CM Process for SSC PacificPR-CM-02 v1.0

7/29/08

CONFIGURATION MANAGEMENT PROCESS

FOR

SPACE AND NAVAL WARFARE SYSTEMS CENTER PACIFIC

PR-CM-02 V1.0

JULY 29, 2008

Support Integrated Product Team

Space and Naval Warfare Systems Center Pacific

53560 Hull Street

San Diego, CA 92152-5001

Approved for Public Release; Distribution is Unlimited.

CM Process for SSC PacificPR-CM-02 v1.0

7/29/08

PREFACE

This document was developed to describe the Configuration Management Process for the Space and Naval Warfare (SPAWAR) Systems Center (SSC) Pacific.

The SSC Pacific Support Integrated Product Team (IPT) operating under the authority of the Systems Engineering Process Office (SEPO) assumes responsibility for this document and updates it, as required, to meet the needs of users within SSC Pacific. The Support IPT welcomes and solicits feedback from users of this document so that future versions of this document will reflect improvements based on organizational experience and lessons learned. Updates to this document are performed in accordance with the SEPO Configuration Management Procedure. Deficiencies and/or corrections to this document may be communicated to the Support IPT through SEPO via the Document Change Request form located at the end of this document or online through the SSC Pacific Process Asset Library at http://sepo.spawar.navy.mil/.

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RECORD OF CHANGES

*A - ADDED M - MODIFIED D - DELETED

VERSONNUMBER

DATENUMBER OF

FIGURE, TABLE OR PARAGRAPH

A*MD

TITLE OR BRIEF DESCRIPTIONCHANGEREQUESTNUMBER

1.0 7/29/08 Throughout M This process replaces the Configuration Management Process, PR-CM-01 v1.1 dated 2/21/06.

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TABLE OF CONTENTS

Section Page

SECTION 1. INTRODUCTION............................................................................................................1

1.1 Purpose...................................................................................................................................11.2 Background.............................................................................................................................11.3 Scope......................................................................................................................................11.4 Tailoring Guidelines................................................................................................................11.5 Document Overview................................................................................................................11.6 Reference Materials.................................................................................................................11.7 Abbreviations and Acronyms...................................................................................................2

SECTION 2. PROCESS DESCRIPTION...............................................................................................4

2.1 Roles and Responsibilities.......................................................................................................42.1.1 Senior Management..........................................................................................................42.1.2 Project Manager...............................................................................................................42.1.3 CM Manager....................................................................................................................42.1.4 CM Group........................................................................................................................42.1.5 Configuration Control Board............................................................................................42.1.6 Quality Assurance............................................................................................................4

2.2 Entrance Criteria.....................................................................................................................52.3 Inputs......................................................................................................................................52.4 CM Tasks................................................................................................................................5

2.4.1 Management and Planning...............................................................................................52.4.2 Configuration Identification.............................................................................................72.4.3 Configuration Control......................................................................................................72.4.4 Configuration Status Accounting......................................................................................72.4.5 Configuration Verification and Audits..............................................................................8

2.5 Outputs...................................................................................................................................82.6 Exit Criteria.............................................................................................................................82.7 Process Measures....................................................................................................................8

LIST OF FIGURES

Figure Page

Figure 2-1. SSC San Diego Configuration Management Process Activities.............................................6

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SECTION 1. INTRODUCTION

1.1 PURPOSE

This process defines the method used within Space and Naval Warfare (SPAWAR) Systems Center (SSC) Pacific for providing Configuration Management (CM) of systems and/or software engineering efforts. CM establishes and maintains the integrity of the work products of a project throughout the project life cycle using configuration identification, configuration control, configuration status accounting, and configuration audits.

1.2 BACKGROUND

This process replaces the Configuration Management Process, PR-CM-01, v1.1 dated 2/21/06.

1.3 SCOPE

This process provides CM guidance to systems or software engineering projects and those that provide technical support services, but is generic in its structure to make it applicable to any type of project across the SSC Pacific organization.

1.4 TAILORING GUIDELINES

The procedural tasks included here are the core requirements for the conduct of CM at SSC Pacific. Personnel performing CM may find it necessary or beneficial to modify the tasks defined in this document, depending upon the scope of the project for which CM is being implemented, e.g., where a project involves performing a service versus developing hardware or software products, certain tasks may be tailored to reflect the needs of a service project. Such tailoring is acceptable; however, the rationale for tailoring needs to be documented. Project personnel charged with implementing this process must ensure that CM tasks comply with the spirit of the process described in this document. Tasks may only be removed if a deviation request has been approved. Some tailoring guidance is provided in comments in section titles. Further guidance on tailoring and deviation requests may be obtained from the SSC Pacific Standard Process Assets Architecture Definition, reference (a).

1.5 DOCUMENT OVERVIEW

This document consists of the following sections:

a. Section 1 is an introduction to the CM Process for SSC Pacific.

b. Section 2 contains the roles and responsibilities, entrance criteria, inputs, tasks, outputs, exit criteria and process measures for the CM Process for SSC Pacific.

1.6 REFERENCE MATERIALS

The materials listed below were used during the development of this document or are referenced in it:

a. SSC Pacific Standard Process Assets Architecture Definition, DC-OPD-15, SSC Pacific

b. Systems/Software Engineering Management Policy, SSC San Diego Instruction 5234.2, SSC San Diego

c. Project Management Plan Template, TM-PP-01, SSC San Diego

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d. SSC San Diego Project Management Guide, PR-OPD-29, SSC San Diego

e. CM Plan Template, TM-CM-01, SSC San Diego

f. National Consensus Standard for Configuration Management, American National Standards Institute/Electronic Industries Alliance (ANSI/EIA)-649, Jul 1998

g. Software Development and Documentation, MIL-STD-498, Dec 1994 (cancelled, but useful as guidance)

h. Engineering Drawings Number Assignment, Usage Reporting, and Drawing Master Control, NOSCINST 3910.1C

i. Military Handbook, Configuration Management Guidance, MIL-HDBK-61A (SE), Feb 2001

j. Software Life Cycle Processes, Institute of Electrical and Electronics Engineers (IEEE)/EIA 12207.0, Mar 1998, Clause 6.2: Configuration management process

k. Capability Maturity Model Integration (CMMI) for Development, Version 1.2, Carnegie Mellon University (CMU)/Software Engineering Institute (SEI), CMU/SEI-2006-TR-008, August 2006.

l. Processes for Engineering a System, EIA Standard 632, Jan 1999

1.7 ABBREVIATIONS AND ACRONYMS

ANSI American National Standards Institute

CCB Configuration Control Board

CM Configuration Management

CMMI Capability Maturity Model Integration

CMP Configuration Management Plan

CMU Carnegie Mellon University

CSAR Configuration Status Accounting Report

DCR Document Change Request

DID Data Item Description

EIA Electronic Industries Alliance

FCA Functional Configuration Audit

IEEE Institute of Electrical and Electronics Engineers

IPT Integrated Product Team

LCCB Local Configuration Control Board

PAL Process Asset Library

PCA Physical Configuration Audit

PM Project Manager

PMP Project Management Plan

QA Quality Assurance

SEI Software Engineering Institute

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SSC SPAWAR Systems Center

SEPO Systems Engineering Process Office

SPAWAR Space and Naval Warfare

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SECTION 2. PROCESS DESCRIPTION

2.1 ROLES AND RESPONSIBILITIES

The following paragraphs describe the roles and responsibilities for the CM Process for SSC Pacific.

2.1.1 Senior Management

Senior Management, which may include Branch, Division, sponsor or Department-level personnel, periodically reviews the progress of CM activities, receives reports of CM measures, and evaluates the results of periodic objective verification of CM activities by Quality Assurance (QA).

2.1.2 Project Manager

The Project Manager (PM) uses the provisions of the Systems/Software Engineering Management Policy, reference (b), the Project Management Plan (PMP) (See the PMP Template, reference (c) for guidance on how to create a PMP), and the SSC San Diego Project Management Guide, reference (d), to define the expectations for successful implementation of CM. The PM assigns and monitors the resources and tasking of the CM function. The PM obtains objective verification of process compliance and product integrity from QA, takes corrective actions as is determined necessary, and reports process progress to Senior Management and other appropriate stakeholders.

2.1.3 CM Manager

The CM Manager plans and documents the project CM activities. The CM Manager leads the CM Group and directs its activities in coordination with the expectations set forth by the PM. The CM Manager collects CM-related measurements and reports on the process and product status to the PM.

2.1.4 CM Group

The CM Group, which includes the CM Manager, is responsible for performing the CM tasks as described in Section 2.4 of this process and in the project’s CM plan. CM Group members report their progress periodically and make recommendations for process improvement to the CM Manager as the need arises. Each team member attends CM training as required to perform their duties.

2.1.5 Configuration Control Board

Configuration Control Boards (CCBs) may be established at different levels in the organizational structure. If an appropriate higher-level CCB exists, the PM coordinates all project activities through this CCB. If no appropriate CCB exists, the PM or CM Manager is responsible for establishing an appropriate CCB for the project. This CCB is sometimes called a Local CCB (LCCB). The PM appoints the membership of this CCB which is documented in the project CM plan.

The CCB approves new product and process baselines, and adjudicates and oversees all proposed changes to existing baselines.

2.1.6 Quality Assurance

QA monitors CM Process performance for adherence to the standards referenced in this process, documents the results of periodic objective verification of process compliance, reports findings to the CM Manager, PM and Senior Management, as appropriate, and works with the CM Manager and PM to resolve issues. QA also participates with the CM Group in the conduct of formal CM verification activities (e.g., Functional and Physical Configuration Audits (FCA, PCA)) as prescribed by the project CM plan.

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2.2 ENTRANCE CRITERIA

The criteria for initiating the CM Process are listed below:

a. Project has been identified

b. Adequate resources such as funding, personnel, and tools are allocated to CM activities.

2.3 INPUTS

The inputs for the CM Process are listed below:

a. Programmatic data such as project plans and schedules, reports, and review results.

b. Technical data such as engineering drawings, specifications, requirements, designs, code, documentation, etc.

c. Project processes and process artifacts.

2.4 CM TASKS

The flow of the CM Process is shown in Figure 2-1 and is described in the sections that follow. It should be recognized that core tasks are repeated continuously during the life of the project.

2.4.1 Management and Planning

2.4.1.1 Create and Maintain the Project CMP. The CM Group documents CM plans in a PMP or in a CM Plan (CMP). See the CMP Template, reference (e) as guidance for preparing the CMP. The PM and other affected groups review and provide commitment to the project CM plans. The CM Group reviews this process and the project CM plans periodically (e.g., annually, by life cycle phase) and updates them based on revised needs or improvement information gathered in the course of performing this process.

2.4.1.2 Manage Implementation of the CMP. The CM Group establishes the CM system, determines and procures appropriate tools, and develops detailed procedures to implement CM activities such as CCB operations, conducting periodic reviews and audits, requesting changes to baselines, utilizing CM tools and addressing issues revealed during these activities. The SSC Pacific Process Asset Library (PAL) (http://sepo.spawar.navy.mil/) contains sample CM procedures that may be used to develop project CM procedures.

The PM appoints the members of the CCB and serves (or delegates someone to serve) as the CCB Chair.

2.4.1.3 Measure CM. The PM schedules formal reviews and status reports of CM activity in the overall project schedule, and documents the requirement for these reviews in the PMP. The appropriate level of Senior Management determines the scope of reporting requirements, and may delegate some reporting and oversight of CM activities to the PM.

The CM Group collects work products, measurements and improvement information derived from planning and performing this process to facilitate reviewing the effectiveness of CM activities. The PM analyzes the measurements to develop improvement objectives for CM.

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Figure 2-1. Configuration Management Process Flow

2.4.1.4 Provide CM Training. The CM Manager periodically reviews the project CM process, plans, and any supporting procedures to assess the training needs of the CM group and other project groups. The CM Manager coordinates with the PM to schedule training events to cover CM Process, CM-related tools and procedures. The CM Manager prepares and maintains any project-specific CM training materials. The CM Manager reports to the PM the status of the CM training activities and provides updates to the project training log in accordance with project plans.

2.4.2 Configuration Identification

2.4.2.1 Identify Configuration Items. The CM Group, in agreement with the PM, identifies the specific project-related items to be placed under configuration control. The Data Item Descriptions (DID) of Section 5 of the National Consensus Standard for Configuration Management, reference (f), and Software Development and Documentation, reference (g) identify a nominal set of items applicable to hardware, software, or technical service projects that should be kept under control. Engineering Notebooks and Software Development Folders used by the engineering-related groups should be included in this set.

2.4.2.2 Assign a Unique Identifier. The CM Group utilizes existing identification systems (may be at a level higher than the project) or when no appropriate system of unique identification exists, creates a system, and assigns unique identifiers (including the associated baseline) to specified items and related technical documentation and data. The configuration identification system used by the project is documented in the project’s CM plan.

2.4.2.3 Establish and Maintain CM Databases. The CM Group establishes and maintains a database of the assigned configuration identifiers, and reports them in the project Configuration Status Accounting Report (CSAR), as required. The CM Group also assigns unique tracking numbers to various types of change requests related to work products and existing baselines, and maintains a database of them.

2.4.3 Configuration Control

The CCB periodically meets to approve baselines of project products and processes, and to review proposed changes. The CM Group documents agenda items for the CCB meetings, and records minutes of these meetings.

The CM Group tracks the delivery of releases and associated changes to approved baselines. The release process for controlled items is described in the project’s CM plan.

The CM Group establishes and maintains CM libraries of project products, processes and approved baselines; levels of control; and procedures for authorized access to controlled configuration items.

2.4.4 Configuration Status Accounting

The CM Group maintains a repository for collecting and reporting configuration status information. This may be in the form of a database or other automated data management system. The CM Group documents the specifications for this database or automated system in the project’s CM plan. The CM Manager with the PM determines the appropriate method for accessing this repository and the appropriate media for archiving it.

The CM Group periodically distributes CSARs to address status and history of controlled products, approved identification numbers, library and baseline contents, implementation status of change requests, CCB decisions, and deficiencies.

2.4.5 Configuration Verification and Audits

The CM Group performs periodic audits to confirm that repositories of configuration identifiers, CSARs and product baselines are complete, consistent and accurate. The CM Manager oversees resolution of reported deficiencies identified during these audits.

The CM Group participates in audits of the functional characteristics of the products to verify they have achieved the requirements specified in the functional and allocated configuration documentation. CM also participates in audits of the as-built product configurations against the technical documentation to establish or verify the product baseline. When conducted at major project life cycle milestones, these audits are often called FCAs and PCAs.

QA provides objective evaluation of this process against its process description, standards and procedures, and reports and addresses noncompliance. The PM receives these reports of noncompliance and determines appropriate measures to be taken to resolve these discrepancies. The CM Group maintains records of these reports and their resolution.

2.5 OUTPUTS

Outputs from the CM Process are listed below:

a. Project CM plans documented in the project CMP or PMP and supporting project schedule

b. Documented and approved project CM procedures

c. Baselined and controlled project products, including data

d. Analyzed and archived CSARs

e. Collected, analyzed and archived CM review and audit reports

f. Trained project personnel

g. Collected, analyzed and archived measures of CM performance, and audits of CM products

h. Documented periodic objective evaluations of the project’s processes.

2.6 EXIT CRITERIA

CM is a continuous activity that supports the entire life cycle of the project. At the conclusion of the project life cycle, e.g., project closeout, the CM Process may be exited when all tasks have been completed, measures collected and analyzed, and suggestions for improvement and lessons learned have been delivered to the appropriate agency. Where project closeout involves the transfer of project product custody for continuing life cycle maintenance, the CM Process may be exited when all project CM components, tools, and products have been transferred to the agency accepting responsibility for the project.

2.7 PROCESS MEASURES

The CM Group collects information that can be used to evaluate and improve the process. The measures for the CM Process are listed below:

a. Effort and funds expended for CM tasks (planned vs. actual).

b. Number of configuration audits completed (planned vs. actual).

c. Number of configuration audit discrepancies identified.

DOCUMENT CHANGE REQUEST (DCR)

Document Title: Configuration Management Process for SSC Pacific

Tracking Number:

Name of Submitting Organization:

Organization Contact: Phone:

Mailing Address:

DCR Description: Date:

Change Location:

(use section #, figure #, table #, etc.)

Proposed change:

Rationale for Change:

Note: For the Systems Engineering Process Office (SEPO) to take appropriate action on a change request, please provide a clear description of the recommended change along with supporting rationale.

Send to: Commanding Officer, Space and Naval Warfare Systems Center, Code 84200, 53560 Hull Street, San Diego, CA 92152-5001 Fax: (619) 553-6249 Email: sepo@spawar.navy.milSubmit online: http://sepo.spawar.navy.mil/

DCR Form 7/2008