SIST EN 16601-40:2014

SLOVENSKI STANDARD
SIST EN 16601-40:2014
01-november-2014
1DGRPHãþD
SIST EN 13290-5:2002
SIST EN 13290-6:2002
Vodenje vesoljskih projektov - 40. del: Vodenje konfiguracije in informacij
Space project management - Part 40: Configuration and information management
Raumfahrt-Projektmanagement - Teil 40: Konfigurations- und Informationsmanagement
Management des projets spatiaux - Partie 40: Gestion de la configuration et de
I'informations
Ta slovenski standard je istoveten z: EN 16601-40:2014
ICS:
03.100.40 Raziskave in razvoj Research and development
49.140 Vesoljski sistemi in operacije Space systems and
operations
SIST EN 16601-40:2014 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN 16601-40:2014

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SIST EN 16601-40:2014


EUROPEAN STANDARD
EN 16601-40

NORME EUROPÉENNE

EUROPÄISCHE NORM
August 2014
ICS 49.140 Supersedes EN 13290-5:2001, EN 13290-6:2001
English version
Space project management - Teil 40: Configuration and
information management
Management des projets spatiaux - Partie 40: Gestion de la Raumfahrt-Projektmanagement - Teil 40: Konfigurations-
configuration et de I'informations und Informationsmanagement
This European Standard was approved by CEN on 14 December 2013.

CEN and CENELEC members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving
this European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning
such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN and CENELEC
member.

This European Standard exists in three official versions (English, French, German). A version in any other language made by translation
under the responsibility of a CEN and CENELEC member into its own language and notified to the CEN-CENELEC Management Centre
has the same status as the official versions.

CEN and CENELEC members are the national standards bodies and national electrotechnical committees of Austria, Belgium, Bulgaria,
Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece,
Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia,
Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.






CEN-CENELEC Management Centre:
Avenue Marnix 17, B-1000 Brussels
© 2014 CEN/CENELEC All rights of exploitation in any form and by any means reserved Ref. No. EN 16601-40:2014 E
worldwide for CEN national Members and for CENELEC
Members.

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SIST EN 16601-40:2014
EN 16601-40:2014 (E)
Table of contents
Foreword . 5
Introduction . 6
1 Scope . 7
2 Normative references . 8
3 Terms, definitions and abbreviated terms . 9
3.1 Terms from other standards . 9
3.2 Terms specific to the present standard . 9
3.3 Abbreviated terms. 11
4 Configuration management principles . 13
4.1 Overview . 13
4.1.1 Configuration and information/documentation activities . 13
4.1.2 Configuration management process and objectives . 13
4.1.3 Information/documentation management process and objectives . 14
4.2 Management and planning . 15
4.2.1 Configuration management plan . 15
4.2.2 Configuration management interfaces . 15
4.3 Implementation of configuration management . 17
4.3.1 Overview . 17
4.3.2 Configuration identification . 19
4.3.3 Configuration control . 23
4.3.4 Configuration status accounting . 25
4.3.5 Configuration verification . 26
4.3.6 Configuration management process audit . 26
4.3.7 Configuration management approach for operational phase . 26
4.3.8 Implementation of information/documentation management . 27
5 Configuration management requirements . 32
5.1 General . 32
5.2 Management and planning . 32
5.2.1 Configuration management plan . 32
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5.2.2 Configuration management interfaces . 33
5.3 Implementation of configuration management . 33
5.3.1 Configuration identification . 33
5.3.2 Configuration control . 38
5.3.3 Configuration status accounting . 40
5.3.4 Configuration verification . 41
5.3.5 Audit of the configuration management system . 42
5.3.6 Configuration management approach for operational phase . 42
5.3.7 Implementation of information/documentation management . 43
Annex A (normative) Configuration management plan - DRD . 48
Annex B (normative) Configuration item list - DRD . 55
Annex C (normative) Configuration item data list (CIDL) - DRD . 57
Annex D (normative) As-built configuration list - DRD . 59
Annex E (normative) Software configuration file (SCF) - DRD . 61
Annex F (normative) Configuration status accounting reports -DRD . 64
Annex G (normative) Change request - DRD . 67
Annex H (normative) Change proposal - DRD . 69
Annex I (normative) Request for deviation - DRD . 71
Annex J (normative) Request for waiver - DRD . 73
Annex K (informative) Configuration item selection . 75
Annex L (informative) Technical data package description . 77
Annex M (informative) Digital signature . 99
Bibliography . 102

Figures
Figure 4-1 Configuration management . 14
Figure 4-2 Configuration management interface (inputs) . 16
Figure 4-3 Configuration management interface (outputs) . 17
Figure 4-4 Implementation of configuration management . 19
Figure 4-5 Configuration identification . 20
Figure 4-6 CI product tree structure . 21
Figure 4-7 Configuration control . 24
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Figure 4-8 Implementation of information/documentation management . 27
Figure 4-9 TDP contents . 29
Figure 4-10 Delivery process for TDP . 30
Figure 4-11 Project phases and baseline definitions . 31
Figure L-1 TDP ZIP file . 78
Figure L-2 : ZIP archive . 79
Figure L-3 : XML schema tree . 79
Figure M-1 Digital signature . 100

Tables
Table G-1 : Change request scope and content . 68
Table H-1 : Change proposal scope and content . 70
Table I-1 : Request for deviation scope and content . 72
Table J-1 : Request for waiver scope and content . 74
Table L-1 : data_package . 81
Table L-2 : data_definition_exchange . 81
Table L-3 : item_properties . 86
Table L-4 : element . 87
Table L-5 : database . 97
Table L-6 : Additional information on Table L-1 to Table L-5 . 98

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SIST EN 16601-40:2014
EN 16601-40:2014 (E)
Foreword
This document (EN 16601-40:2014) has been prepared by Technical Committee
CEN/CLC/TC 5 “Space”, the secretariat of which is held by DIN.
This standard (EN 16601-40:2014) originates from ECSS-M-ST-40C Rev. 1.
This European Standard shall be given the status of a national standard, either
by publication of an identical text or by endorsement, at the latest by February
2015, and conflicting national standards shall be withdrawn at the latest by
February 2015.
Attention is drawn to the possibility that some of the elements of this document
may be the subject of patent rights. CEN [and/or CENELEC] shall not be held
responsible for identifying any or all such patent rights.
This document supersedes EN 13290-5:2001 and 13290-6:2001.
This document has been developed to cover specifically space systems and has
therefore precedence over any EN covering the same scope but with a wider
domain of applicability (e.g. : aerospace).
According to the CEN-CENELEC Internal Regulations, the national standards
organizations of the following countries are bound to implement this European
Standard: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic,
Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France,
Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania,
Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United
Kingdom.
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Introduction
This document defines the configuration management and
information/documentation requirements for space projects.
The document is structured into two main parts, the first part presenting the
processes and the second one providing the detailed requirements.
In addition, the expected configuration and information/documentation
management documentation is specified in the annexed document
requirements definitions (DRDs).
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1
Scope
The scope of this standard is to describe the processes and provide the
requirements for managing the information/documentation and configuration
of products within a space programme or project.
The requirements specified herein apply to, and affect the supplier and
customer at all levels.
This standard may be tailored for the specific characteristics and constraints of a
space project in conformance with ECSS-S-ST-00.
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2
Normative references
The following normative documents contain provisions which, through
reference in this text, constitute provisions of this ECSS Standard. For dated
references, subsequent amendments to, or revisions of any of these publications
do not apply. However, parties to agreements based on this ECSS Standard are
encouraged to investigate the possibility of applying the most recent editions of
the normative documents indicated below. For undated references the latest
edition of the publication referred to applies.

EN reference Reference in text Title
EN 16601-00-01 ECSS-S-ST-00-01 ECSS system – Glossary of terms
EN 16601-10 ECSS-M-ST-10 Space project management – Project planning and
implementation
EN 16602-10-09 ECSS-Q-ST-10-09 Space product assurance – Nonconformance control
system
EN 16602-20 ECSS-Q-ST-20 Space product assurance – Quality assurance
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3
Terms, definitions and abbreviated terms
3.1 Terms from other standards
For the purpose of this Standard, the terms and definitions from ECSS-S-ST-00-
01 apply, in particular for the following terms:
configuration
configuration baseline
configuration control
configuration document
configuration identification
configuration item
configuration management
3.2 Terms specific to the present standard
3.2.1 change control
activity for control of changes or departures to the product after formal
approval of its configuration baseline
NOTE Adapted from ISO 10007.
3.2.2 class 1 change
change that affects approved technical specifications, including interfaces of the
same level, and associated terms of the business agreement between a customer
and his supplier
3.2.3 class 2 change
change that does not fulfil class 1 change criteria
3.2.4 configuration control board
person or a group of persons assigned responsibility and authority to make
decisions on the configuration
NOTE 1 This configuration control board is called
dispositioning authority in ISO 10007.
NOTE 2 Relevant interested parties within and outside the
organization are represented on the configuration
control board.
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NOTE 3 Adapted from ISO 10007.
3.2.5 configuration definition document
document that defines the physical configuration and establishes the item or
material identification code (part or identifying number) at any level in the
product structure
NOTE Adapted from ASME Y14.100.
3.2.6 configured item
any level of product whose functional or physical characteristics are recorded in
a retrievable, consistent manner
3.2.7 departure
inability of a product to meet one of its functional performance or technical
requirements
NOTE 1 Two types exist:
• planned departure resulting in request for
deviation, and
• unplanned departure resulting in request for
waiver.
NOTE 2 Departures do not change the engineering
documentation.
3.2.8 information/documentation management
process for ensuring timely and effective creation, collection, review, delivery,
storage, and archiving of project information
3.2.9 information system
set of resources, procedures and data required in support of project
management processes
3.2.10 metadata
metadata are structured, encoded data that describe characteristics of in-
formation-bearing entities to aid in the identification, discovery, assessment,
and management of the described entities
NOTE Adapted from Committee on Cataloguing Task
Force on metadata Summary Report.
3.2.11 product item
element of the product tree having a unique identifier
3.2.12 self-signed certificate
certificate auto-generated by the signer
3.2.13 technical data package
ZIP file containing structured collection of files with their related metadata, to
be exchanged between information systems
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NOTE Adapted from ISO10303 AP232 TDP definition.
3.2.14 technical description
technical definition in terms of documentation of a product, e.g. functional or
performance, and design requirements, test and verification documentation,
analyses, drawings, parts and material lists, processes and tooling.
3.3 Abbreviated terms
For the purpose of this Standard, the abbreviated terms from ECSS-S-ST-00-01
and the following apply:
Abbreviation Meaning
ABCL as-built configuration data list
AR acceptance review
CAD computer aided design
CAGE commercial and government entity
CCB configuration control board
CD compact disk
CDR critical design review
CI configuration item
CIDL configuration item data list
CM configuration management
CP change proposal
CR change request
CSA configuration status accounting
DB design baseline
DCB development configuration baseline
DRD document requirements definition
DRL document requirements list
DUNS data universal numbering system
DXF drawing exchange format
EIDP end item data package
FCB
functional configuration baseline
FCV functional configuration verification
FTP file transfer protocol
H/W hardware
ICD
interface control document
IDM information documentation management
IEC
International Electrotechnical Commission
IETF internet engineering task force
IS
information system
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ISO International Organization for Standardization
ITU
International Telecommunication Union
JPEG joint photographic experts group
LZW Lempel-Ziv-Welch
MOB mission objective baseline
MS Microsoft
NATO North Atlantic Treaty Organization
NCR nonconformance report
OTS off-the-shelf
PA product assurance
PCB product configuration baseline
PCV physical configuration verification
PDF portable document format
PDR preliminary design review
PI product item
PMP parts, materials and processes
PRR preliminary requirements review
QR qualification review
RFD request for deviation
RFW request for waiver
RID review item discrepancy
ROM read only memory
SCF software configuration file
SMTP simple mail transfer protocol
SRR system requirements review
STEP standard for the exchange of product
S/W software
TDP technical data package
TIFF tagged image file format
TRR test readiness review
TS technical specification
WBS work breakdown structure
XML extensible mark-up language
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4
Configuration management principles
4.1 Overview
4.1.1 Configuration and
information/documentation activities
Configuration and information/documentation management are interrelated
processes for managing projects. The main activities of these processes,
depicted in Figure 4-1, are:
• management and planning;
• implementation of CM activities, i.e. configuration identification, control,
status accounting, and verification and audit;
• implementation of IDM activities, i.e. creation, collection, review,
delivery, storage and retrieval, and archiving.
4.1.2 Configuration management process and
objectives
Configuration management is the process for establishing and maintaining a
consistent record of a product’s functional and physical characteristics
compared to its design and operational requirements. Configuration
management is applied throughout the entire life cycle of the product and
allows one to:
• know at any time the technical description of a product using approved
documentation;
• record and control the evolution in the technical description of a product
(e.g. system and its products);
• provide traceability of the evolution of the product’s technical
description;
• ensure the consistency of the internal interfaces;
• verify and demonstrate to all actors that documentation is and remains
the exact image of the products it describes;
• identify the current configuration baseline and the as-built configuration
of a product, to record discrepancies detected during production,
delivery or operation and dispositioned for further use;
• enable any actor to know the operational possibilities and limitations of
each product item and, in case of nonconformance, to know which items
are affected.
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Corrective actions
CM Plan
Management
requirements
CM procedures
Management & Baseline content (agreed set of documents)
Configuration item + Configuration item list
planning
Dispositioned changes (e.g. CRs,CPs,RFDs,RFWs)
Configuration item data list/
Software configuration file
Implementation of
RIDs As-built configuration list definition
configuration management
Configuration status accounting reports
Engineering requirements
Logistic Maintenance plan
Validated baseline
Product tree
Project documentation
Validated CM System
Request for change (e.g. CR,CP,RFD,RFW, NCR)
PA requirements
Legal requirements
for storage/archiving
Documents electronically signed
Collection of infos
Implementation of
Electronic signature
Delivered documents + Meta-data
Distribution list information/documentation
XML schema
management
Security requirements (access control)
Project archived documents
Protection requirements

NOTE: Corrective actions are improvements on the process itself as a consequence of lessons learned and any
feedback provided on the project
Figure 4-1 Configuration management
4.1.3 Information/documentation management
process and objectives
Information/documentation management is the process for ensuring timely and
effective creation, collection, review, delivery, storage, and archiving of project
information. To achieve this objective, all recorded project information is
managed electronically.
Information/documentation management is applied throughout the entire life
cycle of the project and allows someone to
• ensure the correctness, accessibility, rapid availability, reliability and
security of information provided to all the actors both internal and
external to the project;
• ensure the coherence of the overall project information, thus facilitating
effective and efficient use of the information;
• ensure that all the actors who need access to information are aware of its
availability, the means of access, and related methods and procedures;
• support the programme / project reporting.
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4.2 Management and planning
4.2.1 Configuration management plan
The customer defines the configuration management requirements for a
programme or project. These requirements are applicable to all the actors of the
programme or project as defined by the customer at each level towards his
supplier(s). Each supplier produces a configuration management plan (CM
plan) responding to his customer’s configuration management requirements.
The CM plan is submitted to the customer for approval. Upon customer
approval, the supplier executes his own CM plan and ensures that his lower tier
suppliers execute their CM plan.
The purpose of the CM plan is to define the process and resources for managing
the configuration of the product in a controlled and traceable manner
throughout the programme or project life cycle. It also describes the means for
an efficient comparison between the predicted (“as-designed”) and the actual
(“as-built”) configuration of the delivered product. It defines the relationship
with the project management, system engineering and quality management
process.
It either provides all elements necessary to ensure that the implementation of
the information/documentation management meets all customer requirements,
and that it is in line with the programme or project organization and
management structure.
The customer defines the programme or project phase during which the CM
plan is prepared and approved.
Each actor assigns a person responsible for implementing configuration
management activities and for implementing information/documentation
management activities within his programme or project team. His role,
responsibilities and authorities are described in the CM plan.
4.2.2 Configuration management interfaces
Configuration management and Information/documentation management are
integral parts of project management. Configuration management interfaces
with engineering, product assurance, manufacturing and production and
contributes to programme or project organization and their schedule for
execution by identifying all constraints related to the business agreement
provisions. Information/documentation management interfaces with
configuration management and it contributes to programme or project activities
by provision of all the necessary information through the information system.
The information system is a repository of information where the project
disciplines implement data and activate processes. These interfaces are used to
establish the configuration management process.
Necessary inputs for configuration management are depicted in Figure 4-2.
Figure 4-3 summarizes the outputs provided by configuration management and
Information/documentation management to other project activities.
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Other project
management
activities

Management requirements and schedule
Logistic/Maintenance plan
Request for changes
RIDs
Configuration management
Product
Engineering
assurance
Information/documentation
management
Request for changes Engineering requirements
Project documentation Product tree
RIDs
Request for changes
Project documentation
RIDs

Figure 4-2 Configuration management interface (inputs)
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Other project
management
activities

CIs + Configuration item list
Dispositioned changes (CPs, RFDs, RFWs)
Configuration status accounting reports
Validated baseline
CM proposed corrective actions
Validated CM system

Configuration management
Product
Engineering
assurance
Information/documentation
management
CIs + Configuration item list CIs + Configuration item list
Baseline content (agreed set of Baseline content (agreed set of
documents) documents)
Dispositioned changes (CPs, RFDs, Dispositioned changes (CPs, RFDs,
RFWs) RFWs)
Configuration item data list/Software Configuration item data list/Software
configuration file configuration file
As-built configuration list definition Validated baseline
Validated baseline Reliable and secure information
Validated CM system
Reliable and secure information

Figure 4-3 Configuration management interface (outputs)
4.3 Implementation of configuration management
4.3.1 Overview
Implementation of configuration management comprises definition,
organization, execution and supervision of the following activities, as depicted
in Figure 4-4:
• Configuration identification
 to identify the product architecture;
 to select configuration items and to define the
...