Project Control System Manual

Jefferson Science Associates, LLC

800
Change Control

Project Control System Manual

Revision 6

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800 Change Control

A. The Change Control process delineated in this section is to be used for

requesting, reviewing, and documenting changes to the approved project
baseline for projects conducted at the Jefferson Laboratory. Baseline changes
may occur as a result of contractual modifications, application of
undistributed budget, use of contingency/management reserve funds,
replanning, or formal reprogramming. Managing change to the project
baseline is crucial to ensure the project’s work scope, schedule, and cost do
not spiral out of control. Changes to baseline documents should be minimized
and are normally approved only in the interest of work scope changes, design
adequacy, reliability, performance, cost reduction, or safety/environmental
considerations.

B. The purpose of the Change Control process is to ensure that:

• The cost, schedule, and technical impacts of the proposed changes are
developed and considered by all affected parties.
• The collected evaluations are considered in the approval or rejection of the
proposed changes.
• All affected parties are informed of proposed changes and their
dispositions.
• Baseline documentation is controlled and updated as appropriate to reflect
approved changes.
• Action on proposed changes occurs deliberately, but without undue delay
and without interfering disproportionately with project progress.

C. The stated goals of the Change Control process are:

• To anticipate, recognize, and predict changes to the approved project
baseline
• To prevent unauthorized or unintended deviations from the approved
project baseline
• To evaluate and understand the technical, schedule, cost and safety/quality
impacts of each change to the approved project baseline
• To identify, understand, and control the consequences of changes to the
approved project baseline
• To ensure each change is evaluated, reviewed, and dispositioned at the
proper authority level

801 Change Control Process

A. The Change Control process allows the project team to identify, evaluate,
approve, and document proposed changes to the project baseline. The process

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is initiated with the generation of a Change Request. The Change Request is

the formal mechanism for proposing and assessing a change, waiver, or
deviation to the project. After an evaluation of the Change Request, an
approval is granted at an appropriate level and the Change Request becomes a
Change Order for implementation. The Change Order is expeditiously
communicated to affected parties and incorporated in the project baseline
documentation in an auditable manner. The Change Control process is
accomplished in three phases: the Request Phase, the Review Phase, and the
Documentation Phase. The Request Phase is where the Change Request
originates and appropriate classification is determined. For the Review Phase,
an assessment of the proposed Change Request is accomplished and approval
is obtained from the appropriate authority level. Approved changes are
implemented and integrated project baseline documents are revised in the
Documentation Phase.

B. During the course of project execution, errors in accounting and cost/schedule

databases can occur. Integrity of the Performance Measurement Baseline is
vital to a clear understanding of project status. Retroactive changes to the
performance measurement data are to be avoided. Action should be taken
promptly when errors are identified and will be controlled by the Project
Management & Integrated Planning Department (PM&IP). Adjustments can
be made to correct accounting and data entry errors and do not require
instituting the formal change request process. These adjustments will not be
made to historical project data, only the current and future accounting periods.

801.1 Request Phase

A. The Change Control process begins with the generation of a Change Request
form (Exhibit 25). Any project team member can initiate a change to the
project technical, schedule, and cost baselines by completing the Change
Request form in electronic format. (Project changes as a result of customer
direction, such as a change in funding levels or project scope, are called
directed changes. These directed changes will be initiated by the Project
Manager and approved by the Project Customer before implementation). The
originator fills out the Identification, and Description and Justification,
sections of the Change Request. The impacts of not approving the change are
also included in this section. The Change Request is then submitted to a
member of the project Change Control Board (normally the one most
affected) for consideration. Upon concurrence, the Change Control Board
member signs the Change Request and assigns an appropriate person(s) to
ensure the Change Impact Assessment is accomplished. The Change Impact
Assessment section records the potential impacts of the proposed change to
the project baseline and addresses safety/quality concerns. The assessment is
to be all-inclusive and thorough to ensure the consequences of implementing
(or not implementing) the proposed change are fully understood.

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B. After the Change Control Board member has concurred with the Change
Request, PM&IP enters the Change Request into the Change Request Log
(Exhibit 26). Change Requests are numbered sequentially (scheme: FY -
sequence #, e.g., 08-001) in order of receipt for tracking purposes. The
Change Request Log is updated each time there is a change to the status of a
Change Request. When the status of a Change Request is updated, PM&IP
will notify all Associate Project Managers and Control Account Managers
connected with that WBS level and send a notice to each member of the
project Change Control Board for informational purposes only. The affected
Control Account Manager will coordinate inputs to the Change Request form
and, if appropriate, draft a revised Control Account Plan reflecting impacts
due to the proposed change.

C. If PM&IP concurs with the classification level assigned by the Control

Account Manager, the Change Request form is signed and the Change
Request Log is updated. For Class 1-2 and Class 3 Change Requests (see the
next section for Class definitions), PM&IP distributes the Change Request to
members of the Change Control Board. The Change Request is placed on the
agenda for the next board meeting. The Change Request then enters the
Review Phase of the Change Control process.

801.2 Review Phase

A. The Review Phase is dictated by the Classification level of the Change

Request. Changes are classified according to the extent that they impact the
project baseline. The Classification and Approval Authority levels are
determined by use of the criteria listed in Exhibit 27, or as revised in the
Project Execution Plan.

B. Class 1-2 Change Request: This classification of Change Request requires the
approval of the Project Customer. The Change Control Board evaluates the
Change Request and provides a recommendation to the Project Manager. The
Project Manager reviews the Change Request before forwarding to the
customer for approval which may include a Baseline Change Control Board
review. After receiving the customer approval, the Project Manager reviews
the action directed by the customer. PM&IP updates the Change Request Log
and the Change Request process enters into the Documentation Phase.

C. Class 3 Change Request: This classification of Change Request requires the

approval of the Project Manager. The Change Control Board evaluates the
Change Request and provides a recommendation to the Project Manager.
Based on the recommendation, the Project Manager approves/disapproves the
Change Request. Upon approval, PM&IP updates the Change Request Log
and the Change Request process enters into the Documentation Phase.

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D. Class 4 Change Request: This classification of Change Request requires the

approval of the Associate Project Manager. Once PM&IP concurs with the
Classification level, the Change Request goes to the Associate Project
Manager for approval. Upon approval, PM&IP updates the Change Request
Log and the Change Request process enters into the Documentation Phase.

E. Class 5 Change Request: This classification of Change Request only requires

the approval of the Control Account Manager. Once PM&IP concurs with the
Classification level, the Change Request goes to the Control Account
Manager for approval. Upon approval, PM&IP updates the Change Request
Log and the Change Request process enters into the Documentation Phase.

F. During the review process, any disapproved Change Request is sent back to
the affected Control Account Manager who will consult with the originator to
determine any further action.

801.3 Documentation Phase

A. The Documentation Phase is where the project baseline is revised and the
approved change is implemented. Once the Change Request documents have
been signed by the proper level of authority, the Change Request becomes a
Change Order. For changes to the project’s technical design or scope, the
Associate Project Manager is responsible for ensuring the relevant technical
documentation is revised to reflect the change. PM&IP is responsible for
revising cost/schedule baseline documents for changes impacting these project
baselines. When appropriate, a new project baseline will be generated for
each approved Change Request. This action will improve traceability
between the Change Request and the Schedule and Cost Management
Systems.

B. Once the baseline documents are revised, PM&IP updates the Change Request
Log and the appropriate Control Account Manager(s) implements the Change
Order within his/her work scope. PM&IP also produces the Change Request
Summary Report (Exhibit 28).

802 Exhibits

25. Change Request Form

26. Change Request Log
27. Change Request Classifications
28. Change Request Summary Report

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Exhibit 25. Change Request Form

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Exhibit 25. Change Request Form (cont.)

Instructions for Change Request Form

(Note: Use the Continuation Page on last page of the Change Request form if more space
is required. Label with section reference for any input to this page.)

Project Name: Self-explanatory.

Change Request #: This number will be filled in by PM&IP. The forms will be
numbered consecutively as they are received and will be entered into the Change Request
Log.

Title: A brief descriptive title.

WBS #: Work Breakdown Structure Number(s) affected by the change.

Date: Originator enters the date for the submission of the Change Request.

Date Required: Originator enters the estimated date approval is needed to avoid adverse
impacts on technical performance, schedule, cost or quality/safety.

Originator Name: Name of individual submitting the Change Request.

Item Name: Enter name of item or procedure (component, subassembly, assembly,

system, test, etc.) to be changed.

Drawing/ Spec #: The drawing/specification number(s) of the drawing/specification (s)

affected by the change.

Vendor Name: If the item has been purchased, or a subcontract issued, enter the
vendor's name(s) here.

Purchase Order #: If a purchase order(s) has been issued for the item, enter the
number(s) here.

Change Request Status: This field in the form lists the current status of the Change
Request: New / Open / Deferred / Duplicate / Approved / Disapproved / Withdrawn.
PM&IP will update the status of the Change Request as it progresses through the
procedure.

Description of Proposed Change: Describe the change requested. Use the continuation
page, as required.

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Justification for Proposed Change: Justify the proposed change. Describe the problem
or defect that will be corrected by the proposed change. Indicate the experience that
dictates the need for the change. Summarize the capability to make the change. Include
the impact if the change is not approved. Use the continuation page, as required.

Change Control Board Member Concurrence: The Change Control Board member
who concurs with the proposed change signs this block. Note: A Change Control Board
member may not concur on a Change Request originated by him/herself.

Impact Assessment Assigned To: The individual assigned to coordinate inputs to the
Change Impact Assessment section of the Change Request is identified in this block.

Change Impact Assessment: Provide a statement of impact to technical performance,

schedule, cost, and quality/safety. Use the continuation page, as required.

Name(s): Add the names of individual(s) who contributed and concurred to the pertinent
assessment section.

Classification Level: The Classification field in the Change Request form is a drop-
down list. Select Class 1, 2, 3, 4, or 5. The Control Account Manager, Associate Project
Manager, and PM&IP sign in the appropriate block.

Recommendation and Disposition: Recommendations and decisions concerning the

Change Request are documented in this section. Use the continuation page, as required.

Change Control Board Review: Names of the board members in attendance are
inserted in this block after review and recommendation by the board.

Final Approval: Based on the Change Request classification, the project customer or
appropriate project member will sign in the designated signature block.

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 as of: 1 Oct 09
FY10 Change Request Log
12 GeV Upgrade
CR Date Date CCB Contingency Mngmt Reserve Impact Approval Implementation
CR # Class WBS # Title Submitted Required Originator Concur (Burd. CY$K) (Burd. CY$K) Assessment Status Date Cost Sheet Cost Mgt P6

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Exhibit 26. Change Request Log
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Exhibit 27. Change Request Classifications

Classification* Class 1-2 Class 3 Class 4 Class 5

Control
Project Project Assoc Project
Account
Approval Customer Manager Manager
Manager
Authority Approval Approval Approval
Approval
Required Required Required
Required
Changes to Changes to Changes to Changes to
work scope or work scope or work scope or work scope or
performance performance performance performance
requirements requirements requirements requirements
Technical specified by that affect that affect that do not
Work the customer multiple multiple affect other
Scope or included in APMs, but do CAMs, but do CAMS
the Mission not require not affect other
Need approved customer APMs
by the approval
customer
Changes to Changes to Changes to Changes to
Level 1-2 Level 3 Level 4 Level 5
Schedule/ milestones that milestones milestones milestones
Milestones are under
customer
control
Changes to the Changes that Changes that Changes that
customer- involve a affect multiple do not affect
approved transfer of CAMs, do not other CAMs
Project Budget work scope affect other
Cost
Base (TPC & and its APMs
TEC) associated
budget
between APMs

* Unless superseded by the Project Execution Plan

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Exhibit 28. Change Request Summary Report

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