Europe Manchester UK FEB 2000 CM Seminar A

Europe Manchester, UK, FEB 2000 CM Seminar A 1 – Establishing Industry Best Practices Configuration Management Based on Best Practices Alan E. Lager MLR Associates 2801 Park Center Drive, #A 1612, Alexandria, VA 22302, USA Voice: 1 703 5673280; 1 703 624 8857 Fax: 1 703 567 -3279 E-Mail: alan_e_lager@email. msn. com http: //www. mlrassociates. com MLR Associates 11 -99 1

Configuration Management Based on Best Practices Agenda n n What is CM -- Really? What are Best CM Practices? ANSI/EIA-649 Perspective Fundamental CM Principles – – – n MLR Associates Planning and Management Configuration Identification Configuration control Configuration Status Accounting Configuration Verification and Audit Measuring and Benchmarking CM Practices 11 -99 2

What is Configuration Management - Really? MLR Associates 11 -99 3

What is CM - Really! Updated Configuration Known Current Configuration Change Requests • Improve design • Increase reliability • Enhance Maintainability • Reduce Cost • Etc. IN CM OUT Status Controlling changes from idea inception to incorporation in all affected items MLR Associates 11 -99 4

What is CM - Really? n CM makes sure that: The configuration of a product is known and reflected in product information – Product change is beneficial and effected without adverse consequences – Change is managed from idea inception to incorporation in all items affected – MLR Associates 11 -99 5

What is CM - Really? CM is an amalgamation of a set of best industry practices n Properly applied, CM n – Serves both the provider (developer, producer, supplier) and the user (customer) of a product – Facilitates Logistic Support (Product Support) and product maintenance – Is a Cost Avoider NOT a Cost Driver!!! MLR Associates 11 -99 6

What are Best CM Practices? MLR Associates 11 -99 7

What are “Best Practices” n n Practices that are the benchmark by which similar activities are judged Methods that – – – Are effective and efficient Meet customer requirements Have rational performance goals Include performance measurement standards Align with corporate business objectives Position the organization as a leader MLR Associates 11 -99 8

What are Best CM Practices? Customer Environment Supplier Environment Applicable CM Principles Assess Measure Benchmark Documented CM Process Integrated in Organizational Process MLR Associates 11 -99 9

ANSI/EIA-649 Perspective ANSI/EIA 649 “National (US) Consensus Standard on Configuration Management” ANSI American National Standards Institute EIA MLR Associates Electronic Industries Alliance 11 -99 10

ANSI/EIA-649 Perspective n EIA-649 Presents Industry View 649 View MIL-STD View Buyer imposed Requirements n Industry “Best Practices” employing CM principles EIA- 649 Rationale for Performing CM – Provides Benefit – Avoids Cost – Best Value MLR Associates 11 -99 11

ANSI/EIA-649 Perspective Allows common sense application of CM principles n De-fuses the terminology issue using Aliases Purpose n Sells CM on its Merits – Example: Product attributes are defined Benefits » Measurable Performance Parameters n » Both Buyer & Seller have common basis for acquisition & use of the product MLR Associates 11 -99 12

Fundamental CM Principles CM Planning & Management MLR Associates 11 -99 13

CM Planning & Management Purpose and benefits n n n To assure that the appropriate CM processes and activities are applied To establish CM organizational responsibilities To determine the necessary resources and facilities To provide a basis for continuous improvement To enhance the maturity of the enterprises process MLR Associates 11 -99 14

Configuration Management Processes (ANSI/EIA 649) CM PLANNING & MANAGEMENT CONFIGURATION IDENTIFICATION Selection, tailoring, guidance, oversight Attributes, identifiers, baselines CM information & status CONFIGURATION CHANGE MANAGEMENT Manage changes CONFIGURATION STATUS ACCOUNTING CM OF DIGITAL DATA CONFIGURATION VERIFICATION/AUDIT Assure data integrity Verify performance & consistency MLR Associates 11 -99 15

CM Planning & Management EIA 649 - CM Principle #1 n Be Prepared! Plan CM processes for the context and environment in which they are to be performed and manage in accordance with the planning: – – MLR Associates Assign Responsibilities/Document procedures Train personnel Measure Performance; and Assess measurements/trends to effect process improvements 11 -99 16

CM Planning & Management Consistent with ISO 10007 - CM Plan n 7. 7 Configuration Management Plan – A CMP provides the CM procedures that are to be used and states who will undertake these and when n 1. Plan 2. Document Procedures 3. Do what you plan 8. Configuration Management System Audit – Determine conformity of the applied CM practice to the procedures described in the CM plan MLR Associates 11 -99 17

Fundamental CM Principles Configuration Identification MLR Associates 11 -99 18

Configuration Identification EIA 649 - CM Principle #8 n Configuration identification is the basis from which the configuration of products are defined and verified; products and documents are labeled; changes are managed; and accountability is maintained. n Benefits are realized only if there is consistency between the product and the information about the product n Product attributes are – Defined in configuration documentation – Achieved in the product – Verified for consistency between product and documentation MLR Associates 11 -99 19

Purpose and Benefits of Configuration Identification Determines structure of the product & documentation n Defines performance, interface & other attributes n Provides unique identity to product, components and documentation n Prescribes identification marking n Modifies product and document identifiers to reflect incorporation of major changes n MLR Associates 11 -99 20

Purpose/Benefits, continued Maintains release control and baseline definition n Provides reference for changes & corrective actions n Correlates document revision level to product configuration n – Enables user to distinguish between product versions – Enables service person to correlate product to instructions – Correlates units to warranty/service life MLR Associates 11 -99 21

Systems Engineering Reqmts/Functio nal Analysis -Allocation & Synthesis Contract Provisions Product Structur e Configuration Items selected and Requirements allocated Determin e CIs Logistics Maintenanc e Plan Approved Engineering Changes Configuratio n Documentati CM Planning on Documented CM Process Appropriate Configuration Document Types and Baselines selected Select Config. Doc. Types/ Baselines Identify Documents & Items Document and Item Identifiers assigned Configuration Documentation Approve, Approved, Release & Released and Baseline Document Baselined for -ation Change Control by the appropriate Configuration Control Authority Configuration Identification Process Activity Model MLR Associates 11 -99 22

Configuration Identification EIA 649 - CM Principle #9 n Configuration documentation defines the performance, functional and physical attributes of a product. Other product information is derived from configuration documentation. n Two major sets of product information are: – Configuration documentation – Operational Information Configuration documentation is the product-defining documentation from which operational information and other product information is derived n MLR Associates 11 -99 23

The Product Information Universe Product Information Distribution Configuration Documentation Operational Information Sales Reqmts Design Operate Maintain Build & Test MLR Associates 11 -99 24

Configuration Identification EIA 649 - CM Principle #15 n n n All documents reflecting product performance, functional, or physical requirements and other product information are uniquely identified so that they can be correctly associated with the applicable configuration of the product. Document identification enables retrieval Common identifiers include: – – – – Date Assigned alpha numeric Revision Type of document Title/subject Originator/Organization Customer’s contract or PO (if applicable) MLR Associates 11 -99 25

Configuration Identification EIA 649 - CM Principle #11 n All products are assigned unique identifiers so that – One product can be distinguished from other products – One configuration of a product can be distinguished from another – The source of the product can be determined – The correct product information can be retrieved. MLR Associates 11 -99 26

Configuration Identification EIA 649 - CM Principle #12 n Individual units of a product are assigned a product unit identifier when there is a need to distinguish one unit of the product from another unit of the product. n Typically by Serial Number Units serialized, e. g. , when: n – Customer options – Warranties – Individual testing or screening MLR Associates 11 -99 27

Configuration Identification EIA 649 - CM Principle #13 n When a product is modified, it retains its original unit identifier even though it’s part identifying number is altered to reflect a new configuration. n n It is essential that serialization take place using a nonchanging identifier as a base Nothing degrades CM as much as two products with the identical part numbers and identical serial numbers!! P/N XYZ, S/N 1? ? ? MLR Associates 11 -99 28

Configuration Identification n n EIA 649 - CM Principle #14 A series of like units of a product are assigned a product group identifier when it is unnecessary or impractical to identify individual units but nonetheless necessary to correlate units to a process, date, event or test. Typically, by batch or lot number; In high production, a date code Enables unit to be correlated to test or process records for the group Also non-changing base MLR Associates 11 -99 29

Configuration Identification n EIA 649 Principle #16: A baseline identifies an agreed-to description of the attributes of a product at a point in time and provides a known configuration to which changes are addressed. EIA 649 Principle #17: n W Baselines are established by agreeing to the stated definition of a product’s attributes. l Baselines provide N – Assurance of stability & consistency – Common communication of product E definition – Ability to transfer authority S MLR Associates 11 -99 30

Configuration Identification n EIA 649 Principle #18: The configuration of any product, or any document, plus the approved changes to be incorporated is the current baseline. Requirements Baseline (Multi-Level) Requirements Implemented in Design Release Baseline Verified Product Configuration Baseline MLR Associates 11 -99 31

Configuration Identification n n EIA 649 Principle #20: For product interfaces external to the enterprise, establish an interface agreement and a mutually agreed-to documentation of common attributes. In Buyer/Seller relationship, interface definition is part of purchase agreement Let’s If no direct relationship exists, an interface agreement is negotiated Documentation = ICD Procedures may include an ICWG MLR Associates 11 -99 32

System Interfaces A-B SYSTEM B Same Contract CI a SYSTEM A Assembl y Part 12 Interface s within CIs CI b A-C SYSTEM D Same Custome r Different Contract A-D Different Custome r Different Contract Understanding MLR Associates P 1 P 2 CI c CI CI c P 4 P 3 Interface s Between CIs from Supplier Interfaces P 4 Part from Supplie r the Levels of Interface 11 -99 33

Fundamental CM Principles Configuration Control (Configuration Change Management) MLR Associates 11 -99 34

Configuration Change Management EIA 649 Principle # 21 n Changes to a product are accomplished using a systematic, measurable change process. n Process includes – – – n Identifying need for change Documenting impact Evaluation & Coordination Incorporation of approved change Verification Also encompasses management of variances MLR Associates 11 -99 35

EIA 649 Configuration Change Management n Purpose and Benefits – Enable change decisions to be based on knowledge of complete change impact – Limit changes to those which are necessary or offer significant benefit – Facilitate evaluation of cost, savings & trade-offs – Ensure customer interests are considered – Provide orderly communication of change information – Preserve configuration control at product interfaces – Maintain and control a current configuration baseline – Maintain consistency between product and documentation – Document and limit variances – Facilitate continued supportability of the product after change MLR Associates 11 -99 36

Configuration Change Management Current Baseline Need for Change New Current Baseline Change Identification Documented Change Request EIA 649 Change Management Process Model MLR Associates Evaluation & Coordination Approved Change Implementation & Verification 11 -99 37

Govt. Need for Change Contractual Provisions Request Government for ECP Configuration Control Current Initiation Configuration Control Authority C Contractor Need for Change Contractor Configuration Control Contractor. Responsible Change Ident, Documentation & Disposition Need for Change to Government Baseline ECPs, RFDs C C CM Mgmt Communication Approved Configuration Documentation (Current Baselines) Approved ECPs, RFDs & Implementing Direction/ Government Authorization Configuration Control Evaluation & Disposition (Fig. 4 -4) C Status & Configuration Information Documented CM Process Configuration Control Process Activity Model MLR Associates 11 -99 38

Configuration Change Management EIA 649 Principle #22 n Each change is uniquely identified n Objectives of change identification – Description and impact sufficient for evaluation – Choose appropriate format – Provide unique identifier for the change MLR Associates 11 -99 1 2 3 4 39

Configuration Change Management EIA 649 Principle #23 n Changes represent opportunities for improvement n Changes initiated to: – – – Provide new capabilities Enhance product support Insert technology Effect improvements Correct defects or deficiencies Reduce cost, improve efficiency MLR Associates 11 -99 40

Configuration Change Management EIA 649 Principle #24 n Classify changes to aid in determining the appropriate levels of review and approval. n Tabulated “best practice” factors differentiate between: – Major & Minor changes – Requirement for external customer review in addition to internal review MLR Associates 11 -99 41

Configuration Change Management EIA 649 Principle #26 n Consider technical, support, schedule, and cost impacts of a requested change before making a judgment as to whether a change should be approved for implementation and incorporation in the product and its documentation. n Change evaluation and coordination process – Reviewing the preliminary impact assessments – Determining change effectivity – Establishing the cost/price I thought I – Dispositioning the change knew it all ! MLR Associates 11 -99 42

Configuration Change Management EIA 649 Principle #27 n Determine all potential effects of a change and coordinate potential impacts with the impacted areas of responsibility. n Impact Assessment – Details what is affected – Ensures that all potential effects are known – Is essential to determine effectivity MLR Associates 11 -99 43

Configuration Change Management n n Change Boards are a common means of achieving coordination necessary for impact assessment and change evaluation Change Board characteristics: – Chaired by someone with authority to commit the resources of the enterprise to implementing the change – Members represent functional activities or product development teams. . . and have authority to commit the group they represent – Agendas & documents. . distributed in advance – Board direction & decisions. . . documented and disseminated n Board actions commonly accomplished electronically MLR Associates 11 -99 44

Configuration Change Management EIA 649 Principle #28 n I like this date, it’s my birthday. Change documentation delineates which unit(s) of the product are to be changed. Change effectivity includes production break-in and retrofit/recall, as applicable. EIA 649 Principle #29 n A changed product should not be distributed until its support and service areas are able to Where’s the support it. instructions? n Effectivity determination requires – Knowledge of lead times – Balancing of many factors MLR Associates 11 -99 45

Configuration Change Management n n Effectivity delineates which units are to be changed Effectivity is commonly expressed by – Product unit identifying number (e. g. , serial number) – Production date – Product group identifier (e. g. , lot, batch) – Model Year – Model Designation – Version number MLR Associates 11 -99 46

Configuration Change Management EIA 649 Principle #30 n The decision maker is aware of all cost factors in making the decision. n Prerequisites: – Impact assessment – Effectivity n CM process identifies – Immediate cost of change – Expected cost/savings in future n All cost factors are considered MLR Associates 11 -99 47

Configuration Change Management EIA 649 Principle #31 n Change approval decisions are made at an appropriate organizational level with the authority to commit necessary resources to implement the change. n n n Approval authority delegated to different levels, based on classification As the life cycle progresses, authority typically transitions toward higher fiscal responsibility Each organization establishes its own change authority levels MLR Associates 11 -99 48

Configuration Change Management EIA 649 Principle #32 n Implement an approved change in accordance with documented direction approved by the appropriate level of authority. n Planning for change implementation is – Initiated during change evaluation – Detailed after change is approved n Implementation involves – Release of new or revised configuration documentation and other affected product information – Change incorporation into product – Update of operation and support elements MLR Associates 11 -99 49

Configuration Change Management EIA 649 Principle #33 n Verify implementation of a change to assure consistency between the product, its documentation and its support elements. n Verification may be means of: Product – Detailed audit of product to documentation – Validation of installation or modification instructions – Validation of operation and maintenance instructions – Testing Product – or, a simple inspection Information MLR Associates 11 -99 50

Configuration Change Management EIA 649 Principle #34 n If it is considered necessary to temporarily depart from specified baseline requirements, a variance is documented and authorized by appropriate level of authority. Who sez I’m different? n n Products that incorporate a known departure from requirements should not be delivered to a customer unless a request for variance has been documented and authorized. Authorized variances do not constitute a change to configuration documentation MLR Associates 11 -99 51

ANSI/EIA-649 Request for Variance n Deviation, I think! Deviation!! Poor Form – Deviation – Waiver n NO FORM!!! MLR Associates Waiver. . . The term “variance” is the alias for what is commonly referred to as Variances are requested – Prior to manufacture – During manufacture – After manufacture 11 -99 52

Fundamental CM Principles Configuration Status Accounting MLR Associates 11 -99 53

Configuration Status Accounting EIA 649 Principle #35 n An accurate, timely information base concerning a product and its associated product information is required throughout the product life cycle. n CM effectiveness is linked to information flow – Information collected while performing CM activities – CSA correlates, stores, & maintains an organized collection of information – CSA provides readily available views MLR Associates 11 -99 54

Contractual Provisions Configuration Status Accounting Approved Tasks Configuration ¶ Record the current approved configuration Documentatio documentation and configuration identifiers associated with each System/CI(s). n · Record and report the status of proposed engineering Status Change changes from initiation to final approval to contractual implementation Identification, Configurati Documentatio ¸ Record and report the status of all critical and major on requests for deviation which affect the configuration of n, Disposition Information a system/CI(s). Configuration ¹ Record and report the results of configuration audits to Performan include the status and final disposition of identified Verification discrepancies and action items ce º Record and report implementation status of authorized Measurem Change changes Verification & ent » Provide the traceability of all changes from the original Validation released configuration documentation of each System/CI(s) Action Items ¼ Report the effectivity and installation status of configuration changes to all system/CI(s) at all locations, including design, production, modification, CSA Activity retrofit and maintenance changes CM Planningand Automated ½ Record the digital data file(s)identifiers document CM System Model based on CM Data representations of all revisions/versions of each Documented CM document and software which has been delivered, Model &or. Data Element Communication process made accessible electronically, in support of the Dictionary MLR Associates 11 -99 55 contract.

Configuration Status Accounting EIA 649 n Purposes and benefits – Enables retrieval of information concerning change decisions – Supports inquiries concerning future planning of design changes, investigation of design problems, warranties, shelf and operating life calculations, etc. – Access to complete configuration information on a product, any individual product unit, or group of product units – Access to accurate identification of each delivered product unit – Improves capability to identify, produce, inspect, deliver, operate, maintain, repair, and refurbish products – Enhances availability of accurate information on spare parts and maintenance support – Source for configuration history MLR Associates 11 -99 56

ACCOUNTING OBJE S U T A T CTS S Element g C n i o t n r figurat o ion Supp C onfi al c i gura s y S o h n tion lution P ig s e e D Defin anc m r o f ition r s e t P p e c Con Mission 0 II Need Concept I G N I T UN CCO Y A S IT U L T I A B A ST P A C Studies Prog. Def. & Risk Eng & Reduct Mfg Dev SYS T EM/ CYC CI LIF E LE CSA evolves over the product life cycle capturing more detailed information and enhancing its value as an information resource III Prod, Field/Depl oy & Op Support Configuration Status Accounting over a System Life Cycle MLR Associates 11 -99 57

Fundamental CM Principles Configuration Verification and Audit MLR Associates 11 -99 58

Configuration Verification & Audit EIA 649 Principle #39 n Verification that a product’s requirement attributes have been met and the product design meeting those attributes has been adequately documented is required to baseline the product configuration. n We did it! Configuration verification and audit establishes that: – The performance requirements have been achieved by the design, and – The design has been accurately documented in configuration documentation MLR Associates 11 -99 59

Configuration Verification & Audit n Purpose and Benefits – Ensure the product design provides the agreed to performance capabilities – Validate the integrity of the configuration documentation – Verify the consistency between a product and its configuration documentation – Determine that an adequate process is in place to provide continuing control of the configuration – Provide confidence in establishing a product baseline – Ensure a known configuration as a basis for operation and maintenance instructions, training, spares and repair parts. MLR Associates 11 -99 60

Contractual Provisions VERIFICATION & AUDIT PLANNING* Status & Config Info (From CSA) Approved Config Doc. Confidence; Verified Product & Validated Process • Verification Reqd • Audit Schedule C CONFIGURATION VERIFICATION PROCESS • Verified Configuration • Verified Changes • Open Items (Action Items) PRE- AUDIT • Agenda • Facilities, Tools • Personnel • Documentation • Availability of Audit Objects • Certifications AUDIT Physical CI /CSCI Test Results (To CSA) Status (via CSA) Audit Report Verification, Validation, Action Items POST-AUDIT Documented CM Process (To CSA) Verification, Validation, Action Items Mfg. & Engrg. Tools Documentation Configuration Verification and Audit Activity Mo MLR Associates 11 -99 61

Authorization to implement approved change Update Config Documentation Revise Mfg/Prod/Test Instructions Accomplish & Verify Change Product Mfg & Retrofit *Orders for • Support equipment • Trainers • Training • Spares • Tech. Manuals Update Ordering Data* Other Affected Support Elements Operating & Maintenance Instructions Change Implementation and Verification MLR Associates 11 -99 62

Configuration Verification & Audit EIA 649 Principle #40 n Verification that a design achieves its goals is accomplished by a systematic comparison of requirements with the results of tests, analysis or inspection. • Incremental • Systematic • Incorporate in process flow • Requirements flow-down tools • Matrix (Results vs Requirement) MLR Associates 11 -99 63

Configuration Verification & Audit EIA 649 Principle #41 n Documentation of a product’s definition must be complete and accurate enough to permit reproduction of the product without further design effort. n The design output must be captured and documented adequately Documentation content and formality influenced by future procurement and maintenance needs Verifying the documentation assures that it is adequate for its intended purpose n n MLR Associates 11 -99 64

Configuration Verification & Audit EIA 649 Principle #42 n Where necessary, verification is accomplished by formal configuration audit. n Resources and material to perform functional and physical audit include: – – Audit plan and agenda Adequate facilities and unencumbered access Availability of personnel Applicable documentation, schedules, test results, inspection records, etc. – Tools and inspection equipment – Isolation of the product and parts to be reviewed MLR Associates 11 -99 65

Configuration Verification & Audit EIA 649 Principle #43 n Periodic reviews verify continued achievement of requirements, identify and document changes in performance, and ensure consistency with documentation. n Ongoing production and processes, are reviewed periodically to determine continued suitability Operation of products or facilities are reviewed to identify and monitor changes or degradation of performance Methods range from manual inspection to statistical process control and trend analysis n n MLR Associates 11 -99 66

Measuring and Benchmarking CM Practices Process Assessment MLR Associates 11 -99 67

Process Assessment n Why Process Assessment? – – n Quantify process as baseline for measuring improvements/Benchmarking Competitiveness; Product Quality; Process Improvement Options to evaluate the effectiveness of CM Process – Established Assessment Framework » SEI SW-CMM » EIA-731 » Capability Maturity Model Integration (CMMI) – Develop Internal Assessment MLR Associates 11 -99 68

Process Assessment n Capability Maturity Model (CMM) – Yardstick for judging maturity of an organization’s process – Identify Areas for Process Improvement n CMM Components – Model (Based on Documented Standard) » Framework for Process Definition » Process requirements (“What” not “How”) » Key elements of an effective process – Assessment Process - - “How we measure it” » Process Elements - - “What you do” » Maturity Elements - - “How well you do it” MLR Associates 11 -99 69

Internal Assessments n n More focused and detailed than CMM’s Detailed Internal Assessment Model – – – n EIA Process Analysis Tool (PAT) Ver 1. 4 Questionnaires and Scoring Sheets Assessment Plan / Schedule Training Material (Team & Participants) Briefing material (Opening & Findings) Final Report Internal or Subcontractor Assessment Checklists MLR Associates 11 -99 70

Product Structure Evaluation Checklist Is the product (System/CIs) structured into a rational hierarchy? n Can the composition of each System/CI be determined from the configuration documentation? n Are subordinate CIs identified at a reasonable level for: n – Specification of and measurement of performance? – Management of the effectivity of changes? – Obtaining spare parts using performance or design documents? MLR Associates 11 -99 71

Measuring and Benchmarking CM Practices Benchmarking MLR Associates 11 -99 72

Benchmarking Process n Plan n n Collect Data Analyze n Set Improvement Goals n n n Gain Acceptance Implement and Monitor Progress Re-assess – – Does someone do it better? Establish Team Identify What is to be Benchmarked Identify Comparative Companies Determine Data Collection Method – Determine/quantify Performance Difference – Project future performance level and timeframe – Establish Functional Goals – Develop Action Plans (including metrics) MLR Associates 11 -99 73