Configuration Management

Requirements & Initiatives

FAA 4 Hour

Copyright 2010 iStockphoto LP/Okea

1
 Outline

Course Chapters

1 History and Evolution

2 Elements of CM
3 Identification
4 Change Management
5 Verification and Audit
6 Status Accounting
7 CM Planning

2
Copyright Info at end of Materials
History & Evolution of CM Chapter 1

Archie W. League, the first air traffic controller... 1929

3
Chapter Outline
History and Evolution of CM

CM Standards and Guidelines

Brief History of CM
CM Family Tree
CM at the FAA
What is Enterprise CM

4
 Standards,www.cmpic.com/cmresourceguide.htm
guidelines are Everywhere...
EPRI (Electric Power Research Institute) DOD 5000.1, Defense Acquisition
Configuration Accounting BELCORE Also see: http:www.ac-incorp.com/ DOD 5000.2, Defense Acquisition
Procedures (1964) AFSCM 375-1, CM During the TR/OPT/000209, Guidelines for Product CM_standards.html Management Policies & Procedures
CMI No. 7, Configuration Control Development & Acquisition Phases, (Air Change Notice was superseded, see EPRI TR-103586, Guidelines for Optimizing DoD 5010.12-M, Procedure for the
Board (1964) Force Systems Command, 1962) Telcordia the Engineering Change process for Nuclear Acquisition and Management of Technical
CMI No. 9, First Article AFSCM 375-3, System Management Bell Canada Power Plants, prepared by Cygna Energy Data
Configuration Inspection (1964) (1964) Trillium, Model for Telecom Product services, Oakland, CA DoD 5010.12L, Acquisition Management
DOD 5000.2-M, Defense Manual- AFSCM 375-4, System Program Development & Support Process EPRI NP-5640, Nuclear Plant Modifications & System & Data Requirement List (AMSDL)
Defense Acquisition Management Management Procedures (1966) Capability Design Control: Guidelines for Generic DoD Cataloging Handbook H6, Federal
Documents & Reports AFSCM 375 -5, Systems Engineering British Standards Institute (BSI) Problem Prevention Item Identification Guides for Supply
DOD 5000.19, Policies for the Management Procedures (1966) BS 6488- CM of Computer Based EPRI NP-6295, Guidelines for Quality Records Cataloging
Management & Control of AFWAMAN33-2 AIR FORCE WEATHER Systems in electronic Media for Nuclear Facilities DoD Cataloging Handbook H7,
Information Requirements AGENCY CONSOLIDATED NETWORK BS EN 46001-Application of EN 2a9001 EPRI NP-3434, Value-Impact Analysis of Manufacturers Part & Drawing Numbering
DOD 5010.12, Management of CONFIGURATION MANAGEMENT (BS5750: Part 1) to the manufacture of Selected Safety Modifications to Nuclear Systems for Use in the Federal Cataloging
Technical Data PLAN (2003) medical devices Power Plants System
DOD 5010.19, DOD CM Program AMC INSTRUCTION 33-105 BS5515:1984- British Code of Practice EPRI NP- 5618, Enhancing Plant DoDISS, Department of Defense Index of
DOD 5010.21, CM ENTERPRISE CONFIGURATION for Documentation of Computer Based Effectiveness Through Improved Specifications & Standards )
Implementation Guidance MANAGEMENT Systems Organizational Communication MIL-HDBK-59- Computer Aided Acquisition
DOD 8000 series, Policies & ASWSPO 5200.4 (Navy, 1965)) BS 7799- Information Security EPRI NSAC-121, Guidelines for Performing & Logistics Support (CALS) Program
Procedures for Automated BuWeps Instruction 5200.20, Processing Management Safety System Functional Inspections Implementation Guide (CALS is now known
Information Systems Engineering Change Proposals (NAVY) BS 15000-1 IT Service Management ECSS (European Cooperation for Space as Continuous Acquisition & Life Cycle
DOD-D-1000- Drawing, CMI, CM Instructions, Air Force Systems defines the requirements for an Standardization) Support)
Engineering & Associated Lists Command, Space Systems Division organization to deliver managed services http://www.ecss.nl/ MIL-HDBK-61, Configuration Management
DOD-STD-2167, Defense System (1963): of an acceptable quality for its European Space Agency (ESA) MIL-STD-109, Quality Assurance terms &
Software Development CMI No. 1, Facility Engineering Change customers. Note: replaced by ISO Software Engineering Standards, ESA Definitions
DOD-STD-7935, DOD Automated Proposal procedures (1964) 20000-1? PSS-05-0 MIL-STD-1168, Lot Numbering of
Information System CMI No. 2, Engineering Change BS 15000-2 IT Service Management Guide to Software CM, ESA PSS-05-09, ISSN Ammunition
Documentation Standards Proposal Procedures (1964) best practices for Service Management 0379-4059 MIL-STD-130, Identification Marking of US
(1962), Standardization Policies, CMI No. 3, Specification Maintenance processes. Note: replaced by ISO Guide to Software Verification & Validation, Military Property
Procedures & Instructions, (1964) 20000-2? ESA PSS-05-10 MIL-HDBK-245, Preparation of Statement
Defense Standardization Manual, CMI No. 4, Configuration Change Canada- Department of National Guide to Software Quality Assurance, ESA of Work
then replaced by 412 M200 0.3-M Implementation (1964) Defense (DND) Standards PSS-05-11 MIL-STD-280, Definition of Item levels,
in 1966 CMI No. 5, Configuration Accounting C-05-002-001/AG-00, Aerospace European Computer Manufacturers Institute Item Exchangeability, Models & Related
Engineering Changes, Deviations Procedures (1964) Engineering Change Proposal ECMA-TR 47, CM Service Definition Terms
& Waivers CMI No. 7, Configuration Control Board Procedures European Community MIL-HDBK-454, Standard General
MIL-STD-481, Configuration (1964) D-01-000-200/SF-001, Joint Electronics JAR-21, Certification Procedures for Aircraft & Requirements for Electronic Equipment
Control- Short Form CMI No. 9, First Article Configuration Type Designation System (JETS) Related Products & Parts (Draft) MIL-STD-881, Work Breakdown Structure
MIL-STD-482, Configuration Inspection (1964) D-01-002-007/SG-001, Requirements for FAA for Defense Material Items
Status Accounting Data Elements DOD 5000.2-M, Defense Manual- the Preparation of CM Plans Title 14 Code of Federal Regulations, Parts MIL-STD-961, Military Specifications &
& Related Features Defense Acquisition Management D-01-002-007/SG-002, Requirements for 1-59 Associated Documents, Preparation of
MIL-STD-483, CM Practices for Documents & Reports Configuration Identification FAA-STD-002 Facilities Engineering Drawing MIL-STD-969, [Specifications]
2167, DOD- STD-7935, & DOD- DOD 5000.19, Policies for the D-01-002-007/SG-004, Requirements for Practices MIL-STD-973, CM Notice 3 (canceled
STD-1703) Management & Control of Information Configuration Status Accounting FAA-STD-005 Preparation of Specification 9/30/2000)
MIL-STD-499, Systems Requirements D-01-002-007/SG-006, Requirements for Documents MIL-STD-974, CITIS (Contractor Integrated
Engineering DOD 5010.12, Management of Technical the Selection of Configuration Items FAA-STD-018 Computer Software Quality Technical Information Service, is being
MIL-STD-999, Certification of CM/ Data D-01-100-215/SF-000, Specification for Program (1977) transitioned to a non-government
DM Process (DRAFT) DOD 5010.19, DOD CM Program Preparation of Material Change Notices FAA-STD-021 CM Contractor Requirements standard).
MIL-STD-1456, CM Plan DOD 5010.21, CM Implementation Title 21 CFR Part 820, Quality System FAA Order 1800.8 National Airspace Systems MIL-STD-1309, Definitions of Terms for
MIL-STD-1521, Technical Guidance Medical Devices FDA CM
Reviews & Audits for Systems, DOD 8000 series, Policies & Procedures 5 QSR Quality System Regulation for the
Equipments, & Computer for Automated Information Systems and many more
Medical
 Brief History
In the beginning...

“The depth and uniformity of documentation relating to

configuration control and accounting, historically, have
been comparatively shallow...

When a successful flight was finally made and the buyer

said, “Build me another one,” industry found themselves
in the following circumstances:

Their prototype was expended...

They did not have adequate records of part number

identification, chronology of changes, nor change
accomplishment. Technical publications did not reflect all
the various changes...

... it was obvious that a second success could not be

guaranteed, nor an identical article produced.”

6
Copyright “Fundamentals of CM” Samaras and Czerwinski
 CM Family Tree
From DOD to Commercial

Late 1990s - Present

Newer Derivatives
10007, 9001, EIA-649A, EIA-649 HDBK, CMMI,
ITIL, FHA, NASA, FAA, DOE, ESA, Mil-HDBK-61

1992

MIL-STD-973
Canceled 2000
1968
MIL-STD E
480-483,1456 IEE
0 s D ,
9
19 tive , M
1521 (G,H,I) O
1963
te a D
l- a riv , DN
ANA 445 8 0 e TO
D
Engineering 19 er , NA
Changes ld SA
O NA
8 ,
1956 ,-49
7
16
ANA 391A -2
Engineering
Changes
1953
ANA 390A
Engineering
Changes

7
Graphic Copyright 2010 CMPIC LLC
 CM at the FAA ORDER 1800.66

Policy. The FAA shall perform life cycle configuration

management of the NAS and Non-NAS information technology
programs, assets and investments.

Configuration management practices shall support related

agency initiatives and policies, which include the Safety
Management System (SMS) and information system security,
where appropriate...

... All FAA lines of business and staff offices shall:

(1) Perform configuration management in accordance with this
Order.

The Vice President of Technical Operations shall approve

changes to NAS CM processes and procedures.

The Non-NAS IT CCB shall approve changes to the Non-NAS

IT CM processes and procedures, and submit to the FAA
Configuration Management Authority for promulgation.

8
What is Enterprise CM?
“Enterprise Configuration Management is a set of
inter-related processes, management techniques,
and CM supporting tools that assures:

(1) Our products, facilities, IT Systems, services,

processes, etc., are what they should be.
(2) That changes to our products, facilities, IT
Systems, services, processes, etc. are properly
evaluated, authorized and implemented.
(3) That all information necessary to define and
manage our configurations is:
" (a) current and accurate.
" (b) structured for users needs and,
(c) readily available to all who need to
know.” "
(CMPIC Definition)

9
10
Chapter 2

Copyright 2010 iStockphoto LP/Spooh

Elements of CM
Chapter Outline
Elements of CM

CM Elements per ANSI/EIA-649A

CM Elements per FAA 1800.66
CM Elements per FAA AMS
CM Elements Comparison
Key Points

11
 ANSI/EIA-649A
NATIONAL CONSENSUS STANDARD FOR CONFIGURATION MANAGEMENT

Graphic Copyright ANSI/EIA 649A Tech America

12
 CM Elements Defined ANSI/EIA-649A

“CM planning: Comprehensive CM planning and management over the product life cycle
is fundamental for a defined and repeatable CM system.

configuration identification: The CM function which (1) establishes a structure for

products and product configuration information; (2) selects, defines, documents, and
baselines product attributes; and (3) assigns unique identifiers to each product and product
configuration information.

configuration change management: The CM function that ensures changes to a

configuration baseline are properly identified, recorded, evaluated, approved or
disapproved, and incorporated and verified as appropriate.

configuration status accounting (CSA): The CM function managing the capture and
maintenance of product configuration information necessary to account for the
configuration of a product throughout the products life cycle.

configuration verification: The CM function which ascertains that a product has achieved
consistency and accuracy of its product requirements and product configuration
information.

configuration audit: The CM function that reviews processes and products to validate
compliance with requirements, and verifies that products have achieved their required
attributes and conform to released product definition information.”
13
Definitions Copyright ANSI/EIA 649A Tech America
Elements of CM
per 1800.66

I-4
The FAA configuration
management shall include planning
and management, configuration
identification, change management,
status accounting, configuration
verification and audit, and
information/data management.

14
Elements of CM
per FAA iCMM v2

PA 16: Configuration Management:

Configuration Management comprises

configuration management strategy,
configuration identification,
repositories, change control (including
version control), status accounting,
and auditing and inspection of the work
product and environment.

15
Elements of CM
Per ITIL

Planning
Identification and Naming
Control
Status accounting
Verification & Audit

16
 Elements of CM MIL-STD-973

“The contractorʼs configuration management system shall

consist of the following elements:

4.1 Basic Requirements...

a. Configuration identification.
b. Configuration control.
c. Configuration status accounting.
d. Configuration audits.

4.2 Planning... The contractor shall plan a configuration

management program in accordance with the
requirements of this standard, tailored appropriately for the
particular CI(s)...”

17
Elements of CM
Per ISO 10007

configuration management planning

configuration identification
change control
configuration status accounting
configuration auditing

18
 Elements of CM Per CMMI

The purpose of Configuration Management is to establish and

maintain the integrity of work products using:

configuration identification
configuration control
configuration status accounting
configuration audits

19
Elements of CM
Per Federal Highway Administration

CM Planning
Identification
Change Management
Configuration Status Accounting
Configuration Audits

20
 CM Elements Comparison

ANSI/ Change Verification and

Planning Identification Status Accounting
EIA-649 Management Audit

Identification and Verification and

ITIL Planning Control Status Accounting
Naming Audit

Configuration Configuration ConfigurationStatus Configuration

973 CM Plans
Identification Control Accounting Auditing

CM Planning Through Configuration Configuration ConfigurationStatus Configuration

10007
CM Plan Identification Control Accounting Auditing

Configuration Configuration ConfigurationStatus Configuration

CMMI
Identification Control Accounting Audits

Configuration
FHA CM CM Planning Identification Change Control Status Accounting
Audits

MIL- Management & Configuration Configuration Configuration Status Verification and

HDBK-61 Planning Identification Control Accounting Audit

Planning & Management & Change Verification and

1800.66 Status Accounting
Management Planning Management Audit

21
Chart Copyright 2010 CMPIC LLC
 Key Points
The basic CM elements “Identify, Control, Audit and Status
Accounting” go back to the earliest CM standards. “Planning” was a
more recent addition. But CM Plans were always a part of the earlier
standards. “Verification” was also a recent addition to
“Audit” (Verification & Audit).

All these elements are valid and that is why they are found in all
industry CM standards including FAA 1800.66 and FAA iCMM.

Some of the elements were defined in various standards from a

customer perspective. Some were written from a “day-to day”
operational perspective.

Understanding what they mean, and in what context they are

being used, is very important!

Success in CM depends on taking these requirements and creating

effective and efficient processes to implement them.

22
Identification
Chapter 3

Copyright 2010 iStockphoto LP/mayo5

23
Chapter Outline Overview

Elements of Identification per 1800.66 & FAA AMS

Identification per Standards/Guidelines

Comparison of Identification Elements

How We Identify a Configuration

Identification Examples

“Identifiers” Example

The “Disconnect” and Getting it Right

Baselines

Key Points

24
Identification per 1800.66

I-4.2
Configuration Identification.

FAA lines of business, staff offices, service

organizations, service areas, and other solution
providers shall identify configuration items (CI) and
shall develop appropriate configuration
documentation to define each configuration item.

This activity includes the development of a product

top-down structure that summarizes the total units
and configuration documentation for the system or
configuration item, and the assignment of unique
identifiers, which identify units, and groups of units,
in a product.

25
 Identification
per FAA AMS

4.1.2 : Configuration Identification

This activity includes the development of a product top-

down structure that summarizes the total units and...

... configuration documentation for the system or

configuration item,

and the assignment of unique identifiers, which identify

units, and groups of units, in a product.

Configuration identification and product information

shall be maintained and readily available to all FAA
decision-makers.

26
Elements of Identification
ISO 10007:2004

“Product structure and selection of configuration

items

Product configuration information

Configuration baselines

...numbering conventions to be adopted for

specifications, drawings, concessions and changes

the method for identification of the revision status”

27
Elements of Identification
Per ANSI/EIA 649A

“Configuration identification establishes:

A method for organizing the composition of the product

elements and associated information;

Unique identification of products and product

configuration information;

Consistency between a product itself and the information

about the product;

Product attributes that are defined, documented and

baselined.”

28
 Elements of Identification Comparison

Baseline Serial, Lot,

Product Configuration Marking,
ANSI/EIA-649 Configuration Part, Doc
Structure Document Types Labeling
Documentation Numbers

Establishment of Issuance of
Configuration
Mil-STD-973 Selection of CIs configuration Numbers and
Documentation
baselines for CIs Identifiers

Product
Configuration Establishment of
ISO 10007 Structure and Numbering
Documents Baselines
CIs

Technical Unique
CMMI Selection of CIs
Documentation Identifiers

organizing
associated the selection of CIs; Unique
information determination of the the establishment of identifiers for a
MIL-HDBK-61 about the types of configuration configuration product and its
attributes, & documentation baselines for CIs. configuration
stating the required documents
attributes
shall establish and
identify configuration maintain
product top- Unique
1800.66 items configuration configuration
down structure Identifiers
documentation baselines. (specific
baseline section)
29 Chart Copyright 2010 CMPIC LLC
How We “Identify” a Configuration
The “Pieces”

CIs,
Components
Source The Documentation that defines the
Exe “Pieces”
Parts

Identifiers for “Pieces”

Documents and Documentation

Unique IDs
Numbering
Naming
Marking How it all “fits” together
Labeling

Structure
relationships
Baselines

30
Graphic Copyright 2010 CMPIC LLC
“Identifiers” Example
“Identifiers” are part of Identification

Toshiba Model Number

Toshiba Part Number

Toshiba Serial Number

Toshiba Bar Codes

Compaq Part Number

31
Photo Copyright 2010 CMPIC LLC
 The Disconnect
One department owns/knows the parts, Another department knows the documents, or a
has the BOMS, etc. particular type of doc, but not all of them.

P/N P/N Drawing

222 407 22009

Drawing

The Wall of Inefficiency

42236

Drawing
P/N P/N P/N 33376
123 419 989

Specification
23144 Drawing
33345
P/N
544
P/N Drawing
212 65798

P/N Drawing
33342
158

The complete picture is unknown. The docs are usually trying to play catch-up with the parts.
32
Graphic Copyright 2010 CMPIC LLC
 Identification
Getting it Right

Configuration Configuration
and Other and Other
Documents Documents

Hardware
“Parts” Document
222 407
Identifiers

Configuration
and Other
Documents

989
123
Part Identifiers
Configuration
and Other 544
Documents
Configuration
and Other
212 Documents

158 Documents
Software Configuration
and Other
667
Documents
“Parts”
Configuration Configuration
and Other and Other
Documents Documents

To properly manage configurations we need to know it all. The structure

information resides in a configuration database. An extract of this data may be
called a “baseline”. 33
Graphic Copyright 2010 CMPIC LLC
 Baselines
no shortage of definitions

Later, control a
second “set” of
information...
407
“Allocated Baseline” Configuration
and Other
Documents

222

Configuration
and Other
Documents
123
989 Configuration
and Other
Documents
Specification
430012
212 544
Other High Configuration
First “control” this set Level Docs Configuration and Other
and Other Documents
of information... Documents Configuration
“Functional Baseline” and Other
Documents
Finally, control the
158 667
entire set of
information...
Configuration
“Product Baseline”
and Other
Documents

What constitutes the baseline at any

point in time can be extracted from the
configuration database
34 Graphic Copyright 2010 CMPIC LLC
 Key Points
People often confuse Identification with Identifiers.
Identification, in CM terms, is the configuration and all related
information, as well as identifiers.
Major Elements of “Identification” are:
CIs, Components, parts
Documentation
Product Structure
Numbering/Identifiers
Marking and Labeling
Baselines

A baseline reflects an agreed upon/defined starting point for

future activities and list items under a formal state of control.
The baseline can be extracted from the configuration database.

35
36
Chapter 4
Change Management

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Chapter Outline
Change Management

Why Review Changes?

Change Management per FAA 1800.66 &
AMS
Change Management per ANSI/EIA 649A
Change Management Standards
Comparison
A Complete Change Process
Not So Simple
Reality
Key Points

37
 Why Review Changes?
Does the change impact How does the change impact
security? requirements, performance &
reliability?
Will the design, development,
or test effort be impacted? Does the change affect internal
or external interfaces?
Will the change affect
databases or architecture? How does the change affect the
current work, scope, delivery
Will hardware and schedule?
interchangeability,
substitutability, or Does the change offer sufficient
replaceability be affected? value & how does it impact total
cost?
Do suppliers of items need be
changed? What documents are affected?

Impact on safety Is compatibility with other

equipment impacted?
38
Copyright 2010 CMPIC LLC
Change Management per 1800.66

I-4.3

Configuration Change Management. FAA lines of business, staff

offices, service organizations, service areas, and other solution
providers shall implement a systematic and measurable change
process that is consistent with enterprise-wide configuration
management policy, and shall document it in their approved
CCB Charter and Operating Procedures.

The implemented change process shall ensure proposed

changes are properly identified, prioritized, documented,
coordinated, evaluated, and adjudicated.

Funding shall be available and allocated, and all required safety

documentation submitted for a change proposal in order for it to be
approved.

Approved changes shall be properly documented,

implemented, verified, and tracked to ensure incorporation in
all systems and spares.

39
Change Management per FAA AMS

4.1.3 : Configuration Change Management

Service organizations, regions, and other solution

providers shall implement a systematic and measurable
change process that is consistent with national
configuration management policy, and shall document it
in their approved CCB charter and operating procedures.

The implemented change process shall ensure proposed

changes are properly identified, prioritized, documented,
coordinated, evaluated, and adjudicated.

Approved changes shall be properly documented,

implemented, verified, and tracked to ensure
incorporation in all systems and spares.

40
 Change Management Per ANSI/649A

“The configuration change management function includes control of both changes and
variances to a product using a systematic, measurable change process regardless of the type
of product or phase of its life cycle. The configuration change management process includes:

identifying the need for a change; defining the change; documenting change
impact;

evaluating and coordinating the proposed change (including approval/

disapproval);

incorporating the approved change in the product and its related product
configuration information;

verifying change incorporation and continued consistency with the product

configuration information; and

identifying, documenting, approving, and implementing variances from baselined

product requirements. (see 5.3.2).”

41
Copyright ANSI?EIA-649A TechAmerica
 Change Management Comparison
Propose, Justify Evaluate Disposition Implement

... a description of, ... an evaluation of ...details of how the ... details of how the
10007 justification for, and the consequences change should be change should be
record of, the change of the change dispositioned implemented and verified.

implementation of all
proposal, evaluation, approval or
973 approved changes after
justification coordination disapproval
establishment of baseline
implementation of all
approved and released
changes into
applicable
proposal, evaluation, configurations...
ANSI/EIA-649 disposition
justification coordination associated product
information... and
supporting and interfacing
products and associated
information.
executing the approved
assessing the determining the fate change... ensuring that the
FHA impact of a possible of the proposed change is carried through
change change to the proper
documentation
implemented, verified, and
properly identified,
coordinated, adjudicated tracked to ensure
1800.66 prioritized,
evaluated incorporation in all
documented,
systems and spares.
42 Chart Copyright 2010 CMPIC LLC
A Complete Change Process Everyone has a Role to Play

Screen, Initiate CR,

Disposition Implementation
Solution, Impact

Prepare CR,
Implementation Plan, Action Items,
Propose Solution, Approve to Change Information,
Determine Impact Disapprove Change Product, Facility, etc.
Technical, Schedule,Financial

Change Request Tracking Implementation Action Item Tracking

Assuring all changes are known and are kept synchronized with the Product
Configuration Data (and Baselines)

43
Graphic Copyright 2010 CMPIC LLC
 Not So Simple
Start Propose the
change

Justify,
assess, evaluate
the change

Disposition
(approve/
disapprove) the
Change forms... Disposition change
authorities... Impacts- tech, schedule,
$... Prioritizing changes...Agreeing on Implement the
solutions...Change tracking... Co- change
ordinating other sites, Customers and
suppliers... Updating databases... Assure the
Reports and metrics... Changes to change was
changes... Procedures... done

Implementation planning...
Implementation actions...
Implementation feedback... Notifying
personnel... Planning meetings... and End
more...

44
Graphic Copyright 2010 CMPIC LLC
 Reality
Now Manage them all
Screen
Screen Closeout
Screen
Change Closeout
Screen
Change Closeout
Change
Screen
Change
Need/Idea Closeout
Change
Screen
Change
Need/Idea Closeout
Change
Screen
Change
Need/Idea Closeout
Change
Screen
Change
Need/Idea Closeout
Change
Screen
Change
Need/Idea Closeout
Change
Screen
Change
Need/Idea
Initiate Closeout
Change
Screen
Change
Need/Idea
Initiate
Screen Verify Closeout
Change
Change
Need/Idea
CR Initiate Verify Closeout
Change
CR Change
Need/Idea
Initiate
by Manager, Verify Closeout
Change
Need/Idea
CR Initiate Verify Change
Need/Idea
CR Meeting,
Initiate Verify Change
CR Initiate
Board Verify
CRInitiate Proceed Verify
CRImpact
Initiate
Impact
Initiate Proceed Verify
CR Impact
Analysis Proceed
to Proceed Verify Verify
CR Initiate
Impact to Verify
Analysis
CR Initiate
Impact Proceed
to Proceed Verify
Analysis
CR implement
to Each
Impact
Analysis
CR implement
Proceed
Impact
Analysis to Proceed
implement AI
Impact
Analysis Release to Proceed
implement
Impact
Analysis
Complete Release to
implement
Solution
Impact
Analysis
Complete CO Release
with to Proceed
implement
Impact
Analysis
Complete CO Release
with to Proceed
implement
CR and
Analysis
Complete Release to Implement
implement
CRAnalysis CO
Actions with
Release to
implement
CRComplete
Impact CO
Actions with implement
CRComplete CORelease
Actions with
Release AIs
implement
CR Complete
Determine
Analysis Identify, CO
Actions with
CRComplete
Determine Identify, CORelease
Actions with
Release
Complete
CRChange
Determine Identify, CO
Actions with
Complete
CRChange
Determine Schedule
Identify, CORelease
Actions with
“Release”
CR Complete Schedule
Determine AIsSchedule
Identify, CO
Actions with
Change
Path
CR Complete
Determine AIsSchedule
Identify, CO
Actions with
Change
Path
CR Determine Identify, Change
Actions
Change
Path CR
Determine AIsSchedule
Identify, Actions
Change
PathChange
Dispositio
Determine Schedule
AIs Schedule
Identify, with AIs
PathChange
Dispositio
Determine AIs Identify,
Path Dispositio
nChange
Go
Determine AIsSchedule
Schedule
Identify,
Schedule
Path
n Dispositio
Go
Determine
Change AIs Schedule
Path
No GoDispositio AIs
nChange
Go & Assign
Schedule
Path
No Dispositio AIs
nGo
Go
Change
Path
No nGoDispositio
Go AIs
Path Dispositio AIs Action
NonPath
Go
Go
NonGo Dispositio Items (AI)
Go
NonGo Dispositio
Go
n
No GoGoDispositio Change
NonGo Go
NoDisposition
Go
Non Go
Go Management
No Go
Go involves the
No Go entire
organization

45
Graphic Copyright 2010 CMPIC LLC
 KEY POINTS
Changes need to be managed from start to finish. The resources
needed to manage change can be extensive.

CM Professionals have a critical role to play in the change process. The

balance of the organization will have a role to play.

Automated tools, forms and templates have a role to play.

The basic change management steps are:

Screen Change
Initiate CR
Solution and Impact analysis
Complete CR
Submit for disposition
Schedule & Assign Action Items (AI)
“Release” Change with AIs
Implement Action items
Verify each AI
Close-out change

46
Verification & Audit
Chapter 5

Copyright 2010 iStockphoto LP//mevans

47
Chapter Outline
Verification & Audit

Verification & Audit per FAA 1800.66 & AMS

Audits per Various industry standards

Verification & Audit Comparison

Key Points

48
Verification & Auditper 1800.66

I-4.5

Configuration Verification and Audit. FAA lines

of business, staff offices, service organizations,
service areas, and other solution providers shall
validate that a product’s requirements have
been met through conduct of formal functional and
physical configuration audits. The product design
meeting those requirements shall be accurately
documented before a product configuration is
baselined.

3.6.2 Physical Configuration Audits (PCA)

This procedure describes the mandatory requirements and
supplemental guidance for performing PCAs. It includes
organizational roles and responsibilities.
A PCA cannot be completed and a product baseline established
without successful completion of a Functional Configuration Audit
(FCA). This does not mean that a PCA cannot be conducted
concurrently with an FCA.

49
 Verification & Audit per FAA AMS

4.1.5 : Configuration Verification and Audit (Revised 2/2004)

Service organizations, regions, and other solution providers shall verify that a
product's requirements have been met and the product design meeting those
requirements has been accurately documented before a product configuration is
baselined.

Verification takes the form of a functional configuration audit and a physical

configuration audit.

The functional configuration audit provides a systematic comparison of

requirements with the results of tests, analyses, or inspections.

The physical configuration audit determines whether the product is consistent

with its design documentation. In addition, operational systems must be
periodically validated to ensure consistency between a product and its current
baseline documentation.

Verification of the incorporation of modifications is a critical function of this

activity. This validation includes verification of facility baselines and conduct of
system audits after commissioning.
50
Configuration Audits MIL-STD-973

Functional Configuration Audit Physical Configuration Audit

(FCA) (PCA)
The objective of the FCA shall The PCA shall be the formal
be to verify the configuration examination of the as-built
itemʼs and systemʼs against its design
performance against its documentation.
approved configuration
documentation.

A government team would do these audits on the CIs after the first
oneʼs were built. They wanted to make sure they got what they paid
for. The contractor still had to have its own quality system.

51
 Configuration Audits ISO 10007 2004

Functional Configuration Audit Physical Configuration Audit

a formal examination to verify that a formal examination to verify that

a configuration item has achieved a configuration item has achieved
the functional and performance the physical characteristics
characteristics specified in its specified in its product
product configuration information. configuration information.

“A configuration audit may be required before the formal

acceptance of a configuration item. It is not intended to replace
other forms of verification, review, test or inspection, but will be
affected by the results of these activities.”

52
Configuration Verification & AuditANSI/EIA 649A

“The purposes of Configuration Verification and Audit include the following:

Ensure that the product design provides the agreed-to performance

capabilities;

Validate the integrity of the product configuration information;

Verify the consistency between a product and its product configuration

information;

Determine that adequate processes are in place to provide continuing

control of the configuration;

Provide confidence that product definition information is under configuration

control; and

Ensure a controlled configuration is the basis for operation and

maintenance instructions, training, spare and repair parts, etc.”

53
 Configuration Audits CMMI

Configuration Audit Subpractices

1. Assess the integrity of the baselines.

2. Confirm that the configuration records correctly identify the

configuration of the configuration items.

3. Review the structure and integrity of the items in the configuration

management system.

4. Confirm the completeness and correctness of the items in the

configuration management system. Completeness and correctness of the
content is based on the requirements as stated in the plan and the
disposition of approved change requests.

5. Confirm compliance with applicable configuration management

standards and procedures.

6. Track action items from the audit to closure.

54
Configuration Audits ITIL

Periodic audits and reviews of IT services

and their configuration items.

Accurate information on IT services and

their configuration items.

Verification of configuration records against

the IT infrastructure and correction actions
for any exceptions found.

55
Configuration Audits
FHA CM for Transportation Management Systems Handbook

Configuration verification and audit is the

process of analyzing configuration items
and their respective documentation to
ensure that the documentation reflects the
current situation.

.... they verify that changes were carried

out as approved by the relevant
administrative body and that
documentation about an item reflects the
current configuration.

56
 Verification & Audit Comparison

A configuration audit may be required

before the formal acceptance of a
ISO 10007 FCA PCA configuration item. It is not intended to
replace other forms of verification, review.
test or inspection

MIL-STD-973 FCA PCA

Ensure that the product Verify the consistency

Determine that adequate processes are in
design provides the between a product and its
ANSI/EIA-649A agreed-to performance product configuration
place to provide continuing control of the
configuration;
capabilities; information
...confirm that the
resulting baselines Audit configuration management
CMMI and documentation activities and processes.
are accurate
Verification of
configuration records
ITIL against the IT
infrastructure

FHA Analyzing CIs and their Verify that changes were carried out
respective documentation as approved

Configuration audits provide the framework,

and the detailed requirements, for verifying
MIL-HDBK-61 FCA PCA that the contractor's development effort has
successfully achieved all of the requirements
specified in the...baselines.

1800.66 FCA PCA on site “walk-throughs”

57
Chart Copyright 2010 CMPIC LLC
 Key Points
“Audit” is another of the basic elements of CM.

“Audit” was originally in government standards where the

government would do final audits before product acceptance
(FCA and PCA). This is occurring less and less in
government contracts.

In current standards this category is now called Verification

& Audit. And while it addresses the “equivalent” of PCAs and
FCAs (if needed) it has been expanded to address ongoing
quality assurance approaches including CM process audits.

In many current CM standards (1800.66 included) it is

recognized that good CM will go a long way towards
minimizing and eliminating audit findings and assuring
conformance.

58
Status Accounting
Chapter 6

Copyright 2010 iStockphoto LP/narvikk

59
Chapter Outline
Configuration Status Accounting

Status Accounting per FAA 1800.66 & AMS

Industry Requirements

Status Accounting Comparison

Key Points

60
 Status Accounting per 1800.66

I-4.4

Configuration Status Accounting. FAA lines of business,

staff offices, service organizations, service areas, and other
solution providers shall develop and maintain configuration
information for their configuration items or products in a
systematic and disciplined manner in accordance with
this policy and National Configuration Management
Process and Procedures.

Status accounting information includes developing and

maintaining site configuration data, capturing decisions
and the incorporation of modification data on systems
and configuration items. This configuration information
must be electronically available for use by decision
makers over the life cycle of the product.

61
 Status Accounting per FAA AMS

4.1.4 : Configuration Status Accounting

Service organizations, regions, and other

solution providers shall develop and maintain
configuration information for their configuration
items or products in a systematic and disciplined
manner in accordance with this policy and
national configuration management process and
procedures.

Status accounting information includes

developing and maintaining site configuration
data, and the incorporation of modification data
on systems and configuration items.

62
 Configuration Status
Accounting ISO 10007:2004

5.5.1 General 5.5.2.1...These records 5.5.2.2 The evolving 5.5.3... Reports of

The configuration status allow for visibility and product configuration varying types will be
accounting activity results traceability and for the information should be needed for
in records and reports efficient management recorded in a manner configuration
that relate to a product of the evolving that identifies the management purposes.
and its product configuration... the cross references Such reports may cover
configuration information. product configuration and interrelationships individual configuration
information... the necessary to provide items or the complete
productʼs the required reports product.
configuration... the
status of release of new
product configuration
information, and the
processing of changes.

63
 Status Accounting
Mil-Std 973

Identify the
current
approved
configuration Provide the
documentation traceability of
and all changes
identification from the Report the
number original effectivity and
associated baselined installation
with each CI. configuration status of
documentation configuration
of each CI. changes to all
CIs at all
locations.

64
 Status Accounting
Capability Maturity Model® Integration (CMMISM)

Recording and
reporting of information
needed to manage a ... a listing of the
configuration approved configuration
effectively. identification, the status of
proposed changes to the
configuration, and the
implementation status of
approved changes.

65
 Status Accounting ANSI/EIA-649

“Configuration “CSA provides “Information about the “Information

Status access to accurate, productʼs operational about the CM
Accounting timely information and maintenance process (such as
(CSA) about a product and documentation (such the status of
correlates, its documentation as the documents change
stores, throughout the affected by each requests).”
maintains, and product life cycle. change and their
provides readily update status)...
available views CSA involves the
of this organized storage and Information about the
collection of maintenance of productʼs
information.” information about the configuration (such as
configuration part numbers or
documentation (such changes installed in a
as document given unit).”
identifiers and
effective dates).”

66
Status Accounting
FHA CM for Transportation Management Systems

“Configuration status accounting (CSA) is the

process of ensuring that all of the relevant
information about an item – documentation and
change history – is up to date and as detailed
as necessary.

CSA accounts for the current status of all

proposed and approved changes.”

67
Status Accounting
MIL-HDBK-61A

“Configuration status accounting (CSA) is the

process of creating and organizing the
knowledge base necessary for the performance
of configuration management.

In addition to facilitating CM, the purpose of CSA

is to provide a highly reliable source of
configuration information to support all program/
project activities including program management,
systems engineering, manufacturing, software
development and maintenance, logistic support,
modification, and maintenance.”

68
 Status Accounting Comparison

Configuration Data Change Data Other

records and reports that relate Status of release of new product
ISO 10007 to a product and its product configuration information, and–
configuration information. the processing of changes.
Approved configuration Status of approved changes,
MIL-STD-973
identification implementation status
Record and report RDW,
Identify documentation and
ANSI/EIA-649 Change traceability change effectivity,
identification numbers
installation status

Access to product information Record and report audit

CMMI Status of changes
docs, P/N... results

Ensure current configuration Assure documentation and

FHA Status of all changes
is known change history is up to date

The CSA information is

The storage of, and access to, maintained in a CM database
configuration information Other information, such as the that may include such
MIL-HDBK-61 needed to manage products current status of any change, the information as the as-
and product information history of any change, designed, as-built, as-
effectively. delivered, or as-modified
configuration.
... capturing decisions and the must be electronically
developing and maintaining
1800.66 incorporation of modification available for use by decision
site configuration data
data on systems and CIs makers
69 Chart Copyright 2010 CMPIC LLC
 Key Points
Status Accounting is having available accurate
product information throughout an itemʼs life cycle
(and beyond) and being able to get that configuration
information anytime you need it.

Status accounting includes recording and reporting

the status of changes and ensuring that all of the
relevant information about any item is up to date and
as detailed as necessary.

Properly structured configuration data can effectively

and efficiently generate all CSA information.

The Bottom Line: If you need to know anything about

your product then Status Accounting is the element of
CM that addresses those needs.

70
CM Plans and Planning
Chapter 7

Copyright 2010 iStockphoto LP/egdigital

71
Chapter Outline
CM PLans & Planning

Why Plan for CM?

CM Planning per 1800.66

The CM Plan Usual Template

An Enterprise Approach to CM

Key Points

72
 Why Plan for CM?

Copyright 2010 iStockphoto LP/Neustockimages

Why are we doing Who are the Terminology Information & Data Formats
CM? What is it? Players? Defined Export Control Compatibility

How are How do we How will we How do we How do we

requirements manage assure utilize CM tools assure interface
managed? baselines? conformance? in the process? control?

What kind of How is information How will changes

How do we assure
reports, metrics, stored, protected, be proposed,
our suppliers are
tracking is managed and dispositioned, and
in control?
required? controlled? implemented?

73
 CM Planning per 1800.66

I-4.1

Configuration Management Planning and Management. FAA

lines of business, staff offices, service organizations, service
areas, and other solution providers shall conduct planning,
coordination, and management of all tasks necessary to
implement configuration management principles and to conduct
configuration management activities. Configuration management
planning and management occurs throughout all life-cycle
phases.

Documentation of the planning process and development of the

Configuration Management Plan is required to formalize
involvement and ensure continuity of configuration management
practices at all levels of management.

74
 The CM Plan
Table of Contents

Section 1. Introduction

Section 2. Reference documents

Section 3. Organization

Section 4. Configuration management phasing and

milestones

Section 5. Data management

Section 6. Configuration identification

Section 7. Interface management

Section 8. Configuration control

Section 9. Configuration status accounting

Section 10. Configuration audits

Section 11. Subcontractor/vendor control

75
An Enterprise Approach to CM Planning
Expand the plan throughout the Enterprise FAA 1800.66

Part One - Configuration Management (CM) Policy Elements

Section I: General CM Policy
Section II: NAS CM Policy
Section III: Non-NAS IT CM Policy

Part Two – NAS Configuration Management (CM) Handbook Appendix 1

Section I: NAS CCB Charter and Operating Procedures 3.2.2.1 CM Plans and Processes
Section II: National CM Process 3.2.2.2 Procurement Requirements for CM
Section Overview 3.2.3 Regional Responsibilities
Life-Cycle Process Flow 3.2.3.1 Regional CM Plans and Processes
Life-Cycle Process Definitions 3.2.3.2 Regional Commercial-Off-The-Shelf
Life-Cycle Process Input/Output Tables (CM Lead Activities) Procurements
Life-Cycle Process Input/Output Tables (CM Supported Activities) 3.3 Configuration Identification
Life-Cycle Process Input/Output Tables (CM Associated Activities) 3.3.1 Maintaining the Master Configuration Index
Detailed CM Processes (MCI) and Publishing NAS-MD-001
Change Management and Implementation 3.3.2 Fundamentals of Configuration Identification
Configuration Verification and Audit 3.3.2.1 Selecting Configuration Items
Configuration Status Accounting 3.3.2.2 Developing Configuration Documentation
Drawing Management – CM Perspective 3.3.2.3 Developing Product Top-Down Structure
Drawing Management – EDM Perspective 3.3.2.4 Assignment and Marking of Unique Identifiers
Section III: National CM Procedures 3.3.2.5 Data Management
1.0 Introduction 3.3.3 Establishing and Maintaining Baselines
2.0 Applicable References 3.3.3.1 NAS Functional Baseline
3.0 Procedures 3.3.3.2 Functional Baselines
3.1 Management Responsibilities 3.3.3.3 Product Baselines
3.1.1 Roles, Responsibilities and Relationships 3.3.3.4 Operational Baselines
3.1.2 Establishing and Maintaining CM Policy 3.3.3.5 Facility Baselines
3.1.3 Monitoring, Oversight, and Evaluation 3.3.4 Assigning Corporate Identifiers
3.2 Life Cycle CM Planning and Management 3.3.4.1 Assignment of System-Level Specification,
3.2.1 Establishing and Maintaining a Configuration Control Board IRD, and ICD Numbers
(CCB)
3.2.2 Solution Provider Responsibilities

76
 KEY POINTS

Your organization or customer may require that you have a

“CM Plan” for doing CM for every “major” project. It can be
a contract requirement. Many CM plans of this type are
based on the “original” CM Plan template.

1800.66 is an overarching CM Operating Standard for the

FAA that includes requirements, procedures and guidelines
for NAS and Non-NAS CM environments.

1800.66 provides the “baseline” for future continuous

improvement CM efforts throughout the FAA enterprise.

Successful CM Implementation depends on CM Planning.

77
Copyright Info &
References

78
 Copyright Info
Concepts, facts, etc. presented in these courses cannot be copyrighted. But how the
concepts are presented (i.e. the material, the expression of the facts) can be copyrighted.

This presentation is an assemblage of copyrighted and non copyrighted material.

United States government standards and guidelines are generally not copyrighted.

Other sources (EIA, ISO, CMMI etc.), photos, and graphics used in this material are
copyrighted. They are owned by the organizations referenced.

Photographs in this material come from iStock Photo(www.istock.com). The iStock photos
have been purchased for this presentation and may not be replicated for use in any other
presentations. It would be a violation of copyright law to do so without permission from
iStock photo.

Permission to use any CMPIC LLC copyrighted material contained herein in any other
presentation must be also be obtained from CMPIC LLC (www.cmpic.com) prior to use (or
contact Steven Easterbrook at [email protected]).

Incorporation of any CMPIC LLC materials into any non-government commercial materials
shall also require CMPIC LLC permission.

79
 References
ISO 10007:1995 and ISO 10007:2004
Quality management systems -- Guidelines for configuration management. ISO 10007:2004 is a guidance document, it is not
intended to be used for certification/registration purposes. Purchase Info- http://www.iso.org/iso/catalogue_detail?
csnumber=36644

ANSI/EIA-649 1998 and ANSI/EIA-649A 2004

National Consensus Standard for Configuration Management
This standard defines Configuration Management (CM) terminology and describes a CM process using five CM functions and
their underlying fundamental principles. Purchase Info- http://webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FEIA-649-A
+2004

Capability Maturity Model® Integration (CMM and Capability Maturity Model are registered in the U.S. Patent and
Trademark Office. CMM Integration, CMMI, SCAMPI, and IDEAL are service marks of Carnegie Mellon University. info- CMMI
http://www.sei.cmu.edu/cmmi/models/

MIL-HDBK-61A(SE), 7 February 2001

MILITARY HANDBOOK CONFIGURATION MANAGEMENT GUIDANCE

MIL-STD-973, 17 April 1992

CONFIGURATION MANAGEMENT- Distribution Statement A: Approved for public release; distribution is unlimited

Configuration Management for Transportation Management Systems

Final Report September 2003 -This document is disseminated under the sponsorship of the Department of Transportation in
the interest of information exchange. The United States Government assumes no liability for its contents or use thereof. This
report does not constitute a standard, specification, or regulation.

ITIL® v2 and now v3- ITIL consists of a series of books giving guidance on the provision of quality IT services, and on the
accommodation and environmental facilities needed to support IT. ITIL has been developed in recognition of organisations'
growing dependency on IT and embodies best practices for IT Service Management..
http://www.itil-officialsite.com/home/home.asp

Fundamentals of Configuration Management, Thomas T. Samaras and Frank L. Czerwinski, Wiley-Interscience ISBN
0-471-75100-6

FAA 1800.66, AMS, iCMMI- The Federal Aviation Administration.

80