Configuration ManagementGuidelinesDate: April Section 7.5

Forward The guideline describes Configuration Managementfunctions and principles and defines ConfigurationManagement terminology for use with Aerospace andDefense AS&D product line. It is targeted at Small and Medium size companies acting assubcontractors/suppliers either in a Build to Print or a Buildto Spec relationship. The intention of these guidelines is to assist organizationswith understanding the concept and process ofConfiguration Management and is not intended to be arequirement, nor auditable.2

Introduction The Aerospace Standards (e.g. IAQG 9100) call for theimplementation of Configuration Management anddocuments control throughout the entire life cycle of productrealization. Configuration Management establishes a language ofunderstanding between the customer and the supplier bothin predefined relationship (such as Built to Print) and those inwhich the supplier is given some freedom (such as Built toSpec).3

Introduction When Configuration Management principles are appliedusing effective practices, return on investment ismaximized, product life cycle costs are reduced and thesmall investment in resources necessary for effectiveConfiguration Management is returned many fold in costavoidance. These Guidelines provide the reader with the basic ideasof the industry needs, the benefits to the implementingorganization and describes Configuration Managementfunctions and principles.4

List of Topics1. What is “Configuration”?2. Why it is important to manage and controlconfiguration in AS&D3. Applicable Terms and Definitions4. The objectives of Configuration Management5. Benefits for an enterprise gained through applicationof CM6. CM and Documents control in 9100:20097. The Configuration Continuum8. CM functions9. CM vs. Engineering Change10. CM Tools11. Summary12. Resources5

1. What is “Configuration”?

Functional and physical characteristics of existing orplanned hardware, firmware, software or a combinationthereof as set forth in technical documentation andultimately achieved in a product.7

2. Why is it important to manage andcontrol configuration in Aerospace &Defense?

Proper CM implementation can positively impact ProductQuality, On time Product Delivery, and decreasedevelopment and life cycle costs Product configuration presents a particularly difficult set ofchallenges for Aerospace & Defense resulting from: Large products involving a highly complex set of partsand systems Complex set of environmental and safety regulations Ability to respond effectively to customer demands9

Aerospace and Defense Functional Needs Managing massive bid activities requiring productconfiguration knowledge Managing massive design activities requiring productconfiguration knowledge for: Program and project management Work Breakdown Structures (WBS) Managing manufacturing operations Many, many open work orders Frequent engineering change10

Aerospace and Defense Functional Needs (cont’d) Hardware and software CM at all stages of the product life-cycleHardware and software CM at all stages of the productlife-cycleConfiguration identification and change controlConfiguration tracking, product traceability and visibilityStorage, retrieval and transfer of data from a commondata baseThe capability to reproduce products/processesManufacture and testing of products only from releaseddocuments11

Aerospace and Defense Specific Constraints Project oriented activities Research & Development Devices Procurement Complex & Extensive Bills of Material Constant engineering change process Long (30 years) product life cycles Legacy mind-sets Both Government/Customers and Contractors Classification & Security aspects12

3. Applicable terms and definitions

Configuration Management (CM) CM is a methodology which provides a technical andadministrative framework for managing the development,manufacturing and maintenance of Configuration Items. CM is an integral part of the product life-cyclemanagement. Activity for establishing and maintaining consistent recordof the performance parameters of a product and itsfunctional and physical characteristics compared to theproduct design and operational requirements.14

Configuration Management (cont’d) This discipline is applicable to hardware, software,processed materials, services, and related technicaldocumentation throughout the entire lifecycle of theproduct (i.e. development, production, deployment,operation, maintenance and disposal).15

Configuration Item (CI) Support and designated for separate procurement is aCI. An aggregation of hardware, firmware, software orany of its discrete portions, which satisfies an end usefunction and is designated by the developer or customerfor separate configuration management. Any itemrequired for logistic.Configuration Item (CI) selection CIs should be selected with the object of maximizingcontrol and minimizing the effort required to achieve thatcontrol.16

Configuration Baseline Approved status of requirements and design of a productat key project milestone that serve as reference foractivities throughout the life cycle of the product. Baselines, plus approved changes, constitute the currentapproved configuration. There are three formal baselines designated configurationbaselines in the life cycle of a configuration item Functional Baseline (system specifications) Allocated Baseline (subsystem specifications) Product Baseline (complete technical data package for theCI)17

Configuration Identification Coordinated activities to establish rules or configurationitem selection, baseline content definition, and product anddocument identifiers. Identification is provided in theapproved baseline technical documentation, as shown inspecifications, tests, drawings, associated lists, andreference documents.18

Configuration Item Identification Numbers For each configuration item you need to know at anytime the technical description of the item and theidentification should be changed when thetechnical characteristics are changed and when the twoitems are not interchangeable. Every item which isdefined as a CI must be marked as agreed.19

Part Number (PN) All discrete parts, assemblies and units shall beidentified by part numbers in accordance with theapplicable standards and/or customer definition.Serial and Lot Numbers A single unit or lot in a family of like-units of a CI shall bepermanently and uniquely identified by a serial or lotnumber.20

Configuration Control Coordinated activities for controlling changeto configuration baseline. Configuration control shouldbe applied to established baselines, configurationidentifications and all released engineering data.Configuration control system should screen, classify andprocess changes in a manner that provides fullycoordinated, approved change packages in compliancewith the requirements or contract.21

Configuration Status Accounting (CSA) A formal process of recording and reporting of productconfiguration information, the status of proposedchanges and the implementation status of approvedchanges.Configuration Audits (CA) Performed before the acceptance of a configurationbaseline to assure the product complies with its specifiedrequirements and to assure the product is accuratelyreflected by its configuration documents.22

Functional Configuration Audit (FCA) A formal examination of functional characteristics of aconfiguration item (final product), to verify that the itemhas achieved the performance specified in itsconfiguration identification.Physical Configuration Audit (PCA) A formal examination of the "as-built" configuration of aproduct or a CI against its technical documentation, inorder to establish conformance between the product andits current configuration identification.23

4. The Objective of CM

CM represents a discipline which ensures that all partiesto the acquisition of a product: the buyer the developer/designer the manufacturer, and the user (customer) Have a common understanding about: how the product looks (physical shape/ software code) what the product is supposed to do (functionality,performance) how the product can be operated (missionprofile/capabilities); and how the product is maintained (supportability)25

CM is the process or a set of requirements to be included inevery industrial process for establishing and maintaining aconsistent record of a product’s functional and physicalcharacteristics compared to its design and operationalrequirements. Configuration management is applied through-out the entirelife cycle of the product and allows one to: know at any moment the technical description of a systemand its components, using approved documentation record and control effectively and continuously evolutionsin the technical description and provide traceability of suchevolutions throughout the life-cycle of the product26

facilitate the consistency of the system’s components(control of external interfaces) and the products thatmake up these components (control of internalinterfaces) verify that documentation is and remains the exactimage of the products it describes identify the current configuration baseline and the asbuilt configuration of a product, to recorddiscrepancies detected during production, delivery oroperation and dispositioned for further use; enable any user to know the operational capabilitiesand limitations of each product item and, in case ofvariances or non conformances, to know which itemsare affectedCM accomplishes this through controlof the product defining technical data27

5. Benefits for an enterprise gainedthrough appreciation of CM

Conclusive and current information, knowing at any timewhat the enterprise is; developing building testing delivering maintaining Assured product consistency, being enabled to; deliver identical items repeat performance support the delivered product remotely modify the product without the need of reverseengineering29

Control of cost, CM helps a project to stay within theauthorized budget frame; Product changes may involve high cost considerations. Theright processing of changes and analysis of costs can keepexpense per change at its lowest rate. Unauthorized changes will be prevented. Thorough identification of all affected documentation andproduct elements reduces cost of search and analysis ofeffects. Approved changes can be immediately incorporated inthe technical documentation, but released forimplementation into the product in accordance with anauthorized budget schedule. Proper identification and change control reduced cost ofmaintenance and reuse.30

Visibility in planning, CM helps project planning byensuring that; any schedule effect of a proposed change is reviewed prior todisposition of the change interface requirements are assessed for effect of the change onother design organization’s schedules Compliance with requirements, CM ensures the intendedconfiguration by; supporting internal and formal design reviews performing the functional and physical configuration verifications(audits) maintaining traceability of software configurations to functionalrequirements controlling changes to the approved documentation communicating change status to all involved parties31

6. CM and Document Control in IAQG9100

FOREWORDREVISION SUMMARY/RATIONALE0INTRODUCTION1QUALITY MANAGEMENT SYSTEMS –REQUIREMENTS2NORMATIVE REFERENCES3TERMS AND DEFINITIONS4QUALITY MANAGEMENT SYSTEM4.2.3 Control of Documents4.2.4 Control of Records5MANAGEMENT RESPONSIBILITY6RESOURCE MANAGEMENTA documented procedure shall be establishedto:a) to approve documents for adequacy prior toissue,b) to review and update as necessary and reapprovec) to ensure that changes and the currentrevision status of documents are identified,d) to ensure that relevant versions of applicabledocuments are available at points of use,e) to ensure that documents remain legible andreadily identifiable,f) to ensure that documents of external origindetermined by the organization to be necessaryfor the planning and operation of the qualitymanagement system are identified and theirdistribution controlled, andg) to prevent the unintended use of obsoletedocuments, and to apply suitable identificationto them if they are retained for any purpose.33

7.3.3PRODUCT REALIZATIONPlanning of Product RealizationRisk ManagementConfiguration ManagementControl of Work TransfersCustomer-related processesDetermination of Requirements Related to theProductReview of Requirements Related to the ProductCustomer CommunicationDesign and DevelopmentDesign and Development PlanningDesign and Development InputsDesign and Development OutputsThe organization shall plan and develop theprocesses needed for product realization In planning product realization, the organizationshall determine the following, as appropriate: .e) configuration management appropriate to theproduct;f) resources to support the use and maintenanceof the productThe organization shall establish, implement andmaintain a configuration management process thatincludes, as appropriate to the producta) configuration management planning,b) configuration identification,c) change control,d) configuration status accounting, ande) configuration audit.NOTE: See ISO 10007 for guidance.The organization shall define the data required toallow the product to be identified, manufactured,inspected, used and maintained; including forexample the drawings, part lists and specificationsnecessary to define the configuration and the designfeatures of the product, and the material, process, manufacturing and assemblydata needed to ensure conformity of the product.34

7.3.4 Design and Development Review7.3.5 Design and Development Verification7.3.6 Design and Development Validation7.3.6.1 Design and Development Verification andValidation Testing7.3.6.2 Design and Development Verification andValidation Documentation7.3.7 Control of Design and DevelopmentChangesWhere tests are necessary for verificationand validation, these tests shall be planned,controlled, reviewed and documented toensure and prove the following: .c) the correct configuration of the product issubmitted for the test,Design and development changes shall beidentified and records maintained. The changesshall be reviewed, verified and validated, asappropriate, and approved before implementation.The review of design and development changesshall include evaluation of the effect of thechanges on constituent parts and product alreadydelivered. Records of the results of the review ofchanges and any necessary actions shall bemaintained (see 4.2.4).Design and development changes shall becontrolled in accordance with the configurationmanagement process (see 7.1.3).35

7.4Purchasing7.5Production and Service Provision7.5.1 Control of Production and Service Provision7.5.1.1Production Process Verification7.5.1.2Control of Production Process Changes7.5.1.3Control of Production Equipment, Tools and SoftwarePrograms7.5.1.4Post-Delivery Support7.5.2 Validation of Processes for Production and ServiceProvision7.5.3 Identification and Traceability7.5.4 Customer Property7.5.5 Preservation of ProductThe organization shall maintain the identification of the configuration ofthe product in order to identify any differences between the actualconfiguration and the agreed configuration. Where traceability is a requirement, the organization shall control theunique identification of the product and maintain records (see 4.2.4).NOTE: Traceability requirements can include:– identification to be maintained throughout the product life, .– for an assembly, the ability to trace its components to the assemblyand then to the next higher assembly, NOTE: In some industry sectors, configuration management is ameans by which identification and traceability are maintained (see7.1.3).The organization shall plan and carry outproduction and service provision undercontrolled conditions. Controlled conditions shallinclude, as applicable,a) the availability of information that describesthe characteristics of the product,NOTE: This information can include drawings,parts lists, materials and process specifications. The organization shall control and documentchanges affecting processes, productionequipment, tools or software programs.The results of changes to production processesshall be assessed to confirm that the desired effecthas been achieved without adverse effects toproduct conformity.Post-delivery support shall provide asapplicable for the: .c) control and updating of technicaldocumentation .36

7. The Configuration Continuum

Project Life Cycle – Configuration ProgressRequest forInformation/ProposalAs Specified - CustomerRequirement BaselineProductionAs BuiltConfigurationDeliveryAs DocumentedConfigurationProposalAs QuotedConfigurationDesignAs DesignedConfigurationContractAwardAs AcceptedConfigurationContractReview/PlanningAs PlannedConfigurationServiceAs MaintainedConfiguration38

As Specified/Requirement Baseline(Request for Information/Proposal – RFI/RFP) As Specified/Requirement Baseline is the customerbaseline. It is specified in the RFI/RFP and includesany allocated requirements, specifications, structure,configuration management requirements, etc. The customer expects to receive information/ proposalfrom the supplier including supplier attitude to theRequirement Baseline.39

As Quoted Configuration (by the supplier) Following the RFI/RFP from the customer, the supplierprepares his response. In the response the supplier presents his attitudetoward the implementation of customer requirements. The supplier proposes a configuration managementplan in response to the customer's configurationmanagement requirements. In some cases the proposed/quoted configurationdiffers from the As Specified configuration and thus it isthe As Quoted baseline.40

As Accepted Configuration (Configuration atContract Award) This configuration includes the system requirementsspecification & the system interface specification asfinally agreed by the customer and the supplier. The method to manage configuration baselines andchanges is established at this stage. The As Accepted configuration serves as a basis forthe next (planning/review) phase.41

Proper management and control of customer documents is acondition essential to the maintenance of a well regulatedproduction process. The management and control of thecustomer's documents and drawings should be done as specifiedby the contract. The customer defines the configuration managementrequirements for the project. These requirements areapplicable to all the actors of the project. The purpose of the CM plan is to define the process &resources for managing the configuration of the productin a controlled & traceable manner throughout the projectlife cycle.42

As Planned Configuration(Contract/Review Planning) The As Accepted configuration is reviewed during initialstages of contract implementation. Mutually acceptable revisions to the configuration areincluded. As part of the allocated baseline the sub-systems’requirements & interface specifications are frozentowards the Preliminary Design Review phase (AsPlanned).43

As Designed (By Engineering) The As Designed configuration may be accomplished ina few stages (as applicable to the contracted product): System Requirements Review and System Design Review(SRR & SDR) Preliminary Design Review (PDR) Critical Design Review (CDR) The configuration at each stage should include blockdrawings, schematic drawings, design documents,design interfaces documents and Validation &Verification V&V documents. At each stage theconfiguration should be frozen and change controlimplemented. At As Designed configuration (after CDR) thosedocuments are frozen.44

As Built (By Production) The manufacturer must enable tracking from thefinished product to the components and materialscomprising it, in accordance with the type of theproduct and the contract requirements. During procurement, storage, production, assembly,and test, details & identification marking will enablethe follow-up of the history of the item in all its stages. The level of traceability shall be specified andupdated in accordance with contractual requirements.45

As Built (By Production)- (cont’d) The traceability process shall allow, when required,the identification of all products manufactured from thesame batch of raw material or from the sameproduction batch as well as the delivery destination ofall products from that batch. In addition, the processshall allow identification of all parts and componentsof products/assemblies defined as requiring tracking.46

As Documented (in Delivery Documentation) An individual file will be issued for each item for whichall the conditions specified below have been met,unless otherwise specified by contractualrequirements: Item have been tested according to their individual testprocedures. Item have been identified by individual serial numbers. Item have been awarded a Serviceable tag upon completionof test.47

As Maintained (Service Documentation) The maintenance contract should define themaintenance levels, and the infrastructure to beprepared. Involvement in product maintenance is set according tocustomer demands, which are decided upon receivingthe customer’s order. In certain cases, the demand will be to apply a specificmaintenance policy in manufacturing and the design ofthe product, including the definition of needs in training,accompanying technical documentation, maintenancecontract with the customer and suggestion of spareparts for initial provisioning.48

8. Configuration Management Functions

CM Process ion ecificationSpecifications ConfigurationDocumentationProduction Drawings Version DescriptionDocuments dBaselinePDRCDRWaiversProductBaselineMRB activityProducttreesChangemanagementDocument statusChangestatus* Including assemblydrawings, test andintegration documents

Configuration Identification/ConfigurationDocumentation Product File:Provides the engineering documentation needed tobuild and test the product: HardwareSoftwareDrawings and associated listsElectronic mediaDiagramsVersion Description Document (VDD)Unique processesPrinted circuit card designAcceptance test51

Configuration Identification/ConfigurationDocumentation- (cont’d) Manufacturing FileConsists of the Product File, to which is addedmanufacturing operation sequences and processes. Data FileContractor Data Requirement List (CDRL)documentation required in addition to the product ormanufacturing file – includes specifications, plans,analyses, tests, manuals, etc.52

Configuration Manager’s Task Establishment of Configuration policy.Release and submittal of configuration documentationin relation to program events.Establishment of internal developmental configurationand contractual baselines.Establishment of configuration control boards.Implementation of a configuration status accountingand provision of reports.53

Configuration Manager’s Task- (cont’d) Account for and deliver Contractor Data RequirementList (CDRL) items.Prevent duplication of data.Apply change control.Identify and maintain status of data received &submitted.54

Configuration Control Board Configuration Control Board (CCB) is a group oftechnical and administrative experts with the assignedauthority and responsibility to make decisions on theconfiguration and its management.All proposed changes should be reviewed by theCCB to evaluate the change against the criteriaand/or include as an alternate, not making thechange.In addition, it should evaluate all aspects of thechange to include design, performance, cost,schedule, operational effectiveness, and logisticsconsiderations.55

Configuration Control To maintain product control, no change may beimplemented without an approved change order orapproved deviation/waiver request.The Configuration Manager and the CCB membersare responsible for the change control process.Configuration control is applied to establishedbaselines, identifications and released engineeringdata.56

Configuration Control (cont’d) Configuration control system should be established toprovide for screening, classification and processeschanges that provide fully coordinated, approvedchange packages. Configuration control should be applied to establishedbaselines, identifications and released engineeringdata. Configuration control should be implemented in stagescorresponding to the product life-cycle. Before reviews and establishment of baselines, controlmay be maintained manually by the developmentengineer or by use of automated tools as they aredeveloped.57

Configuration Control (cont’d) Upon freezing of the Bill Of Material (BOM) and theorder to procure components, changes should becontrolled by CCB. Manufacturing release should include implementationof all approved internal changes into the drawings. Formal change control will commence with successfulcompletion of the configuration audit or with firstdelivery.58

Configuration Report/Configuration Status Accounting Upon initiation of component procurement, changes willbe tracked in the database for eachdocument/drawing/list. Each hardware delivery will generate an As Planned/AsBuilt Report reflecting the build of each unit. Configuration Status Accounting Reports (CSAR): The configuration manager maintains CSAR for the purposes ofinternal control to assure compatibility of the product and itsdocumentation, and producing the status accounting reportsnecessary for configuration visibility and traceability. Feed-back from the As Planned/As Built Report providesconfirmation of the implementation of changes, deviations, etc.59

Configuration Audit The purpose of the Configuration audit is to verify thatthe configuration identification for a configured item isaccurate, complete, and will meet specified programneeds. There are two types of configuration audits: Functional Configuration Audit (FCA) and Physical Configuration Audit (PCA). Both audits must be satisfactorily completed by theproject team members and the contractor as aprerequisite to establishing the product baseline.60

Configuration Audit- (cont’d) The results of the functional and physical configurationaudits should be documented, reviewed and verified. Technical documentation and functional deficienciesdetected during the audits will be corrected by changeorder.61

9. CM vs. Engineering Change Control


Introduction The aerospace and defense industries rely on thedevelopment and manufacture of complex productscomprised of multiple systems, subsystems, andcomponents each designed by individual designers(design activities) at various levels within the supplychain (by the customer or by any of the suppliers) Each design activity controls various aspects of theconfiguration and specifications related to the product64

Introduction (cont’d) When a change to design information is requested orrequired, the change has to be evaluated against theimpacts to the higher level system, as detailed in “Noticeof Change Requirements” (AS9016). A change request can be initiated by any of thestakeholders: customer, prime contractor, supplier, etc.65

Change ControlProcess FlowInitiating the ECP(By any stakeholder)Analyzing(by initiator's management)InitiationEvaluationby system engineerRejectingCCB EvaluationRecording andSubmitting to additionalexpertsChange influence (retrofit,Products in process, field)CostEffectivity and scheduleAdditional testsApproval ts & Products)Work center ADocumentsDistributionWork center BSubcontractor/J.V'S66

67Design activities must meet the Quality SystemRequirements and Customer Agreements beforeimplementation of changes as follows: Changes that Require Customer Acceptance Prior toImplementation Changes that May Require Acceptance Prior toImplementation Changes Implemented Concurrent with Notificationfor Customer Acceptance Non-Configuration changes

Design activities shall create a Notice of Change (NoC)or Engineering Change Notice (ECN) and implementthe change. The design activity shall either submit theNoC to the customer or make all NoC records availablefor review, depending on customer requirements. The activities required are: Approval of Design Activity to Perform ChangeImpact Assessments Requirements for Data Submission of NoC Record Retention68

What is an Engineering Change? Changing the Product Structure (Bill Of Materials) Adding a part Deleting a part Changing the quantity per assembly Changing the Part Itself Changing specifications New Part Number Changing approved sources? Changing the Routing Changing the Process Changing the process sequence69

The Engineering process have three main milestones tostart an engineering change control process: Functional Baseline (FBL) As part of the FBL, the following engineeringdocuments are released;»»»System SpecificationSystem RequirementsSystem Interface Definition/Specification Following the SDR & SRR, these documents arefrozen.70

Allocated Baseline (ABL) As part of the ABL, the following engineeringdocuments are released; Sub-Systems Specifications Sub-Systems Interface Specifications Following the PDR, these documents are frozenProduct Baseline (PBL)

Functional Configuration Audit (FCA) A formal examination of functional characteristics of a configuration item (final product), to verify that the item has achieved the performance specified in its configuration identification. Physical Configuration Audit (PCA)