Document: Configuration Management Plan

ELECTRONIC RECORDS ARCHIVESCONFIGURATION MANAGEMENT PLAN(CMP)v5.0for theNATIONAL ARCHIVES ANDRECORDS ADMINISTRATIONELECTRONIC RECORDS ARCHIVESPROGRAM MANAGEMENT OFFICE(NARA ERA PMO)FinalMay 24, 2010REVISIONS PREPARED BY:Configuration Management Team

Electronic Records Archive (ERA)Configuration Management Plan (CMP)ERA Program Management Office (ERA PMO)FinalSIGNATURE PAGE05/24/10i National Archives and Records Administration ERA.DC.CMP.5.0.doc

Electronic Records Archive (ERA)Configuration Management Plan (CMP)ERA Program Management Office (ERA PMO)FinalDOCUMENT CHANGE CONTROL SHEETDocument Title: Configuration Management Plan (CMP)DateFilename/version #AuthorStatusRevision Description03/15/10 ERA.DC.CMP.4.0.DOCCM TeamAccepted Updating CMP05/06/10 ERA.DC.CMP.5.0.DOCCM TeamUpdateUpdating CMP (CR#3392)05/17/10 ERA.DC.CMP.5.0.DOCCM TeamUpdatePeer Review Changes05/24/10CM TeamFinalFinal Peer Review changesincorporated05/24/10ERA.DC.CMP.5.0.DOCii National Archives and Records Administration ERA.DC.CMP.5.0.doc

Electronic Records Archive (ERA)Configuration Management Plan (CMP)ERA Program Management Office (ERA PMO)FinalTABLE OF CONTENTS1.0INTRODUCTION .11.1 PURPOSE .11.2 OVERVIEW .11.3 SCOPE .11.3.1Document Organization .11.3.2Configuration Item (CI) Control Levels.21.4 CONFIGURATION MANAGEMENT (CM) GUIDANCE .41.4.1Provisions .41.4.2Accountability .41.4.3Policy Statements .41.4.4Assumptions .51.4.5Limitation .51.5 DEFINITIONS AND ACRONYMS .51.6 REFERENCES .71.6.1ERA PMO Documents .71.6.2Standards and Guidelines .72.0CONFIGURATION MANAGEMENT ELEMENTS .72.1 CONFIGURATION MANAGEMENT ORGANIZATION .82.2 CONFIGURATION MANAGEMENT (CM) ROLES AND RESPONSIBILITIES .92.3 ORGANIZATIONAL ENTITIES VERSUS RESPONSIBILITIES . 152.4 APPLICABLE POLICIES AND PROCEDURES . 152.4.1ERA Policies . 152.4.2ERA PMO Procedures . 152.5 MANAGEMENT OF THE CM PROCESS . 163.0CONFIGURATION MANAGEMENT ACTIVITIES . 163.1 CONFIGURATION IDENTIFICATION. 163.1.1Identifying Configuration Items . 173.1.2Naming Configuration Items (CIs) . 223.1.3Labeling COTS and CMN Software Releases . 263.1.4Acquiring Configuration Items (CIs) . 263.2 CONFIGURATION CONTROL . 283.2.1Configuration Control Process . 283.2.2Version Control Overview . 303.3 MAJOR OR MINOR DOCUMENT UPDATES . 303.4 CONFIGURATION STATUS ACCOUNTING . 313.4.1Configuration Item (CI) List . 313.4.2Change Request (CR) Reporting . 313.4.3Audit Reports . 333.4.4Configuration Management (CM) Metrics Reports . 343.5 CONFIGURATION AUDITS AND REVIEWS . 353.5.1Functional Configuration Audit (FCA). 353.5.2Physical Configuration Audit (PCA) . 363.5.3Configuration Management (CM) Internal Audits . 363.5.4Reviews . 363.6 OPERATIONS . 383.7 INTERFACE CONTROL. 393.8 SUBCONTRACTOR/VENDOR CONTROL . 393.8.1Subcontractor Products . 393.8.2Vendor Products . 393.8.3Release Management and Delivery . 4005/24/10iii National Archives and Records Administration ERA.DC.CMP.5.0.doc

Electronic Records Archive (ERA)Configuration Management Plan (CMP)ERA Program Management Office (ERA PMO)Final4.0CONFIGURATION MANAGEMENT (CM) SCHEDULES. 404.15.0GENERAL CONFIGURATION MANAGEMENT (CM) ACTIVITIES SCHEDULE . 40CONFIGURATION MANAGEMENT (CM) RESOURCES . 425.1 CONFIGURATION MANAGEMENT (CM) ORGANIZATIONAL PRODUCTS . 425.2 CONFIGURATION MANAGEMENT (CM) TOOLS. 445.2.1Rational ClearQuest . 445.2.2PVCS Version Manager . 445.3 CONFIGURATION MANAGEMENT (CM) SUPPORT ENVIRONMENT . 455.4 CONFIGURATION MANAGEMENT (CM) TRAINING . 466.0CONFIGURATION MANAGEMENT PLAN MAINTENANCE . 47APPENDIX A: IEEE STD. 828-2005 DOCUMENT TAILORING . A-1APPENDIX B: ERA CONFIGURATION ITEMS LIST (SAMPLE LIST) . B-1LIST OF FIGURESFigure 2-1: Configuration Management (CM) Organizational Relationships . 9Figure 3-1: ERA Program Milestones and Baselines . 19Figure 3-2: ERA System Architecture . 19Figure 3-3: ERA Functional Segments . 20Figure 3-4: ERA Configuration Management Libraries . 27Figure 3-5: File Revisions . 30LIST OF TABLESTable 1-1: Document Organization . 2Table 1-2: Configuration Management (CM) Control Levels . 3Table 1-3: Acronyms List . 7Table 2-1: Configuration Management (CM) Organization Roles and Responsibilities . 14Table 2-2: Roles vs. Responsibilities Matrix . 15Table 3-1: Examples of File or CI . 22Table 3-2: Labeling Standards . 22Table 3-4: Functional Configuration Audit (FCA) Report . 33Table 3-5: Physical Configuration Audit (PCA) Report. 34Table 3-6: Configuration Status Accounting Reporting Frequency . 35Table 4-1: Frequency of Configuration Management (CM) Activities . 41Table 5-1: Configuration Management (CM) Organizational Products . 43Table 5-2: Rational ClearQuest . 44Table 5-3: PVCS Version Manager . 45Table 5-4: Configuration Management (CM) Training Needs . 4705/24/10iv National Archives and Records Administration ERA.DC.CMP.5.0.doc

Electronic Records Archive (ERA)Configuration Management Plan (CMP)ERA Program Management Office (ERA PMO)FinalCONFIGURATION MANAGEMENT PLAN (CMP)1.0IntroductionThis document describes the Configuration Management (CM) activities to be performed insupport of the Electronic Records Archive (ERA) Program. The ERA is a large-scale,comprehensive system designed to provide preservation of, and access to, Electronic Federal,Presidential, and Congressional Records in support of the mission of the National Archives andRecords Administration (NARA). ERA is considered to be a software-intensive system andtherefore a tailored version of the Institute of Electrical and Electronics Engineers (IEEE)Standard 828-2005, Standard for Software Configuration Management Plans, was used to guidethe development of this plan. The tailoring of this standard as it applies to this document isspecified in Appendix A, IEEE Std. 828-2005 Document Tailoring.1.1PurposeThe purpose of this document is to define the practices and procedures required to accomplishCM throughout the lifecycle of the ERA program. The intended audience for this document isthe ERA Program Management Office (PMO), ERA contractor development team, NARAmanagement, and other government management entities that have oversight responsibilities forthe ERA Program. Documents reference via hyperlink requires ERA S drive access.1.2OverviewThe ERA system will ingest, preserve, and provide access to the electronic records of all three(3) Branches of the U.S. Government. ERA is envisioned as a comprehensive, systematic, anddynamic means for preserving any kind of electronic record, free from dependence on specifichardware and/or software. The system will automate many of the electronic record lifecycleprocesses and make it easier to find and deliver electronic records in formats suited to customers’needs. The electronic records capabilities of the ERA system will be used in NARA’s recordscenters as well as the National Archives and Presidential Libraries.1.3ScopeCM is a system engineering discipline that formalizes the management of the configuration of asystem and controls changes to the system throughout its lifecycle. The key principles of CMensure that all components of the system can be uniquely identified, managed, and that anyprevious version of the system can be readily reproduced. This Configuration Management Plan(CMP) applies to all software, hardware, Commercial Off The Shelf (COTS) products,documentation, physical media, and physical parts used by ERA and the ERA contractordevelopment team to support various development activities, including engineering,implementation, testing, and configuration management.1.3.1Document OrganizationTable 1-1, Document Organization, describes the sections and contents of the CMP.05/24/10Page 1 National Archives and Records Administration ERA.DC.CMP.5.0.doc

Electronic Records Archive (ERA)Configuration Management Plan (CMP)ERA Program Management Office (ERA on Management3.0Configuration ManagementActivities4.05.06.0Appendix AAppendix BConfiguration ManagementSchedulesConfiguration ManagementResourcesConfiguration ManagementPlan MaintenanceIEEE STD 828-2005Document TailoringERA Configuration ItemsList (CIL)Content SummaryDescribes the CMP purpose, overview, scope,CM Guidance, definitions and acronyms, andreferencesIntroduces and describes the CM organizations,roles and responsibilities, applicable policies,standards and procedures, management of the CMprocessesDescribes the objectives of configurationidentification, configuration control,configuration status accounting, configurationaudits and reviews, interface Control, and subcontractor and vendor control.Describes the general CM activities scheduleDescribes the CM organizational products, tools,support environment, personnel, and training.The CMP will be updated as per the WBS.Details mapping between IEEE STD 828-2005and the CMPProvides a sample CILTable 1-1: Document Organization1.3.2Configuration Item (CI) Control LevelsThere are four (4) levels of CM control that Configuration Items (CIs) or work products areplaced under. 05/24/10Strict Control – This is the highest level of CM control. Products placed under strictcontrol are those items that are listed in the Integrated Schedule, require approval fromthe Configuration Control Board (CCB), and are versioned controlled. The formalQuality Management (QM) Peer Review procedure must be adhered to for documentsunder Strict Control.Managed Control – This is an intermediate level of CM control. Products placed underManaged Control are those items that are not listed in the Integrated Schedule, requiresignature approval from the Document Owner and/or the Contracting OfficerRepresentative (COR), and are version controlled. A formal QM Peer Review of adocument under managed control is at the discretion of a document owner.Contractual Document Control– These are contractually required documents preparedby the development contractor that are subject to Government review and approval,Page 2 National Archives and Records Administration ERA.DC.CMP.5.0.doc

Electronic Records Archive (ERA)Configuration Management Plan (CMP)ERA Program Management Office (ERA PMO)Final usually within 30 days of formal receipt. This data may be in hard copy, electronic(including electronic mail) copy, or any other form specified in the contract.Other – These items are products that do not require CM Control but are kept forhistorical purposes e.g., Meeting Minutes, Agendas, etc. Work Products do not require aformal QM Peer Review.Note: Working Area – All drafts, or copies of documents under development, should besaved on H drive so they are subject to network back up.A summary of the configuration control levels, their required reviews, and the approving changeauthority for changes at that level are provided in Table 1-2, Configuration Management (CM)Control Levels, below.Level ofControlStrictManagedExamples of WorkProducts tsDesignManagementPlansReportsProject FormsProject TemplatesProject ChecklistsProject cedures (SOPs) CDRLs DraftsWork productsunderdevelopmentNon-controlleditems like MeetingMinutes Required ReviewApproval AuthorityQuality Assurance(QA) ReviewQA AuditPeer Review Program Director(PD) CCB Chairperson CCB RepresentativesQA Review, whenappropriateQA Audit, whenappropriatePeer Review, whenappropriateManager/Owner’sReview Document Owner COR (If required)Document ChairDesignated ReviewersAs deemed necessaryby the owner of thework product Document Chair N/ATable 1-2: Configuration Management (CM) Control Levels05/24/10Page 3 National Archives and Records Administration ERA.DC.CMP.5.0.doc

Electronic Records Archive (ERA)Configuration Management Plan (CMP)ERA Program Management Office (ERA PMO)Final1.4Configuration Management (CM) GuidanceThe purpose of CM is to establish and maintain the integrity and control of the p

Configuration Management Schedules Describes the general CM activities schedule . 5.0 : Configuration Management Resources Describes the CM organizational products, tools, support environment, personnel, and training. 6.0 . Configuration Management Plan Maintenance The CMP will be updated as per the WBS. Appendix A . IEEE STD 828-2005 Document .