4.3.7. Configuration Management Process

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DEFENSE ACQUISITION GUIDEBOOK
Chapter 4 -- Systems Engineering

4.3.7. Configuration Management Process

The Configuration Management process allows technical insight into all levels of the system design and is the principal methodology for establishing and maintaining consistency of a system’s functional, performance, and physical attributes with its requirements, design, and operational information throughout the system's life cycle. Effective configuration management supports the establishment and maintenance of the product baseline, which enables the successful production, delivery, and sustainment of the needed capability to the end user.

Configuration Management activities support:

Traceability of designs to requirements
Proper identification and documentation of system elements, interfaces, and interdependencies
Timely and thorough vetting and disposition
Control and documentation of approved changes to baselines
Proper and timely incorporation of verified changes in all affected items and documentation
Consistent and appropriate provisions in the Engineering Change Proposal (ECP) and related contract actions
Consistency between the product and its supporting documentation
A complete audit trail of design decisions and modifications
Continued assurance of system supportability and interoperability, consistent with approved acquisition and life-cycle sustainment strategies

Configuration Management facilitates the orderly development of a system through establishment of the technical baseline (including the functional, allocated, and product baselines), and their assessment and approval at various technical reviews and audits. A baseline is an agreed upon description of the attributes of a product at a point in time, which serves as a basis for change. Upon approval, the baseline is placed under formal configuration control. Through Configuration Management, the program identifies, controls, and tracks changes to system baselines, ensuring changes occur only after thorough assessments of performance, cost, and schedule impacts and associated risks.

The following baselines are critical to executing Configuration Management:

Functional Baseline: Describes the system’s performance (functional, interoperability, and interface characteristics) and the verification required to demonstrate the achievement of those specified characteristics. It is directly traceable to the operational requirements contained in the Initial Capabilities Document (ICD). The Program Manager establishes Government control of the functional baseline at the System Functional Review (SFR) and verifies it through Functional Configuration Audits (FCA) leading up to the system-level FCA or the System Verification Review (SVR). Attributes of the functional baseline include:
- Assessed to be achievable within cost and schedule constraints
- Documentation of established interfaces between functional segments
- Documented performance requirements traced to (draft) CDD requirements
- Reflects design considerations and clear linkage in the systems of systems (SoS) context
- Documented verification requirements
Allocated Baseline: Describes the functional and interface characteristics for all system elements (allocated and derived from the higher-level product structure hierarchy) and the verification required to demonstrate achievement of those specified characteristics. The allocated baseline for each lower-level system element (hardware and software) is usually established and put under configuration control at the system element Preliminary Design Review (PDR). This process is repeated for each system element and culminates in the complete allocated baseline at the system-level PDR. The Program Manager then verifies the allocated baseline at the FCA and/or SVR. Attributes of the allocated baseline include:
- All system-level functional performance requirements decomposed (or directly allocated) to lower-level specifications (configuration items (CI) for system elements)
- Uniquely identified CIs for all system elements at the lowest level of the specification tree
- All interfaces, both internal (between element CIs) and external (between the system under development and other systems), documented in interface control documents
- Verification requirements to demonstrate achievement of all specified functional performance characteristics (element CI to element CI level and at the system level) documented
- Design constraints documented and incorporated into the design
Product Baseline: Describes the detailed design for production, fielding/deployment, and operations and support. The product baseline prescribes all necessary physical (form, fit, and function) characteristics and selected functional characteristics designated for production acceptance testing and production test requirements. It is traceable to the system performance requirements contained in the Capability Development Document (CDD). The initial product baseline includes "build-to" specifications for hardware (product, process, material specifications, engineering drawings, and other related data) and software (software module design — "code-to" specifications). The initial system element product baseline is established and placed under configuration control at the system element Critical Design Review (CDR) and verified later at the Physical Configuration Audit. In accordance with DoDI 5000.02, the Program Manager assumes control of the initial product baseline for all Class I configuration changes at the completion of the system-level CDR to the extent that the competitive environment permits. This does not necessarily mean that the Program Manager takes delivery and acceptance of the Technical Data Package. Attributes of the product baseline include:
- Requirements Traceability Matrix (RTM) is complete
- The detailed design (hardware and software), including interface descriptions, satisfies the CDD or any available draft Capability Production Document (CPD), and pertinent design considerations
- Hardware, software and interface documentation are complete
- Key product characteristics having the most impact on system performance, assembly, cost, reliability, ESOH, and sustainment have been identified
- Traceability from design documentation to system and system element verification requirements and methods is complete
- Manufacturing processes that affect the key characteristics have been identified, and capability to meet design tolerances has been determined

Activities and Products

The program office and developer share responsibility for planning, implementing, and overseeing the Configuration Management process and its supporting activities. The distribution of responsibilities between the program office and the developer varies based on the acquisition strategy and the life-cycle phase.

The Program Manager approves the Configuration Management Plan and should ensure adequate resources are allocated for implementing Configuration Management throughout the life cycle. The Program Manager approves the system baselines, and approves Class I changes to the product baseline after CDR, usually through a Configuration Control Board (CCB). MIL-HDBK-61A, “Configuration Management Guidance” defines Class I and II changes:

Class I changes impact the form, fit, function, or interface characteristics of the configuration item
Class II changes are changes to a Government approved technical baseline that do not meet the definition of a Class I change

In performance-based acquisition, these terms apply only to changes that affect Government-approved (baselined) configuration documentation.

The Systems Engineer ensures Configuration Management planning is complete, and should document details and activities in the program’s Systems Engineering Plan (SEP) and the supporting Configuration Management Plan (CMP) (as appropriate). The CM process described in the DoD-adopted standard, ANSI/EIA-649-B-2011 “Configuration Management Standard,” consists of five interrelated functions that, when collectively applied, allow the program to maintain consistency between product configuration information and the product throughout its life cycle. The five CM functions are: