SAE EIA-649-1-2014 Configuration Management Requirements For Defense Contracts.pdf

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1、TECHNICAL REPORT EIA-649-1 Issued 2014-11 Configuration Management Requirements For Defense Contracts RATIONALE This is a defense unique standard to the non-government standard, “ANSI/EIA-649B Configuration Management Standard,” that generates, manages and is controlled by the non-government standar

2、d body with Defense membership to provide requirements specific for Defense contracts. This standard is for placing tailored Configuration Management requirements on Defense contracts. FOREWORD This document defines requirements for a Defense enterprise implementation of the American National Standa

3、rds Institute/Electronics Industry Association, ANSI/EIA-649 in an Acquirer/Supplier contractual relationship. The requirements are intended to be tailored by the Acquirer and cited in contracts or similar agreements with Suppliers to establish requirements for Configuration Management tasks consist

4、ent with ANSI/EIA-649 and each of its functions and principles. Unless otherwise indicated, the requirements described herein apply to both hardware and software systems. It is the responsibility of the Acquirer to determine the specific needs for their respective programs and ensure that their cont

5、racts or agreements sufficiently communicate those requirements. This standard also applies when other types of agreements exist, such as agreements between government organizations who play the roles of acquirer and supplier. Finally, this document is intended to be used as a stand-alone reference,

6、 invoked on a contract where the acquirer intends to be consistent with ANSI/EIA-649 Principles, and may be used for Department of Defense (DoD) programs in all phases of the acquisition life cycle. _ SAE Technical Standards Board Rules provide that: “This report is published by SAE to advance the s

7、tate of technical and engineering sciences. The use of this report is entirely voluntary, and its applicability and suitability for any particular use, including any patent infringement arising therefrom, is the sole responsibility of the user.” SAE reviews each technical report at least every five

8、years at which time it may be revised, reaffirmed, stabilized, or cancelled. SAE invites your written comments and suggestions. Copyright 2014 SAE International All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted, in any form or by any mean

9、s, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of SAE. TO PLACE A DOCUMENT ORDER: Tel: 877-606-7323 (inside USA and Canada) Tel: +1 724-776-4970 (outside USA) Fax: 724-776-0790 Email: CustomerServicesae.org SAE WEB ADDRESS: http:/www.sae.org SA

10、E values your input. To provide feedback on this Technical Report, please visit http:/www.sae.org/technical/standards/EIA649_1 SAE INTERNATIONAL EIA-649-1 Page 2 of 46 TABLE OF CONTENTS 1. SCOPE 3 1.1 Responsibility of Acquiring and Supplying Activities . 3 1.1.1 Responsibility of Acquirer 3 1.1.2 R

11、esponsibility of Supplier 3 1.1.3 Applicability . 3 1.2 Tailoring Requirements . 4 2. REFERENCES 4 2.1 Applicable Documents 4 2.2 Related Publications . 5 2.3 Definitions . 5 2.4 Acronyms/Abbreviations . 13 3. CONFIGURATION MANAGEMENT REQUIREMENTS . 15 3.1 Planning and Management . 15 3.1.1 Monitori

12、ng Configuration Management Performance . 16 3.1.2 Suppliers Configuration Management Plan 16 3.1.3 Technical Reviews 17 3.1.4 Product Configuration Documentation Processes 17 3.2 Configuration Identification . 17 3.2.1 Configuration Item Selection . 19 3.2.2 Configuration Baselines Types . 20 3.2.3

13、 Engineering Release System 21 3.2.4 Configuration Identifiers 21 3.2.5 Interface Management 22 3.3 Configuration Change Management . 23 3.3.1 Engineering Change Proposal (ECP) . 24 3.3.2 Requests for Variance (RFV) 27 3.3.3 Specification Change Notice (SCN) 28 3.3.4 Notices of Revision (NORs) 28 3.

14、4 Configuration Status Accounting (CSA) 28 3.4.1 Supplier CSA System 28 3.4.2 CSA Analysis Requirements . 30 3.5 Configuration Verification and Audits 30 3.5.1 Common Supplier Audit Responsibilities 30 3.5.2 Functional Configuration Audit (FCA) . 31 3.5.3 Physical Configuration Audit (PCA) 32 3.5.4

15、Post-Audit Action . 34 3.5.5 Configuration Audit Summary . 34 4. NOTES 40 ANNEX A TAILORING WORKSHEET. 41 Table 1 Cross reference for principles from ANSI/EIA-649 . 35 Table 2 Data Item Descriptions (DIDs) and DD Forms 39 Table 3 Additional Associated DIDs . 40 SAE INTERNATIONAL EIA-649-1 Page 3 of

16、46 INTRODUCTION The planning and execution of Configuration Management (CM) is an essential part of the product development and life cycle management process. It provides control of all configuration documentation, physical parts and software representing or comprising the product. Configuration Man

17、agements overarching goal is to establish and maintain consistency of a products functional and physical attributes with its requirements, design and operational information throughout its life cycle. To achieve this purpose, CM provides: a. Management and planning of CM tasks; b. Identification of

18、the functional requirements and physical attributes of each product; c. Documentation of these attributes; d. Verification that the configuration of the product design meets its requirements and matches its documentation; and e. Management and control of changes to each product and its documentation

19、. 1. SCOPE This document applies to hardware and software and provides CM requirements to be placed on contracts after being tailored by the Acquirer. The requirements have been organized by the following five CM functions: a. Configuration Planning and Management b. Configuration Identification c.

20、Configuration Change Management d. Configuration Status Accounting e. Configuration Verification and Audit 1.1 Responsibility of Acquiring and Supplying Activities 1.1.1 Responsibility of Acquirer The Acquirer establishes and controls the products functional requirements, performance requirements an

21、d has, at least, oversight and contract compliance responsibility during product development, fielding, operation, upgrade/modification, maintenance and disposal. The Acquirer defines the contractual CM terms and conditions for the contract(s) it issues through tailoring of this document. 1.1.2 Resp

22、onsibility of Supplier Supplier is responsible for complying with the requirements cited in this publication, as tailored by the Acquirer. In addition, the Supplier is responsible for ensuring that their sub-suppliers also conduct CM in such a manner that these requirements are achieved. 1.1.3 Appli

23、cability This document applies to all Acquirers and their Suppliers, whether the Supplier is a commercial enterprise or another government activity, tasked with CM responsibilities. Configuration Management is implemented on products throughout the product life cycle or as specified in the contract.

24、 SAE INTERNATIONAL EIA-649-1 Page 4 of 46 1.2 Tailoring Requirements This document is applicable only to the extent specified in the tasking directive or contract. The Acquirer tailors the requirements from this CM document to make them applicable to a specific program. Factors that influence the ta

25、iloring include: the programs life cycle phase, contract type/structure, complexity, size, intended use, mission criticality, and logistics support requirements of the affected configuration items (CIs). The ANSI/EIA-649 principles listed in this document are copyright-protected by SAE. Except as pe

26、rmitted under the applicable laws of the users country, neither the ANSI/EIA-649 principles nor any extract may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, photocopying, recording or otherwise, without prior written permission being secured; th

27、ey are intended to be for reference only. However, the requirements in this document are listed in Annex A may be used and quoted in contracts. Annex A is provided as a tool to aid the Acquirer in tailoring these requirements for use on specific contracts. 2. REFERENCES 2.1 Applicable Documents NOTE

28、: Source documents referenced herein. ANSI/EIA-649-B Configuration Management Standard ASME Y14.35 Revision of Engineering Drawings ASME Y14.100 Engineering Drawing and Related Documentation Practices DAG Defense Acquisition Guidebook DFARS Defense Federal Acquisition Regulation Supplement DoDI 5230

29、.24 Distribution Statements on Technical Documents ISO/IEC/IEEE 15288 Systems and software engineering System life cycle processes IEEE 15288.1 Standards for Application of Systems Engineering on Defense Programs IEEE 15288.2 Standards for Technical Reviews and Audits on Defense Programs MIL-HDBK-50

30、5 Definitions of Item Levels, Item Exchangeability, Models, and Related Terms MIL-DTL-15024 Plates, Tags, and Bands for Identification of Equipment, General Specification for MIL-STD-130 Identification Marking of U.S. Military Property MIL-STD-196 Joint Electronics Type Designation System MIL-STD-88

31、1 Work Breakdown Structures for Defense Materiel Items MIL-STD-961 Defense and Program-Unique Specifications Format and Content MIL-STD-1285 Department of Defense Standard Practice: Marking of Electrical and Electronic Parts MIL-STD-13231 Department of Defense Standard Practice: Marking of Electroni

32、c Items MIL-STD-31000 Technical Data Packages Title 10 United States Code Section 2302, Definitions Defense Standardization DoD Acquisitions: Buying Commercial Items and Nondevelopmental Program Office SD-2 Items SAE INTERNATIONAL EIA-649-1 Page 5 of 46 2.2 Related Publications NOTE: Additional usef

33、ul sources. ACMP 2009 (STANAG 4427) Guidance on Configuration Management SAE GEIA-STD-0007 Logistics Product Data SAE TA-STD-0017 Product Support Analysis ANSI/EIA-836 Configuration Management - Data Exchange and Interoperability ASME Y14.24 Types and Application of Engineering Drawings ASME Y14.41

34、Digital Product Definition Data Practices DoDD 5000.01 The Defense Acquisition System DoDI 5000.02 Operation of the Defense Acquisition System DoDI 8320.04 Item Unique Identification (IUID) Standards for Tangible Personal Property IEEE-STD-828 IEEE Standard for Configuration Management in Systems an

35、d Software Engineering ISO/IEC/IEEE 12207 Systems and software engineering - Software life cycle processes ISO/IEC/IEEE 24765 Systems and software engineering - Vocabulary ISO 10007 Quality management systems - Guidelines for configuration management MIL-HDBK-61 Configuration Management Guidance MIL

36、-HDBK-502 DoD Handbook Product Support Analysis MIL-STD-882 System Safety MIL-STD-962 Defense Standards Format and Content 2.3 Definitions ACQUIRER: An individual or enterprise that (1) commissions the engineering, design and/or manufacturing/production of a product, (2) is a prospective purchaser o

37、f the end products of a system or a portion thereof or, (3) is a user or consumer of the product. ALLOCATED BASELINE (ABL): The approved requirements for a product, subsystem or component, describing the functional, performance, interoperability, and interface requirements, that are allocated from h

38、igher-level requirements, and the verifications required to demonstrate achievement of those requirements, as established at a specific point in time and documented in the allocated configuration documentation. The allocated baseline for each lower-level system element (hardware and software) is usu

39、ally established and put under configuration control at the system element Preliminary Design Review (PDR). (Adapted from Defense Acquisition Guidebook (DAG) ALLOCATED CONFIGURATION DOCUMENTATION (ACD): The documentation describing a CIs functional, performance, and interoperability requirements tha

40、t are allocated from those of a system or higher level configuration item; interface requirements with interfacing configuration items; and the verifications required to confirm the achievement of those specified requirements. AS-DESIGNED CONFIGURATION: The configuration of an item as documented by

41、the design activity. SAE INTERNATIONAL EIA-649-1 Page 6 of 46 AS-BUILT CONFIGURATION: The configuration of an item as actually produced. The as-built configuration consists of the as-designed configuration at the time of production as modified with approved engineering changes and variances. In addi

42、tion, if the as-designed configuration consists of design alternatives, the as-built configuration reflects the actual produced item. NOTE: The as-built configuration may be referred to as the as-delivered configuration in some cases. In other cases, the as-delivered and as-maintained configurations

43、 may be further modification of the as-built configuration. When this distinction exists, the exact definition of each must be described in the CM Plan. AS-MAINTAINED CONFIGURATION: The configuration of an item as currently in-service. The as-maintained configuration consists of the as-built configu

44、ration, plus any approved changes, retrofits, or modifications implemented after the item is put into service; also referred to as the as-supported, as-installed, or in-service configuration. AUDIT: A systematic, independent and documented process for obtaining evidence and evaluating it objectively

45、 to determine the extent to which pre-defined criteria are fulfilled. Conducted by authorized individuals for the purpose of assessing compliance with established design/ performance requirements, commercial and appropriate military standards, and functional, allocated, and product baselines as appr

46、opriate. (Adapted from ISO 9000) BASELINE: A formally controlled and maintained set of data that serves as the basis for defining change. When used as a verb, baseline is the act of initially establishing and approving a set of data. CHANGE REQUEST: Information describing the justification to reques

47、t a change submitted to a Configuration Approval Authority for disposition (i.e., approval/disapproval/deferral). Information, by which a change is proposed, described, justified, and submitted to the approver. COMMERCIAL AND GOVERNMENT ENTITY (CAGE) CODE: A five position alphanumeric code that prov

48、ides a unique activity identifier to commercial and government activities that manufacture or develop items or provide services or supplies for the government or the Design Activity Identification. (Adapted from ASME Y14.100) COMPUTER SOFTWARE CONFIGURATION ITEM (CSCI): An aggregate of software that

49、 satisfies an end use function and is designated for purposes of specification, interfacing, qualification testing, CM or other purposes. A CSCI is composed of one or more software units which may consist of: (1) source code, object code, control code, control data or a collection of these items (2) an aggregation of software, such as a computer program or database,