead, the supervisor or work lead is then responsible to deliver the original signed-off copy of the WA to the WA Site Administrator. The WA Site Administrator shall provide the ‘completed WA’ to the WA originator for validation to ensure/verify that the work performed met the intent of the WA. Upon validating the completed WA, the WA is forwarded to the WA Site Administrator who will update the WA database indicating the work has been completed, incorporate red-lined changes as authorized by the RFC process, enter the names of personnel in the WA database, and date the work was performed. Upon completion of all required data entries in the WA database, the WA is then deemed as ‘closed’. The WA Site Administrator will stamp the original WA “Complete” and give the original to the Configuration Manager who will archive the document. The WA Site administrator may also file a copy of the completed WA at the area. The WA Site Administrator will be responsible to give the completed WA to the Configuration Manager to file and archive.

4.0 CHANGES TO BASELINE

Changes to the baseline need to be identified, documented, reviewed, and approved prior to incorporation into the facility. The following table defines which change process the document falls under. Reports such as design calculations and analysis, vessel/boiler certification packages, and inspection reports/non-destructive examination (NDE) test records do not get changed. They are archived by the Configuration Manager and do not get changed.

Only minor changes are allowed to WAs otherwise they need to be reissued. Changes to the WA shall be the responsibility of the originator and in accordance with the Redline Change Notice (RCN) process detailed in Section 3.2. For any revised WAs the originator is responsible to ensure the operations supervisor/work lead and the WA site administrator each receives the latest copy of the revised document. The WA site administrator shall be responsible to ensure the latest version of the WA is maintained in the site files.

Non-Conformance and Corrective Action Reports (NCAR) Reports are designed to record information on products or components that are received or fabricated and do not meet the original design requirements or code compliance during receiving inspection, fabrication, construction, testing, and operations. These are archived by the Configuration Manager and do not get changed.

Document RCN DCN OI 99-101

Drawings X X

Test Plans and Procedures X

Requirements Documents X

Specifications. X X

WAs X

For drawings and specification, the RCN process is used for minor changes and the Design/Document Change Notice (DCN) process is used for major changes. The document owner, Test Director, or Program Manager determines whether it is a minor or major change. Document owners are required to determine when there have been a sufficient number of redline changes made to the document to warrant a formal reissue of the documents by the DCN process. The Test Director is required to periodically review the redline changes to determine if the changes warrant the document going through the DCN process.

When the field work is physically completed and there are no more changes that could reasonable be added to the drawing, the document owner shall be responsible to initiate incorporation of red lines to the drawing and issue the drawing with a final DCN. In addition, anytime a DCN is done all redline changes shall be incorporated.

4.1 Design/Document Change Notice (DCN)

Design changes are defined as any changes or modifications to a design which deviates from previously approved design documents. Typically, design changes result from factors such as changed field conditions, vendor supplied equipment/material changes, component performance discrepancies, customer requests, or reviews, etc.

If during the build up of a facility or test system, a change in the original baseline design is needed, either because of changes in the field conditions, vendor changes, component performance discrepancies or customer requests, the originator will identify the change and begin a process to make changes to the design documents.

The originator documents recommendation for change on a Design Change Notice (DCN), see Attachment 1.

The DCN form is intended as a tool that is used to initiate a formal change in the design of a system or facility.

The DCN is the first step to coordinating a change to the design of any system or facility. The DCN provides information in what the new requirements are and how the new design will affect the existing system.

Once the originator fills out the DCN form, the Configuration Manager assigns a DCN number. The document owner, designer (if applicable), Test Director, Program Manager, and customer then approve the DCN. The Program Manager is responsible to obtain the customer review and approval. Once the approvals are obtained, the document owner is responsible for revising the document to reflect the design change. The Configuration Manager maintains the DCN database; checks to ensure changes identified on DCN have been incorporated into the document; and that the document has been correctly revised. The Configuration Manager keeps a hard copy of the DCN and the revised document in the permanent Configuration Management files. The Configuration Manager then distributes the copies of the approved DCN and revised document to the project team. In turn, the program manager ensures that any affected subcontracts or purchase orders are revised.

4.2 Redline Change Notice (RCN)

The Configuration Manager will gather and organize the drawings that will be maintained for red lining. Only one set of preferable full size drawings shall be designated for red lining. If it is anticipated that many copies of the red lined drawings will be required it may be desired to maintain a set of reduced 11” X 17” drawings. The drawings shall be labeled as the red line set, be kept in a secure place and under no circumstances shall be removed from the designated place. A sign describing this requirement shall be placed near where the drawings will stored. Provisions to make copies of the drawings shall be made. When a copy of a red lined drawing is made, it shall be stamped “COPY” and be dated.

Only the document owner may make a red line change to the drawings. Other personnel may advise the document owner concerning the necessity for changes, but only the document owner may make the actual pen and ink mark up to the drawing.

At the time the document owner makes the red line change to the drawing, he shall also complete a Redline Change Notice (RCN), see Attachment 2. The form documents the name of the document owner, date, affected documents, reason for the change, description of the change, and approval of the redline by the document owner, Designer, and Test Director. The document owner shall request an RCN number from the Configuration Manager. Once the redlined document is issued, the document owner shall ensure that a copy is placed in the red line drawing location designated for that test area.

Changes to the drawings shall be made within 48 Hours of the time the document owner is first made aware of the need for the change and determines that the change is indeed valid and required.

Pen and ink changes to the document shall be made in red ink only. Changes shall be made in a neat, legible fashion. The person making the change shall date, initial the entry and include a reference to the RCN number assigned to that red line of the document.

When the drawing is complete, i.e. all updating and marking of the drawing has been accomplished, the red line drawing and the RCN form shall be submitted by the document owner directly to Configuration Management for archiving. The Configuration Manager shall ensure that a notation is made in the electronic data base that a red line exists, note the location of the red line drawing in the archives in the electronic data base, and file the red line drawing in that location.

At the digression of the Systems Engineer the RCN’s will be incorporated to a DCN and submitted to the drafter for changes.

4.3 Non-Conformance and Corrective Action Report (NCAR)

Nonconformance is a product or process that does not conform to specified requirements. The nonconformance shall be controlled and reported to ensure that the product is prevented from unintended use or installation. This control shall provide for identification, documentation, evaluation, segregation, and disposition of the nonconforming product.

Non-Conformance and Corrective Action Reports (NCAR) documents (see Attachment 3) are designed to record information on products or components that are received or fabricated and do not meet the original design requirements or code compliance during receiving inspection, fabrication, construction, testing, and operations. The NCAR document will be used as a tracking record of non-conformance. Additionally, any corrective action will be written on the NCAR. In some cases, the component may be used as is, with the concurrence of the Program Manager and Test Director; however, if the item is not in compliance with a code or regulation, the nonconformance must be approved by the RQRO Branch Chief and the Chief of Safety.

Corrective action to disposition the nonconformance shall be identified in the NCAR in the appropriate space.

Corrective action may include repair or rework of an item, rejecting an item and returning it to a vendor or fabricator for corrective action or using an item as is. The rationale for the correcting action chosen shall be included as part of the description for the corrective action.

Anyone can identify the nonconformance and reports it to the Test Director, Program Manager, Development Engineer, and inspector. The inspector or Development Engineer fills out a NCAR report. The Configuration Manager is responsible for assigning numbers, issuing the NCAR forms, for maintaining the distribution log, and for maintaining the status log. The inspector or Development Engineer recommends and documents corrective action on NCAR to correct the nonconformance and obtains help from additional personnel as required. The NCAR is submitted to the Test Director and Program Manager for resolution and approval. The inspector notifies the RQRO Branch Chief and Chief of Safety concerning any code/regulation violations, safety, or environmental issues associated with the identified nonconformance. In addition, he ensures the item is tagged and segregated from use until the corrective action is completed.

The Program Manager and Test Director reviews and helps develop the corrective action, and approves the corrective action. They are responsible for initiating and coordinating the corrective action identified on the NCAR. Once the corrective action is complete, the inspector and Quality Assurance (QA) person verify the corrective action has been properly completed and the item is ready for use. He signs the NCAR where indicated to verify the corrective action has been completed, and removes the tag from the item when the NCAR is dispositioned. He returns the completed original of the NCAR to the Configuration Manager who retains the completed original for filing and archive.

5.0 Security and Configuration Control Lock-Out/Tag-Out (LOTO) and Password Protection

In order to ensure systems are not tampered with, a LOTO process will be used. This process will be separate from the Safety/OSHA and AA&E security processes. In order to differentiate, a blue tag will be used. The tags will be marked with whose LOTO it is, why they put the LOTO in place, and alternate POC. The alternate POC will be briefed in writing on what permissions are required to remove the LOTO in the absence of the LOTO owner. The key to the LOTO will be kept by the person who LOTO’d the item.

The Facility Manager, System Engineer/Owner, Test Director, and Customer can determine what systems, components, and facilities will be LOTO. The Facility Manager will keep a log of all LOTOs which annotates item, location, who’s LOTO it is, and alt POC.

As a minimum, the Allen-Bradley Programming terminals and Cyber Hosts will be password protected. A log will be kept by the Facility Manager of who has permissions, what level of permission, and their alternates for each site. The programmer or Facility Manager will determine when or if a password needs to be changed.

6.0 PROGRAM/SITE SPECIFIC CONFIGURATION MANAGEMENT PLAN

The program or site specific Configuration Management Plan identifies the specific documents and files that will be generated during the course of the program and will need to be kept under Configuration Management.

In addition, it will identify items to be LOTO and password protected. These lists will be given to the Configuration Manager for archiving.

The RQRO Branch Chief will assign/identify program/site team members and their responsibilities in writing.

These members will be responsible to write the individual documents or collect information and ensure it is properly entered into the Configuration Management control system, and revised as required during the course of the program.

Attachment 1

DESIGN/DOCUMENT CHANGE NOTICE (DCN) DCN NUMBER: ________________

Area at Test Stand/Bldg Date: Page of Submittal: Drawing/Document #(s) Affected Current Revision:

To: From: # of Attachments:

Document Type: Drawing: [ ] Other [ ] Specify Type:

Drawing/Document Title:

Review and Disposition Record Title Approved Approved

(comments) Disapproved Disapproved

(comments) Date Signature (not valid without actual signature)

Originator Engineer

ROSS PM

AF PM

TD (opt) AFRL Safety (opt)

Customer (opt) Other Other

Recommendation for Further Review Action Yes: [ ] No: [ ] Other: [ ] Review and Disposition Record

Title Approved Approved (comments)

Disapproved Disapproved (comments)

Date Signature (not valid without actual signature)

Originator Engineer

ROSS PM

AF PM

TD (opt) AFRL Safety (opt)

Customer (opt) Other Other

Recommendation for Further Review Action Yes: [ ] No: [ ] Other: [ ]

Attachment 2

REDLINE CHANGE NOTICE (RCN)

Test Stand________ at Area________

RCN NO. __________ Program_________________ Sheet 1 of _______

Originator Drawing Number(s) Affected

Current Rev.

Sheet No.

Number of Attachments Name Date P&ID & Zone

System Name of Number Major Component Reference/Tag Number(s)

Briefly Describe Change:

Reason for Change:

Estimated Cost Impact Configuration & Database Changes

PERMANENT_____

TEMPORARY_____

PMI

YES_____ NO_____

COMPNENTS

SUSTAINMENT

Review and Disposition Record

Title Approved Do Not Recommend Date Signature (Not Valid Without Actual Signatures)

Senior Engineer

Program Manager

Other (Optional)

Closure

DCN/WA No. PID No. & Rev. QA Closeout Checker

Review Comments:

Attachment 3

NONCONFORMANCE & CORRECTIVE ACTION REPORT (NCAR)

Test Stand _____ at Area _____

NCAR NO. DATE

P.O. NO. (If Applicable) NAME OF VENDOR (If Applicable) Description of Nonconformance (Include References to Drawings, Specs, Codes or Appropriate Documents)

Initiator:

Recommended Disposition: USE AS IS REPAIR/REWORK REJECT

Corrective Action to Prevent Re-Occurrence

Approval of Recommended Disposition Title Approved Disapproved Date Signature (not valid without actual signatures)

Inspector

Test Director

Program Manager

Approved “USE AS IS” Nonconformance to Code or Regulation Branch Chief Approved Disapproved Date Signature (not valid without actual signatures)

Chief, AFRL Safety

Other Required Signature

Verification that Approved Disposition Has Been Properly Completed:

Approved Disapproved Date Signature (not valid without actual signatures) Inspector

Quality Assurance

Remarks: