APPENDIX 1, CONFIGURATION MANAGEMENT IN THE FEDERAL AVIATION ADMINISTRATION

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3 09/19/ CHG 2 APPENDIX 1, CONFIGURATION MANAGEMENT IN THE FEDERAL AVIATION ADMINISTRATION Page i (and ii)

4 09/19/ CHG 2 Document Overview Table of Contents 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 Section I: NAS CCB Charter and Operating Procedures Section II: National CM Process Section Overview Life-Cycle Process Flow Life-Cycle Process Definitions Life-Cycle Process Input/Output Tables (CM Lead Activities) Life-Cycle Process Input/Output Tables (CM Supported Activities) Life-Cycle Process Input/Output Tables (CM Associated Activities) Detailed CM Processes Change Management and Implementation Configuration Verification and Audit Configuration Status Accounting Drawing Management CM Perspective Drawing Management EDM Perspective Section III: National CM Procedures vii 1-I-1 1-I-1 1-II-4 1-III-7 2-I-1 2-I-1 2-II-1 2-II-3 2-II-5 2-II-11 2-II-32 2-II-36 2-II-43 2-II-45 2-II-46 2-II-55 2-II-59 2-II-64 2-II-71 2-III Introduction 2-III Applicable References 2-III Procedures 2-III Management Responsibilities 2-III Roles, Responsibilities and Relationships 2-III Establishing and Maintaining CM Policy 2-III Monitoring, Oversight, and Evaluation 2-III Life Cycle CM Planning and Management 2-III Establishing and Maintaining a Configuration Control Board (CCB) 2-III Solution Provider Responsibilities 2-III-61 Page iii

5 09/19/ CHG CM Plans and Processes 2-III Procurement Requirements for CM 2-III Regional Responsibilities 2-III Regional CM Plans and Processes 2-III Regional Commercial-Off-The-Shelf Procurements 2-III Configuration Identification 2-III Maintaining the Master Configuration Index (MCI) and Publishing NAS-MD III Fundamentals of Configuration Identification 2-III Selecting Configuration Items 2-III Developing Configuration Documentation 2-III Developing Product Top-Down Structure 2-III Assignment and Marking of Unique Identifiers 2-III Data Management 2-III Establishing and Maintaining Baselines 2-III NAS Functional Baseline 2-III Functional Baselines 2-III Product Baselines 2-III Operational Baselines 2-III Facility Baselines 2-III Assigning Corporate Identifiers 2-III Assignment of System-Level Specification, IRD, and ICD Numbers 2-III FAA Equipment Type Designation Number Request 2-III Configuration Change Management 2-III Configuration Control Board (CCB) Structure for Systems in the NAS 2-III NAS Change Proposal (NCP)/Configuration Control Decision (CCD) Process 2-III Originate Change 2-III NCP Evaluation 2-III Configuration Control Board (CCB) Decision Process 2-III Configuration Control Decision (CCD) Closure 2-III Instructions for NCP/CCD Forms 2-III Withdrawing Case Files or NCPs 2-III Amending NCPs 2-III Transferring a NAS Change Proposal (NCP) 2-III Amending Approved CCDs 2-III Emergency Modifications 2-III Change Management Metrics 2-III-295 Page iv

6 09/19/ CHG Requirements Traceability 2-III User and NAS-Level Traceability 2-III System-Level Traceability 2-III Sub-Tier Traceability 2-III Configuration Status Accounting 2-III National CM Information Management System 2-III Data Accessibility 2-III Configuration Verification and Audits 2-III Functional Configuration Audits (FCA) 2-III Physical Configuration Audits (PCA) 2-III Other Configuration Management (CM) Audits 2-III Commercial-Off-The-Shelf (COTS) Configuration Management 2-III-355 Part Three CM Standards and Standardization 3-1 Part Four Acronyms and Definitions 4-1 Section I: Acronyms Section II: Definitions Section III: Appendix/AMS Cross-Reference Table 4-I-1 4-II-1 4-III-1 Page v (and vi)

7 09/19/ CHG 2 DOCUMENT OVERVIEW This document is a uniform CM Policy with a four-part structure. Part One provides the top-level statements of CM policy. It contains three sections: General CM Policy, NAS CM Policy, and Non-NAS IT CM Policy. Part Two amplifies the policy statements to greater levels of detail of implementation. It contains three sections: the NAS CCB Charter and Operating Procedures; the National Process, and National CM Procedures for the NAS. Part Three identifies significant industry standards and FAA standards. Part Four contains the following sections to facilitate understanding and readability of the document: Acronyms and Definitions. The structure is illustrated below. Part One: Statements of Policy Specific policy elements that establish an association to the NAS and non-nas IT, acquisition, service area/regional, and maintenance/operational activities in the FAA. General CM Policy NAS CM Policy Non-NAS IT CM Policy Part Two: NAS CCB Charter and Operating Procedures National Process FAA life-cycle CM process that integrates CM and activities across organizations and functions National CM Procedures Corporate and standard operating plans and procedures that describe how to implement the Policy Statements in Part One Part Three: CM Standards and Standardization Significant industry-wide and FAA documents that establish engineering and technical requirements for the FAA CM process, procedures, methods, and information management Part Four: Acronyms and Definitions Page vii

8 09/19/ CHG 2 PART ONE - CONFIGURATION MANAGEMENT (CM) POLICY ELEMENTS SECTION I: General Configuration Management Policy Section I applies to all FAA systems, programs, investments and assets. Sections II and III detail policy elements specific to NAS and Non-NAS IT systems, programs, and assets as found in the FAA Enterprise Architecture. I-1 FAA enterprise-wide configuration management policy consists of a multi-layered structure - policy, process, and procedures, with each layer providing an increasing level of detail. This structure provides high-level configuration management requirements, and the detail for how these requirements are to be implemented. Policy, plans, process, and procedures shall be followed unless specifically designated as optional or discretionary. I-2 Configuration management shall apply to all FAA systems, programs, investments and assets captured in the Enterprise Architecture. The level of application shall include systems, subsystems, components and the related descriptive documentation. Configuration management of FAA systems shall be in compliance with all Agency safety and security requirements. Configuration management control begins with baselining of requirements documentation and ends with decommissioning of equipment or termination of services. I-3 Configuration management shall be applied to hardware, software, firmware, documentation, interfaces, standards, test and support equipment, facility space, spares, training and courseware, and manuals. A Configuration Control Board (CCB) shall ensure that documentation associated with approved changes to investments and approved solutions is updated to reflect the appropriate baseline. 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. FAA lines of business, staff offices, service organizations, service areas, and other solution providers shall evaluate, select, and tailor specific configuration management activities and develop the processes necessary to perform configuration management in their specific product environment. 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. 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. Configuration Part 1, Section I Page 1-I-1

9 09/19/ CHG 2 identification and product information shall be maintained and readily available to all FAA decision makers. Baselined documentation shall be maintained by the appropriate program FAA line of business, staff office, or service organization, and shall be accessible in a secure environment through the program support library. To ensure configuration management information is available to all decision makers and CM practitioners in the FAA community, the FAA Configuration Management Authority shall be responsible for providing the necessary training, facilities and electronic tools to document, monitor, and report on all CM information. I Baseline Management. FAA lines of business, staff offices, service organizations, service areas, and other solution providers shall establish and maintain configuration baselines. The configuration baselines represent the technical aspects of the approved program requirements. The responsible organization shall identify CIs for their approved programs and configuration manage those CIs through configuration baseline establishment and maintenance. Configuration baselines shall be established in accordance with paragraphs II-2.4 for the NAS and III-2.4 for Non-NAS IT. Configuration baseline definitions are provided in Part 4, Acronyms and Definitions The activity associated with establishing and maintaining these baselines are detailed in Part 2 for the NAS. 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. 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. 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. 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. Page 1-I-2 Part 1, Section I

10 09/19/ CHG 2 I-4.6 Information/Data Management. FAA lines of business, service organizations, service areas and other solution providers shall manage data relative to all shareable FAA information used to perform the FAA mission. Information/data management shall meet the requirements in FAA Order , Information/Data Management Policy. I-5 Configuration Control Boards. A Configuration Control Board with an approved Charter and Operating Procedures shall be the official agency-wide forum used to establish configuration management baselines and to approve/disapprove subsequent changes to those baselines. Proposed changes and associated decisions to configuration management baselines must be submitted to the appropriate Configuration Control Board on the appropriate agencyapproved forms. NAS change proposals shall be documented on the case file - NAS Change Proposal (NCP) form. Non-NAS IT changes shall be documented on the approved change proposal form. NAS decisions shall be documented on the Configuration Control Decision (CCD) form. Non-NAS IT decisions shall be documented on the approved form. The CCB shall assure compliance with CCDs. I-6 CCB Charters and Operating Procedures. CCB Charters and Operating Procedures shall be maintained to reflect the addition of new programs, the additions/deletions of configuration items, and changes to CCB membership. The FAA Configuration Management Authority shall assist FAA lines of business, staff offices, service organizations, service areas, and other solution providers with the development of Charters and Operating Procedures. All CCB Charters shall be coordinated with the FAA Configuration Management Authority and shall be approved by either the NAS CCB or Non-NAS IT CCB, as appropriate. The FAA line of business, staff office, service organization, service area, or solution provider CCB shall approve their Operating Procedures. I-7 Commercial Off-The-Shelf, Non-Developmental Items, and Commercially Available Software. Commercial Off-The-Shelf (COTS), Non-Developmental Items (NDI), and Commercially Available Software (CAS) systems shall be maintained under configuration control, after FAA acceptance. This control shall require the management of a performance specification, and a data package, if available. Control of COTS/NDI/CAS shall require the establishment and maintenance of records indicating the versions of at specific locations. When identifying COTS as a proposed solution, FAA lines of business, staff offices, service organizations and other solution providers shall analyze and consider the impacts of vendor modification of COTS/NDI/CAS products during vendor production and routine vendor maintenance. Appropriate constraints and notification requirements of vendor changes shall be incorporated into purchase and/or maintenance agreements to enable management of product changes to the maximum extent possible. I-8 Local Changes. Local changes affecting baselined systems in the in-service management phase of a program shall be evaluated by appropriate FAA lines of business, staff offices or service organizations and shall be authorized only by the responsible CCB. Part 1, Section I Page 1-I-3

11 09/19/ CHG 2 SECTION II: NAS Configuration Management Policy The FAA Enterprise Architecture consists of the NAS Enterprise Architecture and the Non-NAS Enterprise Architecture. This section describes configuration management policy applicable to NAS systems as identified in the NAS Enterprise Architecture. II-1 The NAS Configuration Control Board shall control changes to NAS systems and associated documentation either not assigned to a lower level CCB or not identified for control by the Joint Resources Council. The NAS CCB shall baseline Interface Requirements Documents and control any non-faa or non-baselined system interfaces to the NAS. The NAS CCB shall approve service organization, service area, and other solution provider CCB Charters and updates. The NAS CCB shall also determine resolution of problems regarding NAS system requirements among service organizations or other solution providers. II-1.1 The NAS Configuration Control Board shall approve changes to NAS technical documentation, and shall ensure the traceability of requirements from the NAS level to the system and subsystem level. This responsibility begins with the establishment of the functional baseline and continues throughout the lifecycle of the system. The NAS CCB shall manage changes to the Final Program Requirements (FPR). If those changes affect cost, schedule or performance of the system, the NAS CCB shall notify the JRC. II-1.2 The FAA Configuration Management Authority shall be responsible for coordinating the development and establishment of corporate configuration management policy. This role shall include monitoring, oversight, evaluation, and enforcement of corporate CM policy. A crossfunctional team comprised of FAA senior managers shall serve as a forum for addressing and resolving issues, and for implementing solutions to issues that affect configuration management in the FAA. This cross-functional team shall advise the FAA Configuration Management Authority and shall assist in the implementation of configuration management policy. II-1.3 The FAA Configuration Management Authority shall maintain a mechanism for assigning FAA type numbers, specification numbers, and Interface Requirements Document and Interface Control Document identifiers, which shall be used to identify systems, interface documentation, and system documentation. II-1.4 The FAA Configuration Management Authority shall make accessible NAS-MD-001, NAS Master Configuration Index Subsystem Baseline Configuration and Documentation Listing, using data available from the CM information management system. All Configuration Control Boards shall follow the direction given by the FAA Configuration Management Authority regarding the type, content, and availability of information in the information management system to ensure validity of data to be included in NAS-MD-001. Page 1-I-4 Part 1, Section II

12 09/19/ CHG 2 II-2 NAS Acquisition Level Configuration Management. II-2.1 Service organizations and those charged with providing solutions to approved NAS and service organization-level requirements shall be responsible for: Establishing, implementing and maintaining configuration management plan(s) to document the configuration management program, including the methodology and processes used to accomplish CM tasks. Including configuration management requirements for CM planning, process, procedures and products in all acquisition contracts for NAS equipment. Completing documentation of transition plans and activities for field organizations; and Managing the life cycle of configuration items and associated baseline documentation, which may include training material, courseware, and other National Airspace Integrated Logistics Support documentation assigned to their Configuration Control Board. II-2.2 Service organization Configuration Control Boards shall approve or disapprove proposed changes to configuration items under their purview for the life cycle of the configuration item. II-2.3 Configuration Control Boards shall ensure that all changes have been fully analyzed and coordinated with all organizations affected by the change. Proposed changes shall be referred to the NAS CCB if they exceed the approval authority of the service organization CCB or other solution provider CCB. II-2.4 Service organizations and other solution providers shall establish functional, allocated, product and operational baselines for all systems. Establishing and documenting site configurations and creating baseline documentation for FAA facilities shall be included in this responsibility in accordance with FAA-STD-058, FAA Standard, Facility Configuration Management. II-3 Service Area Configuration Management. II-3.1 Service Area Configuration Control Boards (SACCB) shall be responsible for controlling changes to facility as-built equipment layout drawings, critical power panel designations, and regional unique equipment, as identified in the approved SACCB Charter. Refer to FAA STD- 058, FAA Standard, Facility Configuration Management. II-3.2 Service area configuration management personnel shall validate, on a regular basis, the baselined facility space and power panel documentation for accuracy. The service area configuration management plan shall identify the baselined facilities subject to verification and audit and will include the audit interval. Part 1, Section II Page 1-I-5

13 09/19/ CHG 2 II-3.3 The service area configuration management plan shall document the configuration management program, including the methodology and processes used to accomplish service area CM tasks. II-4 Operational NAS Configuration Management II-4.1 Approved changes to operational NAS configurations shall be incorporated by all field activities as directed by the configuration control decision (CCD) or as required by FAA Order , NAS Modification Program. The Operations Support and the Modification Tracking Programs shall receive notice of the incorporation of the modification in accordance with the above named Order. Site configuration records shall be updated and the FAA Configuration Management Authority shall be notified of the action item closure. The CCD for the change that documents approval shall specify the estimated time for incorporation or implementation. II-4.2 Proposed changes and modifications to NAS operational configurations must be evaluated and processed in accordance with the approved CCB Charter and Operating Procedures and coordinated with or implemented by the Operations Support Program. After being processed through the appropriate management and organizational levels, the designated service /operations support prescreening organizations shall review proposed changes in accordance with the service organization CCB Charter and Operating Procedures. II-4.3 Changes and modifications may be made to operational NAS configurations to correct safety or emergency operational conditions, after approval by the designated official in accordance with FAA Order , NAS Modification Program. Documentation of all emergency modifications shall contain either a proposed change description/case file or be followed-up with a case file placed in the change control process within 5 working days. This documentation shall be forwarded to the appropriate service organization CCB in accordance with the service organization s CCB Charter and Operating Procedures. II-4.4 Service organizations shall provide the Operations Support organization with detailed documentation describing the operational baseline at the time of commissioning. This documentation consists of the contractually agreed to as-built lists, updated to reflect the configuration at the time of commissioning, and the serialization/revision/version status of all hardware, software, and firmware. This documentation is in addition to the functional, allocated, and product configuration documentation maintained by the service organization. Service organizations and other solution providers must also ensure that sites and field offices receive the contractually provided manuals. Documentation describing the operational baseline must be maintained as long as the system is operational in the NAS. Page 1-I-6 Part 1, Section II

14 09/19/ CHG 2 SECTION III: Non-NAS IT Configuration Management Policy The FAA Enterprise Architecture consists of the NAS Enterprise Architecture and the Non-NAS Enterprise Architecture. This section describes configuration management policy applicable to Non-NAS IT systems, programs, and assets as identified in the Non-NAS EA repository. III-1 The Non-NAS IT Configuration Control Board shall manage Non-NAS IT systems and associated documentation either not assigned to a lower level CCB or not identified for control by the Joint Resources Council, with the exception of data exchange standards, which are managed by the FAA Data Governance Board (FDGB). The Non-NAS IT CCB baselines Interface Requirements Documents and approves line of business/staff office and other solution provider CCB Charters and updates. The FDGB shall manage standard descriptions of FAA data for Non-NAS IT Systems. Order establishes the FDGB as the body responsible for creating, developing, and coordinating data exchange standards; and maintaining the corporate data management tools and services. III-1.1 The Non-NAS IT CCB shall approve changes to Non-NAS IT technical documentation, and shall ensure the traceability of requirements. This responsibility begins with the baselining of either the approved final program requirements (FPR) for programs producing an Exhibit 300, or the system specification used to acquire goods and services, or a requirements document approved by the head of the line of business/staff office or someone who has been delegated the authority to approve the requirements on behalf of the line of business/staff office and continues throughout the life cycle of the program. III-1.2 The FAA Configuration Management Authority shall maintain a mechanism for assigning FAA hardware names, asset tags, and Interface Requirements Document and Interface Control Document identifiers, which shall be used to identify systems, interface documentation, and system documentation. The FAA Configuration Management Authority shall coordinate changes of mechanisms with the affected organizations. III-1.3 All Configuration Control Boards shall follow the direction given by the FAA Configuration Management Authority regarding the type, content, and availability of information in a CM information management system. Part 1, Section III Page 1-I-7

15 09/19/ CHG 2 III-2 Non-NAS Acquisition IT Configuration Management. III-2.1 Lines of Business/Staff Offices and those charged with providing solutions shall be responsible for: Establishing, implementing and maintaining configuration management plan(s) to document the configuration management program, including the methodology and processes used to accomplish CM tasks. Including configuration management requirements for CM planning, process, procedures and products in all acquisition contracts for Non-NAS IT equipment. Completing documentation of transition plans and activities for field organizations; and Managing the life cycle of configuration items and associated baseline documentation, which may include training material, and courseware, assigned to their Configuration Control Board. III-2.2 Line of Business/Staff Office Configuration Control Boards shall approve or disapprove proposed changes to configuration items under their purview for the life cycle of the configuration item. III-2.3 Configuration Control Boards shall ensure that all changes have been fully analyzed and coordinated with all organizations affected by the change. Proposed changes shall be referred to the Non-NAS IT CCB if they exceed the approval authority of the line of business/staff office CCB or other solution provider CCB. III-2.4 Lines of Business/Staff Offices and other solution providers shall establish functional, allocated, product and operational baselines for all systems. Establishing and documenting site configurations, including as-built equipment layout drawings and critical power panel designations, and creating baseline documentation for FAA facilities shall be included in this responsibility. III-3 Non-NAS IT CM for Enterprise Data Centers and Other IT Facilities. Line of Business/Staff Office configuration management personnel shall validate, on a regular basis, the baselined facility space and power panel documentation for accuracy. The line of business/staff office configuration management plan shall identify the baselined facilities subject to verification and audit and will include the audit interval. The line of business/staff office configuration management plan shall document the configuration management program, including the methodology and processes used to accomplish IT facility CM tasks. Page 1-I-8 Part 1, Section III

16 09/19/ CHG 2 III-4 Operational Non-NAS IT Configuration Management III-4.1 Approved changes to operational Non-NAS IT configurations shall be incorporated as documented on the decision form. Site configuration records shall be updated and the FAA Configuration Management Authority shall be notified of the action item closure. If approved changes require additional time to incorporate beyond the timeframe specified on the decision form, the configuration control decision that documents approval of the change shall specify the estimated time for incorporation or implementation. III-4.2 Proposed changes and modifications to Non-NAS IT operational configurations shall be evaluated and processed in accordance with the approved CCB Charter and Operating Procedures. The affected lines of business/staff offices shall review proposed changes in accordance with the line of business/staff office CCB Charter and Operating Procedures after being processed through the appropriate management and organizational levels. III-4.3 Changes and modifications may be made to operational Non-NAS IT configurations to correct safety or emergency operational conditions, after approval by the designated official. Documentation of all emergency modifications shall contain either a proposed change description/case file or be followed-up with a case file placed in the change control process within 5 working days. This documentation shall be forwarded to the appropriate line of business/staff office CCB in accordance with the service line of business/staff office CCB Charter and Operating Procedures. III-4.4 Lines of business/staff offices shall provide their IT support organization with detailed documentation describing the operational baseline at the time the system is declared operational. This documentation consists of the contractually agreed to as-built lists, updated to reflect the configuration at the time the system is declared operational, and the serialization/revision/version status of all hardware, software, and firmware. This documentation is in addition to the functional, allocated, and product configuration documentation maintained by the line of business/staff office. Lines of business/staff offices and other solution providers must also ensure that sites and field offices receive the contractually provided manuals. Documentation describing the operational baseline must be maintained as long as the system is operational. Part 1, Section III Page 1-I-9

17 PART TWO CONFIGURATION MANAGEMENT (CM) HANDBOOK SECTION I: NAS CCB Charter and Operating Procedures Part Two, Section I Page 2-I-1 (and 2-I-2)

18 FEDERAL AVIATION ADMINISTRATION (FAA) NATIONAL AIRSPACE SYSTEM (NAS) CONFIGURATION CONTROL BOARD (CCB) CHARTER Supporting the Life Cycle Management of the National Airspace System September 5, 2000 Submitted by _(signature on file) Alan Moore, AAF-1 NAS CCB Co-Chair Submitted by (signature on file) John Scardina, ASD-1 NAS CCB Co-Chair Part Two, Section I Page 2-I-3 (and 2-I-4)

19 NAS CCB Signature Page SIGNATURES ON FILE Program Director, NAS Operations, AOP-1 Program Director, NAS Transition and Integration, ANS-1 Date Date Program Director, Operational Support, AOS-1 DOD Liaison, ARS-7 Director, Air Traffic Service, AAT-1 Director, William J. Hughes Technical Center, ACT-1 Associate Administrator for Information Services, AIO-1 Director, FAA Logistics Center, AML-1 Director, Office of Communication, Navigation and Surveillance Systems, AND-1 Director, Free Flight Phase One, AOZ-1 Director, Air Traffic System Requirements Service, ARS-1 Program Director, Architecture & System Engineering, ASD-100 Director, Office of Independent Operational Test & Evaluation, ATQ-1 Director, Office of Air Traffic Systems Development, AUA- 1 Director, Office of Aviation Research, AAR-1 Assistant Administrator for System Safety, ASY-1 Date Date Date Date Date Date Date Date Date Date Date Date Date Date Part Two, Section I Page 2-I-5 (and 2-I-6)

20 Table of Contents 1.0 INTRODUCTION Purpose Authority NAS CCB RESPONSIBILITIES NAS CCB PARTICIPANTS NAS CCB RECOMMENDATIONS AND DECISIONS Configuration Control Decisions (CCD) Consideration of Technical Issues not Submitted as an NAS Change Proposal (NCP) Co-chair adjudication outside of Board Disputes CHANGES TO THE CHARTER DELEGATION OF NAS CCB AUTHORITY Delegation of Authority to Life Cycle Support CCBs APPENDIX A: CONFIGURATION ITEMS APPENDIX B: ACRONYM LIST Part Two, Section I Page 2-I-7 (and 2-I-8)

21 Federal Aviation Administration National Air Space Configuration Control Board Charter INTRODUCTION 1.1 Purpose This charter establishes the National Airspace System (NAS) Configuration Control Board (CCB) and assigns the CCB responsibilities. This charter also identifies the responsibilities for configuration control of Configuration Items (CI). 1.2 Authority The NAS CCB is the senior board responsible for establishing and maintaining the NAS-level baseline. The NAS CCB also serves to resolve disputes forwarded from subordinate level Life Cycle Support CCBs, and may be called upon to examine technical issues, associated with change, with wide-ranging impact. The Authority of the NAS CCB is established in the CM Policy of the Acquisition Management System (AMS) and FAA Order , Policy Statements II-1 and II-2. (See figure 1-1 for CCB structure and hierarchy) Part Two, Section I Page 2-I-9

22 Change Control Board (CCB) Structure NAS CCB! NAS-SR-1000! NAS-DD-1000! Elements of NAS Technical Architecture! FRDs (After JRC-2 Approval)! IRDs! Special Case ICDs! Standards! Non-assigned NAS Systems! Changes Affecting Multiple IPTs when No IRD or ICD is Approved! Changes to Non-NAS Systems with NAS Interfaces (including Prototypes) IPT/Solution Provider CCBs NAS Test Bed WJHTC TCCCB Regional CCBs! Specifications! Manuals! Technical Instructions! Engineering Drawings! Engineering Documents! Version Description Documents! Interface Control Documents! Maintenance Handbooks! Power Systems! NAS Generic Facility Drawings! Test Plans/Procedures! Test Modifications (IPT/ Field Support)! TC-Unique Equipment! TC Equipment Baseline Management! Space Management/As- Builts! Equipment Layout Drawings! Critical Power Panel Drawings! Space Management/As- Built Equipment Layout Drawings! Regional-Unique Equipment! Site-Specific Transition Drawings! Critical Power Panel Drawings Figure 1-1 Part Two, Section I Page 2-I-10

23 2.0 NAS CCB RESPONSIBILITIES The responsibilities of the NAS CCB are: a) Identifying and controlling changes to the NAS baseline for Configuration Items (CIs) identified in Appendix A; b) Review, approve, disapprove, or defer NCPs coming before the NAS CCB c) Examining technical Issues not submitted as formal changes but which either 1) relate directly to strengthening the application of CM principles; or 2) serve to prepare a recommendation to the Joint Resources Council (JRC) d) Baselining the Technical Architecture Requirements; e) Baselining of Interface Requirement Documents (IRDs); f) Adjudicating differences and resolving issues elevated from other Life Cycle Support CCBs; g) Ensuring traceability of NAS level documentation/baselines to program level documentation/ baselines; h) Providing an Agency-wide forum for the discussion of technical issues (as opposed to cost, schedule or benefits issues) at the discretion of the Co-Chairs; i) Ensure through Configuration Status Accounting (CSA) that all approved changes are tracked and documented; j) Ensure that the Master Configuration Index (MCI, NAS-MD-001) is kept updated to reflect the current status of NAS CCB Configuration Items listed in Appendix A; k) Approval authority for all other FAA Life Cycle Support CCB charters; l) Approving and implementing the NAS CCB Operating Procedures and all changes; m) Keeping this Charter current and submitting changes for approval to ARA-1 and ATS-1; n) Adjudicating changes to Systems and CIs not assigned to subordinate level Life Cycle Support CCBs; o) Approving ICDs for which an IRD is not already approved; p) Approving changes when an IRD or ICD is not approved and the change impacts more than one IPT. Part Two, Section I Page 2-I-11

24 3.0 NAS CCB PARTICIPANTS The participants and their responsibilities are as follows. A pre-designated alternate may be selected. a. Co-Chairs. The Co-Chairs are responsible for adjudicating proposed changes presented to the CCB, assigning action items for items at the CCB as necessary, approving CCB operating procedures; designating NAS CCB ad hoc members; and approving advisors, consultants or technical specialists. b. Executive Secretary. The Executive Secretary is responsible for determining the NCPs that are ready for disposition at the CCB, scheduling meetings (in coordination with the NAS CCB Co-Chairs), and preparing and distributing the agenda and CCB package. The Executive Secretary assists the Co-Chair to ensure orderly conduct of the meetings and prepares the draft minutes for approval at the next CCB. The Executive Secretary provides change processing and status accounting services to the CCB, this includes reporting on pending NAS Change Proposals (NCPs) (FAA Forms ), Change Control Decision (CCD) (FAA Forms ) closure, and action items assigned at the NAS CCB. The Program Director, Configuration Management and Evaluation, ACM-1, or designated representative, shall serve as the Executive Secretary. c. Permanent Members (1) AAF-1 Director, Airways Facility Service (Co-Chair) (2) ASD-1 Director, System Architecture and Investment Analysis (Co-Chair) (3) AAR-1 Director, Office of Aviation Research (4) AAT-1 Director, Air Traffic Service (5) ACT-1 Director, William J. Hughes Technical Center (6) AIO-1 Associate Administrator for Information Services (7) AML-1 Director, FAA Logistics Center (8) AND-1 Director, Office of Communication, Navigation and Surveillance Systems (9) ANS-1 Program Director, NAS Transition and Integration (10) AOP-1 Program Director, NAS Operations (11) AOS-1 Program Director, Operational Support (12) AOZ-1 Director, Free Flight Phase One Program Office (13) ARS-1 Director, Air Traffic System Requirements Service (14) ARS-7 DOD Liaison (15) ASD-100 Program Director, Architecture and System Engineering (16) ATQ-1 Director, Office of Independent Operational Test & Evaluation (17) AUA- 1 Director, Office of Air Traffic Systems Development (18) ASY-1 Assistant Administrator for System Safety Part Two, Section I Page 2-I-12

25 d. Ad Hoc Members. Ad Hoc Members represent government organizations that are not permanent members of the NAS CCB, which may be impacted by changes being decided by the NAS CCB. Their function shall be to ensure that proposed changes are consistent with the technical and policy positions of their organizations. e. Technical Advisors and Consultants These personnel will be invited to attend NAS CCB meetings to provide specialized technical or program management information. 4.0 NAS CCB RECOMMENDATIONS AND DECISIONS The NAS CCB shall review and approve, disapprove, or defer the proposed NCPs. The Co- Chairs may poll the members for their position. However, the NAS CCB Co-Chairs make the final decision. The NAS CCB shall not approve proposed changes that are not funded. In making decisions or recommendations regarding proposed changes, the NAS CCB shall consider improvements on the basis of safety, operational effectiveness, logistics supportability, lifecycle cost savings, and affordability. The NAS CCB provides final approval for proposed baseline changes unless a JRC controlled parameter in the Acquisition Program Baseline (APB) (such as cost, schedule, performance or benefits) is affected. In this case the baseline change is initially approved by the NAS CCB, and a recommendation is forwarded from the NAS CCB to the JRC for final approval. Decisions by the Co-Chairs may be disputed and if not resolved by the NAS CCB will be raised to the Associate Level (ARA-1 and ATS-1) for adjudication. 4.1 Configuration Control Decisions (CCD) The Executive Secretary prepares the Configuration Control Decision (CCD), which documents the decisions made and actions assigned by organization, for Co-Chairs signature. The following actions may be taken on an NCP: a. Approve. b. Disapprove. The reasons for disapproval shall be stated in the CCD and meeting minutes. c. Approve with changes. Identify those changes in the CCD and meeting minutes, referencing the resolution of comments section of the NCP. d. Defer. State the reason for deferral and associated action items, and date when the item will be brought to the board again. Adjudication of an NCP shall not be indefinitely deferred. 4.2 Consideration of Technical Issues not Submitted as an NAS Change Proposal (NCP) The NAS CCB Co-Chairs may decide to consider technical issues not submitted as an NCP. Part Two, Section I Page 2-I-13

26 The Co-Chairs may assign technical actions to any NAS CCB member. The CCB Executive Secretary will provide action item tracking. The Co-Chairs will decide if any decision documentation beyond the usual NAS CCB minutes is required, and will assign an action item to prepare any such documentation. 4.3 Co-chair adjudication outside of Board The NAS CCB Co-Chairs have the authority to adjudicate an NCP outside the regularly scheduled CCB. All change requests processed outside the normal CCB process shall be recorded in the minutes of the next scheduled CCB. Questions and concerns regarding CCB decisions shall be addressed to the Executive Secretary, who will present them to the NAS CCB Co-Chairs. 4.4 Disputes Any disputes with the decision rendered by the Co-Chairs shall be registered either at the CCB meeting or in writing to the Co-Chairs and Executive Secretary within 5 working days after the distribution of the minutes. 5.0 CHANGES TO THE CHARTER Changes to this Charter, as recommended by the NAS CCB, require approval of ARA/ATS. 6.0 DELEGATION OF NAS CCB AUTHORITY The NAS CCB Co-Chairs can authorize, in writing, to the CCB Executive Secretary, other individuals to act as a chairperson. The pre-designated Co-Chairs are the Deputy Director for Systems Architecture and Investment Analysis, ASD-2, and the Deputy Director of Airways Facilities, AAF-2. NAS CCB permanent members can delegate specific authority via advance notice to the NAS CCB Executive Secretary. Additionally, when time critical or urgent processing of proposed change requests are necessary, the NAS CCB Co-Chairs may approve or disapprove changes without benefit of a CCB meeting or member review. All change requests processed outside the normal CCB process shall be documented and communicated to permanent members as soon as practicable, or at the next regularly scheduled meeting. Questions and concerns regarding CCB decisions are addressed to the CCB Executive Secretary and will be presented to the NAS CCB Co-Chairs. 6.1 Delegation of Authority to Life Cycle Support CCBs NAS CCB approval of the charters for other Life Cycle Support CCBs, effectively delegates authority and responsibility for managing the Configuration Item Baselines identified in Appendix A of the Life Cycle Support CCB charter (except for ICDs when no IRD is in place). This includes responsibility for definition and implementation of change management and control procedures for these CIs. Part Two, Section I Page 2-I-14

27 APPENDIX A: CONFIGURATION ITEMS The Configuration Items listed below fall within the purview of the NAS CCB. This Appendix may be amended at any time with written approval of the Co-Chairs. -The NAS System Requirements Specification (NAS-SR-1000)* -The NAS Design Document Specification (NAS-DD-1000)* -Interface Requirements Documents -NAS Level Requirements -Elements of the NAS Technical Architecture -Final Requirements Documents (FRD) approved or baselined at JRC-2 -Non-assigned NAS Systems and Configuration Items (CIs) -Interfaces of Non NAS Equipment and Prototypes to NAS Equipment -Standards Interface Control Documents are the responsibility of the IPTs but may be elevated to the NAS CCB for adjudication when: a) An approved IRD is not in place b) Issues remain unresolved at the IPT level * Until superceded by Elements of the NAS Technical Architecture Part Two, Section I Page 2-I-15 (and 2-I-16)

28 APPENDIX B: ACRONYM LIST AFSS ARTCCs ATCT AMS APB CCB CCD CI CM CSA DOCCON FRD ICD IPT IRD JRC JRC-2 NAS NCP PSF RDB SEC Automated Flight Service Stations Air Route Traffic Control Centers Air Traffic Control Tower Acquisition Management System Acquisition Program Baseline Configuration Control Board Configuration Control decision Configuration Item Configuration Management Configuration Status Accounting Documentation and Configuration Identification System Final Requirements Document Interface Control Document Integrated Product Team Interface Requirements Document Joint Resources Council Joint Resources Council Investment Decision National Airspace System NAS Change Proposal Power Systems and Facilities Requirements Data Base Systems Engineering Council Part Two, Section I Page 2-I-17 (and 2-I-18)

29 NATIONAL AIRSPACE SYSTEM CONFIGURATION CONTROL BOARD OPERATING PROCEDURES September 5, 2000 Part Two, Section I Page 2-I-19 (and 2-I-20)

30 Table of Contents 1.0 INTRODUCTION PURPOSE SCOPE GUIDING PRINCIPLES DEFINITIONS ORGANIZATION AND RESPONSIBILITIES NAS CCB ORGANIZATIONAL RELATIONSHIPS PROCEDURES MEETINGS Scheduling Issue Briefs Pre-Briefs Agenda Preparation and Distribution Conduct of Meetings Preparation and Dissemination of Minutes DECISION MAKING NAS Change Proposals (NCPs) Configuration Control Decisions (CCDs) Implementation and Closure Disputes Part Two, Section I Page 2-I-21 (and 2-I-22)

31 1.0 INTRODUCTION The National Airspace System (NAS) Configuration Control Board (CCB) is responsible for top level Configuration Management (CM) of the NAS for the agency. This includes Configuration Management of the NAS Technical Architecture, traceability of requirements from the NAS documentation/baselines to the program documentation/baselines, and delegation of CCB authority for lower level CM baselines to the appropriate solution providers. The NAS CCB serves as the final decision making authority for technical CM decisions, e.g. CV4400, TARDIS, that are not accomplished at other CCBs. 1.1 Purpose This document describes the standard operating procedures for the NAS CCB as chartered by the National Airspace System Configuration Control Board Charter. 1.2 Scope This procedure applies to the operation of the NAS CCB for the adjudication and tracking of the implementation of approved Configuration Items (CI), as identified in Appendix A of the NAS CCB Charter, changes to those CIs (within the scope of its charter), consideration of other NAS technical issues, and approval of all subordinate CCB Charters. Issues that are not within the scope of the CCB charter will be referred to the appropriate FAA body or organization. 1.3 Guiding Principles The NAS CCB is comprised of organizations that are impacted by changes to the NAS infrastructure. The members of the NAS CCB collectively identify all significant implications relative to the disposition of proposed changes to NAS CCB CIs. Utilizing procedures defined in this document, the Board reviews proposed changes, which affect interface requirements, and changes to systems, which affect the NAS Level Requirements or NAS Architecture. The CCB may also consider other technical issues as directed by the Co-Chairs. 2.0 DEFINITIONS Configuration Management (CM) A discipline applying technical and administrative direction and surveillance to identify and document the functional and physical characteristics of an item; control changes to those characteristics; and record and report change processing and implementation status. Part Two, Section I Page 2-I-23

32 Configuration Control Board (CCB) - The official FAA authorized vehicle to approve CM baselines and subsequent changes. There are several levels of CCBs: the NAS; the IPT or other solution provider; those that manage software baselines or testing facilities; and the Regions. The configuration items controlled by each CCB are identified in the respective CCB charters. Configuration Item (CI) - An aggregation of hardware/software/firmware/documentation, which satisfies an end use function and is designated for Configuration Management by the FAA. National Airspace System (NAS) - The common network of U.S. airspace; air navigation facilities; equipment and services; airports and landing areas; aeronautical charts; information and services; rules regulations and procedures; technical information; and manpower and material. System components shared jointly with the military are included. NAS-MD-001- National Airspace System Master Configuration Index (MCI), subsystem baseline configuration and documentation listing. NAS Level Requirements - The aggregation of shall statements found in NAS CCB CIs. Case File/NAS Change Proposal (NCP) (FAA FORM ) - The approved form used to request change to a NAS baseline, including adding new systems. Copies of the form and instructions on how to fill it out are found in NAS-MD-001 and the FAA CM Web page (faa.gov/cm). Configuration Control Decision (CCD) (FAA FORM ) - The approved form used to document a decision and implementation, as appropriate, for a Case File/NCP. Copies of the form and instructions on how to fill it out are found in NAS-MD-001 and the FAA CM Web page (faa.gov/cm). 3.0 ORGANIZATION AND RESPONSIBILITIES The NAS Configuration Control Board is comprised of Co-Chairs, Executive Secretary, permanent members (or pre-designated alternates), Ad Hoc members, and Technical Advisors and Consultants. Responsibilities are detailed in the NAS CCB Charter. Part Two, Section I Page 2-I-24

33 4.0 NAS CCB ORGANIZATIONAL RELATIONSHIPS The Joint Resources Council (JRC) establishes and manages Acquisition Program Baselines (APBs), which define cost, schedule, performance, and benefit parameters for programs over the full lifecycle of the program. Final Requirements Documents (FRD), which are approved at JRC-2 as part of the Investment Decision, are configuration managed by the NAS CCB. The NAS CCB will evaluate all technical changes to the FRD and make recommendations to the JRC. The NAS CCB is responsible for ensuring traceability from NAS CCB-controlled Configuration Items to specific IPTs and program documents. This traceability is currently provided by the Documentation and Configuration Identification System (DOCCON). Future traceability will also be provided by the Technical Architecture. The boundary between the responsibility of the NAS CCB and the individual program is defined through identification of Configuration Items in Appendix A of the NAS CCB s Charter and the IPT CCB s Charter. The IPTs are responsible for the Case Files/NCPs for CIs that cross CCB responsibilities, unless the Case File/NCP cannot be resolved at the IPT level, at which time it is sent to the NAS CCB for adjudication. NCPs for systems not covered by existing CCBs (non-allocated ) are the responsibility of the NAS CCB. An example of a CI that may cross CCB responsibilities is an Interface Control Document (ICD). Baselining or changing an ICD would be the responsibility of the NAS CCB only if the IPT CCBs involved could not resolve any associated issues or an approved IRD for that system was not in place. The senior IPT or the IPT with the more mature effected system would initiate the ICD or changes to same. When a national CM baseline is to be established, the JRC is typically approached for program approval and adoption of the program APB. Before approval, a casefile shall be submitted which identifies which NAS-level requirements that are to be satisfied by the program. Case File and NCP forms and their instructions can be found in NAS-MD-001 and on the FAA CM Web page. These NAS requirements are resident in the FRD. The Case File will identify all documentation that comprises the program. If the corresponding Case File/NAS Change Proposal (NCP) is approved by the NAS CCB, a recommendation of approval is made to the JRC by the NAS CCB. Contingent upon approval and adoption of the new program by the JRC, the program is established in the national Master Configuration Index. The JRC at this time designates a funding level to accomplish the program. Any changes to the JRC baselined technical documentation will require a new Case File/NCP, and if applicable, an updated FRD. Changes to program baselines are typically accomplished as follows: Part Two, Section I Page 2-I-25

34 If there is a proposed change to the program baseline affecting a NAS CCB configuration item, as defined in the NAS CCB Charter, a Case File/NCP is submitted for processing by the NAS CCB. The NAS CCB reviews the proposed change and can approve, modify, or reject the change based upon the technical merit of the proposed change. If this also requires a change to a JRC controlled parameter in the APB (such as cost, schedule, performance or benefits), the NAS CCB will produce an NCP synopsis for the JRC. Upon approval by the JRC, the CCD is formally signed and approved. An example of where it would be appropriate to go to the NAS CCB is the proposed establishment of a national baseline for existing region-unique equipment. The NAS CCB can be asked to consider issues such as: verification that a national requirement exists; verification that a plan for life-cycle support is formalized; determination of the impact of nationalization on the NAS Architecture. If additional funding is required, the JRC is approached with the NAS CCB s NCP synopsis. 5.0 PROCEDURES The following procedures apply to the operation of the NAS CCB. 5.1 Meetings Scheduling The CCB Executive Secretary will schedule NAS CCB meetings, as approved by the Co-Chairs, on a bimonthly basis. The Checklist found in shall be used to prepare for CCB meetings. Frequency of meetings is determined by the availability of issues to be considered by the board. If no issues are ready for consideration at a particular meeting, it will be cancelled with cc:mail notification provided before the deadline for Agenda distribution. The CCB Executive Secretary will provide the meeting time and location no later than two weeks prior to the CCB Issue Briefs The CCB Executive Secretary shall schedule an Issue brief prior to the pre-brief. The issue brief shall be for sponsors of NCPs and other issues on the agenda and other interested parties to discuss and resolve issues. Unless granted a waiver by the Executive Secretary, each proposed issue must have an advocate at the issue meetings to present a short summary of the proposed issues and to answer any questions. The issue brief shall be no less than five working days before the CCB Pre-Briefs The CCB Executive Secretary will arrange pre-briefs for both Co-Chairs. The objective of the pre-briefs is to inform the Co-Chairs of the proposed issues for Part Two, Section I Page 2-I-26

35 the next CCB meeting. Co-Chairs may decide to adjudicate items at the prebrief. If all items are disposed of at the pre-brief, the CCB will be cancelled Agenda Preparation and Distribution An agenda and CCB package will be sent by the Executive Secretary or designee to the membership at least one week before the scheduled CCB. The Agenda may be distributed in hard copy or electronically. The criteria for selection as an agenda item are: a. All stakeholders (must evaluators) have had an opportunity to comment; -Time critical NCPs may be taken to the CCB without all must evaluation responses. b. Funding is available; c. All nonconcurs and concur with comment are appropriately resolved or addressed; -If comments cannot be resolved, the item may be taken to the CCB for resolution Conduct of Meetings The CCB Executive Secretary will lead the CCB meetings. Each issue considered by the board must have an advocate present to provide a summary of the proposal, to discuss the resolution of any issues, and to answer any questions. The Co-Chairs reserve the right to defer an item if no advocate is present Preparation and Dissemination of Minutes The CCB Executive Secretary will prepare CCB meeting minutes for signature by the Co-Chairs. At the option of both Co-Chairs, signature of the minutes may be delegated to the CCB Executive Secretary. Meeting minutes, at a minimum, will include discussion, decisions, a copy of any signed CCDs, other assigned actions and a list of attendees. 5.2 Decision Making The Co-Chairs may poll the CCB permanent members to assess the prevailing opinion and to ensure that any objections have been considered. The actual decision is made by agreement of the Co-Chairs. The following decisions can be made on issues brought before the NAS CCB: a. Approve. b. Disapprove. The reasons for disapproval shall be stated in the CCD and meeting minutes. c. Approve with changes. Identify those changes in the CCD and meeting minutes, referencing the resolution of comments section of the NCP. Part Two, Section I Page 2-I-27

36 d. Defer. State the reason for deferral and associated action items, and date when the item will be brought to the board again. Adjudication of an NCP shall not be indefinitely deferred NAS Change Proposals (NCPs) Decisions on NCPs are made by both Co-Chairs and can be made independent of a convened CCB if there are not any outstanding issues Configuration Control Decisions (CCDs) CCDs shall contain the specific actions that are necessary to implement NCPs. Each action shall be assigned to a specific organization and shall have an assigned due date. Both Co-Chairs shall sign the CCD Implementation and Closure The Executive Secretary will periodically review CCDs to verify implementation and closure and bring special cases to the attention of the Co-Chairs. The NAS CCB Executive Secretary shall provide a bimonthly report to all NAS CCB Members of all open NCPs/CCDs. The NAS CCB Executive Secretary shall ensure all pertinent Case File/NCP/CCD and action item(s) data are entered into the appropriate CM database Disputes The NAS CCB is the highest level CCB dealing with the NAS in the FAA. Any disputes with the decision rendered by the Co-Chairs shall be registered either at the CCB meeting or in writing to the Co-Chairs and Executive Secretary within 5 working days after the distribution of the minutes. The Executive Secretary shall note any pending disputes to the Co-Chairs. If the dispute can not be resolved at the NAS CCB, the Co-Chairs will raise the dispute to the Associates (ARA-1 and ATS-1) for adjudication. Part Two, Section I Page 2-I-28

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85 /29/99 Life-Cycle CM Process CHANGE MANAGEMENT and IMPLEMENTATION INPUT/OUTPUT MATRIX INPUT Identified Problem 1. IDENTIFY PROBLEM/ IMPROVEMENT REQUEST OUTPUT Identified Request Identified Request 2. REQUIRE BASELINE CHANGE (If yes) Change Request (If no) Maintenance Action Maintenance Action 3. FIX PROBLEM Completed Maintenance Action Preliminary Change Request 4. RECOGNIZE NEED FOR CHANGE Change Information Emergency Solution 4.1 PROCESS EMERGENCY MODIFICATIONS SMO Manager Approved Emergency Modification Change Request (CR) Change Information Change Request (CR) 5. INITIATE CHANGE REQUEST 6. EVALUATE CHANGE Change Request (CR) Technical Evaluation Engineering Evaluation Testing Impact Logistics Impact Training Impact Documentation Impact Interface Impact Operational Impact Facility Impact Identify Funding Sponsor Programmatic Evaluation Sponsor ID Cost Evaluation Cost to Fix (Engineering) Cost of Documentation Updates Cost of Training Cost of Implementation (include travel) Page 2-II-52 Part Two, Section II

86 11/29/ Life-Cycle CM Process CHANGE MANAGEMENT and IMPLEMENTATION INPUT/OUTPUT MATRIX INPUT Technical Evaluation Engineering Evaluation Testing Impact Logistics Impact Training Impact Documentation Impact Interface Impact Operational Impact Identify Funding Sponsor Programmatic Evaluation Sponsor ID Cost Evaluation Cost to Fix (Engineering) Cost of Documentation Updates Cost of Training Cost of Implementation (include travel) Change Request (including technical, program, and cost evaluations) Comment Resolution 7. RESOLVE COMMENTS 8. CONDUCT CCB 8.1 Develop/Distribute CCB Agenda 8.2 Develop/Distribute CCB Minutes OUTPUT Comment Resolution Change Request Disposition Follow-on Actions Change Request Comment Resolution 9. CCB DISPOSITION OF CR (If Approved) Configuration Control Decision (CCD) Actions (If Disapproved) Originator Notification Disapproved CCD 10. NOTIFY ORIGINATOR Receipt of Originator Notification Approved CCD CR Information Resolution of Comments 11. IMPLEMENT CONFIGURATION CONTROL DECISION (CCD) ACTIONS CCD Actions Part Two, Section II Page 2-II-53

87 /29/99 Life-Cycle CM Process CHANGE MANAGEMENT and IMPLEMENTATION INPUT/OUTPUT MATRIX INPUT OUTPUT CCD Actions Documentation Drawings Specifications Tech Instructions Tech Manuals Orders Software Documentation Training Manuals CCD Actions 12. UPDATE DOCUMENTATION 13. DISTRIBUTE DOCUMENTATION 15. DEVELOP AND TEST MODIFICATION (HW AND SW) Documentation Drawings Specifications Tech Instructions Tech Manuals Orders Software Documentation Training Manuals CSA Distribution Vehicle with Documentation Attached CSA Modification CSA CCD Actions Modification 16. DISTRIBUTE MODIFICATION Modification Documentation 16.1 UPDATE LOGISTICS Distribution Vehicle with Modification Attached CSA Feedback to CSA Feedback to Logistics (Anywhere housing spares) Distribution Vehicle with Modification Attached 17. INSTALL MODIFICATION Site-Specific and Test Bed Feedback to CSA Site-Specific and Test Bed Feedback to CSA 14. CCD CLOSURE CCD Closure Notification to CSA Page 2-II-54 Part Two, Section II

88 11/29/ Life-Cycle CM Process Configuration Verification and Audit Process Flow 1. Provide Configuration Verification Results or Baseline Test Results Physical CI/CSCI 2. Execute Audit Planning 3. Conduct Audit 4. Conduct Post Audit Activities 5. Update CSA CM Process Approved Configuration Documentation Part Two, Section II Page 2-II-55

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110 PART TWO CONFIGURATION MANAGEMENT (CM) HANDBOOK SECTION III NATIONAL CONFIGURATION MANAGEMENT PROCEDURES Page 2-III-1 (and 2-III-2)