+-----------------------------------------------------------------------+
| **U. S. Department of Energy**                                        |
|                                                                       |
| **Chief Information Officer**                                         |
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|                                                                       |
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| **DOE Business Systems**                                              |
|                                                                       |
| **Configuration Management Plan**                                     |
|                                                                       |
| **Original Version**                                                  |
|                                                                       |
| **October 2003**                                                      |
|                                                                       |
| **Updated**                                                           |
|                                                                       |
| **October 2004**                                                      |
|                                                                       |
| **Version 2.1**                                                       |
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**TITLE PAGE**

Document Name: *DOE Business Systems Configuration Management Plan*

Approval:
[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

> Kyle E. McSlarrow
>
> Deputy Secretary of Energy

**DOCUMENT CHANGE CONTROL SHEET**

+-------+-------------------+--------------+--------------------------+
| **D   | *                 | **Author**   | **Change Synopsis**      |
| ate** | *Filename/version |              |                          |
|       | \#**              |              |                          |
+-------+-------------------+--------------+--------------------------+
| 4/14  | CM Plan v.1.9     | Donald       | -   Updated CCP and CCA  |
| /2004 | changed to CM     | Thomas -- CM |     forms in Appendix B  |
|       | Plan v. 2.0       | Secretariat  |     by adding signature  |
|       |                   |              |     and date lines for   |
|       |                   |              |     the proposal manager |
|       |                   |              |     (CCP) and the two    |
|       |                   |              |     Co-Chairs (CCA).     |
|       |                   |              |     This change was      |
|       |                   |              |     approved by the CM   |
|       |                   |              |     Board in the April   |
|       |                   |              |     6^th^ meeting.       |
|       |                   |              |                          |
|       |                   |              | -   Updated quorum       |
|       |                   |              |     procedures in        |
|       |                   |              |     Section 5.4.         |
+-------+-------------------+--------------+--------------------------+
| 8/12  | CM Plan v.2.0     | Ami Ringold  | -   Updated to reference |
| /2004 | changed to CM     | -- CM        |     Appendix E and F.    |
|       | Plan v.2.1        | Secretariat  |                          |
|       |                   |              | -   Updated to add       |
|       |                   |              |     Proposal Managers    |
|       |                   |              |     for each DOE office  |
|       |                   |              |     to the CM Process.   |
|       |                   |              |                          |
|       |                   |              | -   Added in additional  |
|       |                   |              |     Board Member (Sharon |
|       |                   |              |     Root, EH) and        |
|       |                   |              |     related voting       |
|       |                   |              |     procedure (one       |
|       |                   |              |     additional vote      |
|       |                   |              |     bestowed upon        |
|       |                   |              |     co-chairs in         |
|       |                   |              |     tie-breaker          |
|       |                   |              |     situation)           |
+-------+-------------------+--------------+--------------------------+
|       |                   |              |                          |
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|       |                   |              |                          |
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|       |                   |              |                          |
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|       |                   |              |                          |
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|       |                   |              |                          |
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|       |                   |              |                          |
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|       |                   |              |                          |
+-------+-------------------+--------------+--------------------------+

*Note: All subsequent versions of the CM Plan supersede the previous
versions.*

**TABLE OF CONTENTS**

[1. Introduction 1](#introduction)

[1.1. Purpose of Configuration Management
1](#purpose-of-configuration-management)

[1.2. Scope 1](#scope)

[2. Principles of Configuration Management
1](#principles-of-configuration-management)

[3. Roles and Responsibilities 2](#roles-and-responsibilities)

[3.1. Overview 2](#overview)

[3.2. Configuration Control Board (CCB)
5](#configuration-control-board-ccb)

[3.3. Review Group 6](#review-group)

[3.4. CM Secretariat 6](#cm-secretariat)

[4. Configuration Control Guidelines
7](#configuration-control-guidelines)

[4.1. System Life Cycle Phase Definitions
7](#system-life-cycle-phase-definitions)

[4.2. Change Items Subject to CM Process
8](#change-items-subject-to-cm-process)

[4.3. Exceptions to Qualifying Criteria
9](#exceptions-to-qualifying-criteria)

[5. Configuration Control Process 9](#configuration-control-process)

[5.1. Pre-initiation Phase 10](#pre-initiation-phase)

[5.2. Initiating a CCP 10](#initiating-a-ccp)

[5.3. Assessment and Recommendation 11](#assessment-and-recommendation)

[5.4. Configuration Control Board Actions
12](#configuration-control-board-actions)

[5.5. Notification and Tracking 14](#notification-and-tracking)

[6. Linkages 14](#linkages)

[Appendix A -- DOE Enterprise Architecture Systems Baseline
19](#appendix-a-doe-enterprise-architecture-systems-baseline)

[Appendix B -- Forms 23](#appendix-b-forms)

[Appendix C -- Configuration Management Acronyms
26](#appendix-c-configuration-management-acronyms)

[Appendix D -- Glossary 27](#appendix-d-glossary)

[Appendix E -- Proposal Manager Role and Responsibilities
29](#appendix-e-proposal-manager-role-and-responsibilities)

[Appendix F -- Review Group Role and Responsibilities
31](#appendix-f-review-group-role-and-responsibilities)

# 1. Introduction {#introduction .unnumbered}

## Purpose of Configuration Management

Configuration Management (CM) is a formalized process to manage proposed
system changes and provide an "audit trail" to manage and maintain the
evolution of system configurations. CM provides this rigorous review and
supports these DOE corporate systems management goals:

-   Systems integration;

-   Prioritization of expenditures;

-   Conformity with established DOE Corporate Enterprise Architecture;
    and,

-   Alignment with the President's Management Agenda.

Specifically, CM provides an opportunity to thoroughly assess the impact
of acquisitions, proposed changes in terms of ultimate cost, technical
strength, and business need. CM also reduces overlap and redundancy in
systems, assists budget and performance integration, and integrates DOE
administrative systems with respect to functions and data.

## Scope

This CM Plan applies to all DOE business systems, including NNSA.
Appendix A identifies the systems currently comprising the systems
inventory baseline. Over time, the inventory composition will need to be
audited and updated to reflect the evolution and status of the systems.
The CCB will approve the up-to-date systems baseline by life-cycle
stage.

This CM Plan is also intended to reinforce and extend the practice of CM
processes that already exist within DOE. It describes the process that
DOE will follow in managing its corporate business systems and the roles
and duties that implement the process. Other CM plans currently exist at
the systems level for particular applications, as well as at a higher,
summary level for Offices. The owners of those plans will be required to
submit CCPs and follow the CM process so that the discipline extends
consistently from the individual system to the corporate level.

# Principles of Configuration Management

Configuration Management is a discipline for exercising control over
changes. A CM Plan establishes a baseline, defines the rules for
changing that baseline, and records changes as they occur, thereby
providing an auditable trail of events. That is, the origin of changes
and their status at any subsequent point can be readily identified.

Configuration Management originated as a method for keeping track of the
numerous and extremely granular changes to complex systems; however, CM
principles apply equally well to the larger management environment. OMBE
and OCIO will jointly manage the CM process at the corporate level.
"Management" in this context means keeping track of costs and schedules
associated with changes. The CM process will support the associated
decision processes to achieve and sustain cost-effective strategic
alignment of the corporate systems.

The following table summarizes the principles of CM.

  ----------------------- -----------------------------------------------
  Configuration           Listing the items that fall under the CM
  Identification          process and listing the characteristics of
                          each. These are called Configuration Items.

  Configuration Control   Maintaining rules and procedures that govern
                          making changes to Configuration Items as well
                          as keeping track of the changes.

  Status Accounting       Reporting information associated with the
                          changes, particularly the status of proposed
                          changes and changes in the process of being
                          implemented.
  ----------------------- -----------------------------------------------

In this document, Section 3 defines Roles and Responsibilities; Section
4 describes Configuration Control Guidelines for DOE business systems;
and Section 5 describes the Configuration Control Process. In addition,
Appendix A outlines the DOE Enterprise Architecture Systems Baseline;
Appendix B contains relevant forms; Appendix C lists Configuration
Management Acronyms; Appendix D contains a Glossary of Configuration
Management Terms; Appendix E details the Proposal Managers' roles and
responsibilities; and Appendix F lists the Review Group's roles and
responsibilities.

# Roles and Responsibilities

## Overview

The organizational structure of the CM process is composed of four
entities:

-   Configuration Control Board (CCB);

-   Review Group;

-   CM Secretariat; and

-   Proposal Managers.

The CCB is the executive arm of the CM process. The CCB retains
authority for final approval of the Configuration Change Proposal (CCP);
is the primary entity engaged in monitoring the status of corporate
systems; and provides input to OCIO and OMBE management decisions on
budget authority for systems activities.

The Review Group is the analytic and deliberative arm of the CM process
and will be responsible for reviewing proposed CCPs in detail and
reporting its findings and providing recommendations to the CCB,
including, but not limited to:

-   acquisition of new systems;

-   changes to systems currently under development (including changes in
    project scope) and budget allocations; and

-   modifications to legacy systems.

The Review Group consists of three members of the CCB, as assigned by
the CCB Co-Chairs, and is supported by the organization submitting the
CCP by way of the designated Proposal Manager for that office, the
I-MANAGE Team and the Enterprise Architecture Group. This group will
have a Chair to ensure that results of the reviews reflect the rules of
the CM Plan and that the appropriate input is solicited from the
interested organizations prior to making recommendations to the CCB.

The CM Secretariat is the administrative arm of the CM process and
supports the Review Group and the CCB. The Secretariat maintains the
systems baseline inventory and records change activity. It offers
logistical assistance for the CCB and its meetings, maintains the
library of forms and templates, and is responsible for the audit trail
for all CCPs. The Secretariat has no voting role in the CM process.

Each DOE office will assign a Proposal Manager. The primary
responsibility of the Proposal Manager is to support the CCPs through
the CM process. This will be accomplished by communicating with the
Review Group and the Secretariat, providing answers to Board questions,
and resolving issues within the program offices. A detailed description
of the roles and responsibilities of Proposal Managers is presented in
Appendix E.

Figure 1 below depicts the organizations and hierarchy of the CM
process. The sections following the diagram, describe the composition
and duties of the CCB, the Review Group, the Secretariat, and other
entities involved in the CM process.

**Figure 1**

## Configuration Control Board (CCB)

The CCB will meet the first Tuesday of every month (unless otherwise
decided through Board consensus) and consists of two Co-Chairs and 10
members.

  -------- --------------------------------------------------------------
  HQ       Office of Management Analysis (ME-2.5) - Co-Chair

  HQ       Office of the Chief Information Officer (IM/OCIO) -- Co-Chair

           

  HQ       Office of Management, Budget and Evaluation (OMBE)

  HQ       Office of Environmental Management (EM)

  HQ       Office of Science (SC)

  HQ       National Nuclear Security Administration (NNSA)

  HQ       Office of Fossil Energy (FE)

  HQ       Office of Energy Efficiency Renewable Energy (EE)

  HQ       Office of Nuclear Energy, Science and Technology (NE)

  HQ       Office of Civilian Radioactive Waste Management (RW)

  HQ       Office of Security (SO)

  HQ       Office of Environmental Health (EH)
  -------- --------------------------------------------------------------

The responsibilities of the CCB Co-Chairs are to:

-   Communicate OCIO and OMBE management policy to the CCB;

-   Assign members of the Review Group;

-   Solicit CCB representation from the identified DOE offices;

-   Authorize changes to the criteria for change items subject to the CM
    process (Section 4.2);

-   Convene scheduled and unscheduled meetings of the CCB;

-   Set CCB priorities and meeting agendas; and

-   Elevate issues and report CCB decisions to OCIO and OMBE management.

The CCB Co-Chairs may modify the composition of the Board as events
warrant. The Co-Chairs may from time to time request assistance from
other DOE organizations to address particular matters that come before
the Board.

The responsibilities of the CCB are to:

-   Establish and publicize qualifying criteria for changes;

-   Establish controls for CCPs;

-   Review recommendations submitted by the Review Group;

-   Issue final approval/disapproval of CCPs;

-   Set timeframes for implementation;

-   Monitor the status of approved CCPs;

-   Identify and take action on non-compliance with CM controls; and

-   Act upon requests for exceptions.

## Review Group

An essential aspect of the CM process is to assess CCPs in detail.
Members of the Review Group will be responsible for acquiring the
necessary information to adequately review and report their
recommendations to the CCB.

The purpose of the Review Group is to determine whether the CCP furthers
the OCIO and OMBE management objectives of systems integration,
reliability, and conformance to the DOE Business and Corporate
Enterprise Architectures, sound development methodology, avoidance of
duplicative development efforts, fiscal responsibility, and principles
of good business management. The relevant constituency whose interests
must be served is the DOE corporate community. The primary areas of
responsibility will be:

-   [Business Function]{.underline} - The CCP will be reviewed with
    respect to the Business Functions involved. A determination will be
    made as to whether the proposal represents a reasonable addition to
    the business functions and scope already present in the system, or
    whether the DOE community is better served by an alternative
    solution. The CCP will also be evaluated in light of the management
    priorities established by DOE management.

-   [Technical/Architectural]{.underline} - The CCP will be reviewed
    with respect to its technical robustness and conformity with DOE
    enterprise architecture. The emphasis here is not on the technical
    infrastructure proper because the OCIO enforces CM in the
    infrastructure area; however, at the application level, there are
    technical issues to probe, particularly for systems that are used
    not only by Headquarters, but also by the Field Offices and National
    Laboratories.

-   [Implementation]{.underline} - Not all CCPs will require
    implementation analysis. Implementation review is relevant when new
    systems are proposed or major modules are added to existing systems.
    The review must address whether implementation issues exist, such as
    changes in current business practices or a need for user training,
    and whether they have been adequately addressed. Where issues have
    not been adequately addressed, required changes to business rules
    must be identified.

The CCB Co-Chairs will select three members of the CCB for one-year
rotating terms. From the three members, a Chair will be selected to
facilitate the reviews. The Chair will have the responsibility to find
the resources within DOE to conduct the reviews. On an exception basis,
the I-MANAGE team and the Enterprise Architecture Group will be
available to provide input and advice. The CM Secretariat will provide
administrative support to the Review Group.

A detailed description of the role and responsibilities of the Review
Group is presented in Appendix F.

## CM Secretariat

The practice of CM entails considerable record keeping and logistic
efforts. The CCB Co-Chairs will oversee creation of a Secretariat
position with responsibility for administrative functions.

Responsibilities of the Secretariat are to:

-   Maintain the CCP information from initiation to closure;

-   Maintain the library of CCP forms, document templates, and CM
    procedures;

-   Maintain e-mail addresses of CCB persons and organizations;

-   Enter updates to this CM Plan as directed by the CCB Co-Chairs;

-   Ensure that the CCP has all required information when submitted;

-   Maintain the CCB docket and schedule presentations to the CCB;

-   Set up CCB and Review Group meetings (facilities, equipment, etc.);

-   Publish and distribute CCB meeting agendas;

-   Publish and distribute changes to the criteria for change items
    subject to the CM process (Section 4.2) as directed by the CCB
    Co-Chairs;

-   Prepare and distribute proposal packages to the members in advance
    of meetings;

-   Attend CCB meetings, take, distribute and archive meeting notes;
    prepare, distribute, and archive conference logs; and

-   Maintain Appendix A of this document.

The Secretariat will also be responsible for performing other support
functions as directed by the Co-Chairs and/or the CCB in support of the
CM Plan.

# Configuration Control Guidelines

The configuration control process must take into consideration not only
the life cycle phases, but also the type of changes that are subject to
the CM process. In addition, the exception process is explained in the
event the CCB wishes to allow for exceptions to the criteria for
submitting CCPs, based on the unique challenges of managing individual
systems.

## System Life Cycle Phase Definitions

The Department has significant responsibility for a variety of corporate
business systems. The systems range considerably in size, complexity,
functionality, platform, and architecture. They vary also with respect
to life cycle phase. Furthermore, and perhaps most relevant to this CM
plan, there is limited formal integration among these systems. Appendix
A identifies the systems currently comprising the systems inventory
baseline. Over time, the composition of this list will change. The
following definitions will apply with respect to the life cycle phases
of the systems.

+-----------+----------------------------------------------------------+
| **Phase** | **Definition**                                           |
+-----------+----------------------------------------------------------+
| Planned   | The business function is not currently automated, or is  |
|           | automated in a legacy system scheduled for retirement.   |
|           | Systems in the feasibility stage are included in this    |
|           | definition for purposes of CM.                           |
+-----------+----------------------------------------------------------+
| Ac        | This includes planning for the purchase of a business    |
| quisition | system, developing a business solution in-house, or a    |
|           | combination of both to acquire functionality that DOE    |
|           | does not already own or is not planned by another DOE    |
|           | acquisition.                                             |
+-----------+----------------------------------------------------------+
| De        | System is not fully operational. Some modules may be     |
| velopment | operational but some or even all modules are still being |
|           | designed.                                                |
|           |                                                          |
|           | Changes could include, but are not limited to:           |
|           |                                                          |
|           | -   Purchase of database management software;            |
|           |                                                          |
|           | -   Purchase of Commercial-off-the-Shelf (COTS)          |
|           |     product(s);                                          |
|           |                                                          |
|           | -   Purchase of special hardware including additional    |
|           |     server for platform;                                 |
|           |                                                          |
|           | -   Contractor developer or consultant salary; and       |
|           |                                                          |
|           | -   User training.                                       |
+-----------+----------------------------------------------------------+
| Legacy    | An \"old\" system still being used. Mainframe systems    |
|           | are considered legacy after 12 to 15 years of operation; |
|           | PC systems are legacy after 7 years. *Legacy* may also   |
|           | refer to obsolete technology and systems scheduled for   |
|           | replacement or retirement.                               |
|           |                                                          |
|           | *Obsolete* does not necessarily mean that the hardware   |
|           | or software does not work. More often it can mean that   |
|           | the vendor no longer \"supports\" the version in         |
|           | question.                                                |
|           |                                                          |
|           | *Vendor Support* means the vendor will issue patches and |
|           | upgrades, include the product in its service agreements  |
|           | and provide assistance when technical problems arise.    |
|           |                                                          |
|           | Change items could be as a result of a U.S. Government   |
|           | initiative or current technology cannot sustain critical |
|           | functions until retirement of the system.                |
+-----------+----------------------------------------------------------+
| Op        | Fully operational, often with moderate enhancements      |
| erational | on-going, and not qualifying as \"legacy."               |
|           |                                                          |
|           | Change items may include but are not limited to:         |
|           |                                                          |
|           | -   Vendor license agreement and/or service contracts;   |
|           |                                                          |
|           | -   Contractor salary; and                               |
|           |                                                          |
|           | -   Additional acquisitions after system deployment.     |
+-----------+----------------------------------------------------------+
| Retired   | Retired systems are no longer being used or are about to |
|           | be closed down. They may continue to require management  |
|           | because of the importance of their data.                 |
+-----------+----------------------------------------------------------+

## Change Items Subject to CM Process

The following table lists the types of Change Items that are subject to
the CM Process. The list is not intended to be comprehensive but rather
to represent the order of magnitude at which changes are subject to the
CM process. It is important to understand that this process applies to
***all*** ***federally-owned business systems*** that are under the
purview of DOE, regardless of their life cycle phase. Additionally, this
process applies to changes that result in a cost of \$100,000 or
greater. This \$100,000 threshold may change at any time upon the
discretion of the CCB.

  -------------------------- -------------------------------------------------
  **Change Item**            **Criteria**

  New Systems/Applications   A brand new system. It may actually be intended
                             to replace an existing system(s), but a
                             start-from-scratch plan is being requested or
                             recommended.

  Architecture               A significant change to architecture is planned
                             such that system security is affected, new
                             hardware must be purchased, or system software
                             requires recoding.

  System Requirements        Expansion represents a significant departure from
                             baseline, either in scope or type of requirement.

  Business Functions and/or  New functionality not identified in existing
  System Modules             Project Plan.

  Number of Users/User       Any more than 20% new users to the system,
  Geography                  regardless of whether or not the system is in
                             production or pilot phase.

  Licenses/Service           Any more than 20% new licenses and/or a change to
  Agreements                 the licensing agreement with the vendor.

  Hardware                   Any new hardware that falls under the purview of
                             the Enterprise Architecture guidelines.

  Commercial-off-the-Shelf   Any new software and supporting hardware that
  (COTS) Products            falls under the purview of the Enterprise
                             Architecture guidelines.
  -------------------------- -------------------------------------------------

The application project teams will be responsible for managing and
reporting the changes that fall outside of the qualified changes
outlined in the next section of this document. At any point in time the
CCB can request an audit of the project-managed changes and make
corrections to the thresholds and reporting criteria accordingly. The
reporting criteria and any associated thresholds will be determined by
the Co-Chairs of the CCB. The rule of thumb is that all IT related
activities are subject to the CM process and require the submission of a
CCP and approval by the CCB. A collection of small changes that fall
below the criteria is not an acceptable workaround.

## Exceptions to Qualifying Criteria

It is recognized that due to the uniqueness and diversity of systems
within DOE, it will be necessary to develop a process whereby system
owners can request a change to the qualifying criteria identified above.
All requests must be submitted in writing to the Secretariat and will be
reviewed by the CCB during regularly scheduled meetings. The Secretariat
will be responsible for managing the exceptions.

# Configuration Control Process

The Configuration Control Process consists of five primary steps, these
include;

-   Pre-Initiation Phase;

-   Initiating a CCP;

-   Assessment and Recommendations;

-   CCB Actions; and

-   Notification and Tracking.

The following explains each of the steps and who is responsible for each
step in the process. At the end of this section is a diagram (Figure 2)
of the process.

## Pre-initiation Phase

Prior to submitting a CCP, the system owner must have submitted an
Exhibit 300 and obtained approval by the CIO and CFO for each major new
and on-going major project, system, or acquisition, and operational
(steady state) asset. The Exhibit 300 documentation will be required at
the time of initiating a CCP. The following criteria will be used to
determine if an Exhibit 300 is required:

-   An estimated investment cost of \$2 million or more in one year;

-   A financial system with an estimated investment cost of \$500
    thousand or more in one year;

-   A system that requires special management attention because of its
    importance to the agency mission;

-   A system that has high development, operating, or maintenance costs,
    high risk or high return;

-   A system that plays a significant role in the administration of
    agency programs, finances, property or other resources; and

-   A system that is E-Government in nature or uses e-business
    technologies, regardless of dollar value.

Large infrastructure investments (e.g., major purchases of personal
computers or local area network improvements) must also be evaluated
against the above criteria.

***If the CCP does not meet any of the above criteria, this phase may be
bypassed.***

Further guidance on development of Exhibit 300 business case reports can
be found on the Office of the Chief Information Officer (CIO) IT
Planning website at <http://cio.doe.gov/ITReform/Planning/index.htm>.
Questions related to DOE's IT investment reporting requirements can be
directed to the Office of the CIO, IT Reform.

## Initiating a CCP

***Submission of CCP Form*** - All changes are recorded on the CCP Form
(see Appendix B) by the originating authority. CCPs are submitted to the
CM Secretariat by each office's Proposal Manager. The form requires
standard information, and Proposal Managers are encouraged to attach
additional information. For convenience, all correspondence and
supporting documentation must be provided to the Secretariat in
electronic format.

In the event the Originator of the CCP or the Proposal Manager wishes to
formally present to the CCB to clarify and defend the CCP, they must
inform the Secretariat upon submission of the CCP.

***Minimum Requirements***

All costs associated with the following items must be submitted in
detail with the completed CCP. The costs must be categorized into the
following categories:

-   Hardware, including networks

-   Software, COTS or custom developed

-   Integration and Configuration support

-   Database Administration

-   Training and Documentation

-   Annual Licensing Costs

-   Cost of Operations

-   Other costs associated with implementing the system.

This information is to be provided on Exhibit 1 of the Configuration
Change Proposal (CCP).

***Presentations** -* Presentation materials must be submitted to the CM
Secretariat for records management purposes, and the Secretariat may be
asked to distribute these to CCB members at the meeting or in advance if
the Proposal Manager or Originator requests this service and allows
sufficient time. Presentations will be confined to one-half hour in
duration. Persons with an interest in the CCP are encouraged to attend
presentations. This includes Technical Monitors, System Owners,
contractor support Project Leaders, and others with special skills or
knowledge. It will be the responsibility of the Proposal Manager to
notify the Secretariat of the attendees in advance to ensure the
conference room will accommodate the additional attendees.

***Assignment of Tracking Number*** - The Secretariat will assign a
tracking number to the CCP and log it into the CM database.

***Review of CCP for Completeness*** - The Secretariat is responsible
for reviewing all CCPs to verify completion. In the event a CCP is
incomplete, at the request of the Secretariat, the Proposal Manager is
responsible for providing the additional information. The Secretariat
will retain all supporting documents.

***Submission of CCP to Review Group*** - Once the CCP Form and package
are complete; the Secretariat distributes these materials to the Review
Group and CCB members.

## Assessment and Recommendation 

***Review of CCPs by the Review Group*** -- The Secretariat will
distribute the CCPs to the Review Group, allowing for a minimum of 15
working days for review. The Review Group is responsible for preparing
and submitting questions or concerns they want to raise regarding the
CCP to the Secretariat. The Secretariat will be responsible for
contacting and following up with the Originator and/or the Proposal
Manager to ensure all the questions/concerns are addressed in a timely
manner. Failure to comply with the requests of the Secretariat may cause
a delay in processing and submission to the CCB.

***Distribution and Retention of Materials*** - The Secretariat will be
responsible for retaining and distributing any materials created by the
Review Group that are relevant to the CCPs.

***Review Group Recommendations*** -- The Review Group is responsible
for reviewing the CCPs in detail and providing recommendations to the
CCB prior to the CCB meeting.

***Establishing Priorities*** -- The Review Group assigns a priority to
each CCP to facilitate the order of reviews at the next CCB meeting.
Priority rules are as follows:

-   High priority items are scheduled for presentation at the next
    regularly scheduled CCB session, or, if necessary, the CCB Co-Chairs
    may call for a special session;

-   Medium priority items are scheduled for the next open slot on the
    CCB docket;

-   Low priority items are placed at the bottom of the docket; and

-   If a low priority CCP is not scheduled for a presentation for two
    consecutive months, the priority automatically changes to medium,
    and the item is scheduled for the next available slot.

***Recording of Recommendations and Priorities*** - The Secretariat will
be responsible for obtaining the recommendations and priorities from the
Review Group and preparing the appropriate materials for the CCB
Meetings.

## Configuration Control Board Actions

***Scheduling CCB Meetings*** -- At the request of the CCB Co-Chairs,
the Secretariat will schedule the CCB meetings once a month on the first
Tuesday, depending on volume and necessity. In certain emergency
situations, such as a system failure or other significant event
requiring immediate action, the CM process may be waived or otherwise
expedited by the CCB Co-Chairs.

***Facilitation of Meetings*** -- The Secretariat will assist the
Co-Chairs of the CCB in the facilitation of the meeting, which will
include;

-   Scheduling the conference room;

-   Notifying members of the meeting;

-   Preparing packages of materials for the members;

-   Preparing the docket of CCPs to be discussed;

-   Scheduling the presentations, as necessary;

-   Taking minutes of the meeting;

-   Recording the results of the meetings; and

-   Managing any follow-on requirements dictated by the CCB.

***Voting*** - A simple majority of votes cast is needed to take action
on a CCP. A simple majority will be defined as the following:

+--------------------------------+--------------------------------------+
| \# of CCB members present      | \# of Votes required                 |
|                                |                                      |
|                                | to take action                       |
+--------------------------------+--------------------------------------+
| 7                              | 4                                    |
+--------------------------------+--------------------------------------+
| 8 or 9                         | 5                                    |
+--------------------------------+--------------------------------------+
| 10 or 11                       | 6                                    |
+--------------------------------+--------------------------------------+

A quorum will be defined as seven members of the board being present.
Representation from NNSA, EM, one of the Co-Chairs, and four other
members are required for a quorum to exist.

The CCB votes to establish one of the following outcomes:

  ---------------------- ------------------------------------------------
  **CCB Vote**           **Ensuing Action**

  Recommend for Approval Proposal Manager is notified to proceed with the
                         CCP.

  Suspended              CCP is held in suspense until the Proposal
                         Manager meets certain conditions or makes
                         specific modifications ad directed by the CCB.

  Not Approved, returned The CCP is not approved by the CCB and returned
  for revisions          to the Proposal Manager for revision.

  Rejected               CCP is closed without further action.
  ---------------------- ------------------------------------------------

In the event of a tie vote, a special session of the CCB will be
convened and will require full Board attendance. If the special session
does not eliminate the tie, the Co-chairs will cast one deciding vote to
break the tie.

***Conditions and Costs*** - Frequently the CCB approval also addresses
budget estimates accompanying the CCP. For large or complex CCPs, the
budget description may be divided among components, with conditions or
specifications as to how/for what purpose the money is actually spent.
The CCB retains the authority to be as general or specific in this
regard as appropriate information requested by the CCB must be
documented in the Change Approval Form by the Proposal Manager.

***Change Approval*** - The CCB documents the approval information at
the level of detail it expects the Proposal Manager to implement and
track the change action and the expenditure of funds allocated. The
detail varies, depending both on the level of detail required by the CCB
and the complexity of the CCP. Appendix B contains a Configuration
Change Approval (CCA) form. The CCB completes this form and the
Secretariat distributes it to the CCB members and to the Proposal
Manager.

***Executive or Closed Session*** - The CCB reserves the right to
exercise discretion to convene in closed session for deliberation and
voting. It is expected that this choice will be infrequent. Any
decisions from the closed session will be recorded and distributed using
normal procedures of the Secretariat.

***Escalation Process** -* To ensure the process is fair and equitable
to all parities, an escalation process has been established to provide a
process in the event a Proposal Manager has issues/concerns with the
outcome of the CCB meeting. The following explains the process; all
appeals must be filed in writing with the Secretariat and submitted
within 30 days of the CCB meeting where the CCP was considered.

## Notification and Tracking

***Recording of Meeting Results*** - When the Board votes to reject a
proposal, an explanation must be provided for the rejection. The
Secretariat records the vote outcome and notifies the Proposal Manager
in writing by forwarding a copy of the Change Approval Form completed by
the CCB.

***Configuration Control Tracking*** - The Secretariat provides regular
and ad hoc reports to the CCB on the status of CCPs and Change
Approvals. The Change Approval Form specifies how often the CCP Proposal
Manager should provide tracking information and identify required
information.

For significant Change Items, the CCB Co-Chairs may at times request a
Proposal Manager to provide an update Status Briefing at a CCB meeting.
The CCB Co-Chairs designate how often the Status Briefing will occur for
a given Change Approval. The Secretariat notifies the Proposal Manager
when a briefing is coming due, schedules the time, and adds the items to
the appropriate agenda.

The purpose of Control Tracking is to identify the point at which the
CCP is fully implemented so that final budget figures can be entered,
final Configuration Items updated, and the CCP itself closed.

# Linkages

The CM process has linkages with the following:

-   *DOE Budget Process* -- The DOE budget process is a precursor to
    initiating the CCP process. The budget components, specifically
    Exhibit 300 are required for each major new and on-going major
    project, system, or acquisition, and operational (steady state)
    asset. In order to avoid duplication of effort, system owners are
    required to submit an Exhibit 300 prior to initiating the CCP
    process, based on the criteria outlined in Section 5.1 of this
    document. Under certain circumstances, the CCB may require the
    Proposal Manager of a CCP to formally complete the budget process.

```{=html}
<!-- -->
```
-   *Capital Planning and Investment Control Process (CPIC)* -- All
    CCP's must meet and follow CPIC guidelines. Under this process, each
    ongoing or proposed IT investment is subject to consistent selection
    criteria, control mechanisms and evaluations to ensure that all IT
    investments are justified and well managed. Under certain
    circumstances, the CCB may require the Proposal Manager of a CCP to
    formally complete the CPIC process.

-   *IT Project Management Process* -- All CCP's are subject to the IT
    project management process, which defines the system and
    infrastructure development phases for IT initiatives. In addition,
    ongoing IT projects are evaluated as to their continuing ability to
    effectively and efficiently meet DOE's business needs.

Further guidance on the information above, can be found on the Office of
the Chief Information Officer (CIO) IT planning website at
<http://cio.doe.gov/ITReform/Planning/index.htm>. Questions related to
DOE's IT policies can be directed to Office of the CIO, IT Reform.

# Appendix A -- DOE Enterprise Architecture Systems Baseline  {#appendix-a-doe-enterprise-architecture-systems-baseline .unnumbered}

[Systems by Program Office Ownership]{.underline}

  ------------- -------------- ------------------------------ ---------------
  **Program     **Acronym**    **System Name**                **Life Cycle
  Office                                                      Phase**
  Ownership**                                                 

  **EE**                       EERE Portal                    Development

  **EE**                       EE-Intranet                    Development

  **EE**        e-RIDS         EE Electronic Records          Development
                               Inventory Disposition Systems  

  **EE**                       www.eere.energy.gov            Operational

  **EE**                       Congressional Qs & As          Operational

  **EE**                       Time and Attendance            Operational

  **EE**        CATS           Correspondence Action Tracking Operational
                               System                         

  **EE**        CPS            EE Corporate Management and    Operational
                               Planning System                

  **EE**        CSC            Customer Service Center        Operational

  **EE**        EIS - EE       Executive Information System   Operational

  **EE**        PATS           Personnel Action Tracking      Operational
                               System                         

  **EE**        SIS            Simple Inventory System        Operational

  **EE**        WinSAGA        Windows Systems Approach to    Operational
                               Grants Administration          

  **EH**                       Energy Employees Occupational  Operational
                               Illness Compensation           
                               Initiative                     

  **EH**                       EH Corporate Reporting Systems Operational

  **EH**                       EH Analytical Services Program Operational

  **EH**                       EH ES&H Web Services           Operational

  **EH**                       EH Mission Support Systems     Operational

  **EM**        CID            Central Internet Database      Operational

  **EM**        EMCTS - IV     EM Commitment Tracking System  Operational

  **EM**        HSO            Headquarters Security Office   Operational

  **EM**        IPABS          Integrated Planning,           Operational
                               Accountability, and Budget     
                               System                         

  **EM**        RMIS           Records Management Information Operational
                               System                         

  **FE**        ProMIS         Project Management Information Operational
                               System                         

  **FE**        BEFS           Budget Execution Finance       Operational
                               System                         

  **GC**        LMTS           Legal Management Tracking      Operational
                               System                         

  **GC**        PCMaster       Patent Tracking Database       Operational

  **GC**        FDRS           Financial Disclosure System    Legacy

  **IM**        eXCITE         eXCITE                         Operational

  **IM**        CALLUP         Call-up Online Locator System  Operational

  **IM**        COMSEC         Communications Security        Operational

  **IM**        ITIPS          ITIPS                          Operational

  **NE**        AOP            Annual Operating Plan          Operational

  **NE**        PCDOCS         PCDOCS                         Operational

  **OMBE**      IDW            I-MANAGE Data Warehouse        Development

  **OMBE**      STARS          Standard Accounting and        Development
                               Reporting System               

  **OMBE**      E-PROC         E-Procurement                  Development

  **OMBE**      IDMS           Integrated Document Management Development
                               System                         

  **OMBE**      SBS            Standard Budget System         Development

  **OMBE**      JOULE          JOULE Performance Measurement  Development
                               System                         

  **OMBE**      Sunflower-HQ   Property Accounting and        Development
                               Management -- HQ               

  **OMBE**      DISCAS-HQ      Departmental Integrated        Legacy
                               Standardized Core Accounting   
                               System                         

  **OMBE**      FDS            Funds Distribution System      Legacy

  **OMBE**      LDS            Labor Distribution System      Legacy

  **OMBE**      MARS           Management Analysis Reporting  Legacy
                               System                         

  **OMBE**      PADS           Procurement and Assistance     Legacy
                               Data System                    

  **OMBE**      ANA            Advance Notification of Awards Operational
                               System                         

  **OMBE**      ATAAPS         Automated Time and Attendance  Operational
                               Processing System              

  **OMBE**      ATS            Applicant Tracking System      Operational

  **OMBE**      BARC           Budget and Reporting Code      Operational
                               System                         

  **OMBE**      BTS            Budget Table System            Operational

  **OMBE**      CAIS           Consolidated Accounting and    Operational
                               Investment System              

  **OMBE**      CAS            Condition Assessment Survey    Operational
                               Program                        

  **OMBE**      CHRIS          Corporate Human Resources      Operational
                               Information System             

  **OMBE**      CMS            Conference Management System   Operational

  **OMBE**      CopyLog        Copier Services                Operational

  **OMBE**      COTS           Consent Order Tracking System  Operational

  **OMBE**      CUTS           Contracts Under Twenty Five    Operational
                               Thousand Dollars (will be      
                               retired in Q1 FY2005)          

  **OMBE**      DARTS - WB     Departmental Audit Report      Operational
                               Tracking System                

  **OMBE**      DFWP           Drug-Free Workplace Program    Operational

  **OMBE**      DIMS           Departmental Inventory         Operational
                               Management System              

  **OMBE**      Directives     DOE Directives Portal / Revcom Operational
                Portal /                                      
                Revcom                                        

  **OMBE**      DOCS           Document Online Coordination   Operational
                               System                         

  **OMBE**      DOE/EC-Web     Electronic Commerce Web        Operational

  **OMBE**      DOEInfo        DOEInfo                        Operational

  **OMBE**      EADS           Energy Asset Disposal System   Operational
                               (subscription service)         

  **OMBE**      EnCoRe         Energy Contractor Registration Operational

  **OMBE**      EOLC           Energy Online Learning Center  Operational

  **OMBE**      FARA           Federal Acquisition Regulation Operational
                               Automated                      

  **OMBE**      SCFA           Support Cost by Functional     Operational
                               Activity                       

  **OMBE**      FDW            Financial Data Warehouse       Operational

  **OMBE**      IIPS           Industry Interactive           Operational
                               Procurement System             

  **OMBE**      JTS            Job Tracking System            Operational

  **OMBE**      LDRD           Laboratory Directed Research & Operational
                               Development / Plant Directed   
                               Research & Development         

  **OMBE**      M&O            M&O Contractor Employee        Operational
                               Database                       

  **OMBE**      M&O Fee        M&O Contractor Fee Database    Operational

  **OMBE**      PALS           Program Activity by Location   Operational
                               System                         

  **OMBE**      PARS           Project Assessment and         Operational
                               Reporting System               

  **OMBE**      PATS           Procurement and Assistance     Operational
                               Tracking System                

  **OMBE**      PMA            Payroll Modeling Application   Operational

  **OMBE**      PPDB           Past Performance Database      Operational

  **OMBE**      PRATS          Procurement Request            Operational
                               Authorization Tracking System  

  **OMBE**      PRBS           Performance Review Board       Operational
                               System                         

  **OMBE**      SPTS           Software Project Tracking      Operational
                               System                         

  **OMBE**      SRS            Subcontracting Reporting       Operational
                               System (will be retired in Q1  
                               FY2005)                        

  **OMBE**      TM-HQ          Travel Manager                 Operational

  **OMBE**      VIPERS-HQ      Vendor Inquiry Payment         Operational
                               Electronic System              

  **OMBE**      WCF            WCF Billing System             Operational

  **OMBE**      CTS            Correspondence Tracking System Operational

  **OMBE**      FIMS           Facilities Information         Operational
                               Management System              

  **OMBE**      Personnel      ME Personnel Tracking System   Operational

  **RW**        CTS-RW         Correspondence Tracking System Operational
                               (RW)                           

  **SC**        EWM            Execution Work Management      Operational

  **SC**        FMIS           Financial Management           Operational
                               Information System             

  **SC**        IPA            Interagency Personnel Act      Operational
                               (IPA) Funding System           

  **SC**        R&D            Research Information           Operational
                               Management System (RIMS)       

  **SC**        R&DPS          RIMS Web Pass-Thru             Operational

  **SC**        SBIR           Small Business Innovative      Operational
                               Research System                

  **SC**        SBIRMAIL       Small Business Innovative      Operational
                               Research Mailing List          

  **SC**        SC - PATS      Personnel Action Tracking      To be Retired
                               System                         in FY05

  **SC**        STTR           Small Business Technology      Operational
                               Transfer System                

  **SC**        ATS            Abstract Tracking System       Operational

  **SC**        IIPS Dup       IIPS Data Duplication          Operational

  **SC**        FOXFIRE        FoxFire (application to move   Operational
                               data between legacy            
                               applications)                  

  **SC**        Lab Appraisal  Lab Appraisal                  Operational

  **SC**        WSX            Worksheet Exchange             Operational

  **SC**        Q&R            Query and Reporting            Operational

  **SC**        PADS           Procurement and Assistance     Operational
                               Data System                    

  **SC**        DOE INFO       DOE Information Import         Operational

  **SC**        DOC-LOG        Document Tracking (Logging)    Operational

  **SC**        SC FAS         SC Financial Assistance System Operational
                               (Module 4)                     

  **SC**        RouteSlip      Route Slip                     Legacy

  **SSA**       DISS           DOE Integrated Safeguards and  Operational
                               Security                       

                HQ - BADGE     HQ Security Badging System     Operational

                SSIMS          Safeguards and Security        Operational
                               Information Management System  

  **SSA**       LANMAS         Local Area Network Accounting  Operational
                               System                         

  **SSA**       FTMS           Foreign Travel Management      Operational
                               System                         
  ------------- -------------- ------------------------------ ---------------

# Appendix B -- Forms {#appendix-b-forms .unnumbered}

+----------------------------+------------------+---------------------+
| **DOE Business Systems     |                  |                     |
| Configuration Management** |                  |                     |
|                            |                  |                     |
| **CONFIGURATION CHANGE     |                  |                     |
| PROPOSAL (CCP)**           |                  |                     |
+----------------------------+------------------+---------------------+
| **This CCP form is used    |                  |                     |
| for requesting changes to  |                  |                     |
| the Systems Baseline for   |                  |                     |
| DOE Business Systems.      |                  |                     |
| These CCPs will be         |                  |                     |
| reviewed by the Review     |                  |                     |
| Group and distributed to   |                  |                     |
| members of the             |                  |                     |
| Configuration Control      |                  |                     |
| Board (CCB). The CCB will  |                  |                     |
| review and evaluate prior  |                  |                     |
| to sending them to the     |                  |                     |
| Configuration Control      |                  |                     |
| Board (CCB). Please attach |                  |                     |
| any additional supporting  |                  |                     |
| documents or information   |                  |                     |
| in electronic format and   |                  |                     |
| submit to the CM           |                  |                     |
| Secretariat.**             |                  |                     |
+----------------------------+------------------+---------------------+
| **System Name:**           | **System         | **System Type:      |
|                            | Acronym:**       | (Select One)**      |
| **\_\_\_\_\_\_\_\_\_\_\_   |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ | **\_             | **Legacy \_\_\_     |
| \_\_\_\_\_\_\_\_\_\_\_\_** | \_\_\_\_\_\_\_\_ | Operational         |
|                            | \_\_\_\_\_\_\_\_ | \_\_\_**            |
|                            | \_\_\_\_\_\_\_** |                     |
|                            |                  | **In Development    |
|                            |                  | \_\_\_ New\_\_\_**  |
+----------------------------+------------------+---------------------+
| **Date/Time Requested:**   | **Date/Time      | **Change Request    |
|                            | Cleared:**       | Number:**           |
| **\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_             | **\_\_\_\_\_     | **\                 |
| \_\_\_\_\_\_\_\_\_\_\_\_** | \_\_\_\_\_\_\_\_ | _\_\_\_\_\_\_\_\_\_ |
|                            | \_\_\_\_         | \_\_\_\_\_\_\_\_\_\ |
|                            | \_\_\_\_\_\_\_** | _\_\_\_\_\_\_\_\_** |
+----------------------------+------------------+---------------------+
| **Requestor Name:          |                  | **Review Group      |
| Organization: Phone:**     |                  | recommendation:**   |
|                            |                  |                     |
| **\_\_\_\_\_               |                  | **A                 |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  | pprove/Disapprove** |
| \_\_\_\_\_\_\_\_\_\_\_     |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  | **Comments:**       |
| \_\_\_\_\_\_\_\_           |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
+----------------------------+------------------+---------------------+
| **Proposal                 |                  |                     |
| Manager/Phone:**           |                  |                     |
|                            |                  |                     |
| **\_\_\_\_\_\_             |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_           |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **Proposal Manager         |                  |                     |
| Signature/Date**           |                  |                     |
|                            |                  |                     |
| **\_\_\_\_\_\_             |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_           |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
+----------------------------+------------------+---------------------+
| **Configuration Items:     |                  |                     |
| Baseline Version: Baseline |                  |                     |
| Date:**                    |                  |                     |
|                            |                  |                     |
| **Business                 |                  |                     |
| Functions\_\_\_\_\_        |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **Database Product         |                  |                     |
| \_\_\_\_\_                 |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **COTS Product \_\_\_\_\_  |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **System Modules           |                  |                     |
| \_\_\_\_\_                 |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **Vendor Licenses          |                  |                     |
| \_\_\_\_\_                 |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **Hardware \_\_\_\_\_      |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **Number of Users          |                  |                     |
| \_\_\_\_\_                 |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **Other \_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
+----------------------------+------------------+---------------------+
| **Reason for Change: Gov't |                  |                     |
| Initiative: \_\_\_\_\_\_\_ |                  |                     |
| Technology: \_\_\_\_\_\_\_ |                  |                     |
| Other: \_\_\_\_\_\_\_      |                  |                     |
| (Provide Attachment)**     |                  |                     |
+----------------------------+------------------+---------------------+
| **Title:**                 |                  |                     |
+----------------------------+------------------+---------------------+
| **Estimated Cost:**        |                  |                     |
|                            |                  |                     |
| **Detailed cost data must  |                  |                     |
| be provided on Exhibit     |                  |                     |
| 1.**                       |                  |                     |
+----------------------------+------------------+---------------------+
| **Description: (Include    |                  |                     |
| software/hardware/systems  |                  |                     |
| involved. Provide          |                  |                     |
| Attachments as Needed:     |                  |                     |
| \_\_\_\_\_\_\_\_\_\_)**    |                  |                     |
+----------------------------+------------------+---------------------+
| **Summary of Proposed      |                  |                     |
| Baseline Changes: (Provide |                  |                     |
| Attachments as Needed:     |                  |                     |
| \_\_\_\_\_\_\_\_\_\_)**    |                  |                     |
+----------------------------+------------------+---------------------+
| **Summary of Locations:**  |                  |                     |
+----------------------------+------------------+---------------------+
| **User Communities of      |                  |                     |
| Interest:**                |                  |                     |
+----------------------------+------------------+---------------------+
| **Major Milestones:**      |                  |                     |
+----------------------------+------------------+---------------------+
| **Project Outline:         |                  |                     |
| (Include testing plans):** |                  |                     |
+----------------------------+------------------+---------------------+

+----------------------+-----------------------+-----------------------+
| **Exhibit 1**        |                       |                       |
|                      |                       |                       |
| **OMBE Configuration |                       |                       |
| Management**         |                       |                       |
|                      |                       |                       |
| **CONFIGURATION      |                       |                       |
| CHANGE PROPOSAL      |                       |                       |
| (CCP)**              |                       |                       |
|                      |                       |                       |
| **Estimated Cost     |                       |                       |
| Data**               |                       |                       |
+----------------------+-----------------------+-----------------------+
| **Total Cost**       | **Required: Y/N**     | **Cost**              |
+----------------------+-----------------------+-----------------------+
| **Hardware,          |                       |                       |
| including networks** |                       |                       |
+----------------------+-----------------------+-----------------------+
| **Software, COTS or  |                       |                       |
| custom developed**   |                       |                       |
+----------------------+-----------------------+-----------------------+
| **Integration and    |                       |                       |
| Configuration        |                       |                       |
| Support**            |                       |                       |
+----------------------+-----------------------+-----------------------+
| **Database           |                       |                       |
| Administration**     |                       |                       |
+----------------------+-----------------------+-----------------------+
| **Training and       |                       |                       |
| Documentation**      |                       |                       |
+----------------------+-----------------------+-----------------------+
| **Annual Licensing   |                       |                       |
| Costs**              |                       |                       |
+----------------------+-----------------------+-----------------------+
| **Cost of            |                       |                       |
| Operations**         |                       |                       |
+----------------------+-----------------------+-----------------------+
| **Other costs        |                       |                       |
| associated with      |                       |                       |
| implementing the     |                       |                       |
| system**             |                       |                       |
+----------------------+-----------------------+-----------------------+
| **Total Cost**       |                       |                       |
+----------------------+-----------------------+-----------------------+

+----------------------------+------------------+---------------------+
| **DOE Business Systems     |                  |                     |
| Configuration Management** |                  |                     |
|                            |                  |                     |
| **CONFIGURATION CHANGE     |                  |                     |
| APPROVAL (CCA)**           |                  |                     |
+----------------------------+------------------+---------------------+
| **This CCA form is used    |                  |                     |
| for documenting approved   |                  |                     |
| changes to the Systems     |                  |                     |
| Baseline for DOE Business  |                  |                     |
| Systems. These CCAs are    |                  |                     |
| issued by the              |                  |                     |
| Configuration Control      |                  |                     |
| Board (CCB). This form     |                  |                     |
| sets forth conditions and  |                  |                     |
| limitations that may be    |                  |                     |
| attached to the Approval,  |                  |                     |
| including budget and       |                  |                     |
| cost.**                    |                  |                     |
+----------------------------+------------------+---------------------+
| **System Name:**           | **System         | **System Type:      |
|                            | Acronym:**       | (Select One)**      |
| **\_\_\_\_\_\_\_\_\_\_\_   |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ | **\_             | **Legacy \_\_\_     |
| \_\_\_\_\_\_\_\_\_\_\_\_** | \_\_\_\_\_\_\_\_ | Operational         |
|                            | \_\_\_\_\_\_\_\_ | \_\_\_**            |
|                            | \_\_\_\_\_\_\_** |                     |
|                            |                  | **In Development    |
|                            |                  | \_\_\_ New\_\_\_**  |
+----------------------------+------------------+---------------------+
| **Date/Time Approval       | **Date/Time      | **Change Request    |
| Granted:**                 | Cleared:**       | Number:**           |
|                            |                  |                     |
| **\_\_\_\_\_\_\_\_\_\_\_\_ | **\_\_\_\_\_     | **\                 |
| \_\_\_\_\_\_\_             | \_\_\_\_\_\_\_\_ | _\_\_\_\_\_\_\_\_\_ |
| \_\_\_\_\_\_\_\_\_\_\_\_** | \_\_\_\_         | \_\_\_\_\_\_\_\_\_\ |
|                            | \_\_\_\_\_\_\_** | _\_\_\_\_\_\_\_\_** |
| **Co-Chairs                |                  |                     |
| Signature/Date**           |                  |                     |
|                            |                  |                     |
| **\_                       |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **\_                       |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
+----------------------------+------------------+---------------------+
| **System Owner Name:       |                  | **Status Update Due |
| Organization: Phone:**     |                  | Date:**             |
|                            |                  |                     |
| **\_\_\_\_\_               |                  | **Briefing:         |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  | \_\_\_\_ Rpt        |
| \_\_\_\_\_\_\_\_\_\_\_     |                  | Only:\_\_\_\_**     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_           |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
+----------------------------+------------------+---------------------+
| **Proposal Manager         |                  |                     |
| Name/Phone:**              |                  |                     |
|                            |                  |                     |
| **\_\_\_\_\_\_             |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_           |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
+----------------------------+------------------+---------------------+
| **Configuration Items      |                  |                     |
| Approved: Conditions       |                  |                     |
| Budget Amt Approved**      |                  |                     |
|                            |                  |                     |
| **(Y/N)**                  |                  |                     |
|                            |                  |                     |
| **Database Product         |                  |                     |
| \_\_\_\_\_                 |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **COTS Product \_\_\_\_\_  |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **System Modules           |                  |                     |
| \_\_\_\_\_                 |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **Vendor Licenses          |                  |                     |
| \_\_\_\_\_                 |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **Hardware \_\_\_\_\_      |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **Number of Users          |                  |                     |
| \_\_\_\_\_                 |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
|                            |                  |                     |
| **Other \_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_               |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_ |                  |                     |
| \_\_\_\_\_\_\_\_\_         |                  |                     |
| \_\_\_\_\_\_\_\_\_\_\_\_** |                  |                     |
+----------------------------+------------------+---------------------+
| **CCB Comment:             |                  |                     |
| (Attachment? Y N)**        |                  |                     |
+----------------------------+------------------+---------------------+
|                            |                  |                     |
+----------------------------+------------------+---------------------+
|                            |                  |                     |
+----------------------------+------------------+---------------------+
|                            |                  |                     |
+----------------------------+------------------+---------------------+
|                            |                  |                     |
+----------------------------+------------------+---------------------+
|                            |                  |                     |
+----------------------------+------------------+---------------------+
|                            |                  |                     |
+----------------------------+------------------+---------------------+
|                            |                  |                     |
+----------------------------+------------------+---------------------+
|                            |                  |                     |
+----------------------------+------------------+---------------------+

# Appendix C -- Configuration Management Acronyms {#appendix-c-configuration-management-acronyms .unnumbered}

  --------------- -------------------------------------------------------
  **Acronym**     **Term or Phrase**

  CA              Change Approval

  CCA             Configuration Change Approval (Form)

  CCB             Configuration Control Board

  CCP             Configuration Change Proposal (Form)

  CFS             Corporate Financial Systems

  CM              Configuration Management

  COTS            Commercial-off-the-Shelf

  DOE             Department of Energy

  GCM             Group Configuration Manager

  I-MANAGE        Integrated Management Navigation System Program

  OCIO            Office of Chief Information Officer

  OMBE            Office of Management, Budget and Evaluation/Chief
                  Financial Officer

  POC             Point of Contact

  PSO             Programmatic Secretarial Office

  RG              Review Group
  --------------- -------------------------------------------------------

> **Note:** *See Appendix A for acronyms of Baseline Systems*

# Appendix D -- Glossary {#appendix-d-glossary .unnumbered}

Configuration Management Terms

+------------------+---------------------------------------------------+
| **Term or        | **Definition**                                    |
| Phrase**         |                                                   |
+------------------+---------------------------------------------------+
| Baseline         | Identification and definition of the starting     |
|                  | point for every element in a configuration.       |
+------------------+---------------------------------------------------+
| CCB Docket       | The queue of Change Proposals waiting to be       |
|                  | considered by the Configuration Change Board.     |
+------------------+---------------------------------------------------+
| Change Approval  | Decision by Configuration Control Board that a    |
|                  | requested change to a Baseline System may be      |
|                  | made.                                             |
+------------------+---------------------------------------------------+
| Configuration    | Request to modify an item in a Baseline.          |
| Change Proposal  |                                                   |
+------------------+---------------------------------------------------+
| Commerci         | Software packages purchased as ready-made         |
| al-off-the-Shelf | products.                                         |
+------------------+---------------------------------------------------+
| Configuration    | Cluster of components and their settings that     |
|                  | make up everything needed for a computer system   |
|                  | to operate; it includes software, hardware,       |
|                  | operating systems, COTS products, and business    |
|                  | practices.                                        |
+------------------+---------------------------------------------------+
| Configuration    | The application of rules and permissions before   |
| Control          | anything can be changed.                          |
+------------------+---------------------------------------------------+
| Configuration    | Body that makes final decision on Change          |
| Control Board    | Proposals and establishes budget.                 |
| (CCB)            |                                                   |
+------------------+---------------------------------------------------+
| Configuration    | The process of listing, in detail, every item     |
| Identification   | (Configuration Item) that a CM Plan covers.       |
+------------------+---------------------------------------------------+
| Configuration    | A specific entity that falls under CM. Examples   |
| Item             | are computer programs or training manuals. The    |
|                  | Configuration Item list indicates the granularity |
|                  | at which CM is being practiced.                   |
+------------------+---------------------------------------------------+
| Configuration    | Rules and procedures to govern changes made to a  |
| Management       | baseline                                          |
+------------------+---------------------------------------------------+
| Configuration    | Documentation of CM practices within an           |
| Management Plan  | organization or for a particular computer system. |
+------------------+---------------------------------------------------+
| Core Systems     | Large computer applications that support the main |
|                  | business operations and administrative activities |
|                  | of the Department.                                |
+------------------+---------------------------------------------------+
| Corporate (DOE)  | The entire DOE community -- includes all          |
|                  | organizations that comprise the Department --     |
|                  | Headquarters, Field Offices, the National         |
|                  | Laboratories, the Power Administrations, and      |
|                  | other entities such as the Naval Reactors or      |
|                  | Strategic Petroleum Reserves.                     |
+------------------+---------------------------------------------------+
| Integrated       | Team established to lead OMBE effort to integrate |
| Management       | business systems.                                 |
| Navigation       |                                                   |
| System           |                                                   |
| (I-MANAGE)       |                                                   |
| Program          |                                                   |
+------------------+---------------------------------------------------+
| Development      | System is not fully operational. Some modules may |
| System           | be operational, but some or even all modules are  |
|                  | still being designed. Systems entirely in the     |
| (or System in    | planning/feasibility stage can be included in     |
| Development)     | this definition for purposes of CM.               |
+------------------+---------------------------------------------------+
| Group            | Representative from DOE organization who is       |
| Configuration    | responsible for CM issues and practice within     |
| Manager          | that organization.                                |
+------------------+---------------------------------------------------+
| Legacy System    | An \"old" system still being used. Mainframe      |
|                  | systems are considered legacy after 12 to 15      |
|                  | years of operation; PC systems are legacy after 7 |
|                  | years. Legacy may also refer to obsolete          |
|                  | technology, and systems scheduled for replacement |
|                  | or retirement may be called legacy.               |
+------------------+---------------------------------------------------+
| Module           | Collection of computer programs for a particular  |
|                  | system that handles a single large process such   |
|                  | as Reports or Data Entry or Tables Maintenance.   |
+------------------+---------------------------------------------------+
| Operational      | Fully operational, often with moderate on-going   |
| System           | enhancements, and not qualifying as \"legacy".    |
+------------------+---------------------------------------------------+
| Originator       | Person or organization that initiates a Change    |
|                  | Proposal. The Originator works with their         |
|                  | office's Proposal Manager to guide their Change   |
|                  | Proposal through the CCB process.                 |
+------------------+---------------------------------------------------+
| Programmatic     | The Offices at DOE Headquarters responsible for   |
| Secretarial      | the primary missions of DOE such as safeguarding  |
| Office           | weapons and energy research.                      |
+------------------+---------------------------------------------------+
| Proposal Manager | Designated representative from each DOE           |
|                  | Organization that is responsible for CCB          |
|                  | activities; coordinates CCB activities within     |
|                  | their office and with the CCB.                    |
+------------------+---------------------------------------------------+
| Retired System   | System no longer being used or about to be closed |
|                  | down. It may continue to require management       |
|                  | because of the importance of its data.            |
+------------------+---------------------------------------------------+

#  {#section .unnumbered}

# Appendix E -- Proposal Manager Role and Responsibilities {#appendix-e-proposal-manager-role-and-responsibilities .unnumbered}

Each office within the Department has designated a CCB Proposal
Manager(s). The Proposal Managers will play a key role in ensuring that
their office's proposals go before and receive approval from the CCB.

In general the Proposal Manager will be responsible for:

1.  Understanding the policies and procedures as outlined in this
    document (with a particular focus on Section 5);

2.  Coordinating all CCP activities for their program office including
    keeping informed of upcoming proposed system changes and ensuring
    office alignment with threshold requirements;

3.  Submitting CCPs to the CCB;

4.  Working with the CCB Review Group to finalize CCPs and presentation
    materials;

5.  Presenting CCPs to the CCB;

6.  Addressing CCB concerns and questions regarding the CCP in a timely
    manner; and

7.  Reporting back to the program office about CCP progress and
    decisions.

The list below outlines the designated Proposal Manager for each program
office.

  ---------------- -------------------------- ------------------- --------------
  **Organization   **Organization Name**      **Proposal          **Backup
  Code**                                      Manager**           (Optional)**

  BPA              Bonneville Power           Brian Furumasu       
                   Administration (BPA)                           

  CI               Office of Congressional    Laura Brown          
                   and Intergovernmental                          
                   Affairs (CI)                                   

  CN               Office of                  Tony Bailey          
                   Counterintelligence (CN)                       

  ED               Office of Economic Impact  John Shea            
                   and Diversity (ED)                             

  EE               Office of Energy           David Crouch         
                   Efficiency and Renewable                       
                   Energy (EE)                                    

  EH               Office of Environmental    Sharon Root          
                   Health (EH)                                    

  EI               Energy Information         Gerry Peabody        
                   Administration (EI)                            

  EM               Office of Environmental    Barbara Heffernan    
                   Management (EM)                                

  FE               Office of Fossil Energy    Bob Ladesic          
                   (FE)                                           

  GC               Office of General Counsel  Dan Bullington       
                   (GC)                                           

  HG               Office of Hearings and     Otto Reid            
                   Appeals (HG)                                   

  IG               Office of Inspector        Sharon Carter,       
                   General (IG)               Marlene Major       

  IM               Office of the Chief        Behrooz Sabet &      
                   Information Officer (IM)   Chuck Bartholf      

  IN               Office of Intelligence     Ethan Weiner, Jay    
                   (IN)                       Wiegmann            

  LM               Office of Legacy           Marilyn              
                   Management (LM)            Tolbert-Smith (p)   

  ME               Office of Management,      Warren Huffer &      
                   Budget, and Evaluation     Micheala Brown      
                   (ME)                                           

  **Organization   **Organization Name**      **Proposal          **Backup
  Code**                                      Manager**           (Optional)**

  NE               Office of Nuclear Energy,  Jim Colsh & Martha   
                   Science, and Technology    Shields             
                   (NE)                                           

  NNSA             National Nuclear Security  Lawrence Pace &      
                   Agency (NNSA)              Bill Hunteman       

  PA               Public Affairs (PA)        Laura Brown          

  PI               Office of Policy &         Jon Mathis           
                   International Affairs (PI)                     

  RW               Office of Civilian         Alan Blackston       
                   Radioactive Waste                              
                   Management (RW)                                

  SC               Office of Science (SC)     Walt Polansky        

  SEPA             Southeastern Power         Wade Gaines         Joel Seymour
                   Administration (SEPA)                          

  SSA              Office of Security and     Rich Holcomb         
                   Safety Perfomance                              
                   Assurance (SSA)                                

  SWPA             Southwestern Power         Kathryn Thomas      Miya Dodd
                   Administration (SWPA)                          

  TD               Office of Electric         Paul Trottier        
                   Transmission and                               
                   Distribution (TD)                              

  WAPA             Western Area Power         Eun Moredock         
                   Administration (WAPA)                          
  ---------------- -------------------------- ------------------- --------------

# Appendix F -- Review Group Role and Responsibilities {#appendix-f-review-group-role-and-responsibilities .unnumbered}

The Review Group (RG) is the analytical and deliberative arm of the CCB
and supports review, prioritization and recommendation of configuration
decisions. The RG supports the principles of the Department's
Configuration Management Process by providing insightful system
evolution recommendations based upon objective business case-based
review and assessment.

The RG is expected to determine whether submitted Configuration Control
Proposals further DOE's management objectives of systems integration,
reliability, conformance to the DOE Business and Corporate Enterprise
Architectures, sound development methodology, avoidance of duplicative
development efforts, fiscal responsibility, and principles of good
business management.

The RG will have the following responsibilities:

1.  Review CCPs in detail (RG will have approximately 15 business days
    to review)

2.  Prioritize CCPs for consideration by the CCB and submit to
    Secretariat for scheduling and distribution

3.  Evaluate CCPs based on:

    -   **[Business Function]{.underline}** -- The RG will review each
        CCP to determine if it is a valid and reasonable addition to the
        current business function and scope. The evaluation will be
        based upon business case analysis and comparison of the existing
        alternatives. In addition, the CCP will be evaluated in light of
        its support for the business function with respect to Department
        mission, goals, policy and alignment with external drivers
        (e.g., the President's Management Agenda).

    -   **[Technical/Architectural]{.underline}** -- The RG will review
        each CCP to determine its technical validity and compliance with
        DOE and NNSA Enterprise Architectures. The focus is at the
        application level. Specifically, systems that are used across
        the Department (i.e., HQ and Field Offices). The intent is to
        ensure applications are in alignment with the overall goals of
        the agency, support the mission, are not redundant and do not
        conflict with the Enterprise Architecture.

    -   **[Implementation]{.underline}** -- The RG will evaluate
        implementation for new systems and/or major upgrades to existing
        systems. The RG will evaluate changes in current business
        practices, adequacy of user training, the impact on other feeder
        or downstream systems, and the availability of appropriate
        documentation as defined by critical decision checkpoints (e.g.,
        a certified project manager).

4.  Identify where changes need to be made to the CCP and submit data
    requests to the appropriate proposal manager (may include internal
    reports, briefings, project-generated assessment of how the project
    aligns with the PMA, how the system is supported, etc.)

5.  Provide recommendations to the CCB

The list below outlines the members of the Review Group as assigned by
the CCB Co-Chairs.

  ---------------- ------------------------- ------------------ ----------------
  **Organization   **Organization Name**     **Review Group     **Title**
  Code**                                     Member**           

  NNSA             National Nuclear Security Lawrence Pace      NMA E-Gov
                   Administration            (Chair)            Project Director

  EM               Office of Environmental   Barbara Heffernan  Director, Office
                   Management                                   of Budget

  ME               Office of Management,     Warren Huffer      Director, Office
                   Budget and Evaluation                        of Corporate
                                                                Financial
                                                                Systems
  ---------------- ------------------------- ------------------ ----------------