NPR 7120.5 F

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NASA

Procedural

Requirements

NPR 7120.5F

Effective Date: August 03, 2021

Expiration Date: August 03,

2026

COMPLIANCE IS MANDATORY FOR NASA EMPLOYEES

NASA Space Flight Program and Project Management

Requirements w/Change 3

Responsible Office: Associate Administrator

NASA Space Flight Program and Project Management Handbook

Table of Contents

Change History

Preface

P.1 Purpose

P.2 Applicability

P.3 Authority

P.4 Applicablcable Documents and Forms

P.5 Measurement/Verification

P.6 Cancellation

Chapter 1. Introduction

1.1 Key Policy Changes to NPR 7120.5 Revision F Since Revision E

1.2 Background

1.3 Overview of Management Process

1.4 Acquisition

1.5 Document Structure

Chapter 2. NASA Life Cycles for Space Flight Programs and

Projects

2.1 Programs and Projects

NPR 7120.5F -- TOC

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2.2 Program and Project Life Cycles

2.3 Program and Project Oversight and Approval

2.4 Approving and Maintaining Program and Project Plans, Baselines, and Commitments

Chapter 3. Program and Project Management Roles and

Responsibilities

3.1 Governance

3.2 Roles and Responsibilities

3.3 Technical Authority

3.4 Process for Handling Formal Dissent

3.5 Principles Related to Tailoring Requirements

3.6 Reimbursable Space Flight Work

3.7 Use of the Metric System

Appendix A. Definitions

Appendix B. Acronyms

Appendix C. Compliance Matrix and Tailoring Guidance and

Resources

Appendix D. Program Commitment Agreement Template

D.1 PCA Title Page

D.2 PCA Template

Appendix E. Formulation Authorization Document Template

E.1 Program FAD Title Page

E.2 Project FAD Title Page

E.3 Program/Project FAD Template

Appendix F. Project Formulation Agreement Template

F.1 Formulation Agreement Template Instructions

F.2 Formulation Agreement Title Page

Appendix G. Program Plan Template

G.1 Template Instructions

G.2 Program Plan Title Page

G.3 Program Plan Template

Appendix H. Project Plan Template

NPR 7120.5F -- TOC

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H.1 Template Instructions

H.2 Project Plan Title Page

H.3 Project Plan Template

Appendix I. Program and Project Products by Phase

Appendix J. References

LIST OF TABLES

Table 1-1 Programmatic Requirements Hierarchy

Table 2-1 Project Categorization Guidelines

Table 2-2 Convening Authorities for Standing Review Board

Table 2-3 Expected Maturity State Through the Life Cycle of Uncoupled and Loosely Coupled

Programs

Table 2-4 Expected Maturity State Through the Life Cycle of Tightly Coupled Programs

Table 2-5 Expected Maturity State Through the Life Cycle of Projects and Single-Project Programs

Table 2-6 Objectives for Other Reviews

Table C-1 Compliance Matrix

Table D-1 Sample Program Commitment Agreement Activities Log

Table I-1 Uncoupled and Loosely Coupled Program Milestone Products and Control Plans Maturity

Matrix

Table I-2 Tightly Coupled Program Milestone Products Maturity Matrix

Table I-3 Tightly Coupled Program Plan Control Plans Maturity Matrix

Table I-4 Project Milestone Products Maturity Matrix

Table I-5 Project Plan Control Plans Maturity Matrix

Table I-6 Single-Project Program Milestone Products Maturity Matrix

Table I-7 Single-Project Program Plan Control Plans Maturity Matrix

LIST OF FIGURES

Figure 1-1 Institutional Requirements Flow Down

Figure 2-1 Programmatic Authority Organizational Hierarchy

Figure 2-2 NASA Uncoupled and Loosely Coupled Program Life Cycle

Figure 2-3 NASA Tightly Coupled Program Life Cycle

Figure 2-4 NASA Single-Project Program Life Cycle

Figure 2-5 NASA Project Life Cycle

Figure 2 6 Example of Agreements and Commitments in Terms of Cost for Projects

Figure D-1 Program Commitment Agreement Title Page

Figure E-1 Program Formulation Authorization Document Title Page

Figure E-2 Project Formulation Authorization Document Title Page

Figure F-1 Formulation Agreement Title Page

Figure G-1 Program Plan Title Page

Figure H-1 Project Plan Title Page

Figure H-2 Standard Level 2 WBS Elements for Space Flight Projects

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Change History

Chg# Approver

Date

Approved

Description/Comments

1 OTPS 03/03/2023 Administrative changes made as follows:

Change Responsible Office

Additions to Appendix A. Definitions

Updates to reflect changes to other NPR and

Handbook numbers, titles, and links

Additional references

Minor editorial and reference corrections.

2 OTPS 07/09/2023 Administrative changes to change responsible

functions from the Office of the Chief Engineer to

the NASA AA as implemented by the Office of the

Chief Program Management Officer (CPMO) in

chapters 2 and 3 and appendices B, C, G, I and J.

Added the role of the CPMO to Section 3.2.

Reinstated missing text in 3.3.2. Added paragraph

3.5.1.a to Tailoring. Updated references to Human

Systems Integration Plan to Human Systems

Integration Approach in chapter 1 and appendices

C, G, H, and I. Updated references to NASA

Standing Review Board Handbook. Appendix E

added Analysis of Alternatives (per GAO-20-68).

Updated Reference Appendix.

3 OTPS 10/27/2023 Updates to reflect changes to timing of ASM

consistent with NPD 1000.5 in chapter 1; Figures

2-2, 2-3, 2-4, and 2-5; and Appendices A, C, E,

and I. Delete references to "Guidance and

Expectations for Small Category 3, Risk

Classification D (Cat3/Class D) Space Flight

Projects with Life-Cycle Cost Under $150

Million" document in chapter 2 and Appendix C.

Updates to clarify "innovative acquisitions".

Updates to reflect changes to other NPR numbers

and titles.

NPR 7120.5F --

ChangeHistory

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Preface

P.1 Purpose

This document establishes the requirements by which NASA formulates and implements space

flight programs and projects, consistent with the governance model contained in NASA Policy

Directive (NPD) 1000.0, NASA Governance and Strategic Management Handbook.

P.2 Applicability

a. This NASA Procedural Requirements (NPR) is applicable to NASA Headquarters (HQ) and

NASA Centers, including Component Facilities and Technical and Service Support Centers. This

language applies to the Jet Propulsion Laboratory (a Federally Funded Research and Development

Center), other contractors and recipients of grants, cooperative agreements, or other agreements,

only to the extent specified or referenced in the applicable contracts, grants, or agreements.

b. This NPR applies to all NASA space flight programs and projects including spacecraft, launch

vehicles, instruments developed for space flight programs and projects, some research and

technology (R&T) programs and projects

, technical facilities specifically developed or

significantly modified for space flight systems, Information Technology (IT) acquired as a part of

space flight programs and projects, and ground systems that are in direct support of space flight

operations. This NPR also applies to reimbursable space flight programs and projects performed for

non-NASA sponsors and to NASA contributions to space flight programs and projects performed

with international and interagency partners.

c. For existing programs and projects, the Revision F changes to the requirements of this NPR apply

to their current and future phases as determined by the responsible Mission Directorate and

concurred with by the NASA Chief Program Management Officer (CPMO) (or as delegated) and the

Decision Authority.

d. This NPR can be applied to other NASA investments at the discretion of the responsible manager

or the NASA Associate Administrator.

e. In this directive, all mandatory actions (i.e., requirements) are denoted by statements containing

the term "shall." The terms "may" or "can" denote discretionary privilege or permission, "should"

denotes a good practice and is recommended but not required, "will" denotes expected outcome, and

"are/is" denotes descriptive material.

R&T programs and projects will be managed using NPR 7120.5 in lieu of NPR 7120.8 when: 1) the R&T program or project is

directly funded by a human or robotic space flight program or project; 2) a space flight program or project is directly dependent on

the R&T program or project; 3) the R&T program or project has an LCC greater than $365M and is intended to be flown in space;

4) the R&T program or project includes significant radioactive material (see Section 2.1.3.1), whether or not the system being

developed is for ground or space flight; or 5) as determined by the NASA AA. If clarification or guidance is needed, R&T

programs and projects should consult with the CPMO.

f. In this directive, all document citations are assumed to be the latest version unless otherwise

noted. Documents cited as authority, applicable, or reference documents may be cited as a different

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categorization, which characterizes its function in relation to the specific context.

P.3 Authority

a. The National Aeronautics and Space Act, as amended, 51 U.S.C. § 20113(a).

b. NPD 1000.0, NASA Governance and Strategic Management Handbook.

c. NPD 1000.3, The NASA Organization.

d. NPD 1000.5, Policy for NASA Acquisition.

e. NPD 1001.0, NASA Strategic Plan.

f. NPD 7120.4, NASA Engineering and Program/Project Management Policy.

P.4 Applicable Documents and Forms

a. NASA Federal Acquisition Regulation (FAR) Supplement (NFS), 48 Code of Federal Regulation

(CFR), Chapter 18.

b. NPD 7500.1, Program and Project Life-Cycle Logistics Support Policy.

c. NPD 8020.7, Biological Contamination Control for Outbound and Inbound Planetary Spacecraft.

d. NPR 1040.1, NASA Continuity of Operations (COOP) Planning Procedural Requirements.

e. NPR 1058.1, NASA Enterprise Protection Program.

f. NPR 1600.1, NASA Security Program Procedural Requirements.

g. NPR 2190.1, NASA Export Control Program.

h. NPR 2810.1, Security of Information and Information Systems.

i. NPR 7120.10, Technical Standards for NASA Programs and Projects.

j. NPR 7123.1, NASA Systems Engineering Processes and Requirements.

k. NPR 7150.2, NASA Software Engineering Requirements.

l. NPR 8000.4, Agency Risk Management Procedural Requirements.

m. NPR 8079.1, NASA Spacecraft Conjunction Analysis and Collision Avoidance for Space

Environment Protection.

n. NPR 8580.1, Implementing the National Environmental Policy Act and Executive Order 12114.

o. NPR 8600.1, NASA Capability Portfolio Management Requirements.

p. NPR 8705.2, Human-Rating Requirements for Space Systems.

q. NPR 8705.4, Risk Classification for NASA Payloads.

r. NPR 8715.24, Planetary Protection Provisions for Robotic Extraterrestrial Missions.

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s. NASA/SP-20230001306, NASA Standing Review Board Handbook.

https://ntrs.nasa.gov/citations/20230001306

t. EIA-748, Earned Value Management Systems.

P.5 Measurement/Verification

a. Compliance with this document is verified by submitting the gate products identified in this

document at Key Decision Points (KDPs) to responsible NASA officials and milestone products and

control plans due at life-cycle reviews (LCRs) and by internal and external controls. Internal

controls are consistent with processes per NPD 1200.1, NASA Internal Control. Internal controls

include surveys, audits, and reviews conducted in accordance with NPD 1210.2, NASA Surveys,

Audits, and Reviews Policy. External controls may include external surveys, audits, and reporting

requirements.

b. Compliance is also documented by appending a completed Compliance Matrix for this NPR (see

Appendix C) to the Formulation Agreement for projects in Formulation and/or the Program Plan or

Project Plan (see appendices G or H) for programs or projects entering or in Implementation. A copy

of the Compliance Matrix is forwarded to the CPMO and the Office of the Chief Engineer (OCE) for

programs and Category 1 projects and to the OCE for Category 2 and 3 projects for review.

Organizations with authority to approve waivers or deviations to specific requirements are specified

in Appendix C, Table C-1, Compliance Matrix.

P.6 Cancellation

a. NPR 7120.5E, NASA Space Flight Program and Project Management Requirements, dated

August 14, 2012.

b. NID 7120.130, NASA Space Flight Program and Project Management Requirements - Space

Systems Protection Standard Update.

c. NID 7120.122, Joint Cost and Schedule Confidence Level (JCL) Requirements Updates.

NPR 7120.5F -- Preface

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Chapter 1. Introduction

1.1 Key Policy Changes to NPR 7120.5 Revision F Since Revision

1.1.1 Key policy changes in NPR 7120.5F, NASA Space Flight Program and Project Management

Requirements, include updating the requirements for establishing Agency Baseline Commitments

(ABC) and for performing Joint Cost and Schedule Confidence Level (JCL) analyses for tightly

coupled programs, adding additional requirements for doing a JCL analysis for single-project

programs and projects over $1B life-cycle cost (LCC), and using initial capability cost estimates

instead of LCC estimates in specific, identified instances for single-project programs and projects

that plan continuing operations and production, including integration of capability upgrades, with an

unspecified Phase E end point.

1.1.2 Per NPD 1000.0, NASA Governance and Strategic Management Handbook, tailoring is both

accepted and expected. Tailoring guidance has been added to Appendix C along with a reference to

a tailoring Web site that includes resources to facilitate tailoring the requirements in this NPR.

Changes to tailoring guidance include clarifying the process for assigning "non-applicable" to

requirements and modifying stand-alone requirements for program and project control plans;

examples of tailoring approaches used by programs to accommodate their acquisition strategies;

clarification of delegation of tailoring authority; and pre-customization of the NPR 7120.5

Compliance Matrix. Requirements for tailoring are in Section 3.5.

1.1.3 With the release of the NASA-STD-1006, Space System Protection Standard and NPR 1058.1,

NASA Enterprise Protection Program, Space Asset Protection is now the Mission Resiliency and

Protection Program. Programs are no longer required to do a Threat Summary, and Project

Protection Plans need to address the new standard and NPR.

1.1.4 Changes related to governance include updates to program and project acquisition strategy and

planning aligned with NPD 1000.5, Policy for NASA Acquisition; shifted responsibility for

management of independent reviews from the Independent Program Assessment Office to Mission

Directorates; and added program and project consideration for management and utilization of

Agency-level capability components through capability portfolios per NPR 8600.1, NASA

Capability Portfolio Management Requirements. The Dissenting Opinion process is now the Formal

Dissent process, which retains the current process augmented with an expedited escalation path.

1.1.5 Changes to the life cycle include clarification of the criteria triggering a Program

Implementation Review (PIR), adding emphasis to the use of Leading Indicators in life-cycle

reviews (LCRs) and Key Decision Points (KDPs), and providing additional guidance in the NASA

Common Leading Indicators Detailed Reference Guide at

https://nodis3.gsfc.nasa.gov/OCE_rep/OCE_list.cfm.

1.1.6 Updates to program and project documentation and guidance include changes to the Appendix

I table documentation and products developed during the life cycle. This includes the addition of the

Human Systems Integration approach, System Security Plan, Quality Assurance Surveillance Plan,

Orbital Collision Avoidance Plan, and Performance Measurement Baseline and the deletion of the

Education Plan, Information Technology Plan, and Product Data and Life Cycle Management Plan.

In addition, this NPR adds reference to NASA/SP-2016-3424, NASA Project Planning and Control

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In addition, this NPR adds reference to NASA/SP-2016-3424, NASA Project Planning and Control

Handbook.

1.2 Background

1.2.1 NASA space flight programs and projects develop and operate a wide variety of spacecraft,

launch vehicles, in-space facilities, communications networks, instruments, and supporting ground

systems.

This document establishes a standard of uniformity for the process by which NASA

formulates and implements space flight programs and projects.

1.2.2 NASA approaches the formulation and implementation of programs and projects through a

governance model that balances different perspectives from different elements of the organization.

The cornerstone of program and project governance is the organizational separation of the

Programmatic Authorities from the Institutional Authorities. The Programmatic Authorities include

the Mission Directorates and their respective programs and projects. The Institutional Authorities

include the Mission Support Directorate and other mission support offices (e.g., engineering, safety

and mission assurance, information technology, procurement, and health and medical) and Center

Directors and Center organizations that align with these mission support offices. (See NPD 1000.0,

NASA Governance and Strategic Management Handbook and NASA/SP-20220009501, NASA

Space Flight Program and Project Management Handbook.)

1.2.3 This NPR distinguishes between "programmatic requirements" and "institutional

requirements." Both categories of requirements ultimately need to be satisfied in program and

project Formulation and Implementation.

1.2.3.1 Programmatic requirements are the responsibility of the Programmatic Authorities.

Programmatic requirements focus on the products to be developed and delivered and specifically

relate to the goals and objectives of a particular NASA program or project. These programmatic

requirements flow down from the Agency's strategic planning process. Table 1-1 shows this flow

down from Agency strategic planning through Agency, directorate, program, and project

requirement levels to the systems that will be implemented to achieve the Agency goals.

NASA space flight programs and projects often need to mature technologies to meet mission goals. These enabling and/or

enhancing technologies are also covered by this NPR, insofar as developments of those technologies apply per Section P.2(b)

above.

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Table 1-1 Programmatic Requirements Hierarchy

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Requirements

Level

Content

Governing

Document

Approver Originator

NASA

Strategic Goals

Agency goals,

objectives, and

strategic direction

NPD 1001.0,

NASA Strategic

Plan; and

Strategic Planning

Guidance

NASA

Admin-istrator

OCFO

Mission

Directorate

Requirements

High-level

requirements levied on

a program to carry out

strategic and

architectural direction,

including

programmatic

direction for initiating

specific projects

Program

Commitment

Agreement (PCA)

NASA AA MDAA

Program

Requirements

Detailed requirements

levied on a program to

implement the PCA

and high-level

programmatic

requirements allocated

from the program to its

projects

Program Plan MDAA Program

Manager

Project

Requirements

Detailed requirements

levied on a project to

implement the

Program Plan and flow

down programmatic

requirements allocated

from the program to

the project

Project Plan Program

Manager

Project

Manager

System

Requirements

Detailed requirements

allocated from the

project to the next

lower level of the

project

System

Requirements

Documentation

Project

Manager

Responsible

System Lead

MDAA = Mission Directorate Associate Administrator; NASA AA = NASA Associate

Administrator

1.2.3.2 Institutional requirements are the responsibility of the Institutional Authorities. (See Section

3.3 for details on Technical Authority.) Institutional requirements focus on how NASA does

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business and are independent of any particular program or project. These requirements are issued by

NASA HQ (including the Office of the Administrator, Mission Support Directorate, and other

mission support offices) and by Center organizations. Institutional requirements may respond to

Federal and State statute, regulation, treaty, or Executive Order. They are normally documented in

NPDs, NPRs, NASA Standards, Center Policy Directives, Center Procedural Requirements, and

Mission Directorate requirements.

1.2.4 This NPR is focused on improving program and project performance against internal and

external commitments. Figure 1-1 shows the flow down from NPD 1000.0, NASA Governance and

Strategic Management Handbook through Program and Project Plans. The figure identifies the five

types of institutional requirements that flow down to these plans: engineering, program/project

management, safety and mission assurance, health and medical, and mission support requirements.

These terms are defined in Appendix A.

Figure 1-1 Institutional Requirements Flow Down

1.3 Overview of Management Process

1.3.1 Although this document emphasizes program and project management based on life cycles,

Key Decision Points (KDPs), and evolving programmatic products during each life-cycle phase,

these elements are embedded in NASA's four-part process for managing programs and projects,

which consists of:

a. Formulation—identifying how the program or project supports the Agency's strategic goals;

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assessing feasibility, technology, and concepts; performing trade studies; assessing and possibly

mitigating risks based on risk-informed decision making (RIDM) and continuous risk management

(CRM) processes; maturing technologies; building teams; developing system-level preliminary

designs; developing operations concepts and acquisition strategies; establishing high-level

requirements, requirements flow down, and success criteria; assessing the relevant industrial

base/supply chain to ensure program or project success; preparing plans, cost estimates, budget

submissions, and schedules essential to the success of a program or project; and establishing control

systems to ensure performance of those plans and alignment with current Agency strategies.

b. Approval (for Implementation)—acknowledgment by the Decision Authority (see Appendix A for

definition of "Decision Authority") that the program/project has met Formulation requirements and

is ready to proceed to Implementation. By approving a program/project, the Decision Authority

commits to the time-phased cost plan based on technical scope and schedule necessary to continue

into Implementation.

c. Implementation—execution of approved plans for the development and operation of the

program/project and use of control systems to ensure performance to approved plans and

requirements and continued alignment with the Agency's strategic goals.

d. Evaluation—continual self and independent assessment of the performance of a program or

project and incorporation of the assessment findings to ensure adequacy of planning and execution

according to approved plans and requirements.

1.4 Acquisition

1.4.1 NASA's program and project support of its overall mission is long term in nature, but the

environment in which these programs and projects are conducted is dynamic. In recognition of this,

NPD 1000.0, NASA Governance and Strategic Management Handbook and NPD 1000.5, Policy for

NASA Acquisition have put in place a framework for ensuring that NASA's strategic vision,

programs and projects, and resources remain properly aligned. The acquisition process and annual

strategic resource planning form a continuous process to oversee this alignment. In addition, the

Agency's senior Acquisition Strategy Council (ASC) makes decisions regarding strategic resource

planning, specific acquisition strategy approval, and acquisition policy integration and performance.

1.4.2 All programs and projects implement acquisitions consistent with NPD 1000.5, Policy for

NASA Acquisition. At the program and project level, the Decision Framing Meeting or the

Pre-Acquisition Strategy Meeting (Pre-ASM), the Acquisition Strategy Meeting (ASM), and the

Procurement Strategy Meeting (PSM) support the Agency's acquisition process, which includes

strategic planning as well as procurement. Information on Decision Framing Meetings or Pre-ASMs,

and on ASMs, the associated convening authorities, and criteria for determining the convening

authority is provided in NPD 1000.5, Policy for NASA Acquisition, NASA Advisory

Implementing Instruction (NAII) 1000.1 Decision Framing Meeting (DFM) and Pre-Acquisition

Strategy Meeting (Pre-ASM) Guide, and NAII 1000.2 Acquisition Strategy Meeting (ASM) Guide.

The PSM is described in NASA FAR Supplement (NFS) 1807.170-71. The PSM guide may be

accessed at Office of Procurement - NASA PSM Guide.pdf - Agency-Wide Procurement Templates

(sharepoint.com) or by contacting the Office of Procurement.

1.5 Document Structure

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1.5.1 Chapter 2 defines the different types of programs and projects, their documents, and how they

mature through their different life cycles. It also describes how to establish baselines and approval

processes. Chapter 3 describes roles and responsibilities relevant to program and project managers,

the governance structure, Technical Authority (TA), the dissent process, and how to tailor

requirements. Appendix C contains the Compliance Matrix and tailoring guidance and resources.

Templates for required program and project documents are contained in appendices D through H.

Appendix I encompasses the tables of program and project products by phase. Appendix J provides

a list of references.

1.5.2 The companion handbook to this NPR, NASA/SP-20220009501, NASA Space Flight Program

and Project Management Handbook, describes how programs and projects are managed in NASA

and contains explanatory material and context to help understand the requirements of this NPR and

how to implement them. In addition, NASA/SP-20230001306, NASA Standing Review Board

Handbook is closely aligned to this NPR and provides guidance for the planning, preparation,

review, reporting, and closeout of Standing Review Board (SRB) activities. These Handbooks can be

found on the "Other NASA-Level Documents" menu in the NASA Online Directives Information

System (NODIS) under the tab for the Office of the Chief Engineer (OCE).

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Chapter 2. NASA Life Cycles for Space Flight

Programs and Projects

2.1 Programs and Projects

2.1.1 Space flight programs and projects flow from the implementation of national priorities, defined

in the Agency’s Strategic Plan, through the Agency’s Mission Directorates, as part of the Agency’s

general work breakdown hierarchy shown in Figure 2-1.

Figure 2-1 Programmatic Authority Organizational Hierarchy

2.1.1.1 This hierarchical relationship of programs to projects shows that programs and projects are

different, and their management involves different activities and focus. Programs and projects are

distinguished by the following characteristics.

a. Program—Programs are a strategic investment by Mission Directorates or mission support offices

with a defined architecture and/or technical approach, requirements, funding level, and a

management structure that initiates and directs one or more projects. A program implements a

strategic direction that the Agency has identified as needed to accomplish Agency goals and

objectives.

b. Project—Space flight projects are a specific investment identified in a Program Plan having

defined requirements, a life-cycle cost, a beginning, and an end. A project also has a management

structure and may have interfaces to other projects, agencies, and international partners. A project

yields new or revised products that directly address NASA’s strategic goals.

2.1.1.2 Regardless of the structure of a program or project meeting the criteria of Section P.2, this

NPR shall apply to the full scope of the program or project and all the activities under it. Specific

NPR 7120.5 requirements are flowed down to these activities to the extent necessary for the program

or project to ensure compliance and mission success. See Section 3.5.5.1 for the process of obtaining

any required deviations or waivers.

2.1.2 NASA Programs

2.1.2.1 NASA space flight programs are initiated and implemented to accomplish scientific or

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exploration goals that generally require a collection of mutually supporting projects. Programs

integrate and manage these projects over time and provide on-going enabling systems, activities,

methods, technology developments, and feedback to projects and stakeholders. Programs are

generally created by a Mission Directorate with a long-term horizon in mind, though as the

Agency’s strategic direction or circumstances change, a Mission Directorate occasionally needs to

replan its programs or combine related programs to increase effectiveness. Programs are generally

executed at NASA Centers under the direction of the Mission Directorate and are assigned to

Centers based on decisions made by Agency senior management consistent with the results of the

Agency’s strategic acquisition planning process. Because the scientific and exploration goals of

programs vary significantly, different program implementation strategies are required, ranging from

simple to complex. To accommodate these differences, NASA identifies four basic types of

programs (described below and defined in Appendix A) that may be employed: single-project

programs, uncoupled programs, loosely coupled programs, and tightly coupled programs.

Characteristics of the program types are:

a. Single-Project: These programs (e.g., James Webb Space Telescope) tend to have long

development and operational lifetimes and represent a large investment of Agency resources.

Multiple organizations or agencies contribute to them. Single-project programs have one project and

implement their program objectives and requirements through one of two management approaches:

(1) separate program and project structures or (2) a combined structure. The requirements for both

programs and projects apply to single-project programs as described in this NPR.

b. Uncoupled: These programs (e.g., Discovery Program) are implemented under a broad theme

(like planetary science) and/or a common program implementation mechanism, such as providing

flight opportunities for formally competed cost-capped projects or Principal Investigator (PI)-led

missions and investigations. Each project in an uncoupled program is independent of the other

projects within the program.

c. Loosely Coupled: These programs (e.g., Mars Exploration Program) address specific objectives

through multiple space flight projects of varied scope. While each project has an independent set of

mission objectives, the projects as a whole have architectural and technological synergies and

strategies that benefit the program. For example, Mars orbiters designed for more than one Mars

year in orbit are required to carry a communication system to support present and future landers.

d. Tightly Coupled: These programs have multiple projects that execute portions of a mission or

missions. No single project is capable of implementing a complete mission. Typically, multiple

NASA Centers contribute to the program. Individual projects may be managed at different Centers.

The program may also include other agency or international partner contributions.

2.1.3 NASA Projects

2.1.3.1 As with programs, projects vary in scope and complexity and thus require varying levels of

management requirements and Agency attention and oversight. Consequently, project categorization

defines Agency expectations of project managers by determining both the oversight council and the

specific approval requirements. Projects are Category 1, 2, or 3 and shall be assigned to a category

based initially on: (1) the project life-cycle cost (LCC) estimate, the inclusion of significant

radioactive material

, and whether or not the system being developed is for human space flight; and

(2) the priority level, which is related to the importance of the activity to NASA, the extent of

international participation (or joint effort with other government agencies), the degree of uncertainty

surrounding the application of new or untested technologies, and spacecraft/payload development

risk classification. (See NPR 8705.4, Risk Classification for NASA Payloads.) Guidelines for

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determining project categorization are shown in Table 2-1, but categorization may be changed based

on recommendations by the Mission Directorate Associate Administrator (MDAA), who considers

additional risk factors facing the project. Projects that plan continuing operations and production,

including integration of capability upgrades, with an unspecified Phase E end point are assigned to

Category 1 unless otherwise agreed to by the Decision Authority. (See Section 2.4.1.3.b and Section

2.4.1.6.) The NASA Associate Administrator (AA) approves the final project categorization. The

project category is identified in the Formulation Authorization Document (FAD) and Project Plan

and documented in the KDP B Decision Memorandum. The Office of the Chief Financial Officer

(OCFO) is responsible for the official listing of NASA programs and projects.

For purposes of

project categorization, the project LCC estimate includes phases A through F and all Work

Breakdown Structure (WBS) Level 2 elements and is measured in real-year (nominal) dollars.

Significant radioactive material is defined as levels of radioactive material onboard the spacecraft and/or launch vehicle that

require nuclear launch authorization by the NASA Administrator or Executive Office of the President as described in NPR

8715.26, Nuclear Flight Safety.

This data is maintained by OCFO in a database called the Meta-Data Manager (MdM). This database is the basis for the

Agency's work breakdown and forms the structure for program and project status reporting across all Mission Directorates and

mission support offices.

Table 2-1 Project Categorization Guidelines

Priority Level LCC < $365M $365M ≤ LCC ≤ $2B

LCC > $2B,

significant

radioactive material,

or human space

flight

High Category 2 Category 2 Category 1

Medium Category 3 Category 2 Category 1

Low Category 3 Category 2 Category 1

2.1.3.2 When projects are initiated, they are assigned to a NASA Center or implementing

organization by the MDAA consistent with direction and guidance from the strategic planning

process. They are either assigned directly to a Center by the Mission Directorate or are selected

through a competitive process such as an Announcement of Opportunity (AO).

For Category 1

projects, the assignment of a project to a Center or implementing organization shall be with the

concurrence of the NASA AA.

As part of the process of assigning projects to NASA Centers, the affected program manager may recommend project

assignments to the MDAA.

2.1.4 Program and Project Manager Certification

2.1.4.1 Programs and projects with a LCC or initial capability cost (see Section 2.4.1.3.b) greater

than $250M shall be managed by program and project managers who have been certified in

compliance with Office of Management and Budget (OMB)’s promulgated Federal acquisition

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program/project management certification requirements. This certification is required within one

year of appointment. Further information on how NASA is implementing program and project

manager certification can be found in the NASA Space Flight Program and Project Management

Handbook.

2.2 Program and Project Life Cycles

2.2.1 Program and project managers shall follow their appropriate life cycle as identified in each

program and project respective life-cycle figure. Life cycles include life-cycle phases, gates, and

major events; performing KDPs and major life-cycle reviews (LCRs); developing principal

documents that govern the conduct of each phase; and re-entering the life cycle when program or

project changes warrant such action.

2.2.2 Each program and project performs the work required for each phase, which is described in the

NASA Space Flight Program and Project Management Handbook; NASA/SP-2016-3424, NASA

Project Planning and Control Handbook, which covers the functions and activities of the planning

and control community; NPR 7123.1, NASA Systems Engineering Processes and Requirements;

and NPR 7150.2, NASA Software Engineering Requirements. Program and project managers shall

organize the work required for each phase using a product-based WBS developed in accordance with

the Program and Project Plan templates (appendices G and H). Additional information on the NASA

WBS structure is provided in the NASA Work Breakdown Structure (WBS) Handbook,

NASA/SP-2010-3404, which can be found in NODIS on the OCE tab under the “Other

NASA-Level Documents” menu. When an alternate approach provides for better program/project

implementation, the program/project manager should tailor the requirement as noted in the

Compliance Matrix. (See Appendix C.)

2.2.3 The documents shown on the life-cycle figures and described below shall be prepared in

accordance with the templates in appendices D, E, F, G, and H.

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Figure 2-2 NASA Uncoupled and Loosely Coupled Program Life Cycle

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Figure 2-3 NASA Tightly Coupled Program Life Cycle

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Figure 2-4 NASA Single-Project Program Life Cycle

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Figure 2-5 NASA Project Life Cycle

2.2.3.1 The program FAD (see Appendix E) is prepared by the Mission Directorate and authorizes a

program manager to initiate the planning of a new program and to perform the analysis of

alternatives required to formulate a sound Program Plan that contains project elements,

requirements, schedules, and time-phased cost plans.

2.2.3.2 The Program Commitment Agreement (PCA) (see Appendix D) is an agreement between the

MDAA and the NASA AA (the Decision Authority) that authorizes program transition from

Formulation to Implementation. The PCA is prepared by the Mission Directorate and documents

Agency requirements that flow down to the program, Mission Directorate requirements, program

objectives, management and technical approach and associated architecture, technical performance,

schedule, time-phased cost plans, safety and risk factors, internal and external agreements, LCRs,

and all attendant top-level program requirements.

2.2.3.3 The Program Plan (see Appendix G) is an agreement between the MDAA (who has final

approval authority for the plan), the participating Center Director(s), and the program manager. It

documents at a high level the program’s objectives and requirements, scope, implementation

approach, interfaces with other programs, environment within which the program operates, funding

by time-phased cost plans consistent with the approved PCA, and commitments of the program. The

Program Plan is prepared by the program.

2.2.3.4 The project FAD (see Appendix E) is prepared by the Mission Directorate. It authorizes a

project manager to initiate the planning of a new project and to perform the analysis of alternatives

required to formulate a sound Formulation Agreement and subsequent Project Plan. The FAD

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contains requirements, schedules, and project funding requirements.

2.2.3.5 The Formulation Agreement (see Appendix F) is prepared by the project in response to the

FAD to establish the technical and acquisition work that needs to be conducted during Formulation

and defines the schedule and funding requirements during Phase A and Phase B for that work.

2.2.3.6 The Project Plan (see Appendix H) is an agreement among the MDAA; the program

manager; participating Center Director(s); the project manager; and for AO-selected missions, the

principal investigator.

The Project Plan is prepared by the project manager with the support of the

project team and defines at a high level the project’s objectives, technical and management

approach, environment within which the project operates, and commitments of the project to the

program.

A principal investigator is a person who conceives an investigation and is responsible for carrying it out and reporting its results.

In some cases, principal investigators from industry and academia act as project managers for smaller development efforts with

NASA personnel providing oversight.

2.2.4 Each program and project shall perform the LCRs in accordance with NPR 7123.1, applicable

Center practices, and the requirements of this document. These reviews provide a periodic

assessment of the program’s or project’s technical and programmatic status and health at key points

in the life cycle using six criteria: alignment with and contribution to Agency strategic goals,

adequacy of management approach, adequacy of technical approach, adequacy of the integrated cost

and schedule estimates and funding strategy, adequacy and availability of resources other than

budget, and adequacy of the risk management approach. (For further guidance on addressing the six

criteria, see NASA/SP-20230001306, NASA Standing Review Board Handbook.) LCRs that occur

at the end of each life-cycle phase are complete when the governing Program Management Council

(PMC) and Decision Authority complete their assessment at the KDP and sign the Decision

Memorandum. (See Section 2.4.1.)

2.2.4.1 NASA programs and projects that leverage commercial partnerships or other practices (e.g.,

Commercial Crew Program) may employ tailoring approaches to accommodate their acquisition

strategies. Examples of tailoring approaches used by these programs are provided on the Agency

Tailoring Web site at https://appel.nasa.gov/npr-7120-5-tailoring-resources.

2.2.4.2 The need for a PIR LCR is determined in one of two ways:

a. The NASA AA determines the need for a PIR based on the occurrence of a trigger and discussion

with the Convening Authorities. The MDAA or an independent team member (Technical

Authorities (TAs), OCFO) report to the NASA AA that a trigger for discussing the need for a PIR

has occurred. This is reported at the Agency Program Management Council (APMC) during the

annual review of Mission Directorate Independent Assessment Manifests. (For considerations that

trigger a discussion on the need for a PIR see the NASA Space Flight Program and Project

Management Handbook, Section 5.11.3.)

b. The NASA AA or MDAA, per their discretion, determine that a PIR is needed.

2.2.4.3 Programs or projects that implement major upgrades as referenced in Section 2.4.1.6 will

enter the life cycle at the appropriate LCR within the Formulation Phase. If other upgrades to a

program or project are needed between flights, the program or project will re-enter the life cycle and

perform the LCRs as necessary to demonstrate technical, cost, and schedule maturity for those

upgrades through the applicable Formulation and/or Implementation phases.

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2.2.5 Program or project managers and an independent Standing Review Board (SRB) shall conduct

the System Requirements Review (SRR), System Definition Review (SDR)/ Mission Definition

Review (MDR), Preliminary Design Review (PDR), Critical Design Review (CDR), System

Integration Review (SIR), Operational Readiness Review (ORR), and PIR LCRs in figures 2-2, 2-3,

2-4, and 2-5. LCRs that do not require an SRB will be convened by the Center Director (or

designee) of the Center responsible for the program or project management.

a. The program or project manager determines whether one- or two-step reviews will be conducted.

(See the NASA/SP-20230001306, NASA Standing Review Board Handbook and the NASA Space

Flight Program and Project Management Handbook for further guidance on the review processes

conducted by the SRB, including one- and two-step reviews.)

2.2.5.1 NASA accords special importance to the policies and procedures established to ensure the

integrity of the SRB’s independent review process and to comply with Federal law. The Conflict of

Interest (COI) procedures detailed in the NASA Standing Review Board Handbook shall be strictly

adhered to.

2.2.5.2 The portion of the LCRs conducted by the SRB shall be convened by the Convening

Authorities in accordance with Table 2-2. The scope and requirements for this review will be

documented in a Terms of Reference (ToR), for which there is a template in the NASA Standing

Review Board Handbook.

Table 2-2 Convening Authorities for Standing Review Board

Decision Authority Technical Authority

Chief

Financial

Officer**

NASA AA MDAA NASA CE* Center Director(s)

Programs Approve Approve Concur Approve Concur

Category 1 Projects Approve Approve Concur Approve Concur

Category 2 Projects Approve Concur Approve Concur

Category 3 Projects Approve Approve Concur

NASA CE = NASA Chief Engineer

*Concurrence is obtained via coordination with designated Mission Directorate Chief Engineer.

** Concurrence is obtained via coordination with designated OCFO point of contact (POC) embedded in the Mission

Directorate.

NOTE: LCR entrance and success criteria in NPR 7123.1 and the life-cycle phase and

KDP information in the NASA Space Flight Program and Project Management Handbook

provide specifics for addressing the six criteria required to demonstrate the program or

project has met expected maturity state.

2.2.5.3 The program or project manager, the SRB chair, and the Center Director (or designated

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2.2.5.3 The program or project manager, the SRB chair, and the Center Director (or designated

Engineering Technical Authority (ETA) representative) shall mutually assess the program or

project's expected readiness for the LCR and report any disagreements to the Decision Authority for

final decision. The assessment occurs approximately 30 to 90 calendar days prior to the LCR.

2.2.5.4 The Decision Authority may request the SRB to conduct other reviews identified on figures

2-2, 2-3, 2-4, and 2-5 or special reviews identified in Section 2.2.9. The Decision Authority may

also request other special reviews that may or may not be conducted by the SRB. Examples of

situations that may prompt such reviews include long periods of time (as determined at the

discretion of the Decision Authority) between LCRs, between an LCR and when the subsequent

KDP is scheduled, and between KDPs; key junctures in the life cycles of major programs, projects,

or missions; and key aspect(s) of programs, projects, or missions of particular interest to the Agency.

(See the NASA Space Flight Program and Project Management Handbook, Sections 3.1.3 and 4.1.3

for more information about special reviews.) The Decision Authority may also request informational

briefings.

2.2.6 In preparation for these LCRs, the program or project manager shall generate the appropriate

documentation per the Appendix I tables of this document, NPR 7123.1, and Center practices, as

necessary, to demonstrate that the program’s or project’s definition and associated plans are

sufficiently mature to execute the follow-on phase(s) with acceptable technical, safety, and

programmatic risk.

2.2.6.1 For a single-project program that is implemented through separate program and project

structures, the MDAA and single-project program manager will determine which of the documents

in the tables are produced by the program and which are produced by the project. In both

management approaches, the Program and Project Plans may be combined if approved by the

MDAA.

2.2.7 Each program and project proceeds through the KDPs identified in its respective life-cycle

figure. A KDP is the event where the Decision Authority determines the readiness of a program or

project to progress to the next phase of the life cycle and establishes the content, cost, and schedule

commitments for the ensuing phase(s). Transition to the following phase occurs immediately

following KDP approval except for the transition from Phase D to E, where transition occurs

following on-orbit checkout. KDPs associated with uncoupled, loosely coupled, and tightly coupled

programs are designated with Roman numerals and zero. The first KDP is KDP 0; the second is KDP

I, etc. KDPs for projects and single-project programs are designated with letters, i.e., KDP A, KDP

B, etc.

2.2.7.1 For missions selected as a result of an AO, KDP A is the selection of a Step 1 proposal for

concept development. In a one-step AO process, projects enter Phase A after selection (KDP A) and

the process becomes conventional. In a two-step AO process, projects are down-selected following

evaluation of concept study reports and the down-selection serves as KDP B. Following this

selection, the process becomes conventional with the exception that products normally required at

KDP B that require Mission Directorate input or approval will be finished as early in Phase B as

feasible.

2.2.8 Projects, single-project programs (and other programs at the discretion of the MDAA) with a

life-cycle cost (LCC) or initial capability cost (see Section 2.4.1.3.b) estimated to be greater than

$250M shall perform earned value management (EVM) and comply with EIA-748, Earned Value

Management Systems for all portions of work including in-house and contracted portions of the

project. To ensure that projects meet KDP C requirements, EVM System (EVMS) setup and

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implementation efforts begin as soon as a project begins to develop the WBS, Organizational

Breakdown Structure, and Integrated Master Schedule (IMS). EVM reporting to the performance

measurement baseline begins during Phase B and continues as long as EVM applies for the

remaining phases.

2.2.8.1 Program and project managers with programs and projects subject to EVM shall utilize the

NASA EVM Capability Process for in-house work. NASA's EVM Capability Process can be found

on the Program and Project Management Community of Practice at https://nen.nasa.gov/web/evm

by selecting “Document Repository” under the “Community Navigation” section. For programs and

projects with an LCC or initial capability cost less than $250M, EVM is optional on the in-house

work portion, however EVM may be implemented at the discretion of the project manager. An

EVMS is not required on non-developmental work, steady state operations, or basic and applied

research.

2.2.8.2 EVM system requirements for contracted work shall be applied to suppliers in accordance

with the NASA Federal Acquisition Regulation (FAR) Supplement, independent of phase and the

$250M threshold (https://www.hq.nasa.gov/office/procurement/regs/NFS.pdf.). For contracts that

require EVM, an Integrated Program Management Report (IPMR) and WBS are the Data

Requirements Descriptions (DRDs) that are included in the contract and/or agreement.

2.2.8.3 Integrated Baseline Reviews (IBRs) are required whenever EVM is required. Mission

Directorates shall conduct an IBR in preparation for KDP C and for major changes that significantly

impact the cost and schedule baseline. For contracts, refer to the NASA FAR Supplement for IBR

requirements.

2.2.8.4 EVMS surveillance shall be conducted on contracts and on programs and projects with

in-house work to ensure continued compliance with EIA-748, Earned Value Management Systems.

2.2.9 The Office of the Administrator, MDAA, or the Center Director (or designee) may also

convene special reviews as they determine the need. In these cases, the MDAA or a Technical

Authority forms a special review team composed of relevant members of the SRB and additional

outside expert members as needed. The process followed for these reviews is the same as for other

reviews. The special review team is dissolved following resolution of the issue(s) that triggered its

formation.

2.2.10 Program and project managers shall complete and maintain a Compliance Matrix (see

Appendix C) for this NPR and attach it to the Formulation Agreement for projects in Formulation

and/or the Program or Project Plan. The program or project will use the Compliance Matrix to

demonstrate how it is complying with the applicable program or project requirements of this

document.

2.2.11 Single-project programs and projects shall develop a Project Protection Plan that addresses

NASA-STD-1006, Space System Protection Standard in accordance with NPR 1058.1, NASA

Enterprise Protection Program. (A copy of the Project Protection Plan Template can be found at

https://nen.nasa.gov/web/sap.)

2.3 Program and Project Oversight and Approval

2.3.1 Each program and project shall have a Decision Authority, the Agency’s responsible individual

who determines whether and how the program or project proceeds through the life cycle and the key

program or project cost, schedule, and content parameters that govern the remaining life-cycle

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program or project cost, schedule, and content parameters that govern the remaining life-cycle

activities. For programs and Category 1 projects, the Decision Authority is the NASA AA. The

NASA AA may delegate this authority to the MDAA. For Category 2 and 3 projects, the Decision

Authority is the MDAA. The MDAA may delegate some of their Programmatic Authority to

appropriate Mission Directorate staff or to Center Directors. Decision authority may be delegated to

a Center Director for determining whether Category 2 and 3 projects may proceed through KDPs

into the next phase of the life cycle. However, the MDAA will retain authority for all program-level

requirements, funding limits, launch dates, and any external commitments.

2.3.1.1 The MDAA shall inform the NASA AA and Administrator via email on all Agency Baseline

Commitments (ABCs) per the following: inform the NASA AA on ABCs for single-project

programs and projects with a LCC or initial capability cost (see Section 2.4.1.3.b) greater than

$250M; and inform the NASA Administrator on ABCs for all single-project programs and projects

with a LCC or initial capability cost greater than $1B and all Category 1 projects. (See Section

2.4.1.5 for more information on ABCs.)

2.3.2 To ensure the appropriate level of management oversight, NASA has established two levels of

PMCs—the Agency PMC (APMC) and Mission Directorate PMCs (DPMCs). The PMCs have the

responsibility for periodically evaluating the technical, safety, health and medical, and programmatic

performance (including cost, schedule, risk, and risk mitigation) and content of a program or project

under their purview. These evaluations focus on whether the program or project is meeting its

commitments to the Agency. Each program and project shall have a governing PMC. For all

programs and Category 1 projects, the governing PMC is the APMC; for Category 2 and 3 projects,

the governing PMC is the DPMC. The PMC function may be delegated by the Decision Authority to

the Center Management Council (CMC) in the event the Decision Authority is delegated to the

Center.

2.3.3 The Decision Authority and governing PMC for the program or project are documented in the

applicable authority documents: Program Commitment Agreement (PCA), Formulation

Authorization Document (FAD), Formulation Agreement, Program Plan, and Project Plan.

Delegations of Decision Authority and delegations of governing PMCs are documented in the

applicable authority documents (PCA, Formulation Agreement, Program Plan, Project Plan).

Templates for the PCA, FAD, Formulation Agreement, Program Plan, and Project Plan are provided

in appendices D, E, F, G, and H, respectively. These templates identify what is documented in each

authority document.

2.3.4 The Center Director (or designee) shall oversee programs and projects usually through the

CMC, which monitors and evaluates all program and project work (regardless of category) executed

at that Center. The CMC evaluation focuses on whether Center engineering, Safety and Mission

Assurance (SMA), health and medical, and management best practices (e.g., program and project

management, resource management, procurement, institutional best practices) are being followed by

the program or project under review and whether Center resources support program/project

requirements. The CMC also assesses program and project risk and evaluates the status and progress

of activities to identify and report trends and provide guidance to the Agency and affected programs

and projects. The CMC provides its findings and recommendations to program or project managers

and to the appropriate PMCs regarding the performance and technical and management viability of

the program or project prior to KDPs.

2.3.4.1 For programs and projects that are conducted by multiple Centers, an Integrated Center

Management Council (ICMC) should be used where the Center Director (or designee) of each

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Center with substantial contributions is a member of the ICMC. The ICMC is chaired by the Center

Director (or representative) responsible for the program/project management.

2.3.5 Following each LCR, the independent SRB chair and the program or project manager shall

brief the applicable management councils on the results of the LCR to support the councils’

assessments. The final LCR in a given life-cycle phase provides essential information for the KDP,

which marks the end of that life-cycle phase except for transition from Phase D to E, where

transition occurs following on-orbit checkout and initial operations. To support the Decision

Authority’s determination of the readiness of a program or project to progress to the next phase of

the life cycle, the program manager (for projects in their program), the Center Director, the MDAA

(for programs and Category 1 projects), and the governing PMC provide their assessments and

recommendations with supporting data, as necessary. Tables 2-3 through 2-6 define for each LCR

and each KDP the LCR objectives and the expected maturity state at the subsequent KDP. (The

NASA Space Flight Program and Project Management Handbook provides further details.)

Table 2-3 Expected Maturity State Through the Life Cycle

of Uncoupled and Loosely Coupled Programs

KDP

Review

Associated

Life-cycle

Review

LCR Objectives

Overall Expected Maturity

State at KDP

KDP 0 SRR

To evaluate whether the

program functional and

performance requirements are

properly formulated and

correlated with the Agency and

Mission Directorate strategic

objectives and assess the

credibility of the program’s

estimated budget and schedule.

Program addresses critical NASA

needs and can likely be achieved

as conceived.

KDP I SDR

To evaluate the proposed

program requirements/

architecture and allocation of

requirements to initial projects,

assess the adequacy of project

pre-Formulation efforts, and

determine whether the maturity

of the program’s definition and

associated plans are sufficient to

begin implementation.

Program is in place and stable,

addresses critical NASA needs,

has adequately completed

Formulation activities, has an

acceptable plan for

Implementation that leads to

mission success, has proposed

projects that are feasible within

available resources, and has risks

that are commensurate with the

Agency’s expectations.

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KDP II

to KDP

PIR

To evaluate the program’s

continuing relevance to the

Agency’s Strategic Plan, assess

performance with respect to

expectations, and determine the

program’s ability to execute the

implementation plan with

acceptable risk within cost and

schedule constraints.

Program still meets Agency needs

and is continuing to meet Agency

commitments, as planned.

NOTE: LCR entrance and success criteria in NPR 7123.1 and the life-cycle phase and

KDP information in the NASA Space Flight Program and Project Management Handbook

provide specifics for addressing the six criteria required to demonstrate the program or

project has met expected maturity state.

Table 2-4 Expected Maturity State

Through the Life Cycle of Tightly Coupled Programs

KDP

Review

Associated

Life-cycle

Review

LCR Objectives

Overall Expected

Maturity State at KDP

KDP 0

SRR

To evaluate whether the functional

and performance requirements

defined for the system are responsive

to the Mission Directorate

requirements on the program and its

projects and represent achievable

capabilities.

Program addresses critical

NASA needs, and projects

are feasible within

available resources.

SDR

To evaluate the credibility and

responsiveness of the proposed

program requirements/architecture to

the Mission Directorate requirements

and constraints, including available

resources, and allocation of

requirements to projects. To

determine whether the maturity of

the program’s mission/system

definition and associated plans are

sufficient to begin preliminary

design.

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KDP I PDR

To evaluate the

completeness/consistency of the

program’s preliminary design,

including its projects, in meeting all

requirements with appropriate

margins, acceptable risk, and within

cost and schedule constraints, and to

determine the program’s readiness to

proceed with the detailed design

phase of the program.

Program is in place and

stable, addresses critical

NASA needs, has

adequately completed

Formulation activities,

and has an acceptable

plan for Implementation

that leads to mission

success. Proposed projects

are feasible with

acceptable risk within

Agency cost and schedule

baselines.

KDP II

CDR

To evaluate the integrity of the

program integrated design, including

its projects and ground systems. To

meet mission requirements with

appropriate margins and acceptable

risk within cost and schedule

constraints. To determine if the

integrated design is appropriately

mature to continue with the final

design and fabrication phase.

Program is still on plan.

The risk is commensurate

with the projects’ payload

classifications. The

program is ready for

Assembly, Integration,

and Test (AI&T) with

acceptable risk within

Agency cost and schedule

baselines.

SIR

To evaluate the readiness of the

program, including its projects and

supporting infrastructure, to begin

system AI&T with acceptable risk

and within cost and schedule

constraints.

KDP III

ORR

To evaluate the readiness of the

program, including its projects,

ground systems, personnel,

procedures, and user documentation.

To operate the flight system and

associated ground systems in

compliance with program

requirements and constraints during

the operations phase.

Program is ready for

launch and early

operations with acceptable

risk within Agency cost

and schedule baselines.

FRR or

MRR

To evaluate the readiness of the

program and its projects, ground

systems, personnel, and procedures

for a safe and successful launch and

flight/mission.

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flight/mission.

Non-KDP

Mission

Operations

Reviews

PLAR

To evaluate the in-flight

performance of the program and its

projects. To determine the program's

readiness to begin the operations

phase of the life cycle and transfer

responsibility to the operations

organization.

PLAR Expected State:

Project is ready to conduct

mission operations with

acceptable risk within

Agency cost and schedule

baselines.

CERR

To evaluate the readiness of the

program and its projects to execute a

critical event during the flight

operations phase of the life cycle.

Mission CERR Expected

State: Project is ready to

conduct critical mission

activity with acceptable

risk.

PFAR

To evaluate how well mission

objectives were met during a human

space flight mission. To evaluate the

status of the flight and ground

systems, including the identification

of any anomalies and their

resolution.

PFAR Expected State: All

anomalies that occurred in

flight are identified, and

actions necessary to

mitigate or resolve these

anomalies are in place.

KDP IV to

KDP n-1

PIR

To evaluate the program's continuing

relevance to the Agency's Strategic

Plan, assess performance with

respect to expectations, and

determine the program's ability to

execute the implementation plan

with acceptable risk within cost and

schedule constraints.

Program still meets

Agency needs and is

continuing with

acceptable risk within

Agency cost and schedule

baselines.

KDP n DR

To evaluate the readiness of the

program and its projects to conduct

closeout activities, including final

delivery of all remaining

program/project deliverables and

safe decommissioning/disposal of

space flight systems and other

program/project assets.

Program

decommissioning is

consistent with program

objectives and is ready for

final analysis and archival

of mission and science

data and safe disposal of

its assets.

CERR Critical Events Readiness Review PLAR Post-Launch Assessment Review

FRR Flight Readiness Review PFAR Post-Flight Assessment Review

MRR Mission Readiness Review DR Decommissioning Review

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NOTE: LCR entrance and success criteria in NPR 7123.1 and the life-cycle phase and

KDP information in the NASA Space Flight Program and Project Management Handbook

provide specifics for addressing the six criteria required to demonstrate the program or

project has met expected maturity state.

Table 2-5 Expected Maturity State Through the Life Cycle of

Projects and Single-Project Programs

KDP

Review

Associated

Life-cycle

Review

LCR Objectives

Overall Expected

Maturity State at KDP

KDP A MCR

To evaluate the feasibility of the

proposed mission concept(s) and

its fulfillment of the program’s

needs and objectives. To determine

whether the maturity of the concept

and associated planning are

sufficient to begin Phase A.

Project addresses critical

NASA need. Proposed

mission concept(s) is

feasible. Associated

planning is sufficiently

mature to begin Phase A,

and the mission can likely

be achieved as conceived.

KDP B

SRR

To evaluate whether the functional

and performance requirements

defined for the system are

responsive to the program’s

requirements on the project and

represent achievable capabilities.

Proposed mission/system

architecture is credible and

responsive to program

requirements and

constraints, including

resources. The maturity of

the project’s mission/system

definition and associated

plans is sufficient to begin

Phase B, and the mission

can likely be achieved

within available resources

with acceptable risk.

MDR or

SDR

To evaluate the credibility and

responsiveness of the proposed

mission/system architecture to the

program requirements and

constraints, including available

resources. To determine whether

the maturity of the project’s

mission/system definition and

associated plans are sufficient to

begin Phase B.

To evaluate the

completeness/consistency of the

planning, technical, cost, and

schedule baselines developed

Project’s planning,

technical, cost, and schedule

baselines developed during

Formulation are complete

and consistent. The

preliminary design complies

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KDP C PDR

during Formulation. To assess

compliance of the preliminary

design with applicable

requirements and to determine if

the project is sufficiently mature to

begin Phase C.

preliminary design complies

with its requirements. The

project is sufficiently

mature to begin Phase C,

and the cost and schedule

are adequate to enable

mission success with

acceptable risk.

KDP D

CDR

To evaluate the integrity of the

project design and its ability to

meet mission requirements with

appropriate margins and acceptable

risk within defined project

constraints, including available

resources. To determine if the

design is appropriately mature to

continue with the final design and

fabrication phase.

Project is still on plan. The

risk is commensurate with

the project’s payload

classification, and the

project is ready for AI&T

with acceptable risk within

its ABC.

PRR

To evaluate the readiness of system

developer(s) to produce the

required number of systems within

defined project constraints for

projects developing multiple

similar flight or ground support

systems. To evaluate the degree to

which the production plans meet

the system’s operational support

requirements.

SIR

To evaluate the readiness of the

project and associated supporting

infrastructure to begin system

AI&T, evaluate whether the

remaining project development can

be completed within available

resources, and determine if the

project is sufficiently mature to

begin Phase D.

KDP E

ORR

To evaluate the readiness of the

project to operate the flight system

and associated ground system(s) in

compliance with defined project

requirements and constraints

during the operations/sustainment

phase of the project life cycle.

Project and all supporting

systems are ready for safe,

successful launch and early

operations with acceptable

risk within ABC.

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MRR or

FRR

To evaluate the readiness of the

project and all project and

supporting systems for a safe and

successful launch and

flight/mission.

KDP En

(applies

only to

Single-

Project

Programs)

PIR

To evaluate the program’s

continuing relevance to the

Agency’s Strategic Plan, assess

performance with respect to

expectations, and determine the

program’s ability to execute the

implementation plan with

acceptable risk within cost and

schedule constraints.

Program still meets Agency

needs and is continuing to

meet Agency commitments,

as planned.

Non-KDP

Reviews

PLAR

To evaluate in-flight performance

of the flight system early in the

mission and determine whether the

project is sufficiently prepared to

begin Phase E.

PLAR Expected State:

Project is ready to conduct

mission operations with

acceptable risk within ABC.

CERR

To evaluate the readiness of the

project and the flight system for

execution of a critical event during

the flight operations phase of the

life cycle.

Mission CERR Expected

State: Project is ready to

conduct critical mission

activity with acceptable risk.

PFAR

To evaluate how well mission

objectives were met during a

human space flight mission and to

evaluate the status of the returned

vehicle.

PFAR Expected State: All

anomalies that occurred in

flight are identified. Actions

necessary to mitigate or

resolve these anomalies are

in place.

KDP F DR

To evaluate the readiness of the

project to conduct closeout

activities including final delivery of

all remaining project deliverables

and safe decommissioning of space

flight systems and other project

assets. To determine if the project

is appropriately prepared to begin

Phase F.

Project decommissioning is

consistent with program

objectives and project is

ready for safe

decommissioning of its

assets and closeout of

activities, including final

delivery of all remaining

project deliverables and

disposal of its assets.

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Non-KDP

Disposal

Readiness

Review

DRR

To evaluate the readiness of the

project and the flight system for

execution of the spacecraft disposal

event.

Mission DRR Expected

State: Project ready to

conduct disposal activity

with acceptable risk.

MCR Mission Concept Review

PRR Production Readiness Review

DRR Disposal Readiness Review

NOTE: LCR entrance and success criteria in NPR 7123.1 and the life-cycle phase and

KDP information in the NASA Space Flight Program and Project Management Handbook

provide specifics for addressing the six criteria required to demonstrate the program or

project has met expected maturity state.

Table 2-6 Objectives for Other Reviews

Review Name Review Objective

System Acceptance

Review (SAR)

To evaluate whether a specific end item is sufficiently mature to be

shipped from the supplier to its designated operational facility or

launch site.

Safety and Mission

Success Review

(SMSR)

To prepare Agency safety, engineering, and health and medical

management to participate in program final readiness reviews

preceding flights or launches, including experimental/test launch

vehicles or other reviews as determined by the Chief, Safety and

Mission Assurance. The SMSR provides the knowledge, visibility,

and understanding necessary for senior safety, engineering, and

health and medical management to either concur or nonconcur in

program decisions to proceed with a launch or significant flight

activity.

Launch Readiness

Review (LRR)

To evaluate a program/project and its ground, hardware, and

software systems for readiness for launch.

2.4 Approving and Maintaining Program and Project Plans,

Baselines, and Commitments

2.4.1 After reviewing the supporting material and completing discussions with concerned parties, the

Decision Authority determines whether and how the program or project proceeds into the next phase

and approves any additional actions. The decisions by the Decision Authority on whether and how

the program or project proceeds into the next phase shall be summarized and recorded in the

Decision Memorandum signed at the conclusion of the governing PMC by all parties with

supporting responsibilities, accepting their respective roles. Once signed, the Decision Memorandum

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supporting responsibilities, accepting their respective roles. Once signed, the Decision Memorandum

is appended to the project Formulation Agreement, Program Plan, or Project Plan, as appropriate.

(Decision Memorandum templates may be found at

https://community.max.gov/pages/viewpage.action?pageId=1232962906. Additional information on

the Decision Memorandum is provided in the NASA Space Flight Program and Project Management

Handbook, Section 5.5.6.)

2.4.1.1 The Decision Memorandum shall describe the constraints and parameters within which the

Agency, the program manager, and the project manager will operate; the extent to which changes in

plans may be made without additional approval; any additional actions that came out of the KDP;

and the supporting data (e.g., the cost and schedule data sheet) that provide further details. The

NASA Space Flight Program and Project Management Handbook provides an example of the

Decision Memorandum to illustrate the level and types of information that are documented.

2.4.1.2 The Management Agreement contained within the Decision Memorandum defines the

parameters and authorities over which the program or project manager has management control. A

program or project manager has the authority to manage within the Management Agreement and is

accountable for compliance with the terms of the agreement. The Management Agreement, which is

documented at every KDP, may be changed between KDPs as the program or project matures and in

response to internal and external events. The Management Agreement should be viewed as a

contract between the Agency and the program or project manager. A divergence from the

Management Agreement that any signatory identifies as significant shall be accompanied by an

amendment to the Decision Memorandum.

2.4.1.3 During Formulation, the Decision Memorandum shall establish a target LCC or initial

capability cost range (and schedule range, if applicable) as well as the Management Agreement

addressing the schedule and resources required to complete Formulation.

a. For single-project programs and projects with a LCC or initial capability cost greater than or equal

to $1B, the Decision Memorandum shall establish a high and low value for cost and schedule with

the corresponding JCL value at KDP B. (See Section 2.4.3.1.) (This requirement does not apply to

two-step AO missions.)

b. Single-project programs and projects that plan continuing operations and production, including

integration of capability upgrades, with an unspecified Phase E end point, (e.g., SLS, EGS, Orion)

define the scope of an initial capability in the KDP B Decision Memorandum and establish an initial

capability cost.

2.4.1.4 The Decision Memorandum also documents any additional resources beyond those explicitly

estimated or requested by the program/project (e.g., additional schedule margin) when the Decision

Authority determines that this is appropriate. This includes Unallocated Future Expenses (UFE),

which are costs that are expected to be incurred but cannot yet be allocated to a specific WBS

sub-element of a program’s or project’s plan. Management control of some UFE may be retained

above the level of the project (i.e., Agency, Mission Directorate, or program). (See Figure 2-6,

Example of Agreements and Commitments in Terms of Cost for Projects.)

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Figure 2 6 Example of Agreements and Commitments in Terms of Cost for Projects

2.4.1.5 All single-project program managers and project managers shall document the Agency’s

LCC estimate or initial capability cost estimate and other parameters in the Decision Memorandum

for Implementation (KDP C), and this becomes the ABC. The ABC is the baseline against which the

Agency’s performance is measured during the Implementation Phase. The ABC for programs and

projects with a LCC of $250M or more forms the basis for the Agency’s external commitment to

OMB and Congress.

a. For all single-project programs and projects with a definite Phase E end point, the Agency’s LCC

estimate and other parameters shall become the ABC.

b. For single-project programs and projects that plan continuing operations and production,

including integration of capability upgrades, with an unspecified Phase E end point, the initial

capability cost estimate and other parameters shall become the ABC.

2.4.1.6 For single-project programs and projects that plan continuing operations and production,

including integration of capability upgrades, with an unspecified Phase E end point, the Phase E cost

estimate for the continuing operations and production phase is established as part of the ORR and

KDP E for the five years after initial capability and subsequently updated and documented annually

for the next 5-year period. Upgrades during Phase E meeting the Agency criteria for a major project

for external reporting will be treated as projects for the purposes of their own ABC outside the Phase

E cost estimate. Other upgrades will be reflected in the Phase E cost estimate.

2.4.1.7 Tightly coupled programs shall document their LCC estimate in accordance with the

life-cycle scope defined in the FAD or PCA, and other parameters in their Decision Memorandum at

KDP I and update it at subsequent KDPs.

2.4.1.8 Programs or projects shall be rebaselined when: (1) the estimated development cost

exceeds

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the ABC development cost by 30 percent or more (for projects over $250M, also that Congress has

reauthorized the project); (2) the NASA AA judges that events external to the Agency make a

rebaseline appropriate; or (3) the NASA AA judges that the program or project scope defined in the

ABC has been changed or the project has been interrupted. ABCs for projects are not rebaselined to

reflect cost or schedule growth that does not meet one or more of these criteria. When an ABC is

rebaselined, the Decision Authority directs that a review of the new baseline be conducted by the

SRB or as determined by the Decision Authority.

Development cost includes all project costs from authorization to proceed to Implementation (Phase C) through operational

readiness at the end of Phase D.

2.4.2 All programs and projects develop cost estimates and planned schedules for the work to be

performed in the current and following life-cycle phases (see Appendix I tables). The program or

project shall document the basis of estimate (BOE) for cost estimates and planned schedules in

retrievable program or project records.

2.4.3 Single-project programs (regardless of LCC or initial capability cost) and projects with an

estimated LCC or initial capability cost greater than $250M develop probabilistic analyses of cost

and schedule estimates to obtain a quantitative measure of the likelihood that the estimate will be

met in accordance with the following requirements. (In this section, for programs and projects that

plan continuing operations and production, including integration of capability upgrades, with an

unspecified Phase E end point, the initial capability cost is used instead of LCC.)

2.4.3.1 At KDP B:

a. Single-project programs with an estimated LCC under $1B and projects with an estimated LCC

greater than $250M and under $1B shall provide a range of cost and a range for schedule, each range

(with confidence levels identified for the low and high values of the range) established by a

probabilistic analysis and based on identified resources and associated uncertainties by fiscal year.

Separate analyses of cost and schedule, each with associated confidence levels, meet the

requirement. A joint cost and schedule confidence level (JCL) is not required but may be used.

b. Single-project programs and projects with an estimated LCC greater than or equal to $1B shall

develop a JCL and provide a high and low value for cost and schedule with the corresponding JCL

value (e.g., 50 percent, 70 percent).

The JCL is informed by a probabilistic analysis of development

cost and schedule duration.

The JCL measures the likelihood of completing all remaining work at

or below the budgeted levels and on or before the planned completion of Phase D.

This requirement is not applicable to two-step Announcement of Opportunity missions due to acquisition down-selection serving

as KDP B (Section 2.2.7.1).

The methodology for JCL analysis at KDP B is not limited to a probabilistic analysis of the coupled cost and schedule specified

for KDP C (see Section 2.4.3.2). Other parametric and bivariate methodologies may be applied.

2.4.3.2 At KDP C, single-project programs (regardless of LCC) and projects with an estimated LCC

greater than $250M shall develop a cost-loaded schedule and perform a risk-informed probabilistic

analysis that produces a JCL. The JCL at KDP C is the product of a probabilistic analysis of the

coupled cost and schedule.

2.4.3.3 At CDR, single-project programs and projects with an estimated LCC greater than or equal to

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$1B shall update their KDP C JCL and communicate the updated JCL values for the ABC and

Management Agreement to the APMC for informational purposes.

2.4.3.4 At KDP D, single-project programs and projects with an estimated LCC greater than or equal

to $1B shall update their JCL if current reported development costs have exceeded the development

ABC cost by 5 percent or more and document the updated JCL values for the ABC and Management

Agreement in the KDP D Decision Memorandum.

2.4.3.5 When a single-project program (regardless of LCC) or project with an estimated LCC greater

than $250M is rebaselined, a JCL shall be calculated and evaluated as a part of the rebaselining

approval process.

2.4.4 Mission Directorates plan, budget, and ensure funding for single-project programs (regardless

of LCC or initial capability cost) and projects with an estimated LCC or initial capability cost

greater than $250M in accordance with the following requirements. (In this section, for programs

and projects that plan continuing operations and production, including integration of capability

upgrades, with an unspecified Phase E end point, the initial capability cost is used instead of LCC.)

2.4.4.1 At KDP B, Mission Directorates shall plan and budget single-project programs and projects

with an estimated LCC greater than or equal to $1B based on a 70 percent JCL or as approved by the

Decision Authority.

2.4.4.2 At KDP C, Mission Directorates shall plan and budget single-project programs (regardless of

LCC) and projects with an estimated LCC greater than

$250M based on a 70 percent JCL or as approved by the Decision Authority.

2.4.4.3 At KDP B and KDP C, any JCL approved by the Decision Authority at less than 70 percent

shall be justified and documented in a Decision Memorandum.

2.4.4.4 At KDP C, Mission Directorates shall ensure funding for single-project programs (regardless

of LCC) and projects with an estimated LCC greater than $250M is consistent with the Management

Agreement and in no case less than the equivalent of a 50 percent JCL or as approved by the

Decision Authority.

2.4.4.5 At KDP C, any funding approved by the Decision Authority that is inconsistent with the

Management Agreement or less than 50 percent JCL shall be justified and documented in a Decision

Memorandum.

2.4.5 Tightly coupled, loosely coupled, and uncoupled programs are not required to develop

program cost and schedule confidence levels. Tightly coupled, loosely coupled, and uncoupled

programs shall provide analysis of the program’s risk posture to the governing PMC as each new

project reaches KDP B and C or when a project’s ABC is rebaselined.

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Chapter 3. Program and Project Management

Roles and Responsibilities

3.1 Governance

3.1.1 The fundamental principles of NASA governance are defined in NPD 1000.0, NASA

Governance and Strategic Management Handbook. The governance model prescribes a management

structure that employs checks and balances among key organizations to ensure that decisions have

the benefit of different points of view and are not made in isolation. This structure is made up of two

authorities: Programmatic and Institutional. Programmatic Authority consists of the Mission

Directorates and their respective programs and projects. The Institutional Authority consists of those

organizations not in the Programmatic Authority. As part of Institutional Authority, NASA

established the Technical Authority (TA) process as a system of checks and balances to provide

independent oversight of programs and projects in support of safety and mission success through the

selection of specific individuals with delegated levels of authority. Individuals with these formal

delegations are Technical Authorities. The requirements related to TA are contained in Section 3.3.

3.2 Roles and Responsibilities

3.2.1 The roles and responsibilities of NASA management are defined in NPD 1000.0, NASA

Governance and Strategic Management Handbook and further outlined in NPD 1000.3, The NASA

Organization. The key roles and responsibilities specific to programs and projects can be

summarized as follows:

a. The Administrator leads the Agency and is accountable to the President for all aspects of the

Agency's mission, including establishing and articulating the Agency's vision and strategic priorities

and ensuring successful implementation of supporting policies, programs, and performance

assessments. The Administrator performs all necessary functions to govern NASA operations and

exercises the powers vested in NASA by law.

b. The NASA Associate Administrator is responsible for the technical and programmatic integration

of programs at the Agency level and serves as the Decision Authority for programs and Category 1

projects with the advice of the APMC. He or she monitors the status and performance of the

programs and projects via reports from the MDAA; Center Director; and through Agency-level

review, such as the APMC and the Baseline Performance Review (BPR) process. The NASA AA

may delegate Decision Authority to MDAAs. Within the Office of the NASA AA, the NASA

CPMO establishes policy, oversight, and assessment of the NASA program/project management

processes. In addition, the CPMO holds responsibility for Agency compliance with the PM

Improvement Accountability Act and is responsible for leading the Agency-level program/project

management integration function with support from OCE and OCFO and in partnership with the

Mission Directorates and Centers.

See the NASA Program Management Improvement and Accountability Act (PMIAA) Implementation Plan, which can be

found in NODIS on the OCE tab under the "Other NASA-Level Documents" menu.

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c. MDAAs are responsible for Programmatic Authority in managing programs and projects within

their Mission Directorate. They establish directorate policies applicable to programs, projects, and

supporting elements; support the Agency's strategic acquisition process; initiate new programs and

projects; recommend assignment of programs and Category 1 projects to Centers; assign Category 2

and 3 projects to Centers; serve as the KDP Decision Authority for Category 2 and 3 projects; are

responsible for all program-level requirements; establish program and project budgets; approve

Formulation Agreements and Program and Project Plans; oversee program and project performance

via the DPMC; report on program and project progress including deviations in performance (e.g.,

cost, schedule, technical, and risk) that could impact Agency commitments and performance goals

with external organizations and stakeholders to Agency forums; and approve launch readiness. The

MDAAs may delegate some of their Programmatic Authority to deputy associate administrators,

division directors, or their equivalent, such as program directors, and Center Directors. The MDAAs

also plan and manage independent reviews with support from Centers for the Mission Directorate

program and project portfolio; organize and staff the independent review teams; ensure reviews are

conducted in accordance with documented review expectations (e.g., Terms of Reference (ToR));

monitor execution of the reviews; and capture lessons learned with support from Centers, the OCFO,

Office of the General Counsel (OGC), Office of Safety and Mission Assurance (OSMA), OCHMO,

and OCE. The MDAAs proactively work with Center Directors to develop constructive solutions for

the formulation and implementation of programs and projects conducted at their Centers and to

resolve issues as they arise.

d. Center Directors are responsible and accountable for all activities assigned to their Center. They

are responsible for the institutional activities and for ensuring the proper planning for and successful

execution of programs and projects assigned to the Center. This includes:

(1) Performing their delegated Technical Authority duties in accordance with Section 3.3;

(2) Ensuring the Center is capable of accomplishing the programs, projects, and other activities

assigned to it in accordance with Agency policy and the Center's best practices and institutional

policies by establishing, developing, and maintaining institutional capabilities (processes and

procedures, human capital--including trained/certified program/project personnel, facilities, and

infrastructure) required for the execution of programs and projects;

(3) Allocating resources to support program and project requirements and schedules, including

project management, engineering, and safety and mission assurance;

(4) Establishing and maintaining on-going processes and forums, including the CMC, to monitor the

status and progress of programs and projects at their Center;

(5) Performing periodic program and project reviews, as well as special reviews, to assess technical

and programmatic progress to ensure performance in accordance with their Center's and the

Agency's requirements, procedures, processes, etc.;

(6) Reporting the executability of all aspects of their programs and projects (programmatic,

technical, and all others) along with major risks, mitigation strategies, and significant concerns to the

Decision Authority and other appropriate forums, including Agency and Mission Directorate

Program Management Councils;

(7) Working with the Mission Directorate and the programs and project managers, once assigned, to

assemble the program/project team(s) and to provide needed Center resources;

(8) Providing support and guidance to programs and projects in resolving technical and

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programmatic issues and risks;

(9) Concurring on the adequacy of cost/schedule estimates and the consistency of these estimates

with Agency requirements, workforce, and other resources stipulated in proposed Program and

Project Plans;

(10) Working proactively with the Mission Directorates, programs, projects, and other Institutional

Authorities to find constructive solutions to problems to benefit both the programs and projects and

the overall Agency long-term health;

(11) Certifying that programs and/or projects have been accomplished properly as part of the launch

approval process; and

(12) Supporting Mission Directorates to plan and manage independent reviews.

e. The program manager is responsible for the formulation and implementation of the program in

accordance with this document. This includes responsibility and accountability for the program

safety; technical integrity; technical, cost, and schedule performance; and mission success. (Refer to

the NASA Space Flight Program and Project Management Handbook and NASA/SP-2016-3424,

NASA Project Planning and Control Handbook for additional information.)

f. The project manager is responsible for the formulation and implementation of the project in

accordance with this document. This includes responsibility and accountability for the project safety;

technical integrity; technical, cost, and schedule performance; and mission success. (Refer to the

NASA Space Flight Program and Project Management Handbook and the NASA Project Planning

and Control Handbook for additional information.)

g. The Chief Financial Officer (CFO) oversees all financial management, budget, strategic planning,

and performance activities relating to the programs and operations of the Agency. The Office of the

Chief Financial Officer (OCFO) provides Agency programmatic (cost and schedule) analysis

capability leadership; establishes cost and schedule analyses policies, methods, and standards; and

assists in identification of personnel with analytical expertise to support in-line programmatic

activities of NASA programs and projects, as well as independent programmatic assessments (e.g.,

SRB).

h. The NASA Chief Engineer establishes policy, oversight, and assessment of the NASA

engineering processes; implements the Engineering Technical Authority process; and serves as

principal advisor to the Administrator and other senior officials on matters pertaining to the technical

capability and readiness of NASA programs and projects to execute according to plans. The Chief

Engineer directs the NASA Engineering and Safety Center (NESC) and ensures that

programs/projects respond to requests from the NESC for data and information needed to make

independent technical assessments and then respond to NESC assessments. The Chief Engineer leads

the mission and program/project performance assessment for the BPR; ensures that mission

resiliency and protection functional support is provided to NASA missions and management,

including development and review of project protection plans; and co-chairs the Safety and Mission

Success Review (SMSR) with the Office of Safety and Mission Assurance (OSMA) and the Office

of the Chief Health and Medical Officer (OCHMO).

i. The Chief, Safety and Mission Assurance (SMA) ensures the existence of robust safety and

mission assurance processes and activities through the development, implementation, assessment,

and functional oversight of Agency-wide safety, reliability, maintainability, quality, and risk

management policies and procedures. The Chief, SMA serves as principal advisor to the

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Administrator and other senior officials on Agency-wide safety, reliability, maintainability, and

quality; performs independent program and project compliance verification audits and assessments

of safety and mission success practice; implements the SMA Technical Authority process; monitors,

collects, and assesses Agency-wide safety and mission assurance financial and performance results;

oversees the prompt investigation of NASA mishaps and ensures the appropriate closure; and

co-chairs the SMSR with the OCE and OCHMO.

j. The NASA Chief Health and Medical Officer (CHMO) is the focal point for policy formulation,

oversight, coordination, and management of all NASA health and medical matters in all

environments, and medical emergency preparedness, contingency operations, and response; The

CHMO implements the Health and Medical Technical Authority (HMTA) process for all health and

medical requirements and matters and is the principal advisor to the Administrator and other senior

officials on matters pertaining to human health in all Agency programs and projects. The CHMO is

responsible for Agency-level health and medical standards and policies; independently reviews all

programs and projects to ensure compliance with all health, medical, and human performance policy,

requirements, and standards; and co-chairs the SMSR with the OCE and OSMA.

k. The Chief Information Officer (CIO) is the principal Agency advisor to the Administrator and

other senior officials on matters pertaining to IT, the NASA Enterprise Architecture (EA),

cybersecurity, records management, and privacy. The CIO develops, maintains, and facilitates

implementation of the NASA EA, which is the framework for ensuring that IT investments and

plans enable the mission and are integrated, efficient, and secure. The CIO also leads and

implements NASA's Cybersecurity Program, ensuring appropriate confidentiality, integrity, and

availability of all NASA's information assets throughout the system life cycle. The CIO exercises

Mission Support Authority for IT and signs the Authority to Operate IT systems (e.g., corporate,

mission, ground, air, and space). This authorization is the official management decision given by a

senior organizational official to authorize operation of an information system and to explicitly accept

the risk to organizational operations (including mission, functions, image, or reputation),

organizational assets, individuals, other organizations, and the Nation based on implementing an

agreed-upon set of security controls.

l. The Mission Support Directorate (MSD) Associate Administrator establishes policy and

procedures for institutional oversight for mission support functional areas (e.g., procurement).

m. Roles and responsibilities for other NASA organizations can be found in NPD 1000.3.

3.3 Technical Authority

3.3.1 Programs and projects shall follow the Technical Authority (TA) process established in this

Section 3.3. NASA established this process as part of its system of checks and balances to provide

independent oversight of programs and projects in support of safety and mission success through the

selection of specific individuals with delegated levels of authority. These individuals are the

Technical Authorities (TAs). In this document, the term TA is used to refer to such an individual but

is also used to refer to elements of the TA process. The responsibilities of a program or project

manager are not diminished by the implementation of TA. The program or project manager is

ultimately responsible for the safe conduct and successful outcome of the program or project in

conformance with governing requirements. This includes meeting programmatic, institutional,

technical, safety, cost, and schedule commitments. Further detail on TA is provided in

NASA/SP-20220009501, NASA Space Flight Program and Project Management Handbook.

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3.3.2 TA originates with the Administrator and is formally delegated to the NASA AA and then to

the NASA Chief Engineer for Engineering TA; the Chief, Safety and Mission Assurance for SMA

TA; and then to the Center Directors. The Administrator delegates Health and Medical Technical

Authority (HMTA) to the NASA CHMO. Subsequent TA delegations are made to selected

individuals who are funded independent of the Programmatic Authority. Such delegations are formal

and traceable to the Administrator. TAs located at Centers remain part of their Center organization,

and their personnel performance appraisal is signed by the management of that Center organization.

The Center Director (or designee) is responsible for establishing and maintaining Center TA policies

and practices, consistent with Agency policies and standards.

3.3.3 Other Technical Authority Roles

3.3.3.1 Top-level documents developed by a program detailing Agency-level requirements for

human-rated systems are signed by the Administrator or his/her formally delegated designee.

3.3.3.2 On decisions related to technical and operational matters involving safety and mission

success residual risk, formal concurrence by the responsible TAs (Engineering, Safety and Mission

Assurance, and/or Health and Medical) is required. This concurrence is to be based on the technical

merits of the case. For residual risks to personnel or high-value hardware, the cognizant safety

organization needs to agree that the risk is acceptable. For matters involving human safety risk, the

actual risk taker(s) (or official spokesperson(s) and their supervisory chain) need to formally consent

to taking the risk and the responsible program, project, or operations manager needs to formally

accept the risk.

3.3.4 At the program or project level, the responsibilities common to each of the individuals with

delegated TA (ETA, SMA TA, and HMTA) are delineated below. (See Sections 3.3.7 to 3.3.10 for

unique aspects of each of the TAs.) These individuals:

a. Serve as members of program or project control boards, change boards, and internal review

boards.

b. Work with the Center management and other TA personnel, as necessary, to ensure that the

quality and integrity of program or project processes, products, and standards of performance related

to engineering, SMA, and health and medical reflect the level of excellence expected by the Center

or, where appropriate, by the NASA TA community.

c. Ensure that requests for waivers or deviations from TA requirements are submitted to and acted

on by the appropriate level of TA. ("Technical Authority requirements" is defined in Appendix A.)

d. Assist the program or project in making risk-informed decisions that properly balance technical

merit, cost, schedule, and safety across the system.

e. Provide the program or project with the TA view of matters based on their knowledge and

experience and raise a Formal Dissent (see Section 3.4) on a decision or action, when appropriate.

f. Serve as an effective part of NASA's overall system of checks and balances.

3.3.5 The day-to-day involvement of the TAs in program or project activities ensures that significant

views from the TAs will be available to the program or project in a timely manner and should be

handled during the normal program/project processes. TAs are expected to keep their discipline

chain of authority informed of issues as they arise, including direct communication between the

Center's engineering director, SMA director (or equivalent), and lead HMTA Integration Centers

with their counterparts at NASA HQ.

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with their counterparts at NASA HQ.

3.3.6 Infrequent circumstances may arise when a TA and the program or project manager disagree

on a proposed programmatic or technical action and judge that the issue rises to a level of

significance that should be brought to the attention of the next higher level of management (i.e., a

Formal Dissent exists). In such circumstances:

a. Resolution occurs prior to Implementation whenever possible. However, if considered to be in the

best interest of the program/project, the program/project manager has the authority to proceed at risk

in parallel with the pursuit of a resolution. In such circumstances, the next higher level of

Programmatic and TA is informed of the decision to proceed at risk.

b. Resolution is jointly attempted at successively higher levels of Programmatic Authority and TA

until resolved. Final appeals are made to the NASA Administrator.

3.3.7 The Engineering Technical Authority (ETA) establishes and is responsible for the

engineering design processes, specifications, rules, best practices, etc., necessary to fulfill

programmatic mission performance requirements.

3.3.7.1 The NASA Chief Engineer provides overall leadership for the ETA process for programs and

projects, including Agency engineering policy direction, requirements, and standards. The NASA

Chief Engineer approves the appointment of the Center engineering directors (or equivalent) and of

ETAs on programs and Category 1 projects and is notified of the appointment of other Engineering

TAs. The NASA Chief Engineer hears appeals of engineering decisions when they cannot be

resolved at lower levels.

3.3.7.2 The Center Director (or designee) develops the Center's ETA policies and practices,

consistent with Agency policies and standards. The following individuals are responsible for

implementing ETA at the Center:

a. Center Director--The Center Director (or the Center Engineering Director or designee) is the

Center ETA responsible for Center engineering design processes, specifications, rules, best

practices, etc., necessary to fulfill mission performance requirements for programs, projects, and/or

major systems implemented by the Center. The Center Director delegates Center ETA

implementation responsibility to an individual in the Center's engineering leadership. The Center

ETA supports the TAs in processing changes to, and waivers or deviations from, requirements that

are the responsibility of the ETA. This includes all applicable Agency and Center engineering

directives, requirements, procedures, and standards. The Center Director appoints, with the approval

of the NASA Chief Engineer, individuals for the position of Center engineering director (or

equivalent) and for the ETA positions down to and including program chief engineers and Category

1 project chief engineers (or equivalents).

The Center Director or designee appoints Category 2

and 3 project chief engineers and lead discipline engineers.

Centers may use an equivalent term for these positions, such as program/project systems engineer.

b. Program/Project Chief Engineer (PCE)--The PCE is the position to which the

program/project-level ETA has been delegated. Different Centers use different titles for this

position.

c. Lead Discipline Engineer (LDE)--The LDE is a senior technical engineer in a specific discipline

at the Center. Different Centers use different titles for this position. The LDE assists the

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program/project through direct involvement with working-level engineers to identify engineering

requirements in accordance with NPR 7120.10, Technical Standards for NASA Programs and

Projects and other documents and to develop solutions that comply with the requirements. The LDE

works through and with the PCE to ensure the proper application and management of

discipline-specific engineering requirements and Agency standards.

3.3.7.3 The ETA for the program or project leads and manages the engineering activities, including

systems engineering, design, development, sustaining engineering, and operations. A Center may

have more than one engineering organization and delegates ETA to different areas as needed. To

support the program/project and maintain ETA independence and an effective check and balance

system:

a. The program/project manager concurs in the appointment of the program/project-level ETAs.

b. The ETA cannot approve a request for relief from a non-technical derived requirement established

by a Programmatic Authority.

c. An ETA may approve a request for relief from a technical derived requirement if he/she ensures

that the appropriate independent Institutional Authority subject matter expert who is the steward for

the involved technology has concurred in the decision to approve the requirement relief.

3.3.8 Although a limited number of individuals make up the ETAs, their work is enabled by the

contributions of the program's or project's working-level engineers and other supporting personnel

(e.g., contracting officers). The working-level engineers do not have formally delegated TA and

consequently may not serve in an ETA capacity. These engineers perform the detailed engineering

and analysis for the program/project with guidance from their Center management and/or LDEs and

support from the Center engineering infrastructure. They deliver the program/project products (e.g.,

hardware, software, designs, analysis, and technical alternatives) that conform to applicable

programmatic, Agency, and Center requirements. They are responsible for raising issues to the

program/project manager, Center engineering management, and/or the PCE, as appropriate, and are

a key resource for resolving these issues.

3.3.9 The Safety and Mission Assurance (SMA) TA establishes and is responsible for the SMA

processes, specifications, rules, best practices, etc., necessary to fulfill safety and programmatic

mission performance requirements. (Refer to NPR 8715.3, NASA General Safety Program

Requirements.) The following individuals are responsible for implementing SMA TA at the Center:

3.3.9.1 The Chief, SMA--The Chief, SMA hears appeals of SMA decisions when issues cannot be

resolved below the Agency level.

3.3.9.2 Center Director--The Center Director (or the Center safety and mission assurance director or

designee) is the Center SMA TA responsible for Center safety and mission assurance processes,

specifications, rules, best practices, etc., necessary to fulfill mission performance requirements for

programs, projects, and/or major systems implemented by the Center. The Center Director (or

designee) also monitors, collects, and assesses institutional, program, and project SMA financial

metrics and performance results. The Center Director delegates Center SMA TA implementation

responsibility to an individual in the Center's safety and mission assurance leadership. The Center

SMA TA supports the lower level SMA TAs in processing changes to and waivers or deviations

from requirements that are the responsibility of the SMA TA. This includes all applicable Agency

and Center SMA directives, requirements, procedures, and standards. The Center Director appoints,

with the approval of the NASA Chief, SMA, individuals for the position of Center SMA director (or

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equivalent). The Center SMA director, in consultation with the NASA Chief, SMA, appoints

program- and project-level chief safety and mission assurance officers to exercise the TA role within

programs and projects.

3.3.10 The Health and Medical Technical Authority (HMTA) establishes and is responsible for

the health and medical Agency-level policy, requirements, and standards necessary to fulfill

programmatic mission performance requirements. (Refer to NPR 7120.11, NASA Health and

Medical Technical Authority (HMTA) Implementation).

3.4 Process for Handling Formal Dissent

3.4.1 Programs and projects shall follow the Formal Dissent process in this Section 3.4. NASA

teams have full and open discussions with all facts made available to understand and assess issues.

Diverse views are to be fostered and respected in an environment of integrity and trust with no

suppression or retribution. In the team environment in which NASA operates, team members often

have to determine where they stand on a decision. In assessing a decision or action, a member has

three choices: agree, disagree but be willing to fully support the decision, or disagree and raise a

Formal Dissent. Unresolved issues of any nature (e.g., programmatic, safety, engineering, health and

medical, acquisition, accounting) within a team should be quickly elevated to achieve resolution at

the appropriate level.

3.4.2 Whenever a Formal Dissent is raised, it is documented and communicated by the dissenter in

coordination with the disagreeing party at a minimum of two levels of management above the

original program or project decision.

3.4.3 When time permits, the disagreeing parties jointly document the issue, including agreed-to

facts, discussion of the differing positions with rationale and impacts, and the parties,

recommendations. The joint documentation needs to be approved by the representative of each view,

concurred with by affected parties, and provided to the next higher level of the involved authorities

with notification to the second higher level of management. This may involve a single authority

(e.g., the Programmatic Authority) or multiple authorities (e.g., Programmatic and TAs). In cases of

urgency, the disagreeing parties may jointly present the information stated above orally with all

affected organizations represented, advance notification to the second-higher level of management,

and documentation followup.

3.4.4 A Center Director may request an expedited escalation of a Formal Dissent at the Agency

level up to and including the NASA Administrator based on his or her judgment that a rapid

resolution of the Formal Dissent is in the best interests of the Agency and the dissenting individual

or organization.

3.4.5 Management's decision on the dissent memorandum (or oral presentation) is documented and

provided to the dissenter and to the notified managers and becomes part of the program or project

record. If the dissenter is not satisfied with the process or outcome, the dissenter may appeal to the

next higher level of management. The dissenter has the right to take the issue upward in the

organization, even to the NASA Administrator, if necessary.

3.5 Principles Related to Tailoring Requirements

3.5.1 Programs and projects shall follow the tailoring process in this Section 3.5. NASA policy is

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that all prescribed requirements (requirements levied on a lower organizational level by a higher

organizational level) are complied with unless relief is formally granted. Relief from a requirement

may be granted in the form of a ruling that a requirement is non-applicable or in the form of a

waiver or a deviation. Policy also recognizes that each program or project has unique aspects that

must be accommodated to achieve mission success in an efficient and economical manner. Tailoring

is the process used to adjust or seek relief from a prescribed requirement to meet the needs of a

specific program or project. Tailoring is both an expected and accepted part of establishing proper

requirements.

a. Programs, Category 1 projects, and projects that are of high importance or visibility to NASA will

coordinate with the CPMO to determine their tailoring approach. The CPMO-coordinated tailoring

approach may need to be presented by the program or project to the NASA Program and Project

Management Board (PPMB), as determined by the CPMO. The CPMO point(s)-of-contact for

coordination of the program and project tailoring approach and PPMB coordination are provided on

the Agency Tailoring Web site available at https://appel.nasa.gov/npr-7120-5-tailoring-resources.

b. For requests for relief from requirements that are the responsibility of the Chief, SMA, NPR

8715.3, NASA General Safety Program Requirements contains the SMA-specific process. For

requests for relief from requirements that are the responsibility of the CHMO, NPR 7120.11

contains the HMTA specific process.

c. Refer to the NASA Space Flight Program and Project Management Handbook for additional

explanation and guidance related to the tailoring process. The handbook can be found in NODIS on

the OCE tab under the "Other NASA-Level Documents" menu.

3.5.2 The evaluation and disposition of requests for tailoring (including Agency-level requirements

and standards) comply with the following:

a. The request for relief from a requirement includes the rationale, a risk evaluation, and reference to

all material that provides the justification supporting acceptance. The request for requirement relief

is referred to as a "deviation" or "waiver" depending on the timing of the request. Deviations apply

before a requirement is put under configuration control at the level the requirement will be

implemented, and waivers apply after.

b. The organization submitting the tailoring request informs the next higher level of involved

management in a timely manner of the tailoring request.

c. The organization at the level that established the requirement dispositions the request for tailoring

of that requirement unless this authority has been formally delegated elsewhere. Such delegations

will maintain the separation of Programmatic and Institutional Authorities required by governance.

d. The dispositioning organization consults with the other organizations that were involved in the

establishment of the specific requirement and obtains the concurrence of those organizations having

a substantive interest.

e. Approved tailoring requests become part of the retrievable program or project records.

3.5.3 A prescribed requirement that is not relevant and/or not capable of being applied to a specific

program, project, system, or component can be approved as Non-Applicable (NA) by the individual

who has been delegated oversight authority by the organization that established the requirement.

This approval can be granted at the level where the requirement was specified for implementation

(e.g., the project-level ETA could approve an NA designation for an engineering requirement). The

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request and approval documentation become part of the retrievable program or project records. No

other formal deviation or waiver process is required.

3.5.4 A request for a permanent change to a prescribed requirement in an Agency or Center

document that is applicable to all programs and projects shall be submitted as a "change request" to

the office responsible for the requirement policy document unless formally delegated elsewhere.

3.5.5 Tailoring NPR 7120.5

3.5.5.1 Requests for tailoring of NPR 7120.5 requirements may be submitted in the form of the

Compliance Matrix (Appendix C) and/or by using a documented waiver request individually or in

groups. (See the NASA Space Flight Program and Project Management Handbook for additional

information on this request.) If requested separately from the Compliance Matrix, a waiver still

needs to be recommended by the MDAA, concurred with by the Center Director, and approved by

the requirement owner or as delegated.

3.5.5.2 Guidance and resources to assist programs and projects in tailoring NPR 7120.5 requirements

have been established and/or developed by the Agency, Mission Directorates, and Centers.

Appendix C provides:

a. The Compliance Matrix, which includes the NPR requirements, the organization or individual

responsible for each requirement with authority for approving tailoring, and whether tailoring

authority for the requirement is delegated or held at HQ. (See Table C-1.)

b. The process for documenting and obtaining approval for tailoring.

c. Information on different options related to the Compliance Matrix. (See Section C.1.)

d. Consultation and assistance for tailoring. (See Section C.2.)

e. Resources for developing the tailoring approach. (See Section C.3.)

An Agency Tailoring Web site, which includes many of these resources, is available at

https://appel.nasa.gov/npr-7120-5-tailoring-resources.

3.6 Reimbursable Space Flight Work

Center Directors negotiating reimbursable space flight work with another agency shall propose NPR

7120.5 as the basis by which it will perform the space flight work. If the sponsoring agency does not

want NPR 7120.5 requirements (or a subset of those requirements) to be followed, then the

interagency Memorandum of Understanding/Memorandum of Agreement or the contract needs to

explicitly identify those requirements that will not be followed, along with the substitute

requirements for equivalent processes and any additional program/project management requirements

the sponsoring agency wants. The Center obtains a formal waiver by the CPMO for the NASA AA

for those NPR 7120.5 requirements that are not to be followed or the Center cannot accept the work.

3.7 Use of the Metric System

The International System of Units (commonly known as the Systeme Internationale (SI) or metric

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system of measurement) is to be used for all new space flight projects and programs, especially in

cooperative efforts with International Partners. 15 U.S.C. §205b and Executive Order 12770 provide

relief from this preferential use of SI if it is found that obtaining components in SI units would result

in a substantial increase in cost or unacceptable delays in schedule. Each program and project shall

perform and document an assessment to determine an approach that maximizes the use of SI. This

assessment will document an integration strategy if both SI and U.S. customary units are used in a

project or program. The assessment is to be completed and documented in the Program Plan or

Project Plan no later than the SDR.

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Appendix A. Definitions

Acquisition. Obtaining, or advancing the development of, the systems, research, services,

construction, and supplies to fulfill the Agency's mission and other activities which advance the

Agency's statutory objectives. (The definition of acquisition in this document is used in a broader

context than the FAR definition to encompass the spectrum of various NASA acquisition authorities

and approaches to achieve the Agency's mission and activities).

Acquisition Strategy. The integrated strategy that enables a program or project to meet its mission

objectives and provides the best value to NASA. (See a description in Section 3.4 of the Program

Plan and Project Plan templates, appendices G and H.)

Acquisition Strategy Council. The ASC serves as the Agency's senior decision-making body for

matters of long-term, annual, and tactical acquisition strategy planning and for matters of policy and

performance assessment pertaining to the Agency's acquisition approaches. The scope and authority

of the ASC includes the strategic acquisition process as defined in NPD 1000.5, Policy for NASA

Acquisition. The ASC conducts Decision Framing Meetings or Pre-ASMs, and ASMs for large,

high-profile programs and projects following thresholds and requirements specified in NPD 1000.5.

Acquisition Strategy Meeting. A decision-making forum where senior Agency management

reviews and approves program and project acquisition strategies. The ASM focuses on

considerations such as impacting the Agency workforce, maintaining core capabilities, make-or- buy

decisions, supporting Center assignments, potential partnerships, and risk. (See NPD 1000.5 Policy

for NASA Acquisition, and NASA Advisory Implementing Instruction (NAII) 1000.2 Acquisition

Strategy Meeting (ASM) Guide for more information on ASMs.

Agency Baseline Commitment. Establishes and documents an integrated set of project

requirements, cost, schedule, technical content, and an agreed-to JCL that forms the basis for

NASA’s commitment to the external entities of OMB and Congress. Only one official baseline

exists for a NASA program or project, and it is the Agency Baseline Commitment.

Agency Program Management Council. The senior management group, chaired by the NASA

Associate Administrator or designee that is responsible for reviewing Formulation performance,

recommending approval, and overseeing implementation of programs and Category 1 projects

according to Agency commitments, priorities, and policies.

Agreement. The statement (oral or written) of an exchange of promises. Parties to a binding

agreement can be held accountable for its proper execution and a change to the agreement requires a

mutual modification or amendment to the agreement or a new agreement.

Analysis of Alternatives. A formal analysis method that compares alternative approaches by

estimating their ability to satisfy mission requirements through an effectiveness analysis and by

estimating their life-cycle costs through cost analysis. The results of these two analyses are used

together to produce a cost-effectiveness comparison that allows decision makers to assess the

relative value or potential programmatic returns of the alternatives. An analysis of alternatives

broadly examines multiple elements of program/project alternatives (including technical

performance, risk, LCC or initial capability cost, and programmatic aspects).

Announcement of Opportunity. An AO is one form of a NASA Broad Agency Announcement,

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Announcement of Opportunity. An AO is one form of a NASA Broad Agency Announcement,

which is a form of public/private competition. NASA solicits, accepts, and evaluates proposals

submitted by all categories of proposers in response to an AO, including academia, industry,

not-for-profits, Government laboratories, Federally Funded Research and Development Centers

(FFRDC), NASA Centers, and the Jet Propulsion Laboratory. Regulatory coverage of AOs appears

in NASA Federal Acquisition Regulation (FAR) Supplement (NFS) Part 1872. NASA typically uses

a one-step or a two-step AO process. In a one-step AO process, proposals for new projects are

evaluated competitively and selected for Formulation in a single step. In two-step competitions,

several proposals for new projects may be selected in Step 1 and given time to mature their concepts

in a funded concept study before the Step 2 down-selection.

Approval. Authorization by a required management official to proceed with a proposed course of

action. Approvals are documented.

Approval (for Implementation). Acknowledgment by the Decision Authority that the program

/project has met stakeholder expectations and Formulation requirements and is ready to proceed to

Implementation. By approving a program/project, the Decision Authority commits the budget

resources necessary to continue into Implementation. Approval (for Implementation) is documented.

Baseline (document context). Implies the expectation of a finished product, though updates may be

needed as circumstances warrant. All approvals required by Center policies and procedures have

been obtained.

Baseline (general context). An agreed-to set of requirements, cost, schedule, designs, documents,

etc., that will have changes controlled through a formal approval and monitoring process.

Baseline Performance Review. A monthly Agency-level independent assessment to inform senior

leadership of performance and progress toward the Agency’s mission and program/project

performance. The monthly meeting encompasses a review of crosscutting mission support issues and

all NASA mission areas.

Baseline Science Requirements. The mission performance requirements necessary to achieve the

full science objectives of the mission. (Also see Threshold Science Requirements.)

Basis of Estimate. The documentation of the ground rules, assumptions, and drivers used in

developing the cost and schedule estimates, including applicable model inputs, rationale or

justification for analogies, and details supporting cost and schedule estimates. The basis of estimate

is contained in material available to the SRB and management as part of the LCR and KDP process.

Budget. A financial plan that provides a formal estimate of future revenues and obligations for a

definite period of time for approved programs, projects, and activities. (See NPR 9420.1, Budget

Formulation and NPR 9470.1, Budget Execution for other related financial management terms and

definitions.)

Business Case (Infrastructure). An analysis of options for construction of new facilities or

infrastructure or significant modification of existing infrastructure. (See NPR 8800.15, Real Estate

Management Program and the NASA Business Case Guide for Real Property and Facilities Project

Investments.)

Capability Component. An individual capability within a capability portfolio or the larger

capability domain. It is a system comprising workforce (i.e., FTE/WYE), equipment, facilities,

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processes, resources, competencies, and technologies that delivers products and services; for

example, a wind tunnel and the workforce that manages, operates, and maintains it; or a complex

dedicated to an end-to-end process.

Capability Portfolio. A specific collection of functionally similar site-specific capability

components and enabling infrastructure strategically and centrally managed together to meet

NASA’s strategic goals and objectives. For example, the Space Environments Testing Management

Office (SETMO) capability portfolio includes testing in high enthalpy arc jets, flight simulators,

thermal vacuum chambers, and radiation laboratories. The program or project manager coordinates

with capability portfolio managers on any planned investments, divestments, acquisition strategies,

procurements, agreements, and changes to capability portfolio capability components in accordance

with requirements and strategic guidance included in NPR 8600.1, NASA Capability Portfolio

Management Requirements. NPR 8600.1 provides a link to the list of Capability Portfolios.

Center Management Council. The council at a Center that performs oversight of programs and

projects by evaluating all program and project work executed at that Center.

Change Request. A change to a prescribed requirement set forth in an Agency or Center document

intended for all programs and projects for all time.

Compliance Matrix. The Compliance Matrix (Appendix C) documents whether and how the

program or project complies with the requirements of NPR 7120.5. It provides rationale and

approvals for tailoring (waivers and deviations) requirements and is part of retrievable program and

project records.

Component Facilities. Complexes that are geographically separated from the NASA Center or

institution to which they are assigned but are still part of the Agency.

Concept Documentation. Documentation that captures and communicates a feasible concept that

meets the goals and objectives of the mission, including results of analyses of alternative concepts,

the concept of operations, preliminary risks, and potential descopes. It may include images, tabular

data, graphs, and other descriptive material.

Concurrence. A documented agreement by a management official that a proposed course of action

is acceptable.

Confidence Level. A probabilistic assessment of the level of confidence of achieving a specific

goal.

Configuration Management. A technical and management process applying appropriate processes,

resources, and controls to establish and maintain consistency between product configuration

information and the product throughout the product life cycle.

Conflict of Interest. A conflict of interest involves the abuse—actual, apparent, or potential—of the

trust that NASA has in its personnel. A conflict of interest is a situation in which financial or other

personal considerations have the potential to compromise or bias professional judgment and

objectivity. An apparent conflict of interest is one in which a reasonable person would think that the

individual’s judgment is likely to be compromised. A potential conflict of interest involves a

situation that may develop into an actual conflict of interest. A conflict of interest exists whether or

not decisions are affected by a personal interest; a conflict of interest implies only the potential for

bias, not likelihood.

Considerations for a PIR. See the NASA Space Flight Program and Project Management

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Considerations for a PIR. See the NASA Space Flight Program and Project Management

Handbook, Section 5.11.13.

Continuous Risk Management. A systematic and iterative process that efficiently identifies,

analyzes, plans, tracks, controls, communicates, and documents risks associated with

implementation of designs, plans, and processes.

Contract. A mutually binding legal relationship obligating the seller to furnish the supplies or

services (including construction) and the buyer to pay for them. It includes all types of commitments

that obligate the Government to an expenditure of appropriated funds and that, except as otherwise

authorized, are in writing. In addition to bilateral instruments, contracts include (but are not limited

to) awards and notices of awards; job orders or task letters issued under basic ordering agreements;

letter contracts; orders, such as purchase orders, under which the contract becomes effective by

written acceptance or performance; and bilateral contract modifications. Contracts do not include

grants and cooperative agreements.

Convening Authority. The management official(s) responsible for convening a program/project

review; establishing the Terms of Reference, including review objectives and success criteria;

appointing the SRB chair; and concurring in SRB membership. These officials receive the

documented results of the review.

Cost Analysis Data Requirement. A three-part document required for tightly coupled programs,

loosely coupled programs, single-project programs, and projects (regardless of Category or Class)

that provides critical data to assist NASA in developing high fidelity cost and schedule estimates for

new NASA projects. CADRe consists of Part A “Narrative” and Part B “Technical Data” in tabular

form, provided by the program or project using existing program or project material. The program or

project team produces the project life-cycle cost estimate, schedule, and risk identification which is

appended as Part C. For single-project programs and projects that plan continuing operations and

production, including integration of capability upgrades, with an unspecified Phase E end point, the

initial capability cost plus the current Phase E cost estimate is used instead of the life-cycle cost.

Cost-Loaded Schedule. In the context of the JCL requirement, a schedule that has costs and/or

resources assigned to its individual activities or summary tasks.

Decision Authority (program and project context). The individual authorized by the Agency to

make important decisions on programs and projects under their authority.

Decision Framing Meeting. A precursor meeting used in NASA Governance Councils, including as

a precursor to some ASMs, which aligns leadership and Chair expectations on how, when and under

what decision criteria future decisions will be made. Decision Framing Meetings may be used by

any ASM Convening Authority and are held at the discretion of the Convening Authority. (See NAII

1000.1 under NPD 1000.5 for additional details.)

Decision Memorandum. The document that summarizes the decisions made at KDPs or as

necessary in between KDPs. The decision memorandum includes the Agency Baseline Commitment

(if applicable), Management Agreement cost and schedule, UFE, and schedule margin managed

above the project, as well as life-cycle cost and schedule estimates, as required. For single-project

programs and projects that plan continuing operations and production, including integration of

capability upgrades, with an unspecified Phase E end point, the initial capability cost and the current

Phase E cost estimate are documented in the Decision Memorandum.

Decommissioning. The process of ending an operating mission and the attendant project as a result

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of a planned end of the mission or project termination. Decommissioning includes final delivery of

any remaining project deliverables, disposal of the spacecraft and all its various supporting systems,

closeout of contracts and financial obligations, and archiving of project/mission operational and

scientific data and artifacts. Decommissioning does not mean that scientific data analysis ceases,

only that the project will no longer provide the resources for continued research and analysis.

Derived Requirements. Requirements arising from constraints, consideration of issues implied but

not explicitly stated in the high-level direction provided by NASA HQ and Center institutional

requirements, factors introduced by the selected architecture, and the design. These requirements are

finalized through requirements analysis as part of the overall systems engineering process and

become part of the program/project requirements baseline. Derived non-technical requirements are

established by, and are the responsibility of, the Programmatic Authority. Derived technical

requirements are the responsibility of the Institutional Authority.

Design Documentation. A document or series of documents that captures and communicates to

others the specific technical aspects of a design. It may include images, tabular data, graphs, and

other descriptive material. Design documentation is different from the CADRe, though parts of

design documentation may be repeated in the latter.

Development Costs. The total of all costs from the period beginning with the approval to proceed to

Implementation at the beginning of Phase C through operational readiness at the end of Phase D.

Deviation. A documented authorization releasing a program or project from meeting a requirement

before the requirement is put under configuration control at the level the requirement will be

implemented.

Directorate Program Management Council. The forum that evaluates all programs and projects

executed within that Mission Directorate and provides input to the Mission Directorate Associate

Administrator (MDAA). For programs and Category 1 projects, the MDAA carries forward the

DPMC findings and recommendations to the Agency Program Management Council (APMC).

Disposal. The process of eliminating a project’s assets, including the spacecraft and ground systems.

Disposal includes the reorbiting, deorbiting, and/or passivation (i.e., the process of removing stored

energy from a space structure at the end of mission that could result in an explosion or deflagration

of the space structure) of a spacecraft.

Earned Value Management. A project management approach for measuring and assessing project

performance through the integration of technical scope with schedule and cost objectives during the

execution of the project. EVM provides quantification of technical progress with objective

performance measurement techniques, enabling management to gain insight into project status and

project completion costs and schedules. Two essential characteristics of successful EVM are EVM

system data integrity and carefully targeted monthly EVM data analyses (e.g., identification of risky

WBS elements).

Earned Value Management System. The integrated set of policies, processes, systems, and

practices that meet an organization’s implementation of EIA-748. This integrated management

system and its related subsystems allow for planning all work scope to completion; assignment of

authority and responsibility at the work performance level; integration of the cost, schedule, and

technical aspects of the work into a detailed baseline plan; objective measurement of progress

(earned value) at the work performance level; accumulation and assignment of actual costs; analysis

of variances from plans; summarization and reporting of performance data to higher levels of

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management for action; forecast of achievement of milestones and completion of events; forecast of

final costs; and disciplined baseline maintenance and incorporation of baseline revisions in a timely

manner.

Engineering Requirements. Requirements defined to achieve programmatic requirements and

relating to the application of engineering principles, applied science, or industrial techniques.

Ensure. To do or have what is necessary for success. (An example is: Connectivity will be ensured

by testing that a signal to noise ratio of ten is maintained in environmental testing.)

Environmental Compliance. The activity of ensuring that program and project actions and

decisions that may potentially affect or damage the environment are assessed during the

Formulation Phase and reevaluated throughout Implementation. This activity is performed according

to all NASA policy and Federal, State, Tribal government, and local environmental laws and

regulations.

Environmental Impact. The direct, indirect, or cumulative beneficial or adverse effect of an action

on the environment.

Evaluation. The continual self- and independent assessment of the performance of a program or

project and incorporation of the evaluation findings to ensure adequacy of planning and execution

according to plans.

Final (document context). Implies the expectation of a finished product. All approvals required by

Center policies and procedures have been obtained.

Final Mission Report. The Final Mission Report is a summary of what the mission accomplished

and is prepared at the end of a mission. It has also been called an End of Mission report, but this is

not to be confused with the End of Mission Plan (EOMP) required by NPR 8715.6, NASA

Procedural Requirements for Limiting Orbital Debris and Evaluating the Meteoroid and Orbital

Debris Environments. The Final Mission Report generally includes a summary of the mission

accomplishments, science data/samples collected, and a summary of the results achieved. This report

is prepared in conjunction with documenting the mission’s lessons learned as described in NPD

7120.6, Knowledge Policy for Programs and Projects and the project’s Knowledge Management

Plan. Projects need to ensure that resources are allocated to develop the Final Mission Report and

lessons learned. These provide a valuable historical record of NASA’s accomplishments and the

issues that were encountered and overcome as part of the mission.

Formal Dissent. A substantive disagreement with a decision or action that an individual judges is

not in the best interest of NASA and is of sufficient importance that it warrants a timely review and

decision by higher-level management.

Formulation. The identification of how the program or project supports the Agency’s strategic

needs, goals, and objectives; the assessment of feasibility, technology, and concepts; risk

assessment, team building, development of operations concepts, and acquisition strategies;

establishment of high-level requirements and success criteria; the preparation of plans, budgets, and

schedules essential to the success of a program or project; and the establishment of control systems

to ensure performance to those plans and alignment with current Agency strategies.

Formulation Agreement. The Formulation Agreement is prepared by the project to establish the

technical and acquisition work that needs to be conducted during Formulation and defines the

schedule and funding requirements during Phase A and Phase B for that work.

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Formulation Authorization Document. The document issued by the MDAA to authorize the

formulation of a program whose goals will fulfill part of the Agency’s Strategic Plan and Mission

Directorate strategies and establish the expectations and constraints for activity in the Formulation

Phase. In addition, a FAD or equivalent is used to authorize the formulation of a project. (See

Appendix E.)

Formulation Phase. The first part of a program or project life cycle where Formulation activities

are completed. The Formulation Phase begins at Approval for Formulation and ends at Approval for

Implementation as depicted in life-cycle figures 2-2 through 2-5 of this NPR.

Funding (budget authority). The authority provided by law to incur financial obligations that will

result in expenditures. There are four basic forms of budget authority, but only two are applicable to

NASA: appropriations and spending authority from offsetting collections (reimbursables and

working capital funds). Budget authority is provided or delegated to programs and projects through

the Agency’s funds distribution process.

Health and Medical Requirements. Requirements defined by the Office of the Chief Health and

Medical Officer (OCHMO).

Human Systems Integration. A required interdisciplinary integration of the human as an element

of the system to ensure that the human and software/hardware components cooperate, coordinate,

and communicate effectively to perform a specific function or mission successfully.

Implementation. The execution of approved plans for the development and operation of the

program/project and the use of control systems to ensure performance to approved plans and

continued alignment with the Agency’s strategic needs, goals, and objectives.

Implementation Phase. The second part of a program or project life cycle where Implementation

activities are completed. The Implementation Phase begins at Approval for Implementation and

continues through the end of the program or project as depicted in life-cycle figures 2-2 through 2-5

of this NPR.

In-House (EVM). Project work scope conducted solely using NASA HQ and/or Center personnel or

other NASA resources (i.e., facilities, equipment), including support contractors that augment

NASA resources to achieve the objectives of the project. There is no prime contractor, university,

laboratory, institution, or foreign partner involvement in in-house work.

Independent Assessment(s) (includes reviews, evaluations, audits, analysis oversight,

investigations). Assessments are independent to the extent the involved personnel apply their

expertise impartially and without any conflict of interest or inappropriate interference or influence,

particularly from the organization(s) being assessed.

Independent Funding (context of Technical Authority). The funding of Technical Authorities is

considered independent if funding originating from the Mission Directorate or other Programmatic

Authorities is provided to the Center in a manner that cannot be used to influence the technical

independence or security of Technical Authorities.

Industrial Base. The capabilities residing in either the commercial or government sector required to

design, develop, manufacture, launch, and service the program or project. This encompasses related

manufacturing facilities, supply chain operations and management, a skilled workforce, launch

infrastructure, research and development, and support services.

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Information Technology. Any equipment or interconnected system or subsystem of equipment that

is used in the automatic acquisition, storage, manipulation, management, movement, control,

display, switching, interchange, transmission, or reception of data or information by an executive

Agency. Information technology also includes computers; ancillary equipment (including imaging

peripherals, input, output, and storage devices necessary for security and surveillance); peripheral

equipment designed to be controlled by the central processing unit of a computer; software;

firmware; and similar procedures, services (including support services), and related resources. It

does not include any equipment acquired by a Federal contractor incidental to a Federal contract.

Infrastructure Requirements. The facilities real property (buildings and/or other structures) and

environmental, aircraft, personal property, collateral equipment, and associated system resources

that are needed to support programs and projects. Utilization of the capability afforded by the

infrastructure includes consideration of the life-cycle cost (design, construction, commissioning,

outfitting, special test equipment, utilities, operations and maintenance, and future disposal cost) and

other liabilities it presents. The construction of real property infrastructure or the modification of

existing infrastructure above a defined dollar amount must go through the Agency’s Construction of

Facilities account (CECR). (See NPR 9250.1, Property, Plant, and Equipment and Operating

Materials and Supplies, NPD 8800.14, Policy for Real Estate Management, and NPR 8820.2,

Facility Project Requirements.)

Initial Capability. For single-project programs and projects that plan continuing operations and

production, including integration of capability upgrades, with an unspecified Phase E end point, the

initial capability is the first operational mission flight or as defined as part of the KDP B review

plan. The scope of the initial capability is documented in the KDP B Decision Memorandum.

Institutional Authority. Institutional Authority encompasses all those organizations and authorities

not in the Programmatic Authority. This includes engineering, safety and mission assurance, and

health and medical organizations; mission support organizations; and Center Directors.

Institutional Requirements. Requirements that focus on how NASA does business that are

independent of the particular program or project. There are five types: engineering, program/project

management, safety and mission assurance, health and medical, and mission support requirements.

Integrated Baseline Review. A risk-based review conducted by Program/Project Management to

ensure a mutual understanding between the customer and supplier of the risks inherent in the

supplier’s Performance Measurement Baseline (PMB) and to ensure that the PMB is realistic for

accomplishing all of the authorized work within the authorized schedule and budget.

Integrated Center Management Council. The forum used by projects and programs that are being

implemented by more than one Center and includes representatives from all participating Centers.

The ICMC will be chaired by the director of the Center (or representative) responsible for program

or project management.

Integrated Logistics Support. The management, engineering activities, analysis, and information

management associated with design requirements definition, material procurement and distribution,

maintenance, supply replacement, transportation, and disposal that are identified by space flight and

ground systems supportability objectives.

Integrated Master Schedule. A logic network-based schedule that reflects the total project scope of

work, traceable to the WBS, as discrete and measurable tasks/milestones and supporting elements

that are time phased through the use of valid durations based on available or projected resources and

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well-defined interdependencies.

Integrated Program Management Report. The standard report format to communicate

program/project monthly cost/schedule performance and status between a contractor and the

Government. The IPMR consists of seven report formats that provide program/project managers

information to: integrate cost and schedule performance data with technical performance measures,

identify the magnitude and impact of actual and potential problem areas causing significant cost and

schedule variances, forecast schedule completions, and provide valid, timely program/project status

information to higher management for effective decision making. This is a contract data requirement

when EVM is required.

Integration Plan. The integration plan defines the configuration of expected aggregates of system

elements and the order of assembly of these aggregates to carry out efficient verification and

validation actions. The integration plan is structured to bring the elements together to assemble each

subsystem and to bring all of the subsystems together to assemble the system/product. The primary

purposes of the integration plan are: (1) to describe this coordinated integration effort that supports

the implementation strategy, (2) to describe for the participants what needs to be done in each

integration step, and (3) to identify the required resources and when and where they will be needed.

Interface Control Document. An agreement between two or more parties on how interrelated

systems will interface with each other. It documents interfaces between things like electrical

connectors (e.g., what type, how many pins, what signals will be on each of the pins, etc.); fluid

connectors (type of connector or of fluid being passed, flow rates of the fluid, etc.); mechanical

(types of fasteners, bolt patterns, etc.); and any other interfaces that might be involved.

Joint Cost and Schedule Confidence Level. The probability that cost will be equal to or less than

the targeted cost and schedule will be equal to or less than the targeted schedule date. The JCL

calculation includes consideration of the risk associated with all elements, regardless of whether or

not they are funded from appropriations or managed outside of the project (e.g., risk impacts of a

foreign contribution behind schedule, risk impacts of the Launch Vehicle). JCL calculations include

content from the milestone at which the JCL is calculated through the completion of Phase D

activities. (See the NASA Cost Estimating Handbook for more information on JCL.)

Key Decision Point. The event at which the Decision Authority determines the readiness of a

program/project to progress to the next phase of the life cycle (or to the next KDP).

Knowledge Management. A collection of policies, processes, and practices relating to the use of

intellectual and knowledge-based assets in an organization.

Lessons Learned. Captured knowledge or understanding gained through experience which, if

shared, would benefit the work of others. Unlike a best practice, lessons learned describes a specific

event that occurred and provides recommendations for obtaining a repeat of success or for avoiding

reoccurrence of an adverse work practice or experience.

Life-Cycle Cost. The total of the direct, indirect, recurring, nonrecurring, and other related expenses

both incurred and estimated to be incurred in the design, development, verification, production,

deployment, prime mission operation, maintenance, support, and disposal of a project, including

closeout, but not extended operations. The LCC of a project or system can also be defined as the

total cost of ownership over the project or system’s planned life cycle from Formulation (excluding

Pre-Phase A) through Implementation (excluding extended operations). The LCC includes the cost

of the launch vehicle.

NPR 7120.5F -- AppendixA

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incorporated into a contract. This document is uncontrolled when printed. Check

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Life-Cycle Review. A review of a program or project designed to provide a periodic assessment of

the technical and programmatic status and health of a program or project at a key point in the life

cycle (e.g., Preliminary Design Review (PDR) or Critical Design Review (CDR)). Certain life-cycle

reviews provide the basis for the Decision Authority to approve or disapprove the transition of a

program/project at a KDP to the next life-cycle phase.

Loosely Coupled Programs. These programs address specific objectives through multiple space

flight projects of varied scope. While each individual project has an assigned set of mission

objectives, architectural and technological synergies and strategies that benefit the program as a

whole are explored during the Formulation process. For instance, Mars orbiters designed for more

than one Mars year in orbit are required to carry a communication system to support present and

future landers.

Management Agreement. Within the Decision Memorandum, the parameters and authorities over

which the program or project manager has management control constitute the program or project

Management Agreement. A program or project manager has the authority to manage within the

Management Agreement and is accountable for compliance with the terms of the agreement.

Margin. The allowances carried in budget (See Unallocated Future Expenses), projected schedules,

and technical performance parameters (e.g., weight, power, or memory) to account for uncertainties

and risks. Margins are allocated in the formulation process, based on assessments of risks, and are

typically consumed as the program/project proceeds through the life cycle.

Metric. A measurement taken over a period of time that communicates vital information about the

status or performance of a system, process, or activity.

Mission. A major activity required to accomplish an Agency goal or to effectively pursue a

scientific, technological, or engineering opportunity directly related to an Agency goal. Mission

needs are independent of any particular system or technological solution.

Mission Operations Plan. The Mission Operations Plan describes the activities required to perform

the mission. It describes how the program or project will implement the associated facilities,

hardware, software, and procedures required to complete the mission. It describes mission

operations plans, rules, and constraints; the Mission Operations System (MOS); and the Ground

Data System (GDS).

Mission Resilience. The ability of a mission system to withstand or recover from adverse conditions

such as intrusion, subversion, disruption, degradation, or destruction from environmental or hostile

causes.

Mission Support Office Requirements. Requirements defined by mission support offices (e.g.,

procurement and infrastructure).

Non-Applicable Requirement. Any requirement that is not relevant or not capable of being

applied. The non-applicable requirement provision is intended to provide an efficient means to grant

and document relief from a requirement not relevant or not capable of being applied to the specific

mission. The need for relief from the requirement is obvious and the judgment of non-applicable is

likely to be the same regardless of who makes the determination. For example, the requirement to

produce a Human-Rating Certification Package is non-applicable for a robotic project.

Operations Concept Documentation. A description of how the flight system and the ground

system are used together to ensure that the concept of operation is reasonable. This might include

NPR 7120.5F -- AppendixA

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NPR 7120.5F -- AppendixA Page 60 of 147

how mission data of interest, such as engineering or scientific data, are captured, returned to Earth,

processed, made available to users, and archived for future reference. The Operations Concept

documentation should describe how the flight system and ground system work together across

mission phases for launch, cruise, critical activities, science observations, and end of mission to

achieve the mission.

Operations Handbook. The Operations Handbook provides information essential to the operation

of a spacecraft and other components of a mission. It generally includes a description of the

spacecraft and other mission components and the operational support infrastructure; operational

procedures, including step-by-step operational procedures for activation and deactivation;

malfunction detection procedures; and emergency procedures. The handbook identifies the

commands for the spacecraft and other mission components, defines the functions of these

commands, and provides supplemental reference material for use by the operations personnel. The

main emphasis is placed on command types, command definitions, command sequences, and

operational constraints. Additional document sections may describe uploadable operating

parameters, the telemetry stream data contents (for both the science and the engineering data), the

Mission Operations System displays, and the spacecraft and other mission component health

monitors.

Orbital Debris. Any object placed in space by humans that remains in orbit and no longer serves

any useful function. Objects range from spacecraft to spent launch vehicle stages to components and

also include materials, trash, refuse, fragments, and other objects that are overtly or inadvertently

cast off or generated.

Performance Measurement Baseline. The time-phased budget plan for accomplishing all

authorized work scope in a project’s life cycle, which includes both NASA internal costs and

supplier costs. The PMB is used to measure project performance using EVM, if required, or other

performance measurement techniques if EVM is not required. It is formed by the budgets assigned

to scheduled control accounts and the applicable indirect budgets. For future effort, not planned to

the control account level, the PMB also includes budgets assigned to higher level WBS elements and

undistributed budgets. The PMB does not include UFE, or management reserve (MR) for

contractors.

Pre-Acquisition Strategy Meeting. A precursor meeting to an ASM, reserved for complex or

multi-part acquisitions, such as those involving an integrated observatory, campaign, or other

coupled programs with multiple mission elements. Pre-ASMs may also be used for multi-phase

acquisitions, such as an extended contracted study/demonstration phase prior to acquisition of final

elements or services. Pre-ASMs are held at the discretion of the Convening Authority. (See NAII

1000.1 under NPD 1000.5 for additional details.)

Preliminary (document context). Implies that the product has received initial review in accordance

with Center best practices. The content is considered correct, though some TBDs may remain. All

approvals required by Center policies and procedures have been obtained. Major changes are

expected.

Prescribed Requirement. A requirement levied on a lower organizational level by a higher

organizational level.

Principal Investigator. A person who conceives an investigation and is responsible for carrying it

out and reporting its results. In some cases, PIs from industry and academia act as project managers

for smaller development efforts with NASA personnel providing oversight.

NPR 7120.5F -- AppendixA

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Procurement Strategy Meeting. A forum where management reviews and approves the approach

for the Agency’s major and other selected procurements. Chaired by the Assistant Administrator for

Procurement (or designee), the Procurement Strategy Meeting (PSM) addresses and documents

information, activities, and decisions required by the FAR and NFS and incorporates NASA

strategic guidance and decisions from the ASM strategic acquisition meeting to ensure the alignment

of the individual procurement action with NASA’s portfolio and mission.

Program. A strategic investment by Mission Directorates or mission support offices that has a

defined architecture and/or technical approach, requirements, funding level, and management

structure that initiates and directs one or more projects. A program implements a strategic direction

that the Agency has identified as needed to accomplish Agency goals and objectives. (See Section

2.1.2.)

Program Commitment Agreement. The contract between the NASA AA and the responsible

MDAA that authorizes transition from Formulation to Implementation of a program. (See Appendix

D.)

Program/Project Management Requirements. Requirements that focus on how NASA and

Centers perform program and project management activities.

Program Plan. The document that establishes the program’s baseline for Implementation, signed by

the MDAA, Center Director(s), and program manager.

Program (Project) Team. All participants in program (project) Formulation and Implementation.

This includes all direct reports and others that support meeting program (project) responsibilities.

Programmatic Authority. Programmatic Authority includes the Mission Directorates and their

respective program and project managers. Individuals in these organizations are the official voices

for their respective areas. Programmatic Authority sets, oversees, and ensures conformance to

applicable programmatic requirements.

Programmatic Requirements. Requirements set by the Mission Directorate, program, project, and

PI, if applicable. These include strategic scientific and exploration requirements, system

performance requirements, safety requirements, and schedule, cost, and similar nontechnical

constraints.

Project. A space flight project is a specific investment identified in a Program Plan having defined

requirements, a life-cycle cost, a beginning, and an end. A project also has a management structure

and may have interfaces to other projects, agencies, and international partners. A project yields new

or revised products that directly address NASA’s strategic goals.

Project Plan. The document that establishes the project’s baseline for Implementation, signed by

the responsible program manager, Center Director, project manager, and the MDAA, if required.

(See Appendix H.)

Project Scientist. For PI-led competed projects, the project scientist is part of the PI team and works

closely with the PI. The project scientist is typically delegated the responsibility to monitor the

scientific output of the project and ensure that the project achieves each of its science requirements.

For directed projects, there is no mission PI. The project scientist is nominated by the Center and

approved by the Mission Directorate and is responsible for a more significant fraction of the

project-level management than in a competed project. The project scientist works closely with the

project manager and is directly responsible for all science related tasks. Project scientists are

NPR 7120.5F -- AppendixA

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incorporated into a contract. This document is uncontrolled when printed. Check

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project manager and is directly responsible for all science related tasks. Project scientists are

primarily associated with SMD projects.

Rebaselining. The process that results in a change to a project’s Agency Baseline Commitment.

Reimbursable Program/Project. A project (including work, commodities, or services) for

customers other than NASA for which reimbursable agreements have been signed by both the

customer and NASA. The customer provides funding for the work performed on their behalf.

Replanning. The process by which a program or project updates or modifies its plans.

Request for Action/Review Item Discrepancy. The most common names for the comment forms

that reviewers submit during life-cycle reviews that capture their comments, concerns, and/or issues

about the product or documentation.

Residual Risk. The remaining risk that exists after all mitigation actions have been implemented or

exhausted in accordance with the risk management process. (See NPD 8700.1, NASA Policy for

Safety and Mission Success.)

Risk. In the context of mission execution, risk is the potential for performance shortfalls, which may

be realized in the future, with respect to achieving explicitly established and stated performance

requirements. The performance shortfalls may be related to any one or more of the following

mission execution domains: (1) safety, (2) technical, (3) cost, and (4) schedule. (See NPR 8000.4,

Agency Risk Management Procedural Requirements.)

Risk Assessment. An evaluation of a risk item that determines: (1) what can go wrong, (2) how

likely is it to occur, (3) what the consequences are, (4) what the uncertainties are that are associated

with the likelihood and consequences, and (5) what the mitigation plans are.

Risk Management. Risk management includes risk-informed decision making (RIDM) and

continuous risk management (CRM) in an integrated framework. RIDM informs systems

engineering decisions through better use of risk and uncertainty information in selecting alternatives

and establishing baseline requirements. CRM manages risks over the course of the development and

the Implementation Phase of the life cycle to ensure that safety, technical, cost, and schedule

requirements are met. This is done to foster proactive risk management, to better inform decision

making through better use of risk information, and then to more effectively manage Implementation

risks by focusing the CRM process on the baseline performance requirements emerging from the

RIDM process. (See NPR 8000.4, Agency Risk Management Procedural Requirements.) These

processes are applied at a level of rigor commensurate with the complexity, cost, and criticality of

the program.

Risk-Informed Decision Making. A risk-informed decision-making process that uses a diverse set

of performance measures (some of which are model-based risk metrics) along with other

considerations within a deliberative process to inform decision making.

Risk-Informed Probabilistic Analysis. Analysis informed by all appropriate discrete risks and

uncertainties including those that may not be discretely managed in the risk management system.

Safety. Freedom from those conditions that can cause death, injury, occupational illness, damage to

or loss of equipment or property, or damage to the environment.

Safety and Mission Assurance Requirements. Requirements defined by the SMA organization

related to safety and mission assurance.

NPR 7120.5F -- AppendixA

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incorporated into a contract. This document is uncontrolled when printed. Check

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Security. Protection of people, property, and information assets owned by NASA that covers

physical assets, personnel, IT, communications, and operations.

Signature. A distinctive mark, characteristic, or thing that indicates identity; one’s name as written

by oneself.

Single-Project Programs. These programs tend to have long development and/or operational

lifetimes, represent a large investment of Agency resources, and have contributions from multiple

organizations/agencies. These programs frequently combine program and project management

approaches, which they document through tailoring.

Stakeholder. An individual or organizational customer having an interest (or stake) in the outcome

or deliverable of a program or project.

Standards. Formal documents that establish a norm, requirement, or basis for comparison, a

reference point to measure or evaluate against. A technical standard, for example, establishes

uniform engineering or technical criteria, methods, processes, and practices. (Refer to NPR 7120.10,

Technical Standards for NASA Programs and Projects.)

Standing Review Board. The board responsible for conducting independent reviews (life cycle and

special) of a program/project and providing objective, expert judgments to the convening authorities.

The reviews are conducted in accordance with approved Terms of Reference (ToR) and life-cycle

requirements per this document and NPR 7123.1.

Success Criteria. That portion of the top-level requirements that defines what is to be achieved to

successfully satisfy NASA Strategic Plan objectives addressed by the program or project.

Suppliers. Each project office is a customer having a unique, multi-tiered hierarchy of suppliers to

provide it products and services. A supplier may be a contractor, grantee, another NASA Center,

university, international partner, or other government agency. Each project supplier is also a

customer if it has authorized work to a supplier lower in the hierarchy.

Supply Chain. The specific group of suppliers and their interrelationships that is necessary to

design, develop, manufacture, launch, and service the program or project. This encompasses all

levels within a space system, including providers of raw materials, components, subsystems,

systems, systems integrators, and services.

System. The combination of elements that function together to produce the capability required to

meet a need. The elements include all hardware, software, equipment, facilities, personnel,

processes, and procedures needed for this purpose.

Systems Engineering. Per NPR 7123.1, NASA systems engineering is a logical systems approach

performed by multidisciplinary teams to engineer and integrate NASA’s systems to ensure NASA

products meet the customer’s needs. Implementation of this systems approach will enhance NASA’s

core engineering capabilities while improving safety, mission success, and affordability. This

systems approach is applied to all elements of a system (i.e., hardware, software, and human) and all

hierarchical levels of a system over the complete program/project life cycle.

Tailoring. The process used to adjust or seek relief from a prescribed requirement to accommodate

the needs of a specific task or activity (e.g., program or project). The tailoring process results in the

generation of deviations and waivers depending on the timing of the request.

NPR 7120.5F -- AppendixA

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Technical Authority. Part of NASA’s system of checks and balances that provides independent

oversight of programs and projects in support of safety and mission success through the selection of

individuals at delegated levels of authority. These individuals are the Technical Authorities.

Technical Authority delegations are formal and traceable to the Administrator. Individuals with

Technical Authority are funded independently of a program or project.

Technical Authority Requirements. Requirements invoked by OCE, OSMA, and Office of the

Chief Health and Medical Officer (OCHMO) documents (e.g., NPRs or technical standards cited as

program or project requirements) or contained in Center institutional documents. These requirements

are the responsibility of the office or organization that established the requirement unless delegated

elsewhere.

Technical Standard. Common and repeated use of rules, conditions, guidelines, or characteristics

for products or related processes and production methods and related management systems

practices; the definition of terms, classification of components; delineation of procedures;

specification of dimensions, materials, performance, designs, or operations; measurement of quality

and quantity in describing materials, processes, products, systems, services, or practices; test

methods and sampling procedures; or descriptions of fit and measurements of size or strength.

(Source: OMB Circular No. A-119, Federal Participation in the Development and Use of Voluntary

Consensus Standards and in Conformity Assessment Activities.) (See NPR 7120.10, Technical

Standards for NASA Programs and Projects.)

Technology Readiness Level. Provides a scale against which to measure the maturity of a

technology. TRLs range from 1, Basic Technology Research, to 9, Systems Test, Launch, and

Operations. Typically, a TRL of 6 (i.e., technology demonstrated in a relevant environment) is

required for a technology to be integrated into a flight system. (See NASA Systems Engineering

Handbook NASA/SP-2016-6105 Rev 2 for more information on TRL levels and technology

assessment, and SP-20205003605, Technology Readiness Assessment Best Practices Guide.)

Termination Review. A special review convened to determine whether to continue or terminate a

program or project. Circumstances that could trigger a Termination Review include the anticipated

inability of the program or project to meet its commitments, an unanticipated change in Agency

strategic planning, or an unanticipated change in the NASA budget. (See NASA/SP-20220009501,

NASA Space Flight Program and Project Management Handbook for information on a Termination

Review.)

Terms of Reference. A document specifying the nature, scope, schedule, and ground rules for an

independent review or independent assessment.

Threshold Science Requirements. The mission performance requirements necessary to achieve the

minimum science acceptable for the investment. In some AOs used for competed missions,

threshold science requirements may be called the “science floor” for the mission. (Also see Baseline

Science Requirements.)

Tightly Coupled Programs. Programs with multiple projects that execute portions of a mission(s).

No single project is capable of implementing a complete mission. Typically, multiple NASA Centers

contribute to the program. Individual projects may be managed at different Centers. The program

may also include other agency or international partner contributions.

Unallocated Future Expenses. The portion of estimated cost required to meet a specified

confidence level that has not been allocated to the specific project WBS sub-elements because the

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probabilistic estimate includes risks and uncertainties. For additional information on UFE, see the

NASA Space Flight Program and Project Management Handbook.

Uncoupled Programs. Programs implemented under a broad theme and/or a common program

implementation concept, such as providing frequent flight opportunities for cost-capped projects

selected through AO or NASA Research Announcements. Each such project is independent of the

other projects within the program.

Validation. The process of showing proof that the product accomplishes the intended purpose based

on stakeholder expectations. May be determined by a combination of test, analysis, demonstration,

and inspection. (Answers the question, “Am I building the right product?”)

Verification. Proof of compliance with requirements. Verification may be determined by a

combination of test, analysis, demonstration, and inspection. (Answers the question, “Did I build the

product right?”)

Waiver. A documented authorization releasing a program or project from meeting a requirement

after the requirement is put under configuration control at the level the requirement will be

implemented.

Work Breakdown Structure. A product-oriented hierarchical division of the hardware, software,

services, and data required to produce the program’s or project’s end product(s), structured

according to the way the work will be performed and reflecting the way in which program/project

costs and schedule, technical, and risk data are to be accumulated, summarized, and reported.

NPR 7120.5F -- AppendixA

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NPR 7120.5F -- AppendixA Page 66 of 147

Appendix B. Acronyms

AA Associate Administrator

ABC Agency Baseline Commitment

AI&T Assembly, Integration, and Test

AO Announcement of Opportunity

APMC Agency Program Management Council

ASC Acquisition Strategy Council

ASM Acquisition Strategy Meeting

BOE Basis of Estimate

BPR Baseline Performance Review

CADRe Cost Analysis Data Requirement

CDR Critical Design Review

CE Chief Engineer

CERR Critical Events Readiness Review

CFO Chief Financial Officer

CHMO Chief Health and Medical Officer

CIO Chief Information Officer

CMC Center Management Council

COI Conflict of Interest

COOP Continuity of Operations

CPD Center Policy Directive

CPMO Chief Program Management Officer

CPR Center Procedural Requirements

CRM Continuous Risk Management

DFM Decision Framing Meeting

DPMC Mission Directorate Program Management Council

DR Decommissioning Review

DRR Disposal Readiness Review

ELV Expendable Launch Vehicle

EMD Environmental Management Division

EOMP End of Mission Plan

NPR 7120.5F -- AppendixB

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ETA Engineering Technical Authority

EVM Earned Value Management

EVMS EVM System

FAD Formulation Authorization Document

FAR Federal Acquisition Regulation

FC Fully Compliant

FFRDC Federally Funded Research and Development Centers

FRED Facilities Real Estate Division

FRR Flight Readiness Review

FTE Full-Time Equivalent

GDS Ground Data System

HMTA Health and Medical Technical Authority

HQ Headquarters

HSI Human Systems Integration

IBR Integrated Baseline Review

ICD Interface Control Document

ICMC Integrated Center Management Council

ILS Integrated Logistics Support

IMS Integrated Master Schedule

IPMR Integrated Program Management Report

IT Information Technology

JCL Joint Cost and Schedule Confidence Level

KDP Key Decision Point

LCC Life-Cycle Cost

LCR Life-Cycle Review

LDE Lead Discipline Engineer

LMD Logistics Management Division

LRR Launch Readiness Review

MCR Mission Concept Review

MDAA Mission Directorate Associate Administrator

MdM Meta-Data Manager

MDR Mission Definition Review

NPR 7120.5F -- AppendixB

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MOS Mission Operations System

MOU Memorandum of Understanding

MRR Mission Readiness Review

MSD Mission Support Directorate

NA Non-Applicable

NEN NASA Engineering Network

NEPA National Environmental Policy Act

NESC NASA Engineering and Safety Center

NFS NASA Federal Acquisition Regulation (FAR) Supplement

NID NASA Interim Directive

NOA New Obligation Authority

NODIS NASA Online Directives Information System

NPD NASA Policy Directive

NPR NASA Procedural Requirements

OCE Office of the Chief Engineer

OCFO Office of the Chief Financial Officer

OCHMO Office of the Chief Health and Medical Officer

OCIO Office of the Chief Information Officer

OComm Office of Communications

ODAR Orbital Debris Assessment Report

OGC Office of the General Counsel

OIIR Office of International and Interagency Relations

OMB Office of Management and Budget (Executive Office of the White House)

OPS Office of Protective Services

ORR Operational Readiness Review

OSI Office of Strategic Infrastructure

OSMA Office of Safety and Mission Assurance

PCA Program Commitment Agreement

PCE Program (or Project) Chief Engineer

PDR Preliminary Design Review

POC Point of Contact

PFAR Post-Flight Assessment Review

NPR 7120.5F -- AppendixB

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PI Principal Investigator

PIR Program Implementation Review

PLAR Post-Launch Assessment Review

PMB Performance Measurement Baseline

PMC Program Management Council

PMIAA Program Management Improvement and Accountability Act

PPBE Planning, Programming, Budgeting, and Execution

PRA Probabilistic Risk Assessment

Pre-ASM Pre-Acquisition Strategy Meeting

PRR Production Readiness Review

PSM Procurement Strategy Meeting

RFA Request for Action

RFP Request for Proposal

RID Review Item Discrepancy

RIDM Risk-Informed Decision Making

SAR System Acceptance Review

SDR System Definition Review

SEMP Systems Engineering Management Plan

SI Système Internationale (or metric) system of measurement

SID Strategic Investments Division

SIR System Integration Review

SMA Safety and Mission Assurance

SMD Science Mission Directorate

SMSR Safety and Mission Success Review

SRB Standing Review Board

SRR System Requirements Review

TA Technical Authority

TBD To Be Determined

TBR To Be Resolved

TRL Technology Readiness Level

ToR Terms of Reference

UFE Unallocated Future Expenses

NPR 7120.5F -- AppendixB

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NPR 7120.5F -- AppendixB Page 70 of 147

WBS Work Breakdown Structure

WYE Work Year Equivalent

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STUFF

NPR 7120.5F --

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NPR 7120.5F -- Page 72 of 147

Appendix C. Compliance Matrix and Tailoring Guidance and Resources

Guidance and resources to assist programs and projects in tailoring NPR 7120.5, NASA Space Flight Program and Project Management Requirements, requirements have been established

and/or developed by the Agency, Mission Directorates, and Centers. These include compliance matrices (see Section C.1), consultation and assistance for tailoring (see Section C.2), and

resources for developing the tailoring approach (see Section C.3). An Agency Tailoring Web site which includes many of these resources is available at

https://appel.nasa.gov/npr-7120-5-tailoring-resources.

C.1 Compliance Matrix

C.1.1 The Compliance Matrix documents the program’s or project’s compliance with the requirements of NPR 7120.5 or how the program or project is tailoring the requirements in

accordance with Section 3.5. It is submitted as part of the Formulation Agreement, Program Plan, or Project Plan. The Compliance Matrix is provided to streamline the tailoring (waiver and

deviation) process described in Section 3.5 and may be used to document approval for designating requirements as non-applicable. (See Section 3.5.3.) If the Compliance Matrix is

completed in accordance with these instructions, it meets the requirements for requesting tailoring and for designating requirements as non-applicable and serves as a group submittal for

waivers to NPR 7120.5. Once the Formulation Agreement or Program or Project Plan is signed, tailoring and non-applicable designations are approved. A copy is forwarded to the CPMO

and OCE for programs and Category 1 projects and to OCE for Category 2 and 3 projects. If the Compliance Matrix changes or if compliance is phased for existing programs or projects,

updated versions of the Compliance Matrix are incorporated into an approved Formulation Agreement or Program or Project Plan revision.

C.1.2 Compliance Matrix options have been developed to facilitate the tailoring process. Programs and projects may use the full Compliance Matrix, or, if applicable, a pre-customized

Compliance Matrix template, or a pre-approved Blanket Tailoring Compliance Matrix. (See Agency Tailoring Web site for examples of these Compliance Matrices and templates.) The

project manager or program manager should coordinate with the program or the Mission Directorate, respectively, to select and obtain the appropriate approval for using a Compliance

Matrix other than the full Compliance Matrix. Instructions for completing a Compliance Matrix are provided below.

a. Full Compliance Matrix: The full Compliance Matrix is provided in Table C-1 and on the Agency Tailoring Web site. It is also available on the OCE tab under the “Other NASA-Level

Documents” menu in NODIS.

b. Pre-customized Compliance Matrix Templates: These Compliance Matrix templates eliminate non-applicable requirements for specific types of programs and projects. Programs and

projects may choose to use the applicable pre-customized template instead of the full Compliance Matrix in Table C-1 to document and obtain approval for tailoring. Examples of

pre-customized compliance matrix templates include templates for Uncoupled and Loosely Coupled Programs, Tightly Coupled Programs, Single-Project Programs, and projects.

c. Pre-approved Blanket Tailoring Compliance Matrices: Mission Directorates and programs may and are encouraged to develop tailored Compliance Matrices and obtain approval for

tailoring specific types of programs and projects under their purview. Mission Directorates and programs are required to follow the instructions outlined in “Template Instructions” (see

below) for identifying tailored requirements, developing justifications for tailoring, and obtaining approval for tailoring from requirement owners and from the CPMO for the NASA AA to

establish a pre-approved blanket tailoring Compliance Matrix. Programs and projects that are eligible to invoke these pre-approved Compliance Matrices are not required to obtain approval

for the tailored requirements since that approval has already been obtained by the Mission Directorate or program. (Approval for additional tailoring is required.) For example, the STMD

Technology Demonstration Program has a pre-approved Compliance Matrix.

C.1.3 Template Instructions

C.1.3.1 The Compliance Matrix lists:

a. The paragraph reference.

b. The NPR 7120.5 requirement statement.

c. The “requirement owner” (the organization or individual responsible for the requirement).

d. Whether tailoring authority for the requirement is delegated or held at HQ.

e. The organization or individual to whom the requirement applies (MDAA, CD, PM).

f. A “comply?” column to describe applicability or intent to tailor.

g. The “justification” column to justify the rationale for tailoring and how tailoring is to be applied.

h. The “approval” column when signatures are required to approve tailoring.

C.1.3.2 The “Requirement Owner” column designates which organization is responsible for maintaining the requirement for the Agency. The head of the requirement owner’s organization

has the authority for approving tailoring unless this authority has been formally delegated. The “Delegated” column indicates whether the HQ’s requirement owner has delegated or retained

approval authority for tailoring of the requirement.

a. “Yes” in the “Delegated” column indicates that tailoring authority has been delegated by the requirement owner.

b. “No” in the “Delegated” column indicates that tailoring authority has been retained by the requirement owner.

c. Check the Agency Tailoring Web site for the POC who can provide the name of the HQ person with tailoring approval authority or the organization to which the authority is delegated.

d. If the “Delegated” column is blank, programs and projects should:

(1) Check the Agency Tailoring Web site for information on delegation by the requirement owner and/or

(2) Check the Agency Tailoring Web site for the HQ requirement owner’s POC and work with the POC to determine if tailoring authority has been retained or delegated.

C.1.3.3 The next three columns (“MDAA,” “CD,” and “PM”) designate to whom the requirement applies. An “A” in the column indicates applicability. Programs and projects do not need to

address requirements that are not applicable to “PM.”

C.1.3.4 The “Comply?” column is filled in by the program or project to identify the program’s or project’s approach to the requirement. The project inserts an “FC” for “fully compliant,”

“T” for “tailored,” or “NA” for a requirement that is “non-applicable,” per Section 3.5.3. (See Appendix A for the definition of a Non-Applicable Requirement.)

C.1.3.5 The column titled “Justification” documents the rationale for tailoring, documents how the requirement will be tailored, or justifies why the requirement is not applicable. It is

expected that much of the rationale will already have been developed in retrievable program and/or project records and can simply be referenced (in an appropriate, accessible form). The

level of documentation should be commensurate with the significance of departure from the norm and is determined by the requirement owner or as delegated. In the case where evaluation

indicates that the tailoring of a requirement increases risk, evidence of official acceptance of that risk should be provided as referenced in retrievable program or project records. Columns in

the Compliance Matrix can be adjusted to accommodate the necessary information.

C.1.3.6 The “Approval” column is used to indicate approval for tailored requirements. The name, title, and signature of the responsible authority (requirement owner or delegate) in this

column indicates that approval and any required concurrences have been obtained. The requirement owner consults with the other organizations that were involved in the establishment of

the specific requirement and obtains the concurrence of those organizations having a substantive interest.

a. The name, title, and signature of the responsible authority indicating approval of tailoring is required only for tailored requirements, i.e., those requirements with a “T” in the “Comply”

column. This is not required for requirements with “NA” in the “Comply” column.

b. For requirements for which tailoring authority has been retained, program and project managers should work with the HQ requirement owners’ POCs to obtain the names of individuals

with tailoring approval authority.

c. For requirements that have been delegated, program and project managers should work with the delegated representative or with the HQ requirement owners’ POCs to obtain information

specific to the delegated authorities.

C.1.3.7 Redundant signatures are not required in the “Approval” column of the Compliance Matrix, if the requirement owner is already a required signatory (e.g., MDAA, Center Director,

program manager, and project manager) on the Formulation Agreement, Program Plan, or Project Plan. An example of this would be OCE requirements that have been delegated to the

Center Director. In this case, a separate signature by the Center Director is not required in the “Approval” column since the Center Director is a signatory on the plan. However, if tailoring

was proposed for a requirement by an owner who isn’t normally a signatory on the Formulation Agreement, Program Plan, or Project Plan (e.g., OSMA), the program or project manager

should obtain the signature of the approving official in the “Approval” column of the Compliance Matrix prior to submitting the Formulation Agreement, Program Plan, or Project Plan for

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 73 of 147

NPR 7120.5F -- AppendixC Page 73 of 147

final signature.

C.2 Consultation and Assistance for Tailoring

C.2.1 HQ requirements owners and some Mission Directorates have identified points-of-contact for consulting with and assisting programs and projects in developing their tailoring

approach and in obtaining approval for tailoring as described below. A list of these points-of-contact is provided on the Agency Tailoring Web site.

a. Points-of-contact for HQ requirements owners are available to assist programs and projects in identifying the tailoring authority designated to approve tailoring of requirements owned by

their organization, i.e., either the name of the HQ person or the organization to which the authority is delegated. In addition, some HQ requirements owners provide documented information

on delegation of tailoring authority.

b. CPMO point(s)-of-contact are available to provide consultation to programs and projects in developing their tailoring approach. The level of support depends on the extent of tailoring

needed and may range from a simple phone conversation to identifying a group of tailoring SMEs (at HQ and/or Centers) that can help a program or project develop and gain agreement for

their tailoring approach.

c. Programs, Category 1 projects, and projects that are of high importance or visibility to NASA will coordinate with the CPMO to determine their tailoring approach. The

CPMO-coordinated tailoring approach may need to be presented by the program or project to the NASA Program and Project Management Board (PPMB), as determined by the CPMO.

d. Mission Directorates may designate points-of-contact to obtain tailoring approval from requirement owners for programs and projects.

e. The PPMB may assist programs and projects in tailoring requirements and provide guidance through the tailoring process. The PPMB may be engaged to determine whether to endorse the

program’s or project’s tailoring and adjudicate issues related to tailoring between requirement owners and programs and projects. Individual requirement owners retain the responsibility

and authority to approve tailoring of requirements. Program and project managers interested in assistance from the PPMB should contact the CPMO PPMB Manager or their Center

representative to the PPMB. The CPMO PPMB Manager is identified in the points-of-contact list on the Agency Tailoring Web site. Additionally, the NASA Program/Project Management

Board Charter is available on the Agency Tailoring Web site.

C.3 Resources for Developing the Tailoring Approach

C.3.1 Resources available to programs and projects for developing their tailoring approach are provided on the Agency Tailoring Web site. These resources include:

C.3.2 Tailoring Guidance: Information, various forms of guidance, and implementation plans for developing a program’s or project’s tailoring approach provided by some requirements

owners and Mission Directorates, such as:

a. Guidance provided by "Requirement Owners," including the CPMO for the NASA AA and OCFO, for developing a program’s or project’s tailoring approach. An example is OCFO's

MOU template for tailoring a requirement.

b. Guidance from some Mission Directorates for tailoring specific types of projects, such as SMD’s Class D Tailoring/Streamlining Decision Memorandum and Class D

Tailoring/Streamlining Implementation Plan.

C.3.3 General Overview of Tailoring Approaches: Summary information on tailoring approaches common across multiple programs and projects and requirements that are frequently

tailored.

C.3.4 Specific Tailoring Approaches and Examples: Numerous examples of how specific programs and projects have successfully tailored NPR 7120.5 requirements.

C.3.5 Tailoring Tools: Tools to assist programs and projects in developing their tailoring approach have been developed by some Centers. These tools may also be helpful for programs

and projects hosted at other Centers.

Approver Acronyms:

CPMO Chief Program Management Officer

EMD Environmental Management Division

FRED Facilities Real Estate Division

LMD Logistics Management Division

OCE Office of the Chief Engineer

OCFO Office of the Chief Financial Officer

OCIO Office of the Chief Information Officer

OGC Office of the General Counsel

OIIR Office of International and Interagency Relations

OPS Office of Protective Services

OSI Office of Strategic Infrastructure

OSMA Office of Safety and Mission Assurance

SID Strategic Investments Division

Table C-1 Compliance Matrix

[Program or Project Name]

(See Section C.1.3 for explanation of notation in Table C-1.

I-Table products marked as “Best Practice” (BP) are not included in the Compliance Matrix.

See Section I.1.d for explanation of “Best Practice”.)

Para # NPR 7120.5 Requirement Statement Require-ment Owner Dele-gated

CD PM Com-ply? Justification Approval

2.1.1.2 Regardless of the structure of a program or project meeting

the criteria of Section P.2, this NPR shall apply to the full

scope of the program or project and all the activities under it.

NASA AA No A

2.1.3.1 Projects are Category 1, 2, or 3 and shall be assigned to a

category based initially on: (1) the project life-cycle cost

(LCC) estimate, the inclusion of significant radioactive

material, and whether or not the system being developed is

for human space flight; and (2) the priority level, which is

related to the importance of the activity to NASA, the extent

of international participation (or joint effort with other

government agencies), the degree of uncertainty surrounding

the application of new or untested technologies, and

spacecraft/payload development risk classification.

NASA AA No A

2.1.3.2 For Category 1 projects, the assignment of a project to a

Center or implementing organization shall be with the

concurrence of the NASA AA.

NASA AA No A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 74 of 147

NPR 7120.5F -- AppendixC Page 74 of 147

2.1.4.1 Programs and projects with a LCC or initial capability cost

(see Section 2.4.1.3.b) greater than $250M shall be managed

by program and project managers who have been certified in

compliance with Office of Management and Budget (OMB)’s

promulgated Federal acquisition program/project

management certification requirements.

NASA AA No A

2.2.1 Program and project managers shall follow their appropriate

life cycle as identified in each program and project respective

life- cycle figure. Life cycles include life-cycle phases, gates,

and major events; performing KDPs and major life-cycle

reviews (LCRs); developing principal documents that govern

the conduct of each phase; and re-entering the life cycle

when program or project changes warrant such action.

NASA AA No A

2.2.2 Program and project managers shall organize the work

required for each phase using a product-based WBS

developed in accordance with the Program and Project Plan

templates (appendices G and H).

OCFO Yes A

2.2.3 The documents shown on the life-cycle figures and described

below shall be prepared in accordance with the templates in

appendices D, E, F, G, and H.

NASA AA No A

2.2.4 Each program and project shall perform the LCRs in

accordance with NPR 7123.1, applicable Center practices,

and the requirements of this document.

OCE Yes A

2.2.5 Program or project managers and an independent Standing

Review Board (SRB) shall conduct the System Requirements

Review (SRR), System Definition Review (SDR)/ Mission

Definition Review (MDR), Preliminary Design Review

(PDR), Critical Design Review (CDR), System Integration

Review (SIR), Operational Readiness Review (ORR), and

PIR LCRs in figures 2-2, 2-3, 2-4, and 2-5.

NASA AA No A

2.2.5.1 The Conflict of Interest (COI) procedures detailed in the

NASA Standing Review Board Handbook shall be strictly

adhered to.

OGC No A A A

2.2.5.2 The portion of the LCRs conducted by the SRB shall be

convened by the Convening Authorities in accordance with

Table 2-2.

NASA AA No A A A

2.2.5.3 The program or project manager, the SRB chair, and the

Center Director (or designated Engineering Technical

Authority (ETA) representative) shall mutually assess the

program’s or project’s expected readiness for the LCR and

report any disagreements to the Decision Authority for final

decision.

NASA AA No A A

2.2.6 In preparation for these LCRs, the program or project

manager shall generate the appropriate documentation per the

Appendix I tables of this document, NPR 7123.1, and Center

practices, as necessary, to demonstrate that the program’s or

project’s definition and associated plans are sufficiently

mature to execute the follow-on phase(s) with acceptable

technical, safety, and programmatic risk.

NASA AA No A

Table I-1 Uncoupled and Loosely Coupled Program

Milestone Products and Control Plans Maturity Matrix

Table

I-1

1. FAD [Baseline at approval for Formulation] [Required per

NPR 7120.5]

NASA AA No A A

Table

I-1

2. PCA [Baseline at KDP I] [Required per NPR 7120.5] NASA AA No A

Table

I-1

3. Program Plan [Baseline at SDR] [Required per NPR

7120.5]

NASA AA No A A A

Table

I-1

3.a. Mission Directorate requirements and constraints

[Baseline at SRR] [Required per NPR 7123.1]

OCE Yes A A

Table

I-1

3.b. Traceability of program-level requirements on projects to

the Agency strategic goals and Mission Directorate

requirements and constraints [Baseline at SDR] [Required

per NPR 7123.1]

OCE Yes A A

Table

I-1

3.c. Documentation of driving ground rules and assumptions

on the program [Baseline at SDR] [Required per NPR 7120.5]

NASA AA No A A

Table

I-1

4. Interagency and international agreements [Baseline at SDR] NASA AA No A A

Table

I-1

5. ASM Decision Memorandum [additional information in

NPD 1000.5]

NASA AA No A A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 75 of 147

NPR 7120.5F -- AppendixC Page 75 of 147

Table

I-1

6. Risk mitigation plans and resources for significant risks

[Required per NPR 7120.5]

NASA AA No A

Table

I-1

7. Documented Cost and Schedule Baselines [Baseline at

SDR] [Required per NPR 7120.5]

OCFO-SID No A

Table

I-1

8. Documentation of Basis of Estimate (cost and schedule)

[Baseline at SDR] [Required per NPR 7120.5]

OCFO-SID No A

Table

I-1

9. Documentation of performance against plan/baseline,

including status/closure of formal actions from previous KDP

[Required per NPR 7120.5]

NASA AA No A

Table

I-1

10. Industrial Base and Supply Chain Risk Management

(SCRM) Strategy and Status [Baseline at SDR] [Required

per NPR 8735.2]

OSMA No A

Program Plan Control Plans

Table

I-1

1. Technical, Schedule, and Cost Control Plan [Baseline at

SDR] [Required per NPR 7120.5]

NASA AA No A

Table

I-1

2. Safety and Mission Assurance Plan [Baseline at SDR]

[Required per NPRs 8705.2 and 8705.4]

OSMA Yes A

Table

I-1

3. Risk Management Plan [Baseline at SDR]

OSMA Yes A

Table

I-1

4. Acquisition Strategy [Baseline at SDR] [Required per

NPD 1000.5]

NASA AA No A

Table

I-1

6. Systems Engineering Management Plan

[Baseline at SDR] [Required per NPR 7123.1]

OCE Yes A

Table

I-1

7. System Security Plan [Baseline at SDR] [Required per

NPR 2810.1]

OCIO No A

Table

I-1

8. Review Plan [Baseline at SRR] [Required per NPR 7120.5] NASA AA No A

Table

I-1

9. NEPA Compliance Plan [Baseline at SDR] [Required per

NPR 8580.1]

OSI-EMD No A

Table

I-1

10. Configuration Management Plan [Baseline at SDR]

[Required per NPR 7120.5; additional information in NPR

7123.1 and SAE/EIA 649]

OCE Yes A

Table

I-1

11. Security Plan [Baseline at SDR]

[Required per NPR 1040.1 and NPR 1600.1]

OPS No A

Table

I-1

12. Technology Transfer (formerly Export) Control Plan

[Baseline at SDR] [Required per NPR 2190.1]

OIIR No A

Table

I-1

15. Quality Assurance Surveillance Plan [Baseline at SDR]

[Required per NPR 8735.2 and NASA FAR Supplement part

1837.604]

OSMA Yes A

Table I-2 Tightly Coupled Program Milestone

Products Maturity Matrix

Table

I-2

1. FAD [Baseline at approval for Formulation] [Required per

NPR 7120.5]

NASA AA No A A

Table

I-2

2. PCA [Baseline at PDR] [Required per NPR 7120.5] NASA AA No A

Table

I-2

3. Program Plan [Baseline at SDR] [Required per NPR

7120.5]

NASA AA No A A A

Table

I-2

3.a. Mission Directorate requirements and constraints

[Baseline at SRR] [Required per NPR 7123.1]

OCE Yes A A

Table

I-2

3.b. Traceability of program-level requirements on projects to

the Agency strategic goals and Mission Directorate

requirements and constraints

[Baseline at SDR] [Required per NPR 7123.1]

OCE Yes A A

Table

I-2

3.c. Documentation of driving ground rules and assumptions

on the program

[Baseline at SDR] [Required per NPR 7120.5]

NASA AA No A A

Table

I-2

4. Interagency and international agreements

[Baseline at SDR]

NASA AA No A A

Table

I-2

5. ASM Decision Memorandum [additional information in

NPD 1000.5]

NASA AA No A A

Table

I-2

6. Risk mitigation plans and resources for significant risks

[Required per NPR 7120.5]

NASA AA No A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 76 of 147

NPR 7120.5F -- AppendixC Page 76 of 147

Table

I-2

7. Documented Cost and Schedule Baselines

[Baseline at PDR] [Required per NPR 7120.5]

OCFO-SID No A

Table

I-2

8. Documentation of Basis of Estimate (cost and schedule)

[Baseline at PDR] [Required per NPR 7120.5]

OCFO-SID No A

Table

I-2

9. CADRe [Baseline at SRR] [Required per NPR 7120.5] OCFO-SID No A

Table

I-2

10. Shared Infrastructure, Staffing, and Scarce Material

Requirements and Plans

NASA AA No A

Table

I-2

11. Documentation of performance against plan/baseline,

including status/closure of formal actions from previous KDP

[Required per NPR 7120.5]

NASA AA No A

Table

I-2

12. Industrial Base and Supply Chain Risk Management

(SCRM) Strategy and Status [Baseline at SDR] [Required

per NPR 8735.2]

OSMA No A

Table I-3 Tightly Coupled Program Plan Control

Plans Maturity Matrix

Table

I-3

1. Technical, Schedule, and Cost Control Plan

[Baseline at SDR] [Required per NPR 7120.5]

NASA AA No A

Table

I-3

2. Safety and Mission Assurance Plan [Baseline at SDR]

[Required per NPRs 8705.2 and 8705.4]

OSMA Yes A

Table

I-3

3. Risk Management Plan [Baseline at SDR]

[Required NPR 8000.4]

OSMA Yes A

Table

I-3

4. Acquisition Strategy [Baseline at SDR] [Required per

NPD 1000.5]

NASA AA No A

Table

I-3

6. Systems Engineering Management Plan

[Baseline at SDR] [Required per NPR 7123.1]

OCE Yes A

Table

I-3

7. Verification and Validation Plan [Baseline at PDR]

[Required per NPR 7120.5, additional information in NPR

7123.1]

OCE Yes A

Table

I-3

8. System Security Plan [Baseline at CDR]

[Required per NPR 2810.1]

OCIO No A

Table

I-3

9. Review Plan [Baseline at SRR] [Required per NPR 7120.5] NASA AA No A

Table

I-3

10. Mission Operations Plan [Baseline at ORR] [Required per

NPR 7120.5]

OCE Yes A

Table

I-3

11. NEPA Compliance Plan [Baseline at PDR] [Required per

NPR 8580.1]

OSI-EMD No A

Table

I-3

12. Integrated Logistics Support Plan [Baseline at PDR]

[Required per NPD 7500.1]

OSI-LMD No A

Table

I-3

14. Configuration Management Plan [Baseline at SDR]

[Required per NPR 7120.5; additional information in NPR

7123.1 and SAE/EIA 649]

OCE Yes A

Table

I-3

15. Security Plan [Baseline at PDR]

[Required per NPR 1040.1 and NPR 1600.1]

OPS No A

Table

I-3

16. Technology Transfer (formerly Export) Control Plan

[Baseline at PDR] [Required per NPR 2190.1]

OIIR No A

Table

I-3

19. Human-Rating Certification Package [Initial at SRR;

certified at MRR/FRR] [Required per NPR 8705.2]

OSMA No A

Table

I-3

20. Quality Assurance Surveillance Plan [Baseline at SDR]

[Required per NPR 8735.2 and NASA FAR Supplement part

1837.604]

OSMA Yes A

Table

I-3

21. Orbital Collision Avoidance Plan [Baseline at PDR]

[Required per NPR 8079.1]

OCE No A

Table

I-3

22. Human Systems Integration Approach [Baseline at SRR]

[additional information in NASA/SP-20210010952 NASA

HSI Handbook and NPR 7123.1]

OCE-OSMA-OCHMO1 No A

Table I-4 Project Milestone Products

Maturity Matrix

Headquarters and Program Products

Table

I-4

1. FAD [Baseline at MCR] [Required per NPR 7120.5] NASA AA No A A

Table

I-4

2. Program Plan [Baseline at MCR] [Required per NPR

7120.5]

NASA AA No A A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 77 of 147

NPR 7120.5F -- AppendixC Page 77 of 147

Table

I-4

2.a. Applicable Agency strategic goals [Baseline at MCR]

[Required per NPR 7123.1]

NASA AA No A A

Table

I-4

2.b. Documentation of program-level requirements and

constraints on the project (from the Program Plan) and

stakeholder expectations, including mission objectives/goals

and mission success criteria

[Baseline at SRR] [Required per NPR 7123.1]

OCE Yes A A

Table

I-4

2.c. Documentation of driving mission, technical, and

programmatic ground rules and assumptions

[Baseline at SDR/MDR] [Required per NPR 7120.5]

NASA AA No A A

Table

I-4

3. Partnerships and interagency and international agreements

[Baseline U.S. partnerships and agreements at SDR/MDR;

Baseline International agreements at PDR]

NASA AA No A A

Table

I-4

4. ASM Decision Memorandum [additional information in

NPD 1000.5]

NASA AA No A A

Table

I-4

5. Mishap Preparedness and Contingency Plan [Baseline at

SMSR] [Required per NPR 8621.1]

OSMA Yes A A

Project Technical Products

Table

I-4

1. Concept Documentation [Approve at MCR] [Required per

NPR 7123.1]

OCE Yes A

Table

I-4

2. Mission, Spacecraft, Ground, and Payload Architectures

[Baseline mission and spacecraft architecture at SRR;

Baseline ground and payload architectures at SDR/MDR]

[Required per NPR 7123.1]

OCE Yes A

Table

I-4

3. Project-Level, System, and Subsystem Requirements

[Baseline project-level and system-level requirements at

SRR; Baseline subsystem requirements at PDR] [Required

per NPR 7123.1]

OCE Yes A

Table

I-4

4. Design Documentation [Baseline at CDR] [Required per

NPR 7123.1]

OCE Yes A

Table

I-4

5. Operations Concept Documentation [Baseline at PDR]

[Required per NPR 7120.5]

OCE Yes A

Table

I-4

6. Technology Readiness Assessment Documentation

[Required per NPR 7120.5 Appendix F FA Template]

OCE Yes A

Table

I-4

7. Engineering Development Assessment Documentation

[Required per NPR 7120.5 Appendix F FA Template]

OCE Yes A

Table

I-4

8. Heritage Assessment Documentation [Required per NPR

7120.5 Appendix F FA Template]

OCE Yes A

Table

I-4

9. Systems Safety Analyses (e.g., safety data packages)

[Baseline at CDR] [Required per NPR 8715.3]

OSMA Yes A

Table

I-4

10. Payload Safety Process Deliverables [Baseline at SIR]

[Required per NPR 8715.7]

OSMA Yes A

Table

I-4

11. Verification and Validation Report

[Baseline at MRR/FRR] [Required per NPR 7123.1]

OCE Yes A

Table

I-4

12. Operations Handbook [Baseline at ORR] [additional

information in NPR 7120.5 Appendix A]

OCE Yes A

Table

I-4

13. Orbital Debris Assessment Report [Final at SMSR]

[Required per NPR 8715.6; additional information in

NASA-STD-8719.14]

OSMA No A A

Table

I-4

14. End of Mission Plans [Baseline at SMSR] [Required per

NPR 8715.6; additional information in NASA-STD-8719.14,

App B]

OSMA Yes A A

Table

I-4

16. Decommissioning/Disposal Plan [Baseline at ORR]

[Required per NPR 7123.1]

OCE Yes A

Table

I-4

17. Industrial Base and Supply Chain Risk Management

(SCRM) Strategy and Status [Baseline at PDR] [Required

per NPR 8735.2]

OSMA No A

Table

I-4

18. Criticality Identification Method for Hardware [Baseline

at PDR] [Required per NPR 8735.2]

OSMA No A

Project Management, Planning, and Control Products

Table

I-4

1. Formulation Agreement [Baseline for Phase A at MCR;

Baseline for Phase B at SDR/MDR] [Required per NPR

7120.5]

NASA AA No A A A

Table

I-4

2. Project Plan [Baseline at PDR] [Required per NPR 7120.5] NASA AA No A A A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

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Page 78 of 147

NPR 7120.5F -- AppendixC Page 78 of 147

Table

I-4

3. Documentation of performance against Formulation

Agreement (see #1 above) or against plans for work to be

accomplished during Implementation life-cycle phase,

including performance against baselines and status/closure of

formal actions from previous KDP [Required per NPR 7120.5]

NASA AA No A

Table

I-4

4. Project Baselines N/A N/A

Table

I-4

4.a. Top technical, cost, schedule and safety risks, risk

mitigation plans, and associated resources [Required per

NPR 7120.5]

NASA AA No A

Table

I-4

4.b. Staffing requirements and plans [Required per NPR

7120.5]

NASA AA No A

Table

I-4

4c.i. Infrastructure requirements and plans [Required per

NPR 9250.1, NPD 8800.14, and NPR 8820.2]

Business case analysis for infrastructure [Required per NPR

8800.15.]

OSI-FRED No A

Table

I-4

4.c.ii. Capitalization Determination Form (CDF) (NASA

Form 1739) [Required per NPR 9250.1]

OCFO No A

Table

I-4

4.d. Schedule [Baseline Integrated Master Schedule at PDR]

[Required per NPR 7120.5]

OCFO-SID No A

Table

I-4

4.e. Cost Estimate [Baseline at PDR] [Required per NPR

7120.5]

OCFO-SID No A

Table

I-4

4.f. Basis of Estimate (cost and schedule) [Required per NPR

7120.5]

OCFO-SID No A

Table

I-4

4.g. Confidence Level(s) and supporting documentation

[Baseline at PDR] [Required per NPR 7120.5]

OCFO-SID No A

Table

I-4

4.h. External Cost and Schedule Commitments

[Baseline at PDR] [Required per NPR 7120.5]

OCFO-SID No A A

Table

I-4

4.i. CADRe [Baseline at SRR] [Required per NPR 7120.5] OCFO-SID No A

Table

I-4

4.j. PMB [Baseline at PDR] [Required per NPR 7120.5 and

NASA EVM Capability Process Documentation]

OCFO-SID No A

Table I-5 Project Plan Control Plans Maturity

Matrix

Table

I-5

1. Technical, Schedule, and Cost Control Plan

[Baseline at SDR/MDR] [Required per NPR 7120.5]

NASA AA No A

Table

I-5

2. Safety and Mission Assurance Plan [Baseline at SRR]

[Required per NPRs 8705.2 and 8705.4]

OSMA Yes A

Table

I-5

3. Risk Management Plan [Baseline at SRR]

[Required per NPR 8000.4]

OSMA Yes A

Table

I-5

4. Acquisition Strategy [Baseline at SRR] [Required per NPD

1000.5]

NASA AA No A

Table

I-5

6. Systems Engineering Management Plan [Baseline at SRR]

[Required per NPR 7123.1]

OCE Yes A

Table

I-5

7. System Security Plan [Baseline at CDR] [Required per

NPR 2810.1]

OCIO No A

Table

I-5

8. Software Management Plan(s) [Baseline at SDR/MDR]

[Required per NPR 7150.2; additional information in

NASA-STD-8739.8]

OCE No A

Table

I-5

9. Verification and Validation Plan [Baseline at PDR]

[Required per NPR 7120.5, additional information in NPR

7123.1]

OCE Yes A

Table

I-5

10. Review Plan [Baseline at SRR] [Required per NPR

7120.5]

NASA AA No A

Table

I-5

11. Mission Operations Plan [Baseline at ORR] [Required per

NPR 7120.5]

OCE Yes A

Table

I-5

12. NEPA Compliance Plan [Baseline at SDR/MDR]

[Required per NPR 8580.1]

OSI-EMD No A

Table

I-5

13. Integrated Logistics Support Plan [Baseline at PDR]

[Required per NPD 7500.1]

OSI-LMD No A

Table

I-5

15. Integration Plan [Baseline at PDR] [Required per NPR

7120.5]

OCE Yes A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 79 of 147

NPR 7120.5F -- AppendixC Page 79 of 147

Table

I-5

16. Configuration Management Plan [Baseline at SRR]

[Required per NPR 7120.5; additional information in NPR

7123.1 and SAE/EIA 649]

OCE Yes A

Table

I-5

17. Security Plan [Baseline at PDR]

[Required per NPR 1040.1 and NPR 1600.1]

OPS No A

Table

I-5

18. Project Protection Plan [Baseline at PDR] [Required per

NPR 1058.1; additional information in NASA-STD-1006]

OCE No A

Table

I-5

19. Technology Transfer (formerly Export) Control Plan

[Baseline at PDR] [Required per NPR 2190.1]

OIIR No A

Table

I-5

21. Human-Rating Certification Package [Initial at SRR;

certified at MRR/FRR] [Required per NPR 8705.2]

OSMA No A

Table

I-5

22. Planetary Protection Plan [Baseline at PDR]

[Required per NPD 8020.7 and NPR 8715.24]

OSMA No A

Table

I-5

23. Nuclear Launch Authorization Plan [Baseline at

SDR/MDR] [additional information in NPR 8715.26]

OSMA No A

Table

I-5

24. Range Safety Risk Management Process Documentation

[Baseline at SIR] [Required per NPR 8715.5]

OSMA Yes A

Table

I-5

26. Quality Assurance Surveillance Plan [Baseline at SDR]

[Required per NPR 8735.2 and NASA FAR Supplement part

1837.604]

OSMA Yes A

Table

I-5

27. Orbital Collision Avoidance Plan [Baseline at PDR]

[Required per NPR 8079.1]

OCE No A

Table

I-5

28. Human Systems Integration Approach [Baseline at SRR]

[additional information in NASA/SP-20210010952 NASA

HSI Handbook and NPR 7123.1]

OCE-OSMA-OCHMO1 No A

Table I-6 Single-Project Program Milestone

Products Maturity Matrix

Table

I-6

1. FAD [Baseline at MCR] [Required per NPR 7120.5] NASA AA No A A

Table

I-6

2. PCA [Baseline at PDR] [Required per NPR 7120.5] NASA AA No A

Table

I-6

3. Traceability of Agency strategic goals and Mission

Directorate requirements and constraints to

program/project-level requirements and constraints

[Baseline at SRR] [Required per NPR 7123.1]

OCE Yes A A

Table

I-6

4. Documentation of driving mission, technical, and

programmatic ground rules and assumptions [Baseline at

SDR/MDR] [Required per NPR 7120.5]

NASA AA No A A

Table

I-6

5. Partnerships and inter-agency and international agreements

[Baseline U.S. partnerships and agreements at SDR/MDR;

Baseline international agreements at PDR]

NASA AA No A A

Table

I-6

6. ASM Decision Memorandum [additional information in

NPD 1000.5]

NASA AA No A A

Table

I-6

7. Mishap Preparedness and Contingency Plan [Baseline at

SMSR] [Required per NPR 8621.1]

OSMA Yes A A

Single-Project Program Technical Products

Table

I-6

1. Concept Documentation [Required per NPR 7123.1] OCE Yes A

Table

I-6

2. Mission, Spacecraft, Ground, and Payload Architectures

[Baseline mission and spacecraft architecture at SRR;

baseline ground and payload architectures at SDR/MDR]

[Required per NPR 7123.1]

OCE Yes/td> A

Table

I-6

3. Project-Level, System, and Subsystem Requirements

[Baseline project-level and system-level requirements at

SRR; baseline subsystem requirements at PDR] [Required

per NPR 7123.1]

OCE No A

Table

I-6

4. Design Documentation [Baseline at CDR] [Required per

NPR 7123.1]

OCE No A

Table

I-6

5. Operations Concept Documentation [Baseline at PDR]

[Required per NPR 7120.5]

OCE Yes A

Table

I-6

6. Technology Readiness Assessment Documentation

[Required per NPR 7120.5 Appendix F FA Template]

OCE Yes A

Table

I-6

7. Engineering Development Assessment Documentation

[Required per NPR 7120.5 Appendix F FA Template]

OCE Yes A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 80 of 147

NPR 7120.5F -- AppendixC Page 80 of 147

Table

I-6

8. Heritage Assessment Documentation [Required per NPR

7120.5 Appendix F FA Template]

OCE Yes A

Table

I-6

9. Systems Safety Analyses (e.g., safety data packages)

[Baseline at CDR]

[Required per NPR 8715.3]

OSMA Yes A

Table

I-6

10. Payload Safety Process Deliverables [Baseline at SIR]

[Required per NPR 8715.7]

OSMA Yes A

Table

I-6

11. Verification and Validation Report [Baseline at

MRR/FRR] [Required per NPR 7123.1]

OCE Yes A

Table

I-6

12. Operations Handbook [Baseline at ORR] [additional

information in NPR 7120.5 Appendix A]

OCE Yes A

Table

I-6

13. Orbital Debris Assessment Report [Final at SMSR]

[Required per NPR 8715.6; additional information in

NASA-STD-8719.14]

OSMA No A A

Table

I-6

14. End of Mission Plans [Baseline at SMSR] [Required per

NPR 8715.6; additional information in NASA-STD-8719.14,

App B]

OSMA Yes A A

Table

I-6

16. Decommissioning/Disposal Plan [Baseline at ORR]

[Required per NPR 7123.1]

OCE Yes A

Table

I-6

17. Industrial Base and Supply Chain Risk Management

(SCRM) Strategy and Status [Baseline at PDR] [Required

per NPR 8735.2]

OSMA No A

Table

I-6

18. Criticality Identification Method for Hardware [Baseline

at PDR] [Required per NPR 8735.2]

OSMA No A

Single-Project Program Management, Planning, and Control

Products

Table

I-6

1. Formulation Agreement [Baseline for Phase A at MCR;

baseline for Phase B at SDR/MDR] [Required per NPR

7120.5]

NASA AA No A A A

Table

I-6

2. Program Plan [Baseline at PDR] [Required per NPR

7120.5]

NASA AA No A A A

Table

I-6

3. Project Plan [Baseline at PDR] [Required per NPR 7120.5] NASA AA No A A A

Table

I-6

4. Documentation of performance against Formulation

Agreement (see #1 above) or against plans for work to be

accomplished during Implementation life-cycle phase,

including performance against baselines and status/closure of

formal actions from previous KDP [Required per NPR 7120.5]

NASA AA No A

Table

I-6

5. Project Baselines N/A N/A

Table

I-6

5.a. Top technical, cost, schedule and safety risks, risk

mitigation plans, and associated resources [Required per

NPR 7120.5]

NASA AA No A

Table

I-6

5.b. Staffing requirements and plans [Required per NPR

7120.5]

NASA AA No A

Table

I-6

5.c.i. Infrastructure requirements and plans [Required per

NPR 9250.1, NPD 8800.14, and NPR 8820.2]

Business case analysis for infrastructure [Required per NPR

8800.15.]

OSI-FRED No A

Table

I-6

5.c.ii. Capitalization Determination Form (CDF) (NASA

Form 1739) [Required per NPR 9250.1]

OCFO No A

Table

I-6

5.d. Schedule [Baseline Integrated Master Schedule at PDR]

[Required per NPR 7120.5]

OCFO-SID No A

Table

I-6

5.e. Cost Estimate (Risk-Informed or Schedule-Adjusted

Depending on Phase) [Risk-informed and schedule-adjusted

baseline at PDR] [Required per NPR 7120.5]

OCFO-SID No A

Table

I-6

5.f. Basis of Estimate (cost and schedule) [Required per NPR

7120.5]

OCFO-SID No A

Table

I-6

5.g. Confidence Level(s) and supporting documentation

[Baseline at PDR] [Required per NPR 7120.5]

OCFO-SID No A

Table

I-6

5.h. External Cost and Schedule Commitments [Baseline at

PDR] [Required per NPR 7120.5]

OCFO-SID No A A

Table

I-6

5.i. CADRe [Baseline at SRR] [Required per NPR 7120.5] OCFO-SID No A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 81 of 147

NPR 7120.5F -- AppendixC Page 81 of 147

Table

I-6

5.j. PMB [Baseline at PDR] [Required per NPR 7120.5 and

NASA EVM Capability Process Documentation]

OCFO-SID No A

Table I-7 Single-Project Program Plan Control Plans

Maturity Matrix

Table

I-7

1. Technical, Schedule, and Cost Control Plan [Baseline at

SDR/MDR] [Required per NPR 7120.5]

NASA AA No A

Table

I-7

2. Safety and Mission Assurance Plan [Baseline at SRR]

[Required per NPRs 8705.2 and 8705.4]

OSMA Yes A

Table

I-7

3. Risk Management Plan [Baseline at SRR] [Required per

NPR 8000.4]

OSMA Yes A

Table

I-7

4. Acquisition Strategy [Baseline at SRR] [Required per NPD

1000.5]

NASA AA No A

Table

I-7

6. Systems Engineering Management Plan [Baseline at SRR]

[per NPR 7123.1]

OCE Yes A

Table

I-7

7. System Security Plan [Baseline at CDR] [Required per

NPR 2810.1]

OCIO No A

Table

I-7

8. Software Management Plan(s) [Baseline at SDR/MDR]

[Required per NPR 7150.2; additional information in

NASA-STD-8739.8]

OCE No A

Table

I-7

9. Verification and Validation Plan [Baseline at PDR]

[Required per NPR 7120.5, additional information in NPR

7123.1

OCE Yes A

Table

I-7

10. Review Plan [Baseline at SRR] [Required per NPR

7120.5]

NASA AA No A

Table

I-7

11. Mission Operations Plan [Baseline at ORR] [Required per

NPR 7120.5]

OCE Yes A

Table

I-7

12. NEPA Compliance Plan [Baseline at SDR/MDR]

[Required per NPR 8580.1]

OSI-EMD No A

Table

I-7

13. Integrated Logistics Support Plan [Baseline at PDR]

[Required per NPD 7500.1]

OSI-LMD No A

Table

I-7

15. Integration Plan [Baseline at PDR] [Required per NPR

7120.5]

OCE Yes A

Table

I-7

16. Configuration Management Plan [Baseline at SRR]

[Required per NPR 7120.5; additional information in NPR

7123.1 and SAE/EIA 649]

OCE Yes A

Table

I-7

17. Security Plan [Baseline at PDR] [Required per NPR

1040.1 and NPR 1600.1]

OPS No A

Table

I-7

18. Project Protection Plan [Baseline at PDR] [Required per

NPR 1058.1; additional information in NASA-STD-1006]

OCE No A

Table

I-7

19. Technology Transfer (formerly Export) Control Plan

[Baseline at PDR] [Required per NPR 2190.1]

OIIR No A

Table

I-7

21. Human-Rating Certification Package [Initial at SRR;

certified at MRR/FRR] [Required per NPR 8705.2]

OSMA No A

Table

I-7

22. Planetary Protection Plan [Baseline at PDR] [Required

per NPD 8020.7 and NPR 8715.24]

OSMA No A

Table

I-7

23. Nuclear Launch Authorization Plan [Baseline at

SDR/MDR] [additional information in NPR 8715.26]

OSMA No A

Table

I-7

24. Range Safety Risk Management Process Documentation

[Baseline at SIR] [Required per NPR 8715.5]

OSMA Yes A

Table

I-7

26. Quality Assurance Surveillance Plan [Baseline at SDR]

[Required per NPR 8735.2 and NASA FAR Supplement part

1837.604]

OSMA Yes A

Table

I-7

27. Orbital Collision Avoidance Plan [Baseline at PDR]

[Required per NPR 8079.1]

OCE No A

Table

I-7

28. Human Systems Integration Approach [Baseline at SRR]

[additional information in NASA/SP-20210010952 NASA

HSI Handbook and NPR 7123.1]

OCE-OSMA-OCHMO1 No A

2.2.8 Projects, single-project programs (and other programs at the

discretion of the MDAA) with a life-cycle cost (LCC) or

initial capability cost (see Section 2.4.1.3.b) estimated to be

greater than $250M shall perform earned value management

(EVM) and comply with EIA-748, Earned Value

Management Systems for all portions of work including

in-house and contracted portions of the project.

OCFO-SID No A A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 82 of 147

NPR 7120.5F -- AppendixC Page 82 of 147

2.2.8.1 Program and project managers with programs and projects

subject to EVM shall utilize the NASA EVM Capability

Process for in-house work.

OCFO-SID No A

2.2.8.2 EVM system requirements for contracted work shall be

applied to suppliers in accordance with the NASA Federal

Acquisition Regulation (FAR) Supplement, independent of

phase and the $250M threshold

(https://www.hq.nasa.gov/office/procurement/regs/NFS.pdf.).

OCFO-SID No A A

2.2.8.3 Mission Directorates shall conduct an IBR in preparation for

KDP C and for major changes that significantly impact the

cost and schedule baseline.

OCFO-SID No A A

2.2.8.4 EVMS surveillance shall be conducted on contracts and

programs and projects with in-house work to ensure

continued compliance with EIA-748, Earned Value

Management Systems.

OCFO-SID No A A

2.2.10 Program and project managers shall complete and maintain a

Compliance Matrix (see Appendix C) for this NPR and attach

it to the Formulation Agreement for projects in Formulation

and/or the Program or Project Plan.

OCE No A

2.2.11 Single-project programs and projects shall develop a Project

Protection Plan that addresses NASA-STD-1006, Space

System Protection Standard in accordance with NPR 1058.1,

Enterprise Protection Program.

OCE No A

2.3.1 Each program and project shall have a Decision Authority the

Agency’s responsible individual who determines whether and

how the program or project proceeds through the life cycle

and the key program or project cost, schedule, and content

parameters that govern the remaining life-cycle activities.

NASA AA No A

2.3.1.1 The MDAA shall inform the NASA AA and Administrator

via email on all Agency Baseline Commitments (ABCs) per

the following: inform the NASA AA on ABCs for

single-project programs and projects with a LCC or initial

capability cost (see Section 2.4.1.3.b) greater than $250M;

and inform the NASA Administrator on ABCs for all

single-project programs and projects with a LCC or initial

capability cost greater than $1B and all Category 1 projects.

(See Section 2.4.1.5 for more information on ABCs.)

NASA AA No A

2.3.2 Each program and project shall have a governing PMC. NASA AA No A

2.3.4 The Center Director (or designee) shall oversee programs and

projects usually through the CMC, which monitors and

evaluates all program and project work (regardless of

category) executed at that Center.

NASA AA No A

2.3.5 Following each LCR, the independent SRB chair and the

program or project manager shall brief the applicable

management councils on the results of the LCR to support the

councils’ assessments.

NASA

No A A A

2.4.1 The decisions by the Decision Authority on whether and how

the program or project proceeds into the next phase shall be

summarized and recorded in the Decision Memorandum

signed at the conclusion of the governing PMC by all parties

with supporting responsibilities, accepting their respective

roles.

NASA AA No A

2.4.1.1 The Decision Memorandum shall describe the constraints and

parameters within which the Agency, the program manager,

and the project manager will operate; the extent to which

changes in plans may be made without additional approval;

any additional actions that came out of the KDP; and the

supporting data (i.e., the cost and schedule datasheet) that

provide further details.

NASA AA No A A

2.4.1.2 A divergence from the Management Agreement that any party

identifies as significant shall be accompanied by an

amendment to the Decision Memorandum.

NASA AA No A A

2.4.1.3 During Formulation, the Decision Memorandum shall

establish a target LCC or initial capability cost range (and

schedule range, if applicable) as well as the Management

Agreement addressing the schedule and resources required to

complete Formulation.

OCFO-SID No A A

2.4.1.3 a For single-project programs and projects with a LCC or initial

capability cost greater than or equal to $1B, the Decision

Memorandum shall establish a high and low value for cost

and schedule with the corresponding JCL value at KDP B.

OCFO-

SID

No A A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 83 of 147

NPR 7120.5F -- AppendixC Page 83 of 147

2.4.1.5 All single-project program managers and project managers

shall document the Agency’s LCC estimate or initial

capability cost estimate and other parameters in the Decision

Memorandum for Implementation (KDP C), and this

becomes the ABC.

NASA AA No A A

2.4.1.5.a For all single-project programs and projects with a definite

Phase E end point, the Agency’s LCC estimate and other

parameters shall become the ABC.

NASA AA No A A

2.4.1.5.b For single-project programs and projects that plan continuing

operations and production, including integration of capability

upgrades, with an unspecified Phase E end point, the initial

capability cost estimate and other parameters shall become

the ABC.

NASA AA No A A

2.4.1.7 Tightly coupled programs shall document their LCC estimate

in accordance with the scope defined in the FAD or PCA, and

other parameters in their Decision Memorandum at KDP I

and update it at subsequent KDPs.

OCFO-SID No A A

2.4.1.8 Programs or projects shall be rebaselined when: (1) the

estimated development cost exceeds the ABC development

cost by 30 percent or more (for projects over $250M, also

that Congress has reauthorized the project); (2) the NASA

AA judges that events external to the Agency make a

rebaseline appropriate; or (3) the NASA AA judges that the

program or project scope defined in the ABC has been

changed or the project has been interrupted.

OCFO-SID No A A

2.4.2 The program or project shall document the basis of estimate

(BOE) for cost estimates and planned schedules in retrievable

program or project records.

OCFO-SID No A

2.4.3.1

Single-project programs with an estimated LCC under $1B

and projects with an estimated LCC greater than $250M and

under $1B shall provide a range of cost and a range for

schedule, each range (with confidence levels identified for

the low and high values of the range) established by a

probabilistic analysis and based on identified resources and

associated uncertainties by fiscal year.

OCFO-SID No A

2.4.3.1

Single-project programs and projects with an estimated LCC

greater than or equal to $1B shall develop a JCL and provide

a high and low value for cost and schedule with the

corresponding JCL value (e.g., 50 percent, 70 percent).

OCFO-SID No A

2.4.3.2 At KDP C, single-project programs (regardless of LCC) and

projects with an estimated LCC greater than $250M shall

develop a cost-loaded schedule and perform a risk-informed

probabilistic analysis that produces a JCL.

OCFO-SID No A

2.4.3.3 At CDR, single-project programs and projects with an

estimated LCC greater than or equal to $1B shall update their

KDP C JCL and communicate the updated JCL values for the

ABC and Management Agreement to the APMC for

informational purposes.

OCFO-SID No A

2.4.3.4 At KDP D, single-project programs and projects with an

estimated LCC greater than or equal to $1B shall update their

JCL if current reported development costs have exceeded the

development ABC cost by 5 percent or more and document

the updated JCL values for the ABC and Management

Agreement in the KDP D Decision Memorandum.

OCFO-SID No A

2.4.3.5 When a single-project program (regardless of LCC) or project

with an estimated LCC greater than $250M is rebaselined, a

JCL shall be calculated and evaluated as a part of the

rebaselining approval process.

OCFO-SID No A A

2.4.4.1 At KDP B, Mission Directorates shall plan and budget

single-project programs and projects with an estimated LCC

greater than or equal to $1B based on a 70 percent JCL or as

approved by the Decision Authority.

OCFO-SID No A

2.4.4.2 At KDP C, Mission Directorates shall plan and budget

single-project programs (regardless of LCC) and projects

with an estimated LCC greater than $250M based on a 70

percent JCL or as approved by the Decision Authority.

OCFO-SID No A

2.4.4.3 At KDP B and KDP C, any JCL approved by the Decision

Authority at less than 70 percent shall be justified and

documented in a Decision Memorandum.

OCFO-SID No A

NPR 7120.5F -- AppendixC

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 84 of 147

NPR 7120.5F -- AppendixC Page 84 of 147

2.4.4.4 At KDP C, Mission Directorates shall ensure funding for

single-project programs (regardless of LCC) and projects

with an estimated LCC greater than $250M is consistent with

the Management Agreement and in no case less than the

equivalent of a 50 percent JCL or as approved by the

Decision Authority.

OCFO-SID No A

2.4.4.5 At KDP C, any funding approved by the Decision Authority

that is inconsistent with the Management Agreement or less

than 50 percent JCL shall be justified and documented in a

Decision Memorandum.

OCFO-SID No A

2.4.5 Tightly coupled, loosely coupled, and uncoupled programs

shall provide analysis of the program’s risk posture to the

governing PMC as each new project reaches KDP B and C or

when a project’s ABC is rebaselined.

OCFO-SID No A A

3.3.1 Programs and projects shall follow the Technical Authority

(TA) process established in this Section 3.3.

OCE No A A A

3.4.1 Programs and projects shall follow the Formal Dissent

process in this Section 3.4.

NASA AA No A A A

3.5.1 Programs and projects shall follow the tailoring process in

this Section 3.5.

NASA AA No A A A

3.5.5 A request for a permanent change to a prescribed

requirement in an Agency or Center document that is

applicable to all programs and projects shall be submitted as

a “change request” to the office responsible for the

requirement policy document unless formally delegated

elsewhere.

NASA AA No A A A

3.6.1 Center Directors negotiating reimbursable space flight work

with another agency shall propose NPR 7120.5 as the basis

by which it will perform the space flight work.

NASA AA No A

3.7.1 Each program and project shall perform and document an

assessment to determine an approach that maximizes the use

of SI.

OCE No A

1 The Human Systems Integration approach requirement is owned by the three TA offices OCHMO, OCE and OSMA. OCE is the POC for this requirement and will

coordinate verifications and relief from requirements with all TAs as necessary.

NPR 7120.5F -- AppendixC

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 85 of 147

NPR 7120.5F -- AppendixC Page 85 of 147

Appendix D. Program Commitment

Agreement Template

D.1 PCA Title Page

Figure D-1 Program Commitment Agreement Title Page

D.2 PCA Template

PROGRAM COMMITMENT AGREEMENT

(PROGRAM TITLE)

1.0 PROGRAM OBJECTIVES

Identify the broad program objectives. Describe the program's relationship to Mission Directorate

goals and objectives as documented in the Directorate's plan. Convey the public good of the program

to the taxpayer, stated in a way that can be understood by the average citizen.

2.0 PROGRAM OVERVIEW

NPR 7120.5F -- AppendixD

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Page 86 of 147

NPR 7120.5F -- AppendixD Page 86 of 147

Describe the strategy to achieve the above-mentioned objectives. Relationships with external

organizations, other agencies, or international partners should be addressed if achievement of the

program objectives is dependent on their performance. Identify the associated projects to be included

in the program as of the writing date. Specify the type of program (i.e., single-project, uncoupled,

loosely coupled, or tightly coupled) and the basis for that classification.

Specify if there are plans for continuing operations and production, including integration of

capability upgrades, with an unspecified Phase E end point, for:

• Each project

• Single-project programs

For such programs and projects, define the scope of the initial capability.

3.0 PROGRAM AUTHORITY

Describe the NASA organizational structure for managing the program and projects from the

MDAA to the NASA Center project managers. Include lines of authority and reporting, and

Center(s) responsibilities. Specifically identify the Decision Authority and governing Program

Management Council (PMC) for oversight of the program, and any delegated Decision Authority

and delegated governing PMC, per Section 2.3 of this NPR.

Document each project's Decision Authority and governing PMC or identify where this information

is documented.

Identify the approving official for new projects.

4.0 TECHNICAL PERFORMANCE COMMITMENT

Summarize the technical performance requirements, identifying baselines and thresholds needed to

achieve the program objectives, as applicable. If the objectives include a technical performance

target (goal) in addition to a threshold requirement, the commitment could be stated as a range.

Demonstrate traceability to Agency strategic goals, outcomes, and requirements.

5.0 SCHEDULE COMMITMENT

Identify the following key target milestones for each project in the program, such as:

1. Start of Formulation.

2. Target date or timeframe for the SDR or MDR.

3. Target date or timeframe for the PDR or the start of implementation.

4. Start of initial capability operations (for single-project programs and projects that plan continuing

operations and production, including integration of capability upgrades, with an unspecified Phase E

end point).

5. Start of operations.

6. End of prime operations and/or disposal, if applicable, or end of initial capability operations.

7. Other milestones or time periods, as appropriate, for a specific program/project.

NPR 7120.5F -- AppendixD

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 87 of 147

NPR 7120.5F -- AppendixD Page 87 of 147

6.0 COST COMMITMENT

Provide the estimated cost range for the program for the ten-year period beginning in the current

fiscal year at a level of detail that identifies the approved individual projects. Identify the constraints

and assumptions used to develop this estimated cost range and specifically identify those

assumptions that drive the range. This cost range should contain all costs necessary to perform the

program, including, but not limited to, customary project activities, required technology

developments, facilities costs, launch vehicles, tracking, operations and sustainment, data analysis,

and disposal. Either reference the most recent Agency budget to provide the first five years of the

estimated program cost or provide the budget required for the next five years. The cost range should

be updated when program content changes, such as the addition of new projects entering

Implementation or when the estimated cost changes. Reference the annual budget contained in the

Integrated Budget and Performance Document (IBPD) for cost phasing.

7.0 ACQUISITION STRATEGY

Provide a high-level summary of the Acquisition Strategy (described in Appendix G, Section 3.4) to

reflect the results of the process for acquisition and the Acquisition Strategy Meeting (ASM).

8.0 HIGH-RISK AREAS

Identify the areas of highest risk for the program (covering safety, technical, institutional, cost, and

schedule issues) in which failure may result in changes to the program/project baseline cost,

schedule, safety, or technical performance requirements. This section should identify, where

possible, the specific risk drivers, such as high-risk technologies upon which the program is

dependent, and mitigation options.

9.0 INTERNAL AGREEMENTS

If the program is dependent on other NASA activities outside of the MDAA's control to meet

program objectives, identify the required support and list any formal agreements required.

10.0 EXTERNAL AGREEMENTS

Explain the involvement of external organizations, other agencies, or international support necessary

to meet the program objectives. Include a brief overview of the program/project relationships with

such external organizations. Include an identification of the commitments being made by the

external organizations, other agencies, or international partners and a listing of the specific

agreements to be concluded. Any unique considerations affecting implementation of required NASA

policies and processes necessitated by the external involvement should be clearly identified, such as

commercial or other partners that will develop end products that are not owned by NASA but are

provided as services to NASA.

11.0 REVIEWS

Specify the program and project life-cycle reviews (per figures 2-2, 2-3, 2-4, and 2-5 in Chapter 2)

that are required to be conducted during the Implementation Phase. Include any other requirements

(e.g., the ASM) and any known unique considerations (e.g., acquisition strategies such as

commercial partnerships, international participation). Identify any planned tailoring to accommodate

aspects of the acquisition strategies (See Section 2.2.4.1) and when the tailoring approach will be

defined. Specify the considerations that will be used to trigger a discussion on the need for a PIR

with the NASA AA (See Section 2.2.4.2 and the NASA Space Flight Program and Project

Management Handbook, Section 5.11.3.)

NPR 7120.5F -- AppendixD

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 88 of 147

NPR 7120.5F -- AppendixD Page 88 of 147

Management Handbook, Section 5.11.3.)

12.0 OUTCOMES

Identify the discrete set of expected deliverables (outcomes) that flow from the Agency goals and

objectives, as defined in the Agency Strategic Plan.

13.0 WAIVERS AND DEVIATIONS

Identify known waivers or deviations that will be sought for the program. Provide a rationale

consistent with program characteristics such as scope, complexity, visibility, cost, safety, and

acceptable risk.

14.0 PCA ACTIVITIES LOG

Provide and maintain a log of all PCA activities, including revisions that reflect all waivers to the

original PCA. This log includes the information shown in Table D-1 and may be supplemented with

an attached addendum for each change, describing the change. The PCA should be updated to add

approved projects or whenever substantial change makes it necessary. The PCA should be

revalidated or updated at each KDP.

Table D-1 Sample Program Commitment Agreement Activities Log

Termination MDAA

Associate

Administrator

Date Event Change Addendum

Review

Req'd

Signature Signature

dd/mm/yy Revalidation None N/A No

dd/mm/yy

Approval of

new project

Addition

of Project

Ref. #1 No

NPR 7120.5F -- AppendixD

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 89 of 147

NPR 7120.5F -- AppendixD Page 89 of 147

Appendix E. Formulation Authorization

Document Template

E.1 Program FAD Title Page

Figure E-1 Program Formulation Authorization Document Title Page

E.2 Project FAD Title Page

NPR 7120.5F -- AppendixE

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Page 90 of 147

NPR 7120.5F -- AppendixE Page 90 of 147

Figure E-2 Project Formulation Authorization Document Title Page

E.3 Program/Project FAD Template

[Program/Project Name] Formulation Authorization Document

[short title or acronym]

1.0 PURPOSE

Describe the purpose of the program/project, including a clear traceability from the goals and

objectives in the Mission Directorate Strategies or Program Plan, as applicable. This need is

independent of any particular technological solution and is stated in terms of functional capabilities.

2.0 AUTHORITY

Describe the NASA organizational structure for managing the Formulation process from the

Mission Directorate Associate Administrator (MDAA) to the NASA Center program/project

managers, as applicable. Include lines of authority, coordination, and reporting. For projects and

single-project programs, the Formulation Authorization Agreement (FAD) provides the basis for the

project's Formulation Agreement. Specifically identify the Decision Authority and the governing

Program Management Council (PMC) for oversight of the program/project, per Section 2.3 of this

NPR.

3.0 PROGRAM TYPE/PROJECT CATEGORY

For programs, identify the program type (uncoupled, loosely coupled, tightly coupled,

single-project). The MDAA determines the type of program with concurrence from the NASA AA.

For projects, identify the project category (Category 1, 2, or 3).

NPR 7120.5F -- AppendixE

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 91 of 147

NPR 7120.5F -- AppendixE Page 91 of 147

4.0 PROGRAM/PROJECT GOALS AND OBJECTIVES

Describe the level or scope of work, goals, and objectives to be accomplished in the Formulation

Phase, Formulation cost targets and constraints, the time available, and any other constraints.

5.0 ANALYSIS OF ALTERNATIVES

Describe plans for conducting analyses of alternatives (AoA) for selecting the mission architecture

and acquisition strategies for the program/project. Define the scope of the analyses and concepts to

be competed, recognizing that some of the AoA content may be developed and documented outside

the program at the Mission Directorate level. Document any assumptions and constraints applicable

to the analyses. Identify the selection criteria to be used, such as safety, cost, affordability, schedule,

and capability, to help ensure that the alternative selected best meets the mission needs. (Rankings

and results of the analyses of alternatives should be documented in the Program or Project Plan.) If

the program/project does not plan to conduct analyses of alternatives, document the justification for

not doing so.

6.0 INTERNAL PARTICIPANTS

Identify Mission Directorates, mission support offices, and Centers to be involved in the activity,

their scope of work, and any known constraints related to their efforts (e.g., the program/project will

be co-funded by a different Mission Directorate).

7.0 EXTERNAL PARTICIPANTS

Identify participation external to NASA to be involved in the activity, their scope of work, and any

known constraints related to their efforts (e.g., the program/project will be co-funded by the external

participant; commercial or other partners that will develop end products that are not owned by

NASA, but are provided as services to NASA; etc.).

8.0 BUDGET AND COST ESTIMATE

Identify, by fiscal year, the funding that will be committed to the program/project during each year

of Formulation. If the Formulation period is less than five years, provide estimated annual costs for

five years. For projects, provide an estimated life-cycle or initial capability cost range that is

consistent with this five fiscal-year cost runout.

9.0 SCHEDULE

For each project, provide the planned date for the completion of Phase A and estimated completion

of Phase B. Provide an estimated date (or range) for the completion of project development. Specify

the planned prime operations period or initial capability operations period.

10.0 LIFE-CYCLE REVIEWS

Specify the program and project life-cycle reviews (per figures 2-2, 2-3, 2-4, and 2-5 in Chapter 2 of

this NPR) that are required to be conducted during the Formulation Phase. Include any other

requirements (e.g., the Decision Framing Meeting or Pre-ASM, ASM) and any known unique

considerations (e.g., acquisition strategies such as commercial partnerships, international

participation). Identify any planned tailoring to accommodate aspects of the acquisition strategies

(See Section 2.2.4.1) and when the tailoring approach will be defined.

NPR 7120.5F -- AppendixE

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 92 of 147

NPR 7120.5F -- AppendixE Page 92 of 147

NPR 7120.5F -- AppendixE

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 93 of 147

NPR 7120.5F -- AppendixE Page 93 of 147

Appendix F. Project Formulation Agreement

Template

F.1 Formulation Agreement Template Instructions

F.1.1 The Formulation Agreement represents the project's or single-project program's response to

the Formulation Authorization Document. (See Appendix E.) It establishes technical and acquisition

work that needs to be conducted during Formulation and defines the schedule and funding

requirements during Phase A and Phase B for that work. The Agreement focuses on the project or

single-project program activities necessary to accurately characterize the complexity and scope of

the project or single-project program; increase understanding of requirements; and identify and

mitigate high technical, acquisition, safety, cost, and schedule risks. It identifies and prioritizes the

Phase A and Phase B technical and acquisition work that will have the most value and enables the

project or single-project program to develop high-fidelity cost and schedule range estimates or high

and low values for cost and schedule with the corresponding JCL values (for projects and

single-project programs with a life-cycle or initial capability cost greater than or equal to $1B) at

KDP B and high-fidelity cost and schedule commitments at KDP C.

F.1.2 The Formulation Agreement serves as a tool for communicating and negotiating the project's

or single-project program's Formulation plans and resource allocations with the program and

Mission Directorate. It allows for differences in approach between competed versus assigned

missions. Variances with NPR 7120.5 product maturities as documented in Appendix I of NPR

7120.5 are identified with supporting rationale in the Agreement. The approved Agreement serves as

authorization for these variances. The Agreement is approved and signed at KDP A and is updated

and resubmitted for signature at KDP B. The Formulation Agreement for KDP A includes detailed

Phase A information and preliminary Phase B information. The Formulation Agreement for KDP B

identifies the progress made during Phase A and updates and details Phase B.

F.1.3 Each section of the Formulation Agreement template is required. If a section is not applicable

to a particular project or single-project program, the project or single-project program indicates that

in the appropriate section and provides a rationale. If a section is applicable but the project or

single-project program desires to omit the section or parts of a section, then a waiver or deviation

needs to be obtained in accordance with the tailoring process for NPR 7120.5. (See Section 3.5.)

Approvals for waivers are documented in the Compliance Matrix, and the Compliance Matrix for

this NPR is attached to the Formulation Agreement. If the format of the completed project or

single-project Formulation Agreement differs from this template, a cross-reference table indicating

where the information for each template paragraph is needs to be provided with the document when

it is submitted for the MDAA signature.

F.1.4 The approval signatures of MDAA, the Center Director, and the program manager certify that

the Formulation Agreement implements all the Agency's applicable institutional requirements or that

the owner of those requirements (e.g., Safety and Mission Assurance) has agreed to the modification

of those requirements contained in the Formulation Agreement.

NPR 7120.5F -- AppendixF

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Page 94 of 147

NPR 7120.5F -- AppendixF Page 94 of 147

F.1.5 Products developed as part of or as a result of the Formulation Agreement may be

incorporated into the Project or Single-Project Program Plan, if appropriate, as the Project or

Single-Project Program Plan is developed during Formulation. The project or single-project program

may use the preliminary Project or Single-Project Program Plan to describe and control the project's

or single-project program's execution as long as the Project or Single-Project Program Plan does not

conflict with the Formulation Agreement.

F.2 Formulation Agreement Title Page

Figure F-1 Formulation Agreement Title Page

F.3 Formulation Agreement Template

[Project or Single-Project Program Name] Formulation Agreement

[short title or acronym]

1.0 Purpose

Describe the purpose of the program/project, including traceability from Formulation Authorization

Agreement (FAD). (See Appendix E.)

2.0 Project or Single-Project Program Formulation Framework

Identify the project or single-project program organization chart for Formulation; identify the initial

NPR 7120.5F -- AppendixF

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Page 95 of 147

NPR 7120.5F -- AppendixF Page 95 of 147

project or single-project program team, key personnel, and responsible Centers and partnerships (as

known) that will contribute during Formulation. Define major roles and responsibilities and identify

any Boards and Panels that will be used during Formulation for decision making and managing

project or single-project program processes.

Specifically identify the Decision Authority and governing Program Management Council (PMC)

for oversight of the program or project, and any delegated Decision Authority and delegated

governing PMC, per Section 2.3 of NPR 7120.5.

3.0 Project or Single-Project Program Plan and Project or Single-Project Program Control

Plans

Document the project's or single-project program's proposed milestones for delivery of the Project or

Single-Project Program Plan and project or single-project program control plans on the project or

single-project program schedule and provide rationale for any differences from requirements in

product maturities as documented in Appendix I of NPR 7120.5, NASA Space Flight Program and

Project Management Requirements.

4.0 Project or Single-Project Program, System, and Subsystem Requirements Flow Down

Document the project's or single-project program's proposed milestones for flow down of

requirements to the project or single-project program, system, and subsystem levels on the project or

single-project program schedule and provide rationale for any differences from requirements in

product maturities as documented in Appendix I of NPR 7120.5. Document the project or

single-project program schedule for development of any models needed to support requirements

development.

5.0 Mission Scenario, Architectures, and Interfaces

Document the project's or single-project program's proposed milestones for producing the mission

concept, mission scenario (or design reference mission), concept of operations, and mission,

spacecraft, payload, and ground systems architectures down to the level of subsystem interfaces.

Include these milestones on the project or single-project program schedule and provide rationale for

any differences from requirements documented in the tables in Appendix I of this NPR.

Reference documentation of the feasible concept, concepts already evaluated, and plans for

additional concepts to be evaluated during Formulation. Documentation should include ground

rules, assumptions, and constraints used for analysis; key architecture drivers, such as redundancy;

preliminary key performance parameters; top-level technical parameters and associated margins; and

preliminary driving requirements. Documentation should also include feasible candidate

architectures; open architecture issues and how and when those issues will be resolved; basic

descriptions of each element; and descriptions of interfaces between elements.

At KDP B update the approved concept and architecture, including a preliminary definition of the

operations concept and updated description of composition of payload/suite of instruments. Identify

the work required to close all architecture and architectural interface issues.

6.0 Trade Studies

Identify spacecraft and ground systems design trade studies planned during phases A and B,

including trade studies that address performance versus cost and risk.

7.0 Risk Mitigation

NPR 7120.5F -- AppendixF

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Page 96 of 147

NPR 7120.5F -- AppendixF Page 96 of 147

Document plans for managing risks during Formulation. Identify the project's or single-project

program's major technical, acquisition, safety, cost, and schedule risks to be addressed during

Formulation, including risks likely to drive the project's or single-project program's cost and

schedule range estimates or high and low values for cost and schedule with the corresponding JCL

values at KDP B, and cost and schedule estimates at KDP C. Describe the associated risk mitigation

plans. Provide rationale for addressing these risks during Formulation.

Document the project's or single-project program's risk mitigation schedule and funding

requirements. Include intermediate milestones and expected progress by KDP B and KDP C.

8.0 Technology Readiness Assessment and Development

Identify the specific new technologies (Technology Readiness Levels (TRL) less than six) that are

part of this project or single-project program; their criticality to the project's or single-project

program's objectives, goals, and success criteria; and the current status of each planned technology

development, including TRL and associated risks. Describe the specific activities and risk mitigation

plans, the responsible organizations, models, and key tests to ensure that the technology maturity

reaches TRL 6 by Preliminary Design Review (PDR). (Refer to NPR 7123.1, NASA Systems

Engineering Processes and Requirements, for TRL definitions and SP-20205003605, Technology

Readiness Assessment Best Practices Guide for technology readiness assessment best practices.)

Identify off-ramp decision gates and strategies for ensuring there are alternative development paths

available if technologies do not mature as expected. Identify potential cost, schedule, or performance

impacts if the technology developments do not reach the required maturity levels.

Provide technology development schedules, including intermediate milestones and funding

requirements, during phases A and B for each identified technology development to achieve TRL 6

by PDR. Describe expected status of each technology development at SRR, MDR/SDR, and PDR.

Reference the preliminary or final Technology Development Plan for details as applicable. Describe

how the program will transition technologies from the development stage to manufacturing,

production, and insertion into the end system. Identify any potential costs and risks associated with

the transition to manufacturing, production, and insertion. Develop and document appropriate

mitigation plans for the identified risks.

9.0 Engineering Development Assessment, Prototyping, and Software Models

Identify major engineering development risks and any engineering prototyping or software model

development that needs to be accomplished during phases A and B to reduce development risk

(Engineering development risks include components and assemblies that have not been previously

built or flown in the planned environment or that have been significantly modified in functionality,

interfaces, power consumption, size, or use of materials.). Provide rationale and potential impacts to

project or single-project program performance, cost, and schedule if development risks are not

addressed. Describe the scope of the prototyping and modeling activities and the expected reduction

of cost and risk by performing this work during Formulation. Include the project or single-project

program's testing philosophy, including functional, environmental, and qualification testing, any life

testing and protoflight test plans, and rationale.

Describe the prototypes and software models to be built, their fidelity (form, fit, and function, etc.),

test environments and objectives, and test dates. Identify any design alternatives if irresolvable

problems are encountered.

NPR 7120.5F -- AppendixF

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Page 97 of 147

NPR 7120.5F -- AppendixF Page 97 of 147

Provide prototype and software model development and test schedules, including intermediate

milestones and funding requirements during phases A and B. Describe expected status and

accomplishments for each prototype or software model at SRR, MDR/SDR, and PDR.]

Focus during Phase A should be on component and subassembly prototypes built to approximately

the correct size, mass, and power, with "flight-like" parts and materials, and tested in a laboratory

environment over the extremes of temperature and radiation (if relevant). Focus during Phase B

should be on testing form, fit, and function prototypes over the extremes of what will be experienced

during flight.

Identify key performance parameters, associated modeling methodologies, and methods for tracking

KPPs throughout Formulation. In addition, identify any planned investments, divestments,

acquisition strategies, procurements, agreements, and changes to capability portfolio capability

components in accordance with requirements and strategic guidance included in NPR 8600.1, NASA

Capability Portfolio Management Requirements. (See Appendix A for definitions of capability

portfolio and capability component.)

10.0 Heritage Assessment and Validation

Identify the major heritage hardware and software assumptions and associated risks and the

activities and reviews planned to validate those assumptions during Formulation. Identify schedule

and funding requirements for those activities. See SP-20205003605, Technology Readiness

Assessment Best Practices Guide.

11.0 Acquisition Strategy and Long-lead Procurements

Identify acquisition and partnership plans during Formulation. Document the project's or

single-project program's proposed milestones for in-house work and procurements, including

completing any Contract Statements of Work (SOW) and Requests for Proposal (RFP) during the

Formulation phase. Identify long-lead procurements to be initiated and provide associated rationale.

Identify procurements of material and services necessary for life-cycle sustainment. Identify

anticipated partnerships (other government agencies and U.S. and international partners), if any,

including roles and contributed items and plans for getting commitments for contributions and

finalizing open inter-agency agreements, domestic partnerships, and foreign contributions. Point to

the preliminary or final Acquisition Strategy for details, as applicable.

Identify major acquisition risks, including long-lead procurement risks and partnership risks.

Identify funding requirements for procurement activities, long-lead procurements, and partnerships.

12.0 Formulation Phase Reviews

Identify and provide schedules for the project or single-project program life-cycle reviews (SRR,

SDR/MDR) and the system and subsystem-level reviews to be held during Formulation. Include

inheritance reviews, prototype design reviews, technology readiness reviews, fault protection

reviews, etc., necessary to reduce risk and enable more accurate cost and schedule range estimates

or high and low values for cost and schedule with the corresponding JCL values at KDP B and more

accurate cost and schedule estimates at KDP C.

13.0 Formulation Phase Cost and Schedule Estimates

Document the project's or single-project program's Formulation Phase schedule and phased funding

requirements, including cost and schedule margins, aligned with the project or single-project

NPR 7120.5F -- AppendixF

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Page 98 of 147

NPR 7120.5F -- AppendixF Page 98 of 147

program Work Breakdown Structure (WBS). Identify the critical path.

Ensure that all funding requirements in this Agreement are included and clearly identifiable.

Summarize funding requirements both in dollars and estimated percent of total costs phases A-D.

Ensure that the schedules for all technology development, engineering prototyping, procurement and

risk mitigation activities, and milestones identified in this Agreement are included and clearly

identifiable. Provide schedule details to the appropriate level to justify Formulation funding

requirements (typically subsystem level).

Include any additional milestones required in product maturities as documented in Appendix I in

NPR 7120.5, including the development of life-cycle or initial capability cost and schedule ranges or

high and low values for cost and schedule with the corresponding JCL values due at KDP B and the

JCL at KDP C, if required.

Identify the schedule for developing the project's or single-project program's EVM capabilities, if

EVM is required.

14.0 Leading Indicators

Document the project's or single-project program's programmatic and technical leading indicators

for the Formulation Phase.

Project or single-project programs develop and maintain the status of a set of programmatic and

technical leading indicators to ensure proper progress and management of the project or

single-project program are achieved during Formulation. Status and trends of leading indicators

should be presented at LCRs and KDPs. These leading indicators include:

Requirement Trends (percent growth, TBD/TBR (to be resolved) closures, number of

requirement changes).

Interface Trends (percent Interface Control Document (ICD) approvals, TBD/TBR burn down,

number of interface requirement changes).

Review Trends (Review Item Discrepancy (RID)/Request for Action (RFA)/Action Item burn

down per review).

Formulation Cost Trends (Plan vs. actual, UFE).

Schedule Trends (critical path slack/float, critical milestone dates).

Staffing Trends (Full-Time Equivalent (FTE)/Work Year Equivalent (WYE) (plan vs. actual)).

Technical Performance Measures (Mass margin, power margin).

Additional project or single-project program-specific indicators, as needed.

These indicators are further explained in the NASA Space Flight Program and Project Management

Handbook, NASA/SP-20220009501; the NASA Project Planning and Control Handbook,

NASA/SP-2016-3424; and the NASA Common Leading Indicators Detailed Reference Guide at

https://nodis3.gsfc.nasa.gov/OCE_rep/OCE_list.cfm.

15.0 Appendices

Appendix A. Acronyms

Appendix B. Definitions

Appendix C. Compliance Matrix for this NPR

NPR 7120.5F -- AppendixF

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NPR 7120.5F -- AppendixF Page 99 of 147

Appendix G. Program Plan Template

G.1 Template Instructions

G.1.1 The Program Plan is an agreement among the program manager, Center Director, and Mission

Directorate Associate Administrator (MDAA). Other Center Directors providing a significant

contribution to the program also concur with the Program Plan to document their commitment to

provide required Center resources. The Program Plan defines the goals and objectives of the

program, the environment within which the program operates, and the Management Agreement

commitments of the program, including identifying the high-level requirements on both the program

and each constituent project. These requirements on the project may be in the body of the Plan or

added as appendices. The Program Plan is to be updated and approved during the program life cycle

if warranted by changes in the stated Management Agreement commitments.

G.1.2 In this Program Plan template, all subordinate plans, collectively called control plans, are

required unless they are not applicable or are marked as "Best Practice" in the applicable table in

Appendix I (i.e., I-Table). (The expectation is that products marked as "Best Practice" will be

developed per the I-Table as part of normal program management activities.) They are based on

requirements in NASA Policy Directives (NPDs) and NASA Procedural Requirements (NPRs) that

affect program/project planning. If a control plan is not applicable to a particular program, indicate

that by stating it is not applicable in the appropriate section and provide a rationale. Control plans

can either be part of the Program Plan or separate stand-alone documents referenced in the

appropriate part of the Program Plan. Considerations for determining if a control plan should be a

stand-alone document include a requirement that the control plan be stand-alone in the NPR that

requires the control plan; differences between when the control plan is baselined and when the

Program Plan is baselined; how frequently the control plan will be updated; and how long the

control plan is. When the control plan is a stand-alone document, the Program Plan contains a

reference to the stand-alone document.

G.1.3 Each section of the Program Plan template is required. If a section is not applicable to a

particular program, indicate in the appropriate section and provide a rationale. If a section is

applicable but the program desires to omit the section or parts of a section, then a waiver needs to be

obtained in accordance with the requirement tailoring process for NPR 7120.5, NASA Space Flight

Program and Project Management Requirements. Approvals are documented in Part 4.0, Waivers or

Deviations Log, of the Program Plan. In addition, the program's Compliance Matrix for this NPR is

attached to the Program Plan. If the format of the completed Program Plan differs from this

template, a cross-reference table indicating where the information for each template paragraph is

needs to be provided with the document when it is submitted for MDAA signature.

G.1.4 The approval signatures of the MDAA, the Center Director, and the program manager certify

that the Program Plan implements all the Agency's applicable institutional requirements or that the

authority responsible for those requirements (e.g., Safety and Mission Assurance, have granted a

deviation or waiver to the modification of those requirements.

G.1.5 Single-project programs may combine the Program and Project Plans into a single document if

the MDAA agrees.

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 100 of 147

G.2 Program Plan Title Page

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 101 of 147

G.3 Program Plan Template

[Program Name] Program Plan

[short title or acronym]

1.0 PROGRAM OVERVIEW

1.1 Introduction

Briefly describe the background of the program and its current status, including results of

Formulation activities, decisions, and documentation. Specify the type of program (i.e.,

single-project, uncoupled, loosely coupled, or tightly coupled) and the basis for that classification.

Specify if there are plans for continuing operations and production, including integration of

capability upgrades, with an unspecified Phase E end point, for:

Each project.

Single-project programs.

1.2 Goals and Objectives

State program goals and specific objectives and provide clear traceability to the Agency's strategic

goals and to Mission Directorate strategic goals and objectives. Program performance goals and

their relationship to NASA program goals set forth in NPD 1001.0, NASA Strategic Plan should be

expressed in an objective, quantifiable, and measurable form. Goals and objectives should include

specific commitments to safety and mission success.

1.3 Program Architecture

Briefly describe the architecture of the program, its major components, and the way they will be

integrated. Describe how the major program components are intended to operate together, and with

legacy systems, as applicable, to achieve program goals and objectives.

Provide a summary-level technical description of the program, including constituent projects and

operations concepts. The description should also include mission description, program interfaces,

facilities, logistics concepts, planned mission results, and data analysis, archiving, and reporting.

Identify driving ground rules and assumptions and major constraints affecting program systems

development (e.g., cost, launch window, required launch vehicle, mission planetary environment,

fuel/engine design, human systems integration, and foreign partners).

For single-project programs and projects that plan continuing operations and production, including

integration of capability upgrades, with an unspecified Phase E end point, define the scope of the

initial capability.

Describe how the program will relate to other organizations within and outside NASA. Reference

Section 3.4, Acquisition Strategy in this template (below) or provide the following information here:

For organizations within NASA, describe the roles of each in the program, including technology

efforts, space communications, and launch services.

For organizations outside NASA, describe the role of each in the program, including other

government agencies, academia, industry, and international partners as they are known at the start of

the program.

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 102 of 147

1.4 Stakeholder Definition

Identify the main stakeholders of the program (e.g., PI, science community, technology community,

public, education community, and Mission Directorate sponsor(s)) and the process to be used within

the program to ensure stakeholder advocacy.

1.5 Program Authority, Management Approach, and Governance Structure

Specifically identify the Decision Authority and governing Program Management Council (PMC)

for oversight of the program, and any delegated Decision Authority and delegated governing PMC,

per Section 2.3 of NPR 7120.5.

Describe the program management structure, including each participating organization's

responsibilities. Identify:

The Center where the program manager resides.

The Centers involved and each Center's responsibilities, as they relate to their respective

requirement allocations referenced in Section 2.1, Requirements Baseline below.

Describe the chain of accountability and decision path outlining the roles and responsibilities of the

Mission Directorate sponsor(s), program manager, Center Director, and other authorities (including

the Technical Authorities), as required. Provide a high-level description of the project's organization

within the program, showing the chain of accountability. Describe clear lines of authority from

projects and Centers to the program, and to the Mission Directorate, and frequency of reporting for

each. Illustrate the organization graphically. Describe the process by which projects are formulated,

approved, and terminated.

1.6 Implementation Approach

Describe briefly the implementation approach of the program, including any applicable guidance or

direction from the ASM review, the acquisition strategy (e.g., in-house, NASA Centers, and

contractor primes), partners, and partner contributions, including acquisition approaches such as

commercial or other partners who will develop end products that are not owned by NASA but

provided as services to NASA, if appropriate. Include make-or-buy decision plans and trade studies.

Identify and document concurrence for any investments, divestments, acquisition strategies,

procurements, agreements, and changes to capability portfolio capability components in accordance

with requirements and strategic guidance included in NPR 8600.1, NASA Capability Portfolio

Management Requirements. (See Appendix A for definitions of capability portfolio and capability

component.)

Document the agreements on the use of implementation policies and practices between the program

manager and participating NASA Centers in this section (or in appendices to the document), along

with the program's approach to ensuring that interfaces do not increase risk to mission success. (For

tightly coupled programs, the program manager, the NASA Chief Engineer, and the Center Chief

Engineers (or designees) participating in the program establish the engineering best practices for the

program. These decisions are documented here.)

2.0 PROGRAM BASELINES

2.1 Requirements Baseline

Program Requirements. Document the high-level program requirements, including performance,

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 103 of 147

safety, and programmatic requirements and correlate them to Agency and Mission Directorate

strategic objectives and requirements. Describe the process by which program requirements are

verified for compliance. Describe the process for controlling changes to program requirements.

Document the traceability of requirements that flow down from Agency- and Center-level policy to

the program and from the program to projects.

Requirements Documentation. For tightly coupled programs and single-project programs,

decompose these high-level requirements into requirements on constituent projects or systems,

specified herein or in a separate, configuration-controlled, program requirements document to be

prepared by the program manager and approved by the MDAA. Additional concurrences may be

required at the option of the NASA AA. There may also be subordinate project requirements

documents controlled at lower levels.

For uncoupled or loosely coupled programs, apply these high-level requirements to generate the

program's requirements on each constituent project. This documentation is controlled by the Mission

Directorate and may be located in the body of the Program Plan or in a subsequent appendix.

Requirements thus documented, and any subsequent changes, require approval of the program

manager, MDAA, and participating Center Director(s).

Program Requirements on Projects. For each project, provide a top-level description, including

the mission's science or exploration objectives. Document the project's category, Decision Authority,

governing PMC, and risk classification or identify where this information is documented. Describe

the project's mission, performance, and safety requirements. For science missions, include baseline

science requirements, threshold science requirements, and mission data requirements. (See

Appendix A for definitions of baseline and threshold science requirements.) Identify the mission

success criteria for each project based on the threshold science requirements. State each requirement

in objective, quantifiable, and verifiable terms. Identify the project's principal schedule milestones,

including Preliminary Design Review (PDR), Critical Design Review (CDR), launch, mission

operational-critical milestones, and the planned decommissioning date. State the development and/or

total life-cycle or initial capability cost constraints on the project. Set forth any budget constraints

by fiscal year. State the specific conditions under which a project Termination Review would be

triggered. Describe any additional requirements on the project (e.g., international partners). If the

mission characteristics indicate a greater emphasis is necessary on maintaining technical, cost, or

schedule, then identify which is most important (e.g., state if the mission is cost capped; or if

schedule is paramount, as for a planetary mission; or if it is critical to accomplish all of the technical

objectives, as for a technology demonstration mission).

2.2 WBS Baseline

Provide the program's Work Breakdown Structure (WBS) and WBS dictionary down to the project

level developed in accordance with guidance provided by the NASA Work Breakdown Structure

(WBS) Handbook, NASA/SP-2010-3404, which can be found on the OCE tab under the "Other

NASA-Level Documents"; menu in NODIS. The WBS will support cost and schedule allocation

down to a project level that allows for unambiguous cost reporting.

2.3 Schedule Baseline

Present a summary of the program's integrated master schedule (IMS), including all critical

milestones, major events, life-cycle reviews, and KDPs throughout the program life cycle. The

summary of the master schedule should include the logical relationships (interdependencies) for the

various program elements and projects and critical paths, as appropriate. Identify driving ground

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 104 of 147

rules, assumptions, and constraints affecting the schedule baseline.

2.4 Resource Baseline

Present the program's funding requirements by fiscal year. State the New Obligation Authority

(NOA) in real-year dollars for all years—prior, current, and remaining. The funding requirements are

to be consistent with the program’s WBS and include funding for all cost elements required by the

Agency’s full-cost accounting procedures. Funding requirements are to be consistent with the

budget. Provide a breakdown of the program’s funding requirements to the WBS Level 2 elements.

Present the program-specific (i.e., not individual project) workforce requirements by fiscal year,

consistent with the program’s funding requirements and WBS. Throughout the Implementation

Phase, baselines are to be based on the joint cost and schedule confidence level in accordance with

NPD 1000.5, Policy for NASA Acquisition and NPR 7120.5.

Describe the program infrastructure requirements (acquisition, renovations, and/or use of real

property/facilities, aircraft, personal property, and information technology). Identify means of

meeting infrastructure requirements through synergy with other existing and planned programs and

projects to avoid duplication of facilities and capabilities. Identify necessary upgrades or new

developments, including those needed for environmental compliance.

Identify driving ground rules, assumptions, and constraints affecting the resource baseline.

Document the constituent projects’ Commitment Baselines (i.e., ABC).

2.5 Joint Cost and Schedule Confidence Level

For single-project programs, document the joint cost and schedule confidence level approved by the

Decision Authority at KDP C. For single-project programs with an estimated life-cycle or initial

capability cost greater than or equal to $1B, update the joint cost and schedule confidence level at

CDR and at KDP D (if applicable).

3.0 PROGRAM CONTROL PLANS

3.1 Technical, Schedule, and Cost Control Plan

This control plan will include the following:

Describe the plan to monitor and control the program requirements, technical design, schedule, and

cost to achieve its high-level requirements.

Describe the program's performance measures in objective, quantifiable, and measurable terms and

document how the measures are traced from the program high-level requirements. Establish baseline

and threshold values for the performance metrics to be achieved at each Key Decision Point (KDP),

as appropriate. In addition, document the mission success criteria associated with the program-level

requirements that, if not met, trigger consideration of a Termination Review.

Tightly coupled and single-project programs also develop and maintain the status of a set of

programmatic and technical leading indicators to ensure proper progress and management of the

program. Status and trends of leading indicators should be presented at LCRs and KDPs. These

leading indicators include:

Requirement Trends (percent growth, TBD/TBR closures, number of requirement changes).

Interface Trends (percent ICD approval, TBD/TBR burn down, number of interface

requirement changes).

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 105 of 147

requirement changes).

Verification Trends (closure burn down, number of deviations/waivers approved/open).

Review Trends (RID/RFA/Action Item burn down per review).

Software Unique Trends (number of requirements per build/release versus plan).

Problem Report/Discrepancy Report Trends (number open, number closed).

Cost Trends (Plan vs. actual, UFE, EVM).

Schedule Trends (critical path slack/float, critical milestone dates).

Staffing Trends (FTE/WYE plan vs. actual).

Technical Performance Measures (Mass margin, power margin).

Manufacturing Trends (Number of nonconformance/corrective actions (open/

closed/resolved)).

Additional program-specific indicators, as needed.

These indicators are further explained in the NASA Space Flight Program and Project Management

Handbook, NASA/SP-20220009501; the NASA Project Planning and Control Handbook,

NASA/SP-2016-3424; and the NASA Common Leading Indicators Detailed Reference Guide at

https://nodis3.gsfc.nasa.gov/OCE_rep/OCE_list.cfm.

Describe how constituent projects will periodically report performance. Describe mitigation

approach if projects are exceeding their development cost documented in the ABC to enable

corrective action prior to triggering the 30 percent breach threshold. Describe how projects will

support a baseline review in the event the Decision Authority (DA) directs one. Describe how the

program will implement the Système Internationale (SI) and other systems of measurement and the

identification of units of measure in all product documentation. Where full implementation of the SI

system of measurement is not practical, hybrid configurations (i.e., a controlled mix of SI and

non-SI system elements) may be used to support maximum practical use of SI units for design,

development, and operations. Where hybrid configurations are used, describe the specific

requirements established to control interfaces between elements using different measurement

systems. (See NPR 7120.5, Section 3.7, for SI assessment timing requirement.)

Describe the program's implementation of Technical Authority (Engineering, Safety and Mission

Assurance, and Health and Medical).

For single-project programs, describe the program's EVMS (see Appendix H, Section 3.1); For

tightly coupled programs, describe the program's EVMS, if EVM requirements are to be levied at

the program level. For loosely coupled or uncoupled programs, describe the EVM requirements

flowed down to the projects. Include plan for flow down of EVM requirements and reporting to

support project EVM.

Describe any additional specific tools the program will use to implement the program control

processes (e.g., the requirements management system, the program scheduling system, or the

program information management systems).

Describe how the program will monitor and control the integrated master schedule (IMS).

Describe how the program will utilize its technical and schedule margins and Unallocated Future

Expense (UFE) to control the Management Agreement.

Describe how the program plans to report technical, schedule, and cost status to the MDAA,

including frequency and the level of detail.

Describe how the program will address technical waivers and deviations and how Formal Dissents

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 106 of 147

will be handled.

3.2 Safety and Mission Assurance Plan

Develop a program Safety and Mission Assurance (SMA) Plan as required by NPR 8705.2,

Human-Rating Requirements for Space Systems for crewed missions and NPR 8705.4, Risk

Classification for NASA Payloads for un-crewed missions and payloads.

The SMA Plan reflects a program life-cycle SMA process perspective, addressing areas including:

SMA domain management and integration (e.g., for safety, reliability, maintainability, quality,

planetary protection, etc.) with other engineering and management functions (e.g., concept and

design trade-studies; risk analysis and risk assessments; risk-informed decision making; fault

tolerance and contingency planning; knowledge capture; hardware and software design assurance;

supply chain risk management and procurement; hardware and software design verification, and

test; manufacturing process design and control; manufacturing and product quality assurance; system

verification and test; pre-flight verification and test; operations; maintenance; logistics planning;

maintainability and sustainability; operational reliability and availability; decommissioning; and

disposal).

Describe how the program will develop and manage a Closed-Loop Problem Reporting and

Resolution System. Describe how the program develops, tracks, and resolves problems. The process

should include a well-defined data collection system and process for hardware and software

problems and anomaly reports, problem analysis, and corrective action.

Identify the program’s approach to flow down requirements as appropriate to external developers

and suppliers in acquisitions (e.g., contracts and purchase orders).

Describe how the program will develop, evaluate, and report indications of SMA program maturity

and effectiveness at life cycle or other executive reviews, including through the use of metrics and

indicators that are not otherwise included in formal life cycle review deliverables or are not

elements of the certification of flight readiness (COFR) process (e.g., satisfactory progress towards

human rating).

3.3 Risk Management Plan

Develop a Risk Management Plan that includes the content required by NPR 8000.4, Agency Risk

Management Procedural Requirements. Summarize how the program will implement the NASA risk

management process (including risk-informed decision making (RIDM) and continuous risk

management (CRM) in accordance with NPR 8000.4, Agency Risk Management Procedural

Requirements. Include the initial Significant Risk List and appropriate actions to mitigate each risk.

Programs with international or other U.S. Government agency contributions need to plan for, assess,

and report on risks due to international or other government partners and plan for contingencies.

3.4 Acquisition Strategy

The program Acquisition Strategy is developed by the program manager, supported by the Office of

Procurement, and needs to be consistent with NPD 1000.5, Policy for NASA Acquisition, the results

of the Agency strategic acquisition process, and the ASM. The elements of the program Acquisition

Strategy should be reflected in any resulting Procurement Strategy Meeting (PSM) for individual

procurement activity supporting the program Acquisition Strategy. It documents an integrated

acquisition strategy that enables the program to meet its mission objectives and provides the best

value to NASA. The Acquisition Strategy should include, but is not limited to, the following:

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 107 of 147

Identify all major proposed acquisitions (such as engineering design study, hardware and software

development, mission and data operations support, and sustainment) in relation to the program

WBS. Provide summary information on each such proposed acquisition, including a Contract WBS;

major deliverable items; recommended type of procurement (competitive, AO for instruments); type

of contract (cost-reimbursable, fixed-price); source (institutional, contractor, other U.S. Government

agency, or international organization); procuring activity; and surveillance approach. Identify those

major procurements that require a PSM.

Describe completed or planned studies supporting make-or-buy decisions, considering NASA’s

in-house capabilities and the maintenance of NASA’s core competencies, as well as cost and best

overall value to NASA.

Describe the state of the industrial base capability and identify potential critical and single-source

suppliers needed to design, develop, produce, support, and, if appropriate, restart an acquisition

program or project. The acquisition strategy should promote sufficient program/project stability to

encourage industry to invest, plan, and bear their share of risk. Describe the internal and external

mechanisms and procedures used to identify, monitor, and mitigate industrial base and supply chain

risks. Include data reporting relationships to allow continuous surveillance of the entire supply chain

that provides for timely notification and mitigation of potential risks associated with the industrial

base or supply chain. Describe the process for reporting industrial base and supply chain risks to the

MDAA.

Identify the program’s approach to strengthen safety and mission assurance in the contract.

Describe all agreements, memoranda of understanding, barters, in-kind contributions, and other

arrangements for collaborative and/or cooperative relationships. Include partnerships created

through mechanisms other than those prescribed in the FAR and the NFS. List all such agreements

(the configuration control numbers, the date signed or projected dates of approval, and associated

record requirements) necessary for program success. Include or reference all agreements concluded

with the authority of the program manager and reference agreements concluded with the authority of

the MDAA and above. Include the following:

(1) NASA agreements (e.g., space communications, launch services, and inter-Center memoranda of

agreement).

(2) Non-NASA agreements:

(a) Domestic (e.g., U.S. Government agencies).

(b) International (e.g., memoranda of understanding).

Describe intellectual property considerations and goals for advanced technologies to protect core

NASA interests during the program life cycle; the process for respecting and protecting privately

developed intellectual property; the process for ensuring acquisition strategies, proposals, and

contract awards reflect intellectual property considerations established for the program; the approach

for ensuring that the intellectual property strategy promotes competition for post-production

sustainment/modernization contracts; the approach for seeking flexible and creative solutions to

intellectual property issues that meet the desires of the parties and reflect NASA’s investment; the

approach for ensuring procurement contracts specify both (1) the delivery of necessary technical

data and computer software and (2) the license rights necessary for technical data and computer

software; and the approach for ensuring the delivery of technical data and computer software under

NPR 7120.5F -- AppendixG

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procurement contracts is marked in accordance with the contract at the time of delivery.

3.5 Technology Development Plan

Describe the technology assessment, development, management, and acquisition strategies

(including intellectual property considerations) needed to achieve the program’s mission objectives.

Describe how the program will assess its technology development requirements, including how the

program will evaluate the feasibility, availability, readiness, cost, risk, and benefit of the new

technologies. The approach should include timely reporting of new technologies to the Center

Technology Transfer Office and supporting technology transfer activities as described in NPR

7500.2, NASA Technology Transfer Requirements.

Describe how the program will identify opportunities for leveraging on-going technology efforts.

Describe how the program will transition technologies from the development stage to the

manufacturing and production phases. Identify the supply chain needed to manufacture the

technology and any costs and risks associated with the transition to the manufacturing and

production phases. Develop and document appropriate mitigation plans for the identified risks.

Describe the program's strategy for ensuring that there are alternative development paths available

if/when technologies do not mature as expected. (Refer to NPR 7123.1 for TRL definitions and

SP-20205003605, Technology Readiness Assessment Best Practices Guide for technology readiness

assessment best practices. The Technology Readiness Assessment Best Practices Guide can be

found in NODIS on the OCE tab under the “Other NASA-Level Documents” menu.)

Describe how the program will remove technology gaps, including maturation, validation, and

insertion plans, performance measurement at quantifiable milestones, off-ramp decision gates, and

resources required.

Describe briefly how the program will ensure that all planned technology exchanges, contracts, and

partnership agreements comply with all laws and regulations regarding export control and the

transfer of sensitive and proprietary information.

Describe how the program will transition technologies from the development stage to manufacturing,

production, and insertion into the end system. Identify any potential costs and risks associated with

the transition to manufacturing, production, and insertion. Develop and document appropriate

mitigation plans for the identified risks.

3.6 Systems Engineering Management Plan

Develop a SEMP that includes the content required by NPR 7123.1, NASA Systems Engineering

Processes and Requirements. Include descriptions of the program’s overall approach for systems

engineering, to include system design and product realization processes (implementation and/or

integration, verification and validation, and transition), as well as the technical management

processes.

3.7 Verification and Validation Plan

Summarize the approach for performing verification and validation of the program products. Indicate

the methodology to be used in the verification/validation (test, analysis, inspection, or

demonstration) as defined in NPR 7123.1, NASA Systems Engineering Processes and

Requirements.

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 109 of 147

3.8 System Security Plan

Identify and prepare a System Security Plan for each information system. The System Security Plan

is a formal document that provides an overview of the security requirements for an information

system and describes the security controls in place or planned for meeting those requirements.

System Security Plans are generated and stored within the NASA Risk Information and Security

Compliance System (RISCS) at https://riscs-info.nasa.gov/. Multiple systems may be covered under

a single System Security Plan. Controls selected within the System Security Plan are included as

system requirements for the system or systems covered by the plan.

Document the program's approach to implementing cybersecurity requirements in accordance with

NPR 2810.1, Security of Information and Information Systems, if there are requirements outside the

scope of the System Security Plan(s).

3.9 Review Plan

Summarize the program’s approach for conducting a series of reviews, including internal reviews

and program life-cycle reviews. In accordance with Center best practices, Mission Directorate

review requirements, and the requirements in NPR 7123.1, NASA Systems Engineering Processes

and Requirements and NPR 7120.5, NASA Space Flight Program and Project Management

Requirements, provide the names, purposes, content, and timing of the life-cycle reviews.

Identify any deviations from these documents that the program is planning or waivers that have

been granted, including tailoring to accommodate aspects of acquisition strategies. Specify the

considerations that will be used to trigger a discussion on the need for a PIR with the NASA AA.

(See Section 2.2.4.2 and the NASA Space Flight Program and Project Management Handbook,

Section 5.11.3.) Provide the technical, scientific, schedule, cost, and other criteria that will be

utilized in the consideration of a Termination Review.

For single-project programs that plan continuing operations and production, including integration of

capability upgrades, with an unspecified Phase E end point, define the initial capability in the

Review Plan for KDP B if the initial capability is not the first operational mission flight.

For tightly coupled programs that involve multiple Centers, document the program life-cycle review

requirements on the supporting projects that represent an integrated review process for the various

projects and take into consideration the participating Centers’ review process best practices. For each

program life-cycle review and KDP, document the sequencing of the associated project life-cycle

reviews and KDPs, i.e., whether the associated project life-cycle reviews and KDPs precede or

follow the program life-cycle review and KDP. In addition, document which projects should proceed

to their KDPs together, which projects should proceed to their KDPs simultaneously with the

program KDP, and which projects may proceed to their KDPs as individual projects.

The sequencing of project life-cycle reviews and KDPs with respect to program life-cycle reviews

and KDPs is especially important for project PDR life-cycle reviews that precede KDP Cs. At KDP

C, the Agency makes project technical, cost, and schedule commitments to its external stakeholders

at the established JCL in accordance with NPR 7120.5 requirements. Since changes to one project

can easily impact other projects’ technical, cost, schedule, and risk baselines, projects and their

program may need to proceed to KDP C/KDP I together.

3.10 Mission Operations Plan

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 110 of 147

Describe the activities required to perform the mission. Describe how the program will implement

the associated facilities, hardware, software, and procedures required to complete the mission.

Describe mission operations plans, rules, and constraints. Describe the Mission Operations System

(MOS) and Ground Data System (GDS) in the following terms:

MOS and GDS human resources and training requirements.

Procedures to ensure that operations are conducted in a reliable, consistent, and controlled

manner using lessons learned during the program and from previous programs.

Facilities requirements (offices, conference rooms, operations areas, simulators, and test beds).

Hardware (ground-based communications and computing hardware and associated

documentation).

Software (ground-based software and associated documentation).

3.11 NEPA Compliance Plan

Describe the level of NEPA analysis planned to comply with NPR 8580.1, Implementing the

National Environmental Policy Act, and Executive Order 12114. The NEPA Compliance Plan

should be prepared based on consultation with the appropriate NEPA manager (Center NEPA

Manager or Mission Direction NEPA Liaison) and describe the program's NEPA strategy at all

affected Centers, including decisions regarding programmatic NEPA documents. Insert into the

program schedule the critical NEPA milestones if preparation of an Environmental Assessment or

Environmental Impact Statement is planned.

3.12 Integrated Logistics Support Plan

Describe how the program will implement NPD 7500.1, Program and Project Life-Cycle Logistics

Support Policy, including a maintenance and support concept; participation in the design process to

enhance supportability; supply support; maintenance and maintenance planning; packaging,

handling, and transportation; technical data and documentation; support and test equipment; training;

manpower and personnel for Integrated Logistics Support (ILS) functions; facilities required for ILS

functions; and logistics information systems for the life of the program.

3.13 Science Data Management Plan

Describe how the program will manage the scientific data generated and captured by the operational

mission(s) and any samples collected and returned for analysis. Include descriptions of how data will

be generated, processed, distributed, analyzed, and archived, as well as how any samples will be

collected, stored during the mission, and managed when returned to Earth. The Plan should include

definitions of data rights and services and access to samples, as appropriate. Identify where the

preliminary science data requirements will be documented (these requirements should be

documented by SRR). The Plan should be developed in consultation with the Mission Directorate

data leads and the Office of the Chief Information Officer (OCIO) early in the program life-cycle to

ensure that metadata standards and data formats are appropriately considered and that infrastructure

and security requirements are addressed.

Explain how the program will accomplish the information management and disposition in NPD

2200.1, Management of NASA Scientific and Technical Information; NPR 2200.2, Requirements for

Documentation, Approval and Dissemination of Scientific and Technical Information; and NPR

1441.1, NASA Records Management Program Requirements, as applicable to program science data.

Explain how the program will implement NASA sample handling, curation, and planetary protection

directives and rules, including NPR 8715.24, Planetary Protection Provisions for Robotic

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 111 of 147

Extraterrestrial Missions.

3.14 Configuration Management Plan

Describe the configuration management (CM) approach that the program team will implement.

Describe the CM planning and management function including the CM organization and tools to be

used. Describe the methods and procedures to be used for configuration identification, configuration

control, interface management, configuration change management, configuration verification and

audit, and configuration status accounting and communications. Describe how CM will be audited

and how contractor CM processes will be integrated with the program. Configuration Management

should address hardware, software, and firmware. Additional information on configuration

management is provided in NPR 7123.1 and SAE/EIA 649, Standard for Configuration

Management.

3.15 Security Plan

Describe the program's plans for ensuring security, including:

Security Requirements: Describe the program's approach for planning and implementing the

requirements for physical, personnel, and industrial security, and for security awareness/education

requirements in accordance with NPR 1600.1, NASA Security Program Procedural Requirements.

Emergency Response Requirements: Describe the program's emergency response plan in accordance

with NPR 1040.1, NASA Continuity of Operations (COOP) Planning Procedural Requirements and

define the range and scope of potential crises and specific response actions, timing of notifications

and actions, and responsibilities of key individuals.

3.16 Technology Transfer (formerly Export) Control Plan

Describe how the program will implement the export control requirements specified in

NPR 2190.1, NASA Export Control Program.

3.17 Communications Plan

Develop a Communications Plan in collaboration with the Associate Administrator for the Office of

Communications or their designee that identifies key program milestones that will be of interest to

the general public, the media, and other key stakeholders and plans to engage these audiences via

audio and real and/or near real-time high resolution video and/or imagery for each milestone

including during full mission operations. Summarize how these efforts will promote understanding

of and engagement with program objectives, elements, benefits, and contributions to overarching

NASA goals. In collaboration with the Associate Administrator for the Office of Communications or

their designee, identify resources and technical requirements for implementation of communications

for the general public, media, and other key stakeholders. (See the Communications Plan Template

(on the Web site for the Office of Communications,

http://communications.nasa.gov/content/nasa-comm-guidelines.)

3.18 Knowledge Management Plan

Describe the program's approach to creating the program's knowledge management strategy and

processes. Strategy should include practices for examining the lessons learned database for relevant

lessons that can be reflected in the program early in the planning process to avoid known issues;

identifying, capturing, and transferring knowledge; and continuously capturing and documenting

NPR 7120.5F -- AppendixG

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lessons learned throughout the program life cycle in accordance with NPD 7120.4, NASA

Engineering and Program/Project Management Policy and as described in NPD 7120.6, Knowledge

Policy for Programs and Projects and other appropriate requirements and standards documentation.

3.19 Human-Rating Certification Package

For human space flight missions, develop a Human-Rating Certification Package per

NPR 8705.2, Human-Rating Requirements for Space Systems. Human-rating certification focuses

on the integration of the human into the system, preventing catastrophic events during the mission,

and protecting the health and safety of humans involved in or exposed to space activities,

specifically the public, crew, passengers, and ground personnel.

3.20 Quality Assurance Surveillance Plan

Develop a consolidated set of detailed instructions for the performance of Government contract

quality assurance review and evaluation for the program. The plan might include contractor

documents, data, and records; products and product attributes; processes; quality system

elements/attributes; and requirements related to quality data analysis, nonconformance reporting and

corrective action tracking/resolution, and final product acceptance. (See NASA-STD-8709.22,

Safety and Mission Assurance Acronyms, Abbreviations, and Definitions.)

3.21 Orbital Collision Avoidance Plan

Describe how the program implements the design considerations and preparation for operations to

avoid in-space collisions. The plan ensures the space flight mission meets the requirements of NPR

8079.1, NASA Spacecraft Conjunction Analysis and Collision Avoidance for Space Environment

Protection. Include in the plan a project overview including a concept of operation, how orbit

selection was performed, the spacecraft's ascent and descent plan, how the spacecraft's location

tracking data will be generated, and whether there will be any autonomous flight control. Discuss

how the spacecraft's design will enable it to be acquired and tracked by the Space Surveillance

Network and be cataloged by the U.S. Space Command. Describe the process to routinely coordinate

with other operator(s) for maneuvering. Appendix D of the NPR provides a template for this plan.

(See NPR 8079.1, NASA Spacecraft Conjunction Analysis and Collision Avoidance for Space

Environment Protection for more detail and plan template.)

3.22 Human Systems Integration Approach

Tightly coupled and single-project programs develop a Human Systems Integration (HSI) approach

in accordance with NPR 7123.1. (See the NASA Human Systems Integration (HSI) Handbook,

NASA/SP-20210010952, for additional information.)

4.0 WAIVERS OR DEVIATIONS LOG

Identify NPR 7120.5 requirements for which a waiver or deviation has been requested and approved

consistent with program characteristics such as scope, complexity, visibility, cost, safety, and

acceptable risk, and provide rationale and approvals.

5.0 CHANGE LOG

Record changes in the Program Plan.

6.0 APPENDICES

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 113 of 147

Appendix A. Acronyms

Appendix B . Definitions

Appendix C. Compliance Matrix for this NPR

NPR 7120.5F -- AppendixG

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NPR 7120.5F -- AppendixG Page 114 of 147

Appendix H. Project Plan Template

H.1 Template Instructions

H.1.1 The Project Plan is an agreement among the project manager, program manager, Center

Director, and the Mission Directorate Associate Administrator (MDAA). Other Center Directors

providing a significant contribution to the project also concur with the Project Plan to document their

commitment to provide required Center resources. It defines, at a high level, the scope of the

project, the implementation approach, the environment within which the project operates, and the

baseline commitments of the program and project. The Project Plan is consistent with the Program

Plan. The Project Plan is updated and approved during the project life cycle in response to changes

in program requirements on the project or the baseline commitments.

H.1.2 In this Project Plan template, all subordinate plans, collectively called control plans, are

required unless they are not applicable or are marked as “Best Practice” in the applicable table in

Appendix I (i.e., I-Table). (The expectation is that products marked as “Best Practice” will be

developed per the I-Table as part of normal project management activities.) They are based on

requirements in NASA Policy Directives (NPDs) and NASA Procedural Requirements (NPRs) that

affect program/project planning. If a control plan is not applicable to a particular project, indicate

that by stating it is not applicable in the appropriate section and provide a rationale. Control plans

can either be a part of the Project Plan or separate stand-alone documents referenced in the

appropriate part of the Project Plan. Considerations for determining if a control plan should be a

stand-alone document include a requirement that the control plan be stand-alone in the NPR that

requires the control plan; differences between when the control plan is baselined and when the

Project Plan is baselined; how frequently the control plan will be updated since updates to the

Project Plan require signatures; and how long the control plan is. When the control plan is a

stand-alone document, the Project Plan contains a reference to the stand-alone document.

H.1.3 Each section of the Project Plan template is required. If a section is not applicable to a

particular project, indicate by stating that in the appropriate section and provide a rationale. If a

section is applicable but the project desires to omit the section or parts of a section, then a waiver or

deviation needs to be obtained in accordance with the requirement tailoring process for

NPR 7120.5. If the format of the completed Project Plan differs from this template, a cross-reference

table indicating where the information for each template paragraph is needs to be provided with the

document when it is submitted for MDAA signature. Approvals are documented in Part 4.0, Waivers

or Deviations Log, of the Project Plan. In addition, the project’s Compliance Matrix for this NPR is

attached to the Project Plan.

H.1.4 The approval signatures of the MDAA, the Center Director, program manager, and project

manager certify that the Project Plan implements all the Agency’s applicable institutional

requirements or that the authority responsible for those requirements (e.g., Safety and Mission

Assurance) have agreed to the modification of those requirements contained in the Project Plan.

H.1.5 Single-project programs may combine the Program and Project Plans into a single document if

the MDAA agrees.

H.2 Project Plan Title Page

NPR 7120.5F -- AppendixH

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NPR 7120.5F -- AppendixH Page 115 of 147

H.3 Project Plan Template

[Project Name] PROJECT PLAN

[short title or acronym]

NPR 7120.5F -- AppendixH

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1.0 PROJECT OVERVIEW

1.1 Introduction

Briefly describe the background of the project and its current status, including results of Formulation

activities, decisions, and documentation. Document the project’s category and NASA payload

development risk classification (see NPR 8705.4, Risk Classification for NASA Payloads), as stated

in the program requirements on the project.

Specify if there are plans for continuing operations and production, including integration of

capability upgrades, with an unspecified Phase E end point.

1.2 Objectives

State the specific project objectives and high-level performance goals levied on the project by the

program. Include performance, schedule, cost, and technology development objectives, as

applicable. Identify program requirements and constraints on the project. Provide clear traceability

to applicable Agency strategic goals.

1.3 Mission Description and Technical Approach

Describe briefly the mission and the mission design. Include mission objectives and goals, mission

success criteria, and driving ground rules and assumptions affecting the mission and mission design.

Identify key characteristics of the mission, such as launch date(s), flight plans, and the key phases

and events on the mission timeline, including end of mission. For projects that plan continuing

operations and production, including integration of capability upgrades, with an unspecified Phase E

end point, define the scope of the initial capability. Use drawings, figures, charts, etc., for

clarification. Describe planned mission results, data archiving, and reporting.

Provide a brief description of the technical approach, including constituent launch, flight, and

ground systems, operations concepts, and logistics concepts. Describe the systems to be developed

(hardware and software), legacy systems, system interfaces, and facilities. Identify driving technical

ground rules and assumptions, and major constraints affecting system development (e.g., cost,

launch window, required launch vehicle, mission planetary environment, fuel/engine design, human

systems integration, and international partners).

1.4 Project Authority, Governance Structure, Management Structure, and Implementation

Approach

Describe the governance structure based on the project category. Specifically identify the Decision

Authority and governing PMC responsible for oversight of the project and any delegated Decision

Authority and delegated governing PMC, per Section 2.3 of NPR 7120.5, NASA Space Flight

Program and Project Management Requirements.

Identify the Center where the project manager resides. Describe other Centers’ responsibilities, if

any. Describe the chain of accountability and decision path that outlines the roles and

responsibilities of the project manager, program manager, Center Director, principal investigator,

and project scientist, as appropriate, and other authorities as required per the project’s

categorization.

Define the relationships among various elements and organizations within the project structure,

including all stakeholders, team members, and supporting organizations. (This includes Technical

Authorities.) Describe the project’s approach for fostering effective upward and downward

NPR 7120.5F -- AppendixH

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NPR 7120.5F -- AppendixH Page 117 of 147

communication of critical management, technical, risk, and safety information. (This includes the

Formal Dissent process.) Describe the process that the project will follow to communicate with the

Center Management Council (CMC) and the Integrated Center Management Council (ICMC) if

applicable. Describe briefly the process for problem reporting and subsequent decision making,

clearly describing the roles and responsibilities of all organizations. Describe any use of special

boards and committees.

Describe the project management structure consistent with the project Work Breakdown Structure

(WBS), including organization and responsibilities, its integration with the parent program

management structure, and NASA Center(s) participation. Describe clear lines of authority within

the project team and between the project, the program office, the primary Center, the Mission

Directorate, other participating Centers, and other participating organizations. Illustrate the

organization graphically.

Describe briefly the implementation approach of the project, including any applicable guidance or

direction from the Acquisition Strategy Meeting (ASM) review, the acquisition strategy (e.g.,

in-house, NASA Centers, and contractor primes), partners, and partner contributions, including

acquisition approaches such as commercial or other partners that will develop end products that are

not owned by NASA but are provided as services to NASA, if appropriate. Describe briefly other

program/project dependencies with NASA, other U.S. Government agencies, and international

activities, studies, and agreements. Include make-or-buy decision plans and trade studies.

Identify and document concurrence for any investments, divestments, acquisition strategies,

procurements, agreements, and changes to capability portfolio capability components in accordance

with requirements and strategic guidance included in NPR 8600.1, NASA Capability Portfolio

Management Requirements. (See Appendix A for definitions of capability portfolio and capability

component.)

Document the agreements on the use of implementation policies and practices between the project

manager and contributing NASA Centers in this section (or in appendices to the document), along

with the project’s approach to ensuring that interfaces do not increase risk to mission success.

1.5 Stakeholder Definition

Describe the stakeholders of the project (e.g., principal investigator (PI), science community,

technology community, public, education community, parent program, and Mission Directorate

sponsor) and the process to be used within the project to ensure stakeholder advocacy.

2.0 PROJECT BASELINES

Project baselines consist of a set of requirements, cost (including project-held UFE), schedule, and

technical content that forms the foundation for program/project execution and reporting done as part

of NASA’s performance assessment and governance process. (For more detail, see

NPR 7120.5, Section 2.4, on baseline policy and documentation.)

2.1 Requirements Baseline

List or reference the requirements levied on the project by the program in the Program Plan and

discuss how these are flowed down to lower levels by summarizing the requirements allocation

process. Reference requirements documents used by the project.

2.2 WBS Baseline

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NPR 7120.5F -- AppendixH Page 118 of 147

Provide the project’s WBS and WBS dictionary to the Level 2 elements in accordance with the

standard template below and guidance provided by the NASA Work Breakdown Structure (WBS)

Handbook, NASA/SP-2010-3404, which can be found on the OCE tab under the “Other

NASA-Level Documents” menu in NODIS. The WBS will support cost and schedule allocation

down to a work package level; integrate both government and contracted work; integrate well with

the EVMS approach; allow for unambiguous cost reporting; and be designed to allow project

managers to monitor and control work package/product deliverable costs and schedule.

Figure H-2 Standard Level 2 WBS Elements for Space Flight Projects

2.3 Schedule Baseline

Present a summary of the project’s IMS, including all critical milestones, major events, life-cycle

reviews, and KDPs throughout the project life cycle. The summary of the master schedule should

include the logical relationships (interdependencies) for the various project elements and critical

paths, as appropriate. Identify driving ground rules, assumptions, and constraints affecting the

schedule baseline.

2.4 Resource

Present the project funding requirements by fiscal year. State the New Obligation Authority (NOA)

in real-year dollars for all years—prior, current, and remaining. The funding requirements are to be

consistent with the project WBS and include funding for all cost elements required by the Agency’s

full-cost accounting procedures. Provide a breakdown of the project’s funding requirements to the

WBS Level 2 elements. Throughout the Implementation Phase, cost and schedule baselines are to be

based on and maintained consistent with the approved joint cost and schedule confidence level, as

applicable, in accordance with NPD 1000.5 and NPR 7120.5.

Present the project’s workforce requirements by fiscal year, consistent with the project funding

requirements and WBS. The workforce estimate is to encompass all work required to achieve project

objectives. Include the actual full-cost civil service and support contractor workforce by the

organizations providing them for any prior fiscal years. Include full-cost civil service and support

contractor workforce requirements by the organizations providing them for the current fiscal year

NPR 7120.5F -- AppendixH

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and remaining fiscal years.

Describe the project’s infrastructure requirements (acquisition, renovations, and/or use of real

property/facilities, aircraft, personal property, and information technology). Identify means of

meeting infrastructure requirements through synergy with other existing and planned programs and

projects to avoid duplication of facilities and capabilities. Identify necessary upgrades or new

developments, including those needed for environmental compliance.

Identify driving ground rules, assumptions, and constraints affecting the resource baseline.

2.5 Joint Cost and Schedule Confidence Level

For projects with an estimated life-cycle cost (LCC) initial capability cost greater than $250M,

document the project’s joint cost and schedule confidence level approved by the Decision Authority

(DA) at KDP C. For projects with an estimated life-cycle cost greater than or equal to $1B, update

the joint cost and schedule confidence level at CDR and at KDP D (if applicable).

3.0 PROJECT CONTROL PLANS

3.1 Technical, Schedule, and Cost Control Plan

This control plan documents the following:

Describe the plan to monitor and control the project requirements, technical design, schedule, and

cost of the project to ensure that the high-level requirements levied on the project are met. (If this

information is best documented in other control plans (e.g., the Systems Engineering Management

Plan) then reference those control plans.)

Describe the project’s performance measures in objective, quantifiable, and measurable terms and

document how the measures are traced from the program requirements on the project. In addition,

document the minimum mission success criteria associated with the program requirements on the

project that, if not met, trigger consideration of a Termination Review.

The project also develops and maintains the status of a set of programmatic and technical leading

indicators to ensure proper progress and management of the project. Status and trend of leading

indicators should be presented at LCRs and KDPs. These leading indicators include:

• Requirement Trends (percent growth, TBD/TBR closures, number of requirement changes).

Interface Trends (percent ICD approval, TBD/TBR burn down, number of interface

requirement changes).

Verification Trends (closure burn down, number of deviations/waivers approved/open).

Review Trends (RID/RFA/Action Item burn down per review).

Software Unique Trends (number of requirements per build/release versus plan).

Problem Report/Discrepancy Report Trends (number open, number closed).

Cost Trends (Plan vs. actual, UFE, EVM).

Schedule Trends (critical path slack/float, critical milestone dates).

Staffing Trends (FTE/WYE plan vs. actual).

Technical Performance Measures (Mass margin, power margin).

Manufacturing Trends (Number of nonconformance/corrective actions (open/

closed/resolved)).

Additional project-specific indicators as needed.

NPR 7120.5F -- AppendixH

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These indicators are further explained in the NASA Space Flight Program and Project Management

Handbook, NASA/SP-20220009501; the NASA Project Planning and Control Handbook,

NASA/SP-2016-3424; and the NASA Common Leading Indicators Detailed Reference Guide at

https://nodis3.gsfc.nasa.gov/OCE_rep/OCE_list.cfm.

Describe the approach to monitor and control the project's Agency Baseline Commitment (ABC).

Describe how the project will periodically report performance. Describe mitigation approach if the

project is exceeding the development cost documented in the ABC to take corrective action prior to

triggering the 30 percent breach threshold. Describe how the project will support a rebaseline review

in the event the Decision Authority directs one.

Describe the project’s implementation of Technical Authority (Engineering, Health and Medical,

and Safety and Mission Assurance).

Describe how the project will implement the SI and other systems of measurement and the

identification of units of measure in all product documentation. Where full implementation of the SI

system of measurement is not practical, hybrid configurations (i.e., a controlled mix of SI and

non-SI system elements) may be used to support maximum practical use of SI units for design,

development, and operations. Where hybrid configurations are used, describe the specific

requirements established to control interfaces between elements using different measurement

systems. (See NPR 7120.5, Section 3.7, for SI assessment timing requirement.)

Describe the project’s implementation of Earned Value Management (EVM) including:

How the PMB will be developed and maintained for the project and how UFE will be

established and controlled;

The methods the project will use to authorize the work and to communicate changes for the

scope, schedule, and budget of all suppliers; how the plan is updated as make-buy decisions

and agreements are made;

The process to be used by the project to communicate the time-phased levels of funding that

have been forecast to be made available to each supplier;

For the class of suppliers not required to use EVM, the schedule and resource information

required of the suppliers to establish and maintain a baseline and to quantify schedule and cost

variances; how contractor performance reports will be required; and

How the cost and schedule data from all partners/suppliers will be integrated to form a total

project-level assessment of cost and schedule performance.

Describe any additional specific tools necessary to implement the project’s control processes (e.g.,

the requirements management system, project scheduling system, project information management

systems, budgeting, and cost accounting system).

Describe the process for monitoring and controlling the IMS.

Describe the process for utilizing the project’s technical and schedule margins and UFE to meet the

Management and Commitment Baselines.

Describe how the project plans to report technical, schedule, and cost status to the program manager,

including the frequency and level of detail of reporting.

Describe the project’s internal processes for addressing technical waivers and deviations and

handling Formal Dissents.

Describe the project’s descope plans, including key decision dates and savings in cost and schedule,

NPR 7120.5F -- AppendixH

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NPR 7120.5F -- AppendixH Page 121 of 147

Describe the project’s descope plans, including key decision dates and savings in cost and schedule,

and show how the descopes are related to the project’s threshold performance requirements.

Include a description of the systems engineering organization and structure and how the Project

Chief Engineer (PCE) executes the overall systems engineering functions.

3.2 Safety and Mission Assurance Plan

Develop a project Safety and Mission Assurance (SMA) Plan as required by NPR 8705.2,

Human-Rating Requirements for Space Systems for crewed missions and NPR 8705.4, Risk

Classification for NASA Payloads for un-crewed missions and payloads.

The SMA Plan reflects a project life-cycle SMA process perspective, addressing areas including:

SMA domain management and SMA domain integration (e.g., for safety, reliability, maintainability,

quality, planetary protection, etc.) with other engineering and management functions (e.g., concept

and design trade-studies, risk analysis and risk assessments, risk-informed decision making, fault

tolerance and contingency planning, knowledge capture, hardware and software design assurance,

supply chain risk management and procurement, hardware and software design verification and test,

manufacturing process design and control, manufacturing and product quality assurance, system

verification and test, pre-flight verification and test, operations, maintenance, logistics planning,

maintainability and sustainability, operational reliability and availability, decommissioning, and

disposal).

Describe how the project will develop and manage a Closed-Loop Problem Reporting and

Resolution System. Describe how the project develops, tracks, and resolves problems. The process

should include a well-defined data collection system and process for hardware and software

problems and anomaly reports, problem analysis, and corrective action.

Identify the project’s approach to flow down requirements as appropriate to external developers and

suppliers in acquisitions (e.g., contracts and purchase orders).

Describe how the project will develop, evaluate, and report indications of SMA program maturity

and effectiveness at life cycle or other executive reviews, including through the use of metrics and

indicators that are not otherwise included in formal life-cycle review deliverables or are not

elements of the certification of flight readiness (COFR) process (e.g., satisfactory progress towards

human rating).

3.3 Risk Management Plan

Develop a Risk Management Plan that includes the content required by NPR 8000.4, Agency Risk

Management Procedural Requirements. Summarize how the project will implement a risk

management process (including risk-informed decision making (RIDM) and continuous risk

management (CRM) in accordance with NPR 8000.4, Agency Risk Management Procedural

Requirements). Include the initial Significant Risk List and appropriate actions to mitigate each risk.

Projects with international or other U.S. Government agency contributions need to plan for, assess,

and report on risks due to international or other government partners and plan for contingencies.

3.4 Acquisition Strategy

The project Acquisition Strategy is developed by the project manager, supported by the host

Center’s Procurement Officer, and needs to be consistent with NPD 1000.5, Policy for NASA

Acquisition, the results of the Agency strategic acquisition process, and the ASM. It documents an

integrated acquisition strategy that enables the project to meet its mission objectives and provides

NPR 7120.5F -- AppendixH

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NPR 7120.5F -- AppendixH Page 122 of 147

integrated acquisition strategy that enables the project to meet its mission objectives and provides

the best value to NASA. The Acquisition Strategy should include, but is not limited to, the

following:

Identify all major proposed acquisitions (such as engineering design study, hardware and software

development, mission and data operations support, and sustainment) in relation to the project WBS.

Provide summary information on each such proposed acquisition, including a Contract WBS; major

deliverable items; recommended type of procurement (competitive, AO for instruments); type of

contract (cost-reimbursable, fixed-price); source (institutional, contractor, other U.S. Government

agency, or international organization); procuring activity; and surveillance approach. Identify those

major procurements that require a PSM.

Describe completed or planned studies supporting make-or-buy decisions, considering NASA’s

in-house capabilities and the maintenance of NASA’s core competencies, as well as cost and best

overall value to NASA.

Describe the supply chain and identify potential critical and single-source suppliers needed to

design, develop, produce, support, and, if appropriate, restart an acquisition program or project. The

acquisition strategy should promote sufficient program/project stability to encourage industry to

invest, plan, and bear their share of risk. Describe the internal and external mechanisms and

procedures used to identify, monitor, and mitigate supply chain risks. Include data reporting

relationships to allow continuous surveillance of the supply chain that provides for timely

notification and mitigation of potential risks. Describe the process for reporting supply chain risks to

the program.

Identify the project’s approach to strengthen safety and mission assurance in contracts.

Describe all agreements, memoranda of understanding, barters, in-kind contributions, and other

arrangements for collaborative and/or cooperative relationships. Include partnerships created

through mechanisms other than those prescribed in the FAR and NFS. List all such agreements (the

configuration control numbers, the date signed or projected dates of approval, and associated record

requirements) necessary for project success. Include or reference all agreements concluded with the

authority of the project manager and reference agreements concluded with the authority of the

program manager and above. Include the following:

(1) NASA agreements (e.g., space communications, launch services, and inter-Center memoranda of

agreement).

(2) Non-NASA agreements:

(a) Domestic (e.g., U.S. Government agencies).

(b) International (e.g., memoranda of understanding).

Describe intellectual property considerations and goals for advanced technologies to protect core

NASA interests during the project life cycle; the process for respecting and protecting privately

developed intellectual property; the process for ensuring acquisition strategies, proposals, and

contract awards reflect intellectual property considerations established for the project; the approach

for ensuring that the intellectual property strategy promotes competition for post-production

sustainment/modernization contracts; the approach for seeking flexible and creative solutions to

intellectual property issues that meet the desires of the parties and reflect NASA’s investment; the

approach for ensuring procurement contracts specify both (1) the delivery of necessary technical

NPR 7120.5F -- AppendixH

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NPR 7120.5F -- AppendixH Page 123 of 147

data and computer software and (2) the license rights necessary for technical data and computer

software; and the approach for ensuring the delivery of technical data and computer software under

procurement contracts is marked in accordance with the contract at the time of delivery.

3.5 Technology Development Plan

Describe the technology assessment, development, management, and acquisition strategies

(including intellectual property considerations) needed to achieve the project’s mission objectives.

Describe how the project will assess its technology development requirements, including how the

project will evaluate the feasibility, availability, readiness, cost, risk, and benefit of the new

technologies. The approach should include timely reporting of new technologies to the Center

Technology Transfer Office and supporting technology transfer activities as described in NPR

7500.2, NASA Technology Transfer Requirements.

Describe how the project will identify opportunities for leveraging on-going technology efforts.

Describe how the project will transition technologies from the development stage to the

manufacturing and production phases. Identify the supply chain needed to manufacture the

technology and any costs and risks associated with the transition to the manufacturing and

production phases. Develop and document appropriate mitigation plans for the identified risks.

Describe the project’s strategy for ensuring that there are alternative development paths available

if/when technologies do not mature as expected. (Refer to NPR 7123.1 for TRL definitions and

SP-20205003605, Technology Readiness Assessment Best Practices Guide. The Technology

Readiness Assessment Best Practices Guide can be found in NODIS on the OCE tab under the

“Other NASA-Level Documents” menu.)

Describe how the project will remove technology gaps, including maturation, validation, and

insertion plans, performance measurement at quantifiable milestones, off-ramp decision gates, and

resources required.

Describe briefly how the project will ensure that all planned technology exchanges, contracts, and

partnership agreements comply with all laws and regulations regarding export control and the

transfer of sensitive and proprietary information.

Describe how the project will transition technologies from the development stage to manufacturing,

production, and insertion into the end system. Identify any potential costs and risks associated with

the transition to manufacturing, production, and insertion. Develop and document appropriate

mitigation plans for the identified risks.

3.6 Systems Engineering Management Plan

Develop a SEMP that includes the content required by NPR 7123.1, NASA Systems Engineering

Processes and Requirements. Include descriptions of the project’s overall approach for systems

engineering to include system design and product realization processes (implementation and/or

integration, verification and validation, and transition), as well as the technical management

processes.

3.7 System Security Plan

Identify and prepare a System Security Plan for each information system. The System Security Plan

is a formal document that provides an overview of the security requirements for an information

NPR 7120.5F -- AppendixH

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incorporated into a contract. This document is uncontrolled when printed. Check

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NPR 7120.5F -- AppendixH Page 124 of 147

system and describes the security controls in place or planned for meeting those requirements.

System Security Plans are generated and stored within the NASA Risk Information and Security

Compliance System (RISCS) at https://riscs-info.nasa.gov/. Multiple systems may be covered under

a single System Security Plan. Controls selected within the System Security Plan are included as

system requirements for the system or systems covered by the plan.

Document the project's approach to implementing cybersecurity requirements in accordance with

NPR 2810.1, Security of Information and Information Systems, if there are requirements outside the

scope of the System Security Plan(s).

3.8 Software Management Plan

Develop a Software Management Plan that includes the content required by NPR 7150.2, Software

Engineering Requirements. Additional information on the plan can be found in NASA-STD-8739.8,

Software Assurance and Software Safety Standard. Summarize how the project will develop and/or

manage the acquisition of software required to achieve project and mission objectives. The Software

Management Plan should be coordinated with the Systems Engineering Management Plan.

3.9 Verification and Validation Plan

Summarize the approach for performing verification and validation of the project products. Indicate

the methodology to be used in the verification/validation (test, analysis, inspection, or

demonstration), as defined in NPR 7123.1, NASA Systems Engineering Processes and

Requirements.

3.10 Review Plan

Summarize the project’s approach for conducting a series of reviews, including internal reviews and

project life-cycle reviews. In accordance with Center best practices, program review requirements,

and the requirements in NPR 7123.1, NASA Systems Engineering Processes and Requirements and

NPR 7120.5, NASA Space Flight Program and Project Management Requirements, provide the

names, purposes, content, and timing of the life-cycle reviews.

Identify any deviations from these documents that the project is planning or waivers that have been

granted, including tailoring to accommodate aspects of acquisition strategies. Provide the technical,

scientific, schedule, cost, and other criteria that will be utilized in the consideration of a Termination

Review.

For projects that plan continuing operations and production, including integration of capability

upgrades, with an unspecified Phase E end point, define the initial capability in the Review Plan for

KDP B if the initial capability is not the first operational mission flight.

For projects that are part of tightly coupled programs, project life-cycle reviews and KDPs should be

planned in accordance with the project life cycle and KDP sequencing guidelines in the Program

Plan. Document the sequencing of each project life-cycle review and KDP with respect to the

associated Program life-cycle review and KDP. In addition, document which project KDPs should

be conducted simultaneously with other projects’ KDPs and which project KDPs should be

conducted simultaneously with the associated program KDPs.

The sequencing of project life-cycle reviews and KDPs with respect to program life-cycle reviews

and KDPs is especially important for project PDR life-cycle reviews that precede KDP Cs. At KDP

C, the Agency makes project technical, cost, and schedule commitments to its external stakeholders

NPR 7120.5F -- AppendixH

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incorporated into a contract. This document is uncontrolled when printed. Check

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NPR 7120.5F -- AppendixH Page 125 of 147

at the established JCL in accordance with NPR 7120.5 requirements. Since changes to one project

can easily impact other projects’ technical, cost, schedule, and risk baselines, projects and their

program may need to proceed to KDP C/KDP I together.

3.11 Mission Operations Plan

Describe the activities required to perform the mission. Describe how the project will implement the

associated facilities, hardware, software, and procedures required to complete the mission. Describe

mission operations plans, rules, and constraints. Describe the Mission Operations System (MOS)

and Ground Data System (GDS) in the following terms:

MOS and GDS human resources and training requirements.

Procedures to ensure that operations are conducted in a reliable, consistent, and controlled

manner using lessons learned during the program and from previous programs.

Facilities requirements (offices, conference rooms, operations areas, simulators, and test beds).

Hardware (ground-based communications and computing hardware and associated

documentation).

Software (ground-based software and associated documentation).

3.12 NEPA Compliance Plan

Describe the level of NEPA analysis planned to comply with NPR 8580.1, Implementing the

National Environmental Policy Act, and Executive Order 12114. The NEPA Compliance Plan

should be prepared based on consultation with the appropriate NEPA manager (Center NEPA

Manager or Mission Direction NEPA Liaison) and describe the project’s NEPA strategy at all

affected Centers, including decisions regarding programmatic NEPA documents. Insert into the

project schedule the critical NEPA milestones if preparation of an Environmental Assessment or

Environmental Impact Statement is planned.

3.13 Integrated Logistics Support Plan

Describe how the project will implement NPD 7500.1, Program and Project Life-Cycle Logistics

Support Policy, including a maintenance and support concept; participation in the design process to

enhance supportability; supply support; maintenance and maintenance planning; packaging,

handling, and transportation; technical data and documentation; support and test equipment; training;

manpower and personnel for ILS functions; facilities required for ILS functions; and logistics

information systems for the life of the project.

3.14 Science Data Management Plan

Describe how the project will manage the scientific data generated and captured by the operational

mission(s) and any samples collected and returned for analysis. Include descriptions of how data will

be generated, processed, distributed, analyzed, and archived, as well as how any samples will be

collected, stored during the mission, and managed when returned to Earth. The Plan should include

definition of data rights and services and access to samples, as appropriate. Identify where the

preliminary science data requirements will be documented (these requirements should be

documented by SRR). The Plan should be developed in consultation with the Directorate data leads

and the Office of the Chief Information Officer (OCIO) early in the project life-cycle to ensure that

metadata standards and data formats are appropriately considered and that infrastructure and security

requirements are addressed.

Explain how the project will accomplish the information management and disposition in NPD

NPR 7120.5F -- AppendixH

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NPR 7120.5F -- AppendixH Page 126 of 147

2200.1, Management of NASA Scientific and Technical Information; NPR 2200.2, Requirements for

Documentation, Approval and Dissemination of Scientific and Technical Information; and NPR

1441.1, NASA Records Management Program Requirements, as applicable to project science data.

Explain how the project will implement NASA sample handling, curation, and planetary protection

directives and rules, including NPR 8715.24, Planetary Protection Provisions for Robotic

Extraterrestrial Missions.

3.15 Integration Plan

Prepare an integration plan that defines the configuration of expected aggregates of system elements

and the order of assembly of these aggregates to carry out efficient verification and validation

actions. The integration plan is structured to bring the elements together to assemble each subsystem

and to bring all the subsystems together to assemble the system/product. The primary purposes of the

integration plan are: (1) to describe this coordinated integration effort that supports the

implementation strategy, (2) to describe for the participants what needs to be done in each

integration step, and (3) to identify the required resources and when and where they will be needed.

3.16 Configuration Management Plan

Describe the configuration management (CM) approach that the project team will implement.

Describe the CM planning and management function including the CM organization and tools to be

used. Describe the methods and procedures to be used for configuration identification, configuration

control, interface management, configuration change management, configuration verification and

audit, and configuration status accounting and communications. Describe how CM will be audited

and how contractor CM processes will be integrated with the project. Configuration Management

should address hardware, software, and firmware. Additional information on configuration

management is provided in NPR 7123.1 and SAE/EIA 649, Standard for Configuration

Management.

3.17 Security Plan

Describe the project’s plans for ensuring security, including:

Security Requirements: Describe the project’s approach for planning and implementing the

requirements for physical, personnel, and industrial security and for security awareness/education

requirements in accordance with NPR 1600.1, NASA Security Program Procedural Requirements.

Emergency Response Requirements: Describe the project’s emergency response plan in accordance

with NPR 1040.1, NASA Continuity of Operations (COOP) Planning Procedural Requirements and

define the range and scope of potential crises and specific response actions, timing of notifications

and actions, and responsibilities of key individuals.

3.18 Project Protection Plan

Ensure that a Project Protection Plan is completed according to the schedule identified in product

maturities, as documented in Appendix I of NPR 7120.5. The Project Protection Plan is approved by

the Mission Directorate's designated approval authority, and the implementing Center's engineering

Technical Authority.

The Project Protection Plan assesses applicable adversarial threats to the project or system (including

support systems, development environments, and external resources), identifies system

susceptibilities, potential vulnerabilities, countermeasures, resilience strategies, and risk mitigations.

NPR 7120.5F -- AppendixH

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incorporated into a contract. This document is uncontrolled when printed. Check

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NPR 7120.5F -- AppendixH Page 127 of 147

The results inform the project or system’s design and concept of operations, in context with the

project’s or system’s requirements. The Project Protection Plan addresses NASA-STD-1006, Space

System Protection Standard, in accordance with NPR 1058.1, NASA Enterprise Protection Program,

and includes inputs from threat intelligence, candidate protection strategies provided by OCE, and

other applicable standards. The project team assesses adversarial threats with support from the

Office of Protective Services’ Intelligence Division and the Office of the Chief Engineer and

requires access to Classified National Security Information.

Since protection measures can be implemented either by designing the project’s or system’s

architecture to be more resilient or by enhancing the capabilities provided by institutional security

providers, it is important that the document identify to institutional security providers (both internal

and external to NASA) the critical nodes and single points-of-failure in the project or system. The

project System Security Plan (see Section 3.7 above) and Security Plan (see Section 3.17) should

address how institutional security measures are implemented on each project to protect its critical

nodes.

Risk scenarios emerging from the Project Protection Plan analysis are tracked in accordance with the

project's Risk Management Plan. (See Section 3.3 above.)

Project Protection Plans provide technical information on NASA space systems to specific

commands and agencies in the Department of Defense and Intelligence Community to assist those

organizations in providing timely support to NASA in the event of an incident involving a NASA

mission.

3.19 Technology Transfer (formerly Export) Control Plan

Describe how the project will implement the export control requirements specified in

NPR 2190.1, NASA Export Control Program.

3.20 Knowledge Management Plan

Describe the project’s approach to creating the knowledge management strategy and processes.

Strategy should include practices for identifying, capturing and transferring knowledge and

capturing and documenting lessons learned throughout the project life cycle as authorized in NPD

7120.4, NASA Engineering and Program/Project Management Policy and as described in NPD

7120.6, Knowledge Policy for Programs and Projects and other appropriate requirements and

standards documentation.

3.21 Human-Rating Certification Package

For human space flight missions, develop a Human-Rating Certification Package per NPR 8705.2,

Human-Rating Requirements for Space Systems. Human-rating certification focuses on the

integration of the human into the system, preventing catastrophic events during the mission, and

protecting the health and safety of humans involved in or exposed to space activities, specifically the

public, crew, passengers, and ground personnel.

3.22 Planetary Protection Plan

Prepare a plan that specifies management aspects of the planetary protection activities of the project.

Planetary protection encompasses: (1) the control of terrestrial microbial contamination associated

with space vehicles intended to land, orbit, flyby, or otherwise encounter extraterrestrial solar

system bodies, and (2) the control of contamination of the Earth by extraterrestrial material collected

NPR 7120.5F -- AppendixH

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incorporated into a contract. This document is uncontrolled when printed. Check

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NPR 7120.5F -- AppendixH Page 128 of 147

and returned by missions. The scope of the plan contents and level of detail will vary with each

project based upon the requirements in NASA policies NPR 8715.24, Planetary Protection

Provisions for Robotic Extraterrestrial Missions, and NPD 8020.7, Biological Contamination Control

for Outbound and Inbound Planetary Spacecraft.

3.23 Nuclear Launch Authorization Plan

Prepare a nuclear launch authorization plan for any U.S. space mission involving the use of

radioactive materials. Procedures and levels of review and analysis required for nuclear launch

authorization vary with the quantity of radioactive material planned for use and potential risk to the

general public and the environment. NPR 8715.26, Nuclear Flight Safety specifies the safety

guidelines for the launch of spacecraft containing space nuclear systems.

3.24 Range Safety Risk Management Process Documentation

Develop documentation that details a vehicle program’s Range Safety Risk Management process in

accordance with NPR 8715.5, Range Flight Safety Program. This applies to launch and entry vehicle

programs, scientific balloons, sounding rockets, drones and Unmanned Aircraft Systems. This does

not apply to programs developing a payload that will fly on board a vehicle. The range flight safety

concerns associated with a payload are addressed by the vehicle’s range flight safety process. The

focus is on the protection of the public, workforce, and property during range flight operations.

3.25 Payload Safety Process Deliverables

Develop the payload safety process deliverables in accordance with NPR 8715.7, Payload Safety

Program. This applies to NASA projects involving design, fabrication, testing, integration,

processing, launch, and recovery of payloads and the design of ground support equipment (GSE)

used to support payload-related operations during prelaunch operations and during recovery.

Included are items such as free-flying automated spacecraft, Space Launch System payloads, Space

Station payloads, expendable launch vehicle payloads, flight hardware and instruments designed to

conduct experiments, and payload support equipment. NASA-STD-8719.24, NASA Expendable

Launch Vehicle Payload Safety Requirements, provides more details on payload processing for

launch.

3.26 Communications Plan

Develop a Communications Plan in collaboration with the Associate Administrator for the Office of

Communications or their designee that identifies key project milestones that will be of interest to the

general public, the media, and other key stakeholders and plans to engage these audiences via audio

and real and/or near real-time high resolution video and/or imagery for each milestone including

during full mission operations. Summarize how these efforts will promote understanding of and

engagement with project objectives, elements, benefits, and contributions to overarching NASA

goals. In collaboration with the Associate Administrator for the Office of Communications or their

designee, identify resources and technical requirements for implementation of communications for

the general public, media, and other key stakeholders. (See the Communications Plan Template (on

the Web site for the Office of Communications,

http://communications.nasa.gov/content/nasa-comm-guidelines.)

3.27 Quality Assurance Surveillance Plan

Develop a consolidated set of detailed instructions for the performance of Government contract

quality assurance review and evaluation for the project. The plan might include contractor

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NPR 7120.5F -- AppendixH Page 129 of 147

documents, data, and records; products and product attributes; processes; quality system

elements/attributes; and requirements related to quality data analysis, nonconformance reporting and

corrective action tracking/resolution, and final product acceptance. (See NASA-STD-8709.22,

Safety and Mission Assurance Acronyms, Abbreviations, and Definitions.)

3.28 Orbital Collision Avoidance Plan

Describe how the project implements the design considerations and preparation for operations to

avoid in-space collisions. The plan ensures the space flight mission meets the requirements of NPR

8079.1, NASA Spacecraft Conjunction Analysis and Collision Avoidance for Space Environment

Protection. Include in the plan a project overview including a concept of operation, how orbit

selection was performed, the spacecraft’s ascent and descent plan, how the spacecraft’s location

tracking data will be generated, and whether there will be any autonomous flight control. Discuss

how the spacecraft’s design will enable it to be acquired and tracked by the Space Surveillance

Network and be cataloged by the U.S. Space Command. Describe the process to routinely coordinate

with other operator(s) for maneuvering. Appendix D of the NPR provides a template for this plan.

(See NPR 8079.1, NASA Spacecraft Conjunction Analysis and Collision Avoidance for Space

Environment Protection for more detail and plan template.)

3.29 Human Systems Integration Approach

Develop a Human Systems Integration (HSI) approach in accordance with NPR 7123.1. (See the

NASA Human Systems Integration (HSI) Handbook, NASA/SP-20210010952, for additional

information.)

4.0 WAIVERS OR DEVIATIONS LOG

Identify NPR 7120.5 requirements for which a waiver or deviation has been requested and approved

consistent with project characteristics such as scope, complexity, visibility, cost, safety, and

acceptable risk, and provide rationale and approvals.

5.0 CHANGE LOG

Track and document changes to the Project Plan.

6.0 APPENDICES

Appendix A. Acronyms

Appendix B. Definitions

Appendix C. Compliance Matrix for this NPR

NPR 7120.5F -- AppendixH

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NPR 7120.5F -- AppendixH Page 130 of 147

Appendix I. Program and Project Products by Phase

I.1 Product Owner and Requirement or Best Practice:

a. The Product Owner for each product is indicated in the column titled "Product Owner/Requirement or Best Practice."

b. Products listed in the I-Tables are either requirements or best practices.

c. “R” in the Product Owner/Requirement or Best Practice column indicates that a product is a requirement. Products that are requirements are included in the Compliance Matrix in Appendix C.

d. “BP” in the Product Owner/Requirement or Best Practice column indicates that the product is considered a best practice. The expectation is that the product will be developed in accordance with the I-Table as part of

normal program management activities.

I.2 For non-configuration-controlled documents, the following terms and definitions are used in tables I-1 through I-7:

a. “Initial” is applied to products that are continuously developed and updated as the program or project matures.

b. “Final” is applied to products that are expected to exist in this final form (e.g., minutes and final reports).

c. “Summary” is applied to products that synthesize the results of work accomplished.

d. “Plan” is applied to products that capture work to be performed in the following phases.

e. “Update” is applied to products that are expected to evolve as the formulation and implementation processes evolve. Only expected updates are indicated. However, any document may be updated as needed.

I.3 For configuration-controlled documents, the following terms and definitions are used in tables I-1 through I-7:

a. “Preliminary” is the documentation of information as it stabilizes but before it goes under configuration control. It is the initial development leading to a baseline. Some products will remain in a preliminary state for

multiple LCRs. The initial preliminary version is likely to be updated at subsequent LCRs but remains preliminary until baselined.

b. “Baseline” indicates putting the product under configuration control so that changes can be tracked, approved, and communicated to the team and any relevant stakeholders. The expectation on products labeled

“baseline” is that they will be at least final drafts going into the designated LCR and baselined coming out of the LCR. Baselining of products that will eventually become part of the Program or Project Plan indicates that the

product has the concurrence of stakeholders and is under configuration control. Updates to baselined documents require the same formal approval process as the original baseline.

c. “Approve” is used for a product, such as Concept Documentation, that is not expected to be put under classic configuration control but still requires that changes from the “Approved” version are documented at each

subsequent “Update.”

d. “Update” is applied to products that are expected to evolve as the formulation and implementation processes evolve. Only expected updates are indicated. However, any document may be updated as needed. Updates to

baselined documents require the same formal approval process as the original baseline.

I.4 Control Plans (Tables I-1 (Program Plan Control Plans), I-3, I-5, and I-7):

a. Control plans can either be part of the Program or Project Plan or separate stand-alone documents referenced in the appropriate part of the Program or Project Plan.

b. Considerations for determining if a control plan should be a stand-alone document include a requirement that the control plan be stand-alone in the NPR that requires the control plan; differences between when the control

plan is baselined and when the Program or Project Plan is baselined; how frequently the control plan will be updated since updates to the Program or Project Plan require signatures; and how long the control plan is.

c. When the control plan is a stand-alone document, the Program or Project Plan contains a reference to the stand-alone document.

1.5 Formats for Non-Control Plan I-Table Products

a. Unless a specific form, format, document, or document template is identified by the NPR that requires an I-Table product, the documentation format is flexible (e.g., LCR or KDP presentation charts or as part of a

document such as the Program or Project Plan).

Table I-1 Uncoupled and Loosely Coupled Program

Milestone Products and Control Plans Maturity Matrix

Products

Product

Owner/Requirement

or Best Practice

Pre-Formulation

Formulation Implementation

KDP I1 KDP II - n

SRR SDR PIR

1. FAD

[Required per

NPR 7120.5]

NASA AA/R Baseline

2. PCA

[Required per

NPR 7120.5]

NASA AA/R Preliminary Baseline

3. Program Plan

[Required per

NPR 7120.5]

NASA AA/R Preliminary Baseline Update

3.a. Mission

Directorate

requirements

and constraints

[Required per

NPR 7123.1]

OCE/R Baseline Update

3.b. Traceability

of program-level

requirements on

projects to the

Agency strategic

goals and

Mission

Directorate

requirements

and constraints

[Required per

NPR 7123.1]

OCE/R Preliminary Baseline

3.c.

Documentation

of driving

ground rules and

assumptions on

the program

[Required per

NPR 7120.5}

NASA AA/R Preliminary Baseline

NPR 7120.5F -- AppendixI

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Page 131 of 147

NPR 7120.5F -- AppendixI Page 131 of 147

4. Interagency

and international

agreements

NASA AA/R Preliminary Baseline

5. ASM

Decision

Memorandum

[additional

information in

NPD 1000.5]

NASA AA/R Final

6. Risk

mitigation plans

and resources for

significant risks

[Required by

NPR 7120.5]

NASA AA/R Initial Update Update

7. Documented

Cost and

Schedule

Baselines

[Required per

NPR 7120.5]

OCFO-SID/R Preliminary Baseline Update

Documentation

of Basis of

Estimate (cost

and schedule)

[Required per

NPR 7120.5]

OCFO-SID/R Preliminary Baseline Update

Documentation

of performance

against

plan/baseline,

including

status/closure of

formal actions

from previous

KDP [Required

by NPR 7120.5]

NASA AA/R Summary Summary Summary

10. Industrial

Base and Supply

Chain Risk

Management

(SCRM)

Strategy and

Status [Required

per NPR 8735.2]

OSMA/R Preliminary Baseline Update

Program Plan

Control Plans

1. Technical,

Schedule, and

Cost Control

Plan [Required

per NPR 7120.5]

NASA AA/R Preliminary Baseline

2. Safety and

Mission

Assurance Plan

[Required per

NPRs 8705.2

and 8705.4]

OSMA/R Preliminary Baseline

3. Risk

Management

Plan [Required

per NPR 8000.4]

OSMA/R Preliminary Baseline

4. Acquisition

Strategy

[Required per

NPD 1000.5]

NASA AA/R Preliminary Baseline

5. Technology

Development

Plan [additional

information in

NPR 7500.2,

NPR 7123.1,

and NPR 7120.5]

OCE/BP Preliminary Baseline

6. Systems

Engineering

Management

Plan [Required

per NPR 7123.1]

OCE/R Preliminary Baseline

7. System

Security Plan

[Required per

NPR 2810.1]

OCIO/R Preliminary Baseline Update

NPR 7120.5F -- AppendixI

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 132 of 147

NPR 7120.5F -- AppendixI Page 132 of 147

8. Review Plan

[Required per

NPR 7120.5]2

NASA AA/R Baseline Update

9. NEPA

Compliance Plan

[Required per

NPR 8580.1]

OSI-EMD/R Baseline

10.

Configuration

Management

Plan [Required

per NPR 7120.5;

additional

information in

NPR 7123.1 and

SAE/EIA 649]

OCE/R Baseline

11. Security Plan

[Required per

NPR 1040.1 and

NPR 1600.1]

OPS/R Baseline

12. Technology

Transfer

(formerly

Export) Control

Plan [Required

per NPR 2190.1]

OIIR/R Baseline

13.

Communications

Plan [additional

information in

NPR 7120.5]

OComm/BP Preliminary Baseline

14. Knowledge

Management

Plan [additional

information in

NPD 7120.4 and

NPD 7120.6]

OCE/BP Preliminary Baseline

15. Quality

Assurance

Surveillance

Plan [Required

per NPR 8735.2

and NASA FAR

Supplement part

1837.604]

OSMA/R Preliminary Baseline Update

1 If desired, the Decision Authority may request a KDP 0 be performed generally following SRR.

2 Review Plan should be baselined before the first review.

Table I-2 Tightly Coupled Program Milestone Products Maturity Matrix

Products

Product

Owner/Requirement

or Best Practice

Pre-

Formulation

Formulation Implementation

KDP 0 KDP I KDP II KDP III KDP n

SRR SDR PDR CDR SIR ORR MRR/FRR DR

1. FAD

[Required per

NPR 7120.5]

NASA AA/R Baseline

2. PCA

[Required per

NPR 7120.5]

NASA AA/R Preliminary Baseline

3. Program

Plan [Required

per NPR

7120.5]

NASA AA/R Preliminary Baseline Update Update Update Update Update Update

3.a. Mission

Directorate

requirements

and constraints

[Required per

NPR 7123.1]

OCE/R Baseline Update Update

3.b.

Traceability of

program-level

requirements

on projects to

the Agency

strategic goals

and Mission

Directorate

requirements

and constraints

[Required per

NPR 7123.1]

OCE/R Preliminary Baseline Update

NPR 7120.5F -- AppendixI

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 133 of 147

NPR 7120.5F -- AppendixI Page 133 of 147

3.c.

Documentation

of driving

ground rules

and

assumptions on

the program

[Required per

NPR 7120.5]

NASA AA/R Preliminary Baseline Update Update Update

4. Interagency

and

international

agreements

NASA AA/R Preliminary Baseline Update

5. ASM

Decision

Memorandum

[additional

information in

NPD 1000.5]

NASA AA/R Final

6. Risk

mitigation

plans and

resources for

significant

risks [Required

by NPR

7120.5]

NASA AA/R Initial Update Update Update Update Update Update Update

7. Documented

Cost and

Schedule

Baselines

[Required per

NPR 7120.5]

OCFO-SID/R Preliminary Preliminary Baseline Update Update Update Update Update

Documentation

of Basis of

Estimate (cost

and schedule)

[Required per

NPR 7120.5]

OCFO-SID/R Preliminary Preliminary Baseline Update Update Update Update Update

9. CADRe

[Required by

NPR 7120.5]

OCFO-SID/R Baseline Update Update Update Update

Update1

Update

10. Shared

Infrastructure2,

Staffing, and

Scarce Material

Requirements

and Plans

NASA AA/R Initial Update Update Update

11.

Documentation

of performance

against

plan/baseline,

including

status/closure

of formal

actions from

previous KDP

[Required by

NPR 7120.5]

NASA AA/R Summary Summary Summary Summary Summary Summary Summary

12. Industrial

Base and

Supply Chain

Risk

Management

(SCRM)

Strategy and

Status

[Required per

NPR 8735.2]

OSMA/R Preliminary Baseline Update Update

1 The CADRe for MRR/FRR is considered the “Launch CADRe” to be completed after the launch.

2 Shared infrastructure includes facilities that are required by more than one of the program’s projects.

Table I-3 Tightly Coupled Program Plan Control Plans Maturity Matrix

(See Appendix G

Template for Control

Plan Details.)

Product

Owner/Requirement or

Best Practice

Formulation Implementation

KDP 0 KDP I KDP II KDP III KDP n

SRR SDR PDR CDR SIR ORR MRR/FRR DR

1. Technical, Schedule,

and Cost Control Plan

[Required per NPR

7120.5]

NASA AA/R Preliminary Baseline Update

NPR 7120.5F -- AppendixI

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Page 134 of 147

NPR 7120.5F -- AppendixI Page 134 of 147

2. Safety and Mission

Assurance Plan

[Required per NPRs

8705.2 and 8705.4]

OSMA/R Preliminary Baseline Update Update

Update

(SMSR)

3. Risk Management

Plan [Required per NPR

8000.4]

OSMA/R Preliminary Baseline Update

4. Acquisition Strategy

[Required per NPD

1000.5]

NASA AA/R

Preliminary

Strategy

Baseline Update

5. Technology

Development Plan

[additional information

in NPR 7500.2, NPR

7123.1, and NPR

7120.5]

OCE/BP Preliminary Baseline Update

6. Systems Engineering

Management Plan

[Required per NPR

7123.1]

OCE/R Preliminary Baseline

7. Verification and

Validation Plan

[Required per NPR

7120.5, additional

information in NPR

7123.1]

OCE/R Preliminary Baseline Update Update

8. System Security Plan

[Required per NPR

2810.1]

OCIO/R Preliminary Update Baseline Update Update

9. Review Plan

[Required per NPR

7120.5]1

NASA AA/R Baseline Update Update

10. Mission Operations

Plan [Required per NPR

7120.5]

OCE/R Preliminary Baseline Update

11. NEPA Compliance

Plan [Required per NPR

8580.1]

OSI-EMD/R Preliminary Baseline Update

12. Integrated Logistics

Support Plan [Required

per NPD 7500.1]

OSI-LMD/R Preliminary Baseline Update

13. Science Data

Management Plan

[additional information

in NPD 2200.1 and

NPRs 2200.2, 1441.1,

and 8715.24]

SMD/BP

Preliminary

Science Data

Requirements

Preliminary Baseline Update

14. Configuration

Management Plan

[Required per NPR

7120.5; additional

information in NPR

7123.1 and SAE/EIA

649]

OCE/R Preliminary Baseline Update

15. Security Plan

[Required per NPR

1040.1 and NPR 1600.1]

OPS/R Preliminary Baseline

Update

Annually

16. Technology Transfer

(formerly Export)

Control Plan [Required

per NPR 2190.1]

OIIR/R Preliminary Baseline Update

17. Communications

Plan [additional

information in NPR

7120.5]

OComm/BP Preliminary Baseline Update Update

18. Knowledge

Management Plan

[additional information

in NPD 7120.4 and

NPD 7120.6]

OCE/BP Preliminary Baseline Update Update

19. Human-Rating

Certification Package

[Required per NPR

8705.2]

OSMA/R Initial Update Update Update Update

Approve

Certification

20. Quality Assurance

Surveillance Plan

[Required per NPR

8735.2 and NASA FAR

Supplement part

1837.604]

OSMA/R Preliminary Baseline Update Update Update

NPR 7120.5F -- AppendixI

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 135 of 147

NPR 7120.5F -- AppendixI Page 135 of 147

21. Orbital Collision

Avoidance Plan

[Required per NPR

8079.1]

OCE/R Baseline Update

22. Human Systems

Integration Approach

[additional information

NASA/SP-20210010952

NASA HSI Handbook

and NPR 7123.1]

OCE-OSMA-OCHMO/R Baseline Update Update Update

1 Review Plan should be baselined before the first review.

Table I-4 Project Milestone Products Maturity Matrix

Products

Product

Owner/

Requirement

or Best

Practice

Pre-Phase A

KDP A

Phase A

KDP B

Phase B

KDP C

Phase C

KDP D

Phase D

KDP E

Phase E

KDP F

Phase F

MCR SRR SDR/MDR PDR CDR SIR ORR MRR/FRR DR DRR

Headquarters and Program Products1

1. FAD [Required per NPR

7120.5]

NASA AA/R Baseline

2. Program Plan [Required

per NPR 7120.5]

NASA AA/R Baseline

2.a. Applicable Agency

strategic goals [Required

per NPR 7123.1]

NASA AA/R Baseline Update Update

2.b. Documentation of

program-level requirements

and constraints on the

project (from the Program

Plan) and stakeholder

expectations, including

mission objectives/goals

and mission success criteria

[Required per NPR

7123.1]

OCE/R Preliminary Baseline Update Update

2.c. Documentation of

driving mission, technical,

and programmatic ground

rules and assumptions

[Required per NPR 7120.5]

NASA AA/R Preliminary Preliminary Baseline Update Update Update

3. Partnerships and

interagency and

international agreements

NASA AA/R Preliminary Update

Baseline U.S.

partnerships

and

agreements

Baseline

international

agreements

4. ASM Decision

Memorandum [additional

information in NPD 1000.5]

NASA AA/R Final

5. Mishap Preparedness

and Contingency Plan

[Required per NPR 8621.1]

OSMA/R Preliminary Update

Baseline

(SMSR)

Update Update

Project Technical Products

1. Concept Documentation

[Required per NPR 7123.1]

OCE/R Approve Update Update Update

2. Mission, Spacecraft,

Ground, and Payload

Architectures [Required per

NPR 7123.1]

OCE/R

Preliminary

mission and

spacecraft

architecture(s)

with key

drivers

Baseline

mission and

spacecraft

architecture,

preliminary

ground and

payload

architectures.

Classify

payload(s)

by risk per

NPR 8705.4.

Update

mission and

spacecraft

architecture,

baseline

ground and

payload

architectures

Update

mission,

spacecraft,

ground and

payload

architectures

3. Project-Level, System,

and Subsystem

Requirements [Required

per NPR 7123.1]

OCE/R

Preliminary

project-level

requirements

Baseline

project-level

and

system-level

requirements

Update

Project-level

and

system-level

requirements,

Preliminary

subsystem

requirements

Update

project-level

and

system-level

requirements.

Baseline

subsystem

requirements

4. Design Documentation

[Required per NPR 7123.1]

OCE/R Preliminary Baseline Update Update

5. Operations Concept

Documentation [Required

per NPR 7120.5]

OCE/R Preliminary Preliminary Preliminary Baseline

NPR 7120.5F -- AppendixI

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 136 of 147

NPR 7120.5F -- AppendixI Page 136 of 147

6. Technology Readiness

Assessment Documentation

[Required per NPR 7120.5

Appendix F FA Template]

OCE/R Initial Update Update Update Update

7. Engineering

Development Assessment

Documentation [Required

per NPR 7120.5 Appendix

F FA Template]

OCE/R Initial Update Update Update

8. Heritage Assessment

Documentation [Required

per NPR 7120.5 Appendix

F FA Template]

OCE/R Initial Update Update Update

9. Systems Safety Analyses

(e.g., safety data packages)

[Baseline at CDR]

[Required per NPR 8715.3]

OSMA/R Preliminary Baseline Update Update Update

10. Payload Safety Process

Deliverables [Required per

NPR 8715.7]

OSMA/R Preliminary Preliminary Baseline

11. Verification and

Validation Report

[Required per NPR 7123.1]

OCE/R Prelim-inary Baseline

12. Operations Handbook

[additional information in

NPR 7120.5 Appendix A]

OCE/R Preliminary Baseline Update Update

13. Orbital Debris

Assessment [Required per

NPR 8715.6; additional

information in

NASA-STD-8719.14]

OSMA/R

Initial

Assessment

Preliminary

design ODAR

Detailed

design

ODAR

Final

ODAR

(SMSR)

14. End of Mission Plans

[Required per NPR 8715.6;

additional information in

NASA-STD-8719.14, App

OSMA/R

Baseline

(SMSR)

Update

per

8715.6

Update

15. Final Mission Report

[additional information in

NPR 7120.5 Appendix A]

OCE/BP Final

16.

Decommissioning/Disposal

Plan [Required per NPR

7123.1]

OCE/R Baseline Update

Update

Dispos-al

portions

17. Industrial Base and

Supply Chain Risk

Management (SCRM)

Strategy and Status

[Required per NPR 8735.2]

OSMA/R Preliminary Update Update Baseline Update

18. Criticality

Identification Method for

Hardware [Required per

NPR 8735.2]

OSMA/R Preliminary Update Update Baseline Update

19. Hardware Quality Data

Management Analytics

[additional information in

NPR 8735.2]

OSMA/BP Preliminary Update Update Baseline Update Update Update Update

Project Management, Planning, and Control Products

1. Formulation Agreement

[Required per NPR 7120.5]

NASA AA/R

Baseline for

Phase A;

Preliminary

for Phase B

Baseline for

Phase B

2. Project Plan [Required

per NPR 7120.5]

NASA AA/R Preliminary Baseline

3. Documentation of

performance against

Formulation Agreement

(see #1 above) or against

plans for work to be

accomplished during

Implementation life-cycle

phase, including

performance against

baselines and status/closure

of formal actions from

previous KDP [Required

by NPR 7120.5]

NASA AA/R Summary Summary Summary Summary Summary Summary Summary Summary

4.Project Baselines

NPR 7120.5F -- AppendixI

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 137 of 147

NPR 7120.5F -- AppendixI Page 137 of 147

4.a. Top technical, cost,

schedule and safety risks,

risk mitigation plans, and

associated resources

[Required by NPR 7120.5]

NASA AA/R Initial Update Update Update Update Update Update Update Update Update

4.b. Staffing requirements

and plans [Required by

NPR 7120.5]

NASA AA/R Initial Update Update Update Update Update

4.c.i Infrastructure

requirements and plans

[Required per NPR 9250.1,

NPD 8800.14 and NPR

8820.2]

Business case analysis for

infrastructure [Required per

NPR 8800.15.]

OSI-FRED/R Initial Update Update Update Update

4.c.ii Capitalization

Determination Form (CDF)

(NASA Form 1739)

[Required per NPR 9250.1]

OCFO/R Initial Update Update Update Update

4.d. Schedule [Required per

NPR 7120.5]

OCFO-SID/R

Risk informed

at project

level with

preliminary

Phase D

completion

ranges

Risk

informed at

system level

with

preliminary

Phase D

completion

ranges

Risk informed

at subsystem

level with

preliminary

Phase D

completion

ranges or high

and low

schedule

values with

JCL 3.

Preliminary

Integrated

Master

Schedule

Risk informed

and cost-

loaded.

Baseline

Integrated

Master

Schedule

Update

IMS

Update

IMS

Update IMS

Update

IMS

Update

IMS

Update

IMS

4.e. Cost Estimate

[Required per NPR 7120.5]

OCFO-SID/R

Preliminary

Range

estimate

Update

Risk-informed

range estimate

or high and

low-cost

values with

JCL 3

Risk-informed

Baseline

Update Update Update Update Update Update

4.f. Basis of Estimate (cost

and schedule) [Required per

NPR 7120.5]

OCFO-SID/R

Initial (for

range)

Update (for

range)

Update (for

range or high

and low

values with

JCL3)

Update for

cost and

schedule

estimate

Update Update Update Update Update Update

4.g. Confidence Level(s)

and supporting

documentation [Required

per NPR 7120.5]

OCFO-SID/R

Preliminary

cost

confidence

level and

preliminary

schedule

confidence

level or JCL 3

Baseline Joint

Cost and

Schedule

Confidence

Level

Update4 Update5

4.h. External Cost and

Schedule Commitments

[Required per NPR 7120.5]

OCFO-SID/R

Preliminary

for ranges or

high and low

values with

JCL 3

Baseline

4.i. CADRe [Required per

NPR 7120.5]

OCFO-SID/R Baseline Update Update Update Update Update6 Update

4.j PMB [Required per

NPR 7120.5 and NASA

EVM Capability Process

Documentation]

OCFO-SID/R Baseline Update Update Update Update

1 These products are developed by the Mission Directorate.

2 These document the work of the key technical activities performed in the associated phases.

3 Projects with LCC or initial capability cost of $1B or over develop high and low values for cost and schedule with the corresponding JCL values at KDP B per Section 2.4.3.1.a.

4 Projects with LCC or initial capability cost of $1B or over update the JCL at CDR per Section 2.4.3.3.

5 Projects with LCC or initial capability cost of $1B or over update the JCL at KDP D per Section 2.4.3.4 if current development costs exceed development ABC cost by 5 percent or more.

6 The CADRe for MRR/FRR is considered the “Launch CADRe” to be completed after the launch.

Table I-5 Project Plan Control Plans Maturity Matrix

(See Appendix H

Template for Control

Plan Details.)

Product

Owner/Requirement or

Best Practice

Pre-Phase

Phase A

KDP B

Phase B

KDP C

Phase C

KDP D

Phase D

KDP E

Phase

E KDP

MCR SRR SDR/MDR PDR CDR SIR ORR MRR/ FRR DR

1. Technical, Schedule,

and Cost Control Plan

[Required per NPR

7120.5]

NASA AA/R

Approach

for

managing

schedule

and cost

during

Phase A1

Preliminary Baseline Update

NPR 7120.5F -- AppendixI

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 138 of 147

NPR 7120.5F -- AppendixI Page 138 of 147

2. Safety and Mission

Assurance Plan

[Required per NPRs

8705.2 and 8705.4]

OSMA/R Baseline Update Update Update

Update

(SMSR)

Update

3. Risk Management

Plan [Required per NPR

8000.4]

OSMA/R

Approach

for

managing

risks during

Phase A 1

Baseline Update Update

4. Acquisition Strategy

[Required per NPD

1000.5]

NASA AA/R

Preliminary

Strategy

Baseline Update Update

5. Technology

Development Plan (may

be part of Formulation

Agreement) [additional

information in NPR

7500.2, NPR 7123.1,

and NPR 7120.5]

OCE/BP Baseline Update Update Update

6. Systems Engineering

Management Plan

[Required per NPR

7123.1]

OCE/R Preliminary Baseline Update Update

7. System Security Plan

[Required per NPR

2810.1]

OCIO/R Preliminary Update Baseline Update Update

8. Software

Management Plan(s)

[Required per NPR

7150.2; additional

information in

NASA-STD-8739.8]

OCE/R Preliminary Baseline Update

9. Verification and

Validation Plan

[Required per NPR

7120.5, additional

information in NPR

7123.1]

OCE/R

Preliminary

Approach2

Preliminary Baseline Update Update

10. Review Plan

[Required per NPR

7120.5]3

NASA AA/R Preliminary Baseline Update Update

11. Mission Operations

Plan [Required per NPR

7120.5]

OCE/R Preliminary Baseline Update

12. NEPA Compliance

Plan [Required per NPR

8580.1]

OSI-EMD/R Baseline

13. Integrated Logistics

Support Plan [Required

per NPD 7500.1]

OSI-LMD/R

Approach

for

managing

logistics 2

Preliminary Preliminary Baseline Update

14. Science Data

Management Plan

[additional information

in NPD 2200.1 and

NPRs 2200.2, 1441.1,

and 8715.24]

SMD/BP

Preliminary

Science Data

Requirements

Preliminary Baseline Update

15. Integration Plan

[Required per NPR

7120.5]

OCE/R

Preliminary

approach2

Preliminary Baseline Update

16. Configuration

Management Plan

[Required per NPR

7120.5; additional

information in NPR

7123.1 and SAE/EIA

649]

OCE/R Baseline Update Update

17. Security Plan

[Required per NPR

1040.1 and NPR 1600.1]

OPS/R Preliminary Baseline

Update

annually

18. Project Protection

Plan [Required per NPR

1058.1, additional

information in

NASA-STD-1006]

OCE/R Preliminary Baseline Update Update Update Update

Update

annually

19. Technology Transfer

(formerly Export)

Control Plan [Required

per NPR 2190.1]

OIIR/R Preliminary Baseline Update

NPR 7120.5F -- AppendixI

This document does not bind the public, except as authorized by law or as

incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 139 of 147

NPR 7120.5F -- AppendixI Page 139 of 147

20. Knowledge

Management Plan

[additional information

in NPD 7120.4 and

NPD 7120.6]

OCE/BP

Approach

for

managing

during

Phase A 1

Preliminary Baseline Update

21. Human-Rating

Certification Package

[Required per NPR

8705.2]

OSMA/R

Preliminary

approach2

Initial Update Update Update Update

Approve

Certification

22. Planetary Protection

Plan [Required per NPD

8020.7 and NPR

8715.24]

OSMA/R

Planetary

Protection

Categorization

(if applicable)

Baseline

23. Nuclear Launch

Authorization Plan

[additional information

in NPR 8715.26]

OSMA/R

Baseline

(mission has

nuclear

materials)

24. Range Safety Risk

Management Process

Documentation

[Required per NPR

8715.5]

OSMA/R Preliminary Preliminary Baseline

25. Communications

Plan [additional

information in NPR

7120.5]

OComm/BP Preliminary Baseline Update Update

26. Quality Assurance

Surveillance Plan

[Required per NPR

8735.2 and NASA FAR

Supplement part

1837.604]

OSMA/R Preliminary Baseline Update Update Update

27. Orbital Collision

Avoidance Plan

[Required per NPR

8079.1]

OCE/R Baseline Update

28. Human Systems

Integration Approach

[additional information

NASA/SP-20210010952

NASA HSI Handbook

and NPR 7123.1]

OCE-OSMA-OCHMO/R Preliminary Baseline Update Update Update

1 Not the Plan, but documentation of high-level process. May be documented in MCR briefing package.

2 Not the Plan, but documentation of considerations that might impact the cost and schedule baselines. May be documented in MCR briefing package.

3 Review Plan should be baselined before the first review.

Table I-6 Single-Project Program Milestone Products Maturity Matrix

Products

Product

Owner/Requirement

or Best Practice

Pre-Phase A

KDP A

Phase A

KDP B

Phase B

KDP C

Phase C

KDP D

Phase D

KDP E

Phase E

KDP F

Phase F

MCR SRR SDR/MDR PDR CDR SIR ORR MRR/FRR DR DRR

Headquarters Products

1. FAD [Required per NPR

7120.5]

NASA AA/R Baseline

2. PCA [Required per NPR

7120.5]

NASA AA/R Preliminary Baseline

3. Traceability of Agency

strategic goals and Mission

Directorate requirements

and constraints to

program/project-level

requirements and

constraints. [Required per

NPR 7123.1]

OCE/R Preliminary Baseline Update Update

4. Documentation of

driving mission, technical,

and programmatic ground

rules and assumptions

[Required per NPR 7120.5]

NASA AA/R Preliminary Preliminary Baseline Update Update Update

5. Partnerships and

inter-agency and

international agreements

NASA AA/R Preliminary Update

Baseline U.S.

partnerships

and

agreements

Baseline

international

agreements

6. ASM Decision

Memorandum [additional

information in NPD 1000.5]

NASA AA/R Final

7. Mishap Preparedness

and Contingency Plan

[Required per NPR 8621.1]

OSMA/R Preliminary Update

Baseline

(SMSR)

Update Update

NPR 7120.5F -- AppendixI

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Page 140 of 147

NPR 7120.5F -- AppendixI Page 140 of 147

Single-Project Program Technical Products

1. Concept Documentation

[Required per NPR 7123.1]

OCE/R Approve Update Update Update

2. Mission, Spacecraft,

Ground, and Payload

Architectures [Required per

NPR 7123.1]

OCE/R

Preliminary

mission and

spacecraft

architecture(s)

with key

drivers

Baseline

mission and

spacecraft

architecture,

preliminary

ground and

payload

architectures.

Classify

payload(s)

by risk per

NPR 8705.4.

Update

mission and

spacecraft

architecture,

baseline

ground and

payload

architectures

Update

mission,

spacecraft,

ground, and

payload

architectures

3. Project-Level, System,

and Subsystem

Requirements [Required

per NPR 7123.1]

OCE/R

Preliminary

project-level

requirements

Baseline

project-level

and

system-level

requirements

Update

Project-level

and

system-level

requirements,

Preliminary

subsystem

requirements

Update

project-level

and

system-level

requirements.

Baseline

subsystem

requirements

4. Design Documentation

[Required per NPR 7123.1]

OCE/R Preliminary Baseline Update Update

5. Operations Concept

Documentation [Required

per NPR 7120.5]

OCE/R Preliminary Preliminary Preliminary Baseline

6. Technology Readiness

Assessment Documentation

[Required per NPR 7120.5

Appendix F FA Template]

OCE/R Initial Update Update Update Update

7. Engineering

Development Assessment

Documentation [Required

per NPR 7120.5 Appendix

F FA Template]

OCE/R Initial Update Update Update

8. Heritage Assessment

Documentation [Required

per NPR 7120.5 Appendix

F FA Template]

OCE/R Initial Update Update Update

9. Systems Safety Analyses

(e.g., safety data packages)

[Baseline at CDR]

[Required per NPR 8715.3]

OSMA/R Preliminary Baseline Update Update Update

10. Payload Safety Process

Deliverables [Required per

NPR 8715.7]

OSMA/R Preliminary Preliminary Baseline

11. Verification and

Validation Report

[Required per NPR 7123.1]

OCE/R Prelim-inary Baseline

12. Operations Handbook

[additional information in

NPR 7120.5 Appendix A]

OCE/R Preliminary Baseline Update Update

13. Orbital Debris

Assessment [Required per

NPR 8715.6; additional

information in

NASA-STD-8719.14]

OSMA/R

Initial

Assessment

Preliminary

design ODAR

Detailed

design

ODAR

Final

ODAR

(SMSR)

14. End of Mission Plans

[Required per NPR 8715.6;

additional information in

NASA-STD-8719.14, App

OSMA/R

Baseline

(SMSR)

Update

per

8715.6

Update

15. Final Mission Report

[additional information in

NPR 7120.5 Appendix A]

OCE/BP Final

16.

Decommissioning/Disposal

Plan [Required per NPR

7123.1]

OCE/R Baseline Update

Update

disposal

portions

17. Industrial Base and

Supply Chain Risk

Management (SCRM)

Strategy and Status

[Required per NPR 8735.2]

OSMA/R Preliminary Update Update Baseline Update

18. Criticality

Identification Method for

Hardware [Required per

NPR 8735.2]

OSMA/R Preliminary Update Update Baseline Update

NPR 7120.5F -- AppendixI

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 141 of 147

NPR 7120.5F -- AppendixI Page 141 of 147

19. Hardware Quality Data

Management Analytics

[additional information in

NPR 8735.2]

OSMA/BP Preliminary Update Update Baseline Update Update Update Update

Single-Project Program Management, Planning, and Control Products

1. Formulation Agreement

[Required per NPR 7120.5]

NASA AA/R

Baseline for

Phase A;

Preliminary

for Phase B

Baseline for

Phase B

2. Program Plan [Required

per NPR 7120.5] 3

NASA AA/R Preliminary Baseline

3. Project Plan [Required

per NPR 7120.5] 3

NASA AA/R Preliminary Baseline

4. Documentation of

performance against

Formulation Agreement

(see #1 above) or against

plans for work to be

accomplished during

Implementation life-cycle

phase, including

performance against

baselines and status/closure

of formal actions from

previous KDP [Required

per NPR 7120.5]

NASA AA/R Summary Summary Summary Summary Summary Summary Summary Summary

5.Project Baselines

5.a. Top technical, cost,

schedule and safety risks,

risk mitigation plans, and

associated resources

[Required per NPR 7120.5]

NASA AA/R Initial Update Update Update Update Update Update Update Update Update

5.b. Staffing requirements

and plans [Required by

NPR 7120.5]

NASA AA/R Initial Update Update Update Update Update

5.c.i. Infrastructure

requirements and plans

[Required per NPR 9250.1,

NPD 8800.14, and NPR

8820.2]

Business case analysis for

infrastructure [Required per

NPR 8800.15.]

OSI-FRED/R Initial Update Update Update Update

5.c.ii Capitalization

Determination Form (CDF)

(NASA Form 1739)

[Required per NPR 9250.1]

OCFO/R Initial Update Update Update Update

5.d. Schedule [Required per

NPR 7120.5]

OCFO-SID/R

Risk informed

at project

level with

preliminary

Phase D

completion

ranges

Risk

informed at

system level

with

preliminary

Phase D

completion

ranges

Risk informed

at subsystem

level with

preliminary

Phase D

completion

ranges or high

and low

schedule

values with

JCL. 4

Prelim-inary

IMS

Risk informed

and cost-

loaded.

Baseline

Integrated

Master

Schedule

Update

IMS

Update

IMS

Update IMS

Update

IMS

Update

IMS

Update

IMS

5.e. Cost Estimate

[Required per NPR 7120.5]

OCFO-SID/R

Preliminary

Range

estimate

Update

Risk-informed

range estimate

or high and

low-cost

values with

JCL 4

Risk-informed

baseline

Update Update Update Update Update Update

5.f. Basis of Estimate (cost

and schedule) [Required per

NPR 7120.5]

OCFO-SID/R

Initial (for

range)

Update (for

range)

Update (for

range or high

and low

values with

JCL4)

Update for

cost and

schedule

estimate

Update Update Update Update Update Update

5.g. Confidence Level(s)

and supporting

documentation [Required

per NPR 7120.5]

OCFO-SID/R

Preliminary

cost

confidence

level and

preliminary

schedule

confidence

level or JCL 4

Baseline

Joint Cost and

Schedule

Confidence

Level

Update5 Update6

5.h. External Cost and

Schedule Commitments

[Required per NPR 7120.5]

OCFO-SID/R

Preliminary

for ranges or

JCL 4

Baseline

NPR 7120.5F -- AppendixI

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 142 of 147

NPR 7120.5F -- AppendixI Page 142 of 147

5.i. CADRe [Required per

NPR 7120.5]

OCFO-SID/R Baseline Update Update Update Update Update7 Update

5.j. PMB [Required per

NPR 7120.5 and NASA

EVM Capability Process

Documentation]

OCFO-SID/R Baseline Update Update Update Update

1 These products are developed by the Mission Directorate.

2 These document the work of the key technical activities performed in the associated phases.

3 The Program Plan and Project Plans may be combined with the approval of the MDAA.

4 Single-project programs with LCC or initial capability cost of $1B or over develop high and low values for cost and schedule with corresponding JCL values at KDP B per Section 2.4.3.1.a.

5 Single-project programs with LCC or initial capability cost of $1B or over update the JCL at CDR per Section 2.4.3.3.

6 Projects with LCC or initial capability cost of $1B or over update the JCL at KDP D per Section 2.4.3.4 if current development costs exceed development ABC cost by 5 percent or more.

7 The CADRe for MRR/FRR is considered the “Launch CADRe” to be completed after the launch.

Table I-7 Single-Project Program Plan Control Plans Maturity Matrix

(See Templates in

Appendices G and H

for Control Plan

Details)

Product

Owner/Requirement or

Best Practice

Pre-Phase

Phase A

KDP B

Phase B

KDP C

Phase C

KDP D

Phase D

KDP E

Phase

KDP F

MCR SRR SDR/MDR PDR CDR SIR ORR MRR/ FRR DR

1. Technical, Schedule,

and Cost Control Plan

[Required per NPR

7120.5]

NASA AA/R

Approach

for

managing

schedule

and cost

during

Phase A 1

Preliminary Baseline Update

2. Safety and Mission

Assurance Plan

[Required per NPRs

8705.2 and 8705.4]

OSMA/R Baseline Update Update Update

Update

(SMSR)

Update

3. Risk Management

Plan [Required per NPR

8000.4]

OSMA/R

Approach

for

managing

risks during

Phase A 1

Baseline Update Update

4. Acquisition Strategy

[Required per NPD

1000.5]

NASA AA/R

Preliminary

Strategy

Baseline Update Update

5. Technology

Development Plan (may

be part of Formulation

Agreement) [additional

information in NPR

7500.2, NPR 7123.1,

and NPR 7120.5]

OCE/BP Baseline Update Update Update

6. Systems Engineering

Management Plan

[Required per NPR

7123.1]

OCE/R Preliminary Baseline Update Update

7. System Security Plan

[Required per NPR

2810.1]

OCIO/R Preliminary Update Baseline Update Update

8. Software

Management Plan(s)

[Required per NPR

7150.2; additional

information in

NASA-STD-8739.8]

OCE/R Preliminary Baseline Update

9. Verification and

Validation Plan

[Required per NPR

7120.5, additional

information in NPR

7123.1]

OCE/R

Preliminary

Approach2

Preliminary Baseline Update Update

10. Review Plan

[Required per NPR

7120.5]3

NASA AA/R Preliminary Baseline Update Update

11. Mission Operations

Plan [Required per NPR

7120.5]

OCE/R Preliminary Baseline Update

12. NEPA Compliance

Plan [Required per NPR

8580.1]

OSI-EMD/R Baseline

13. Integrated Logistics

Support Plan [Required

per NPD 7500.1]

OSI-LMD/R

Approach

for

managing

logistics 2

Preliminary Preliminary Baseline Update

NPR 7120.5F -- AppendixI

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 143 of 147

NPR 7120.5F -- AppendixI Page 143 of 147

14. Science Data

Management Plan

[additional information

in NPD 2200.1 and

NPRs 2200.2, 1441.1,

and 8715.24]

SMD/BP

Preliminary

Science Data

Requirements

Preliminary Baseline Update

15. Integration Plan

[Required per NPR

7120.5]

OCE/R

Preliminary

approach2

Preliminary Baseline Update

16. Configuration

Management Plan

[Required per NPR

7120.5; additional

information in NPR

7123.1 and SAE/EIA

649]

OCE/R Baseline Update Update

17. Security Plan

[Required per NPR

1040.1 and NPR 1600.1]

OPS/R Preliminary Baseline

Update

annually

18. Project Protection

Plan [Required per NPR

1058.1, additional

information in

NASA-STD-1006]

OCE/R Preliminary Baseline Update Update Update Update

Update

annually

19. Technology Transfer

(formerly Export)

Control Plan [Required

per NPR 2190.1]

OIIR/R Preliminary Baseline Update

20. Knowledge

Management Plan

[additional information

in NPD 7120.4 and

NPD 7120.6]

OCE/BP

Approach

for

managing

during

Phase A 1

Preliminary Baseline Update

21. Human-Rating

Certification Package

[Required per NPR

8705.2]

OSMA/R

Preliminary

approach2

Initial Update Update Update Update

Approve

Certification

22. Planetary Protection

Plan [Required per NPD

8020.7 and NPR

8715.24]

OSMA/R

Planetary

Protection

Categorization

(if applicable)

Baseline

23. Nuclear Launch

Authorization Plan

[additional information

in NPR 8715.26]

OSMA/R

Baseline

(mission has

nuclear

materials)

24. Range Safety Risk

Management Process

Documentation

[Required per NPR

8715.5]

OSMA/R Preliminary Preliminary Baseline

25. Communications

Plan [additional

information in NPR

7120.5]

OComm/BP Preliminary Baseline Update Update

26. Quality Assurance

Surveillance Plan

[Required per NPR

8735.2 and NASA FAR

Supplement part

1837.604]

OSMA/R Preliminary Baseline Update Update Update

27. Orbital Collision

Avoidance Plan

[Required per NPR

8079.1]

OCE/R Baseline Update

28. Human Systems

Integration Approach

[additional information

NASA/SP-20210010952

NASA HSI Handbook

and NPR 7123.1]

OCE-OSMA-OCHMO/R Preliminary Baseline Update Update Update

1 Not the Plan, but documentation of high-level process. May be documented in MCR briefing package.

2 Not the Plan, but documentation of considerations that might impact the cost and schedule baselines. May be documented in MCR briefing package.

3 Review Plan should be baselined before the first review.

NPR 7120.5F -- AppendixI

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 144 of 147

NPR 7120.5F -- AppendixI Page 144 of 147

Appendix J. References

a. Declaration of Policy, 15 U.S.C. §205b, reference: Metric Conversion Act, Pub. L. No. 94-168,

December 23, 1975, as amended by the Omnibus Trade and Competitiveness Act of 1988, Pub. L.

No. 100-418.

b. Metric Usage in Federal Government Programs, Exec. Order No. 12770, dated July 25, 1991.

c. Federal Participation in the Development and Use of Voluntary Consensus Standards and in

Conformity Assessment Activities, OMB Circular No. A-119.

d. NPD 1200.1, NASA Internal Control.

e. NPD 1210.2, NASA Surveys, Audits, and Reviews Policy.

f. NPD 1440.6, NASA Records Management.

g. NPD 1600.2, NASA Security Policy.

h. NPD 2200.1, Management of NASA Scientific and Technical Information.

i. NPD 2800.1, Managing Information Technology.

j. NPD 7120.6, Knowledge Policy for Programs and Projects.

k. NPD 8010.3, Notification of Intent to Decommission or Terminate Operating Space Systems and

Terminate Missions.

l. NPD 8600.1, Capability Portfolio Management.

m. NPD 8700.1, NASA Policy for Safety and Mission Success.

n. NPD 8720.1, NASA Reliability and Maintainability (R&M) Program Policy.

o. NPD 8730.5, NASA Quality Assurance Program Policy.

p. NPD 8800.14, Policy for Real Estate Management.

q. NPD 8900.5, NASA Health and Medical Policy for Human Space Exploration.

r. NPR 1441.1, NASA Records Management Program Requirements.

s. NPR 2200.2, Requirements for Documentation, Approval and Dissemination of Scientific and

Technical Information.

t. NPR 7120.7, NASA Information Technology Program and Project Management Requirements.

u. NPR 7120.8, NASA Research and Technology Program and Project Management Requirements.

v. NPR 7120.11, NASA Health and Medical Technical Authority (HMTA) Implementation.

w. NPR 7500.2, NASA Technology Transfer Requirements.

x. NPR 8621.1, NASA Procedural Requirements for Mishap and Close Call Reporting,

Investigating, and Recordkeeping

NPR 7120.5F -- AppendixJ

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incorporated into a contract. This document is uncontrolled when printed. Check

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this is the correct version before use: https://nodis3.gsfc.nasa.gov.

Page 145 of 147

NPR 7120.5F -- AppendixJ Page 145 of 147

y. NPR 8705.5, Technical Probabilistic Risk Assessment (PRA) Procedures for Safety and Mission

Success for NASA Programs and Projects.

z. NPR 8705.6, Safety and Mission Assurance (SMA) Audits, Reviews, and Assessments.

aa. NPR 8715.26, Nuclear Flight Safety.

bb. NPR 8715.3, NASA General Safety Program Requirements.

cc. NPR 8715.5, Range Flight Safety Program.

dd. NPR 8715.6, NASA Procedural Requirements for Limiting Orbital Debris and Evaluating the

Meteoroid and Orbital Debris Environments.

ee. NPR 8715.7, Payload Safety Program.

ff. NPR 8735.2, Hardware Quality Assurance Program Requirements for Programs and Projects.

gg. NPR 8800.15, Real Estate Management Program.

hh. NPR 8820.2, Facility Project Requirements.

ii. NPR 8900.1, NASA Health and Medical Requirements for Human Space Exploration.

jj. NPR 9250.1, Property, Plant, and Equipment and Operating Materials and Supplies.

kk. NPR 9420.1, Budget Formulation.

ll. NPR 9470.1, Budget Execution.

mm. NASA-STD-1006, Space System Protection Standard.

nn. NASA-STD-8709.22, Safety and Mission Assurance Acronyms, Abbreviations, and Definitions.

oo. NASA-STD-8719.14, Process for Limiting Orbital Debris.

pp. NASA-STD-8719.24, NASA Expendable Launch Vehicle Payload Safety Requirements.

qq. NASA-STD-8729.1, NASA Reliability and Maintainability (R&M) Standard for Spaceflight and

Support Systems.

rr. NASA-STD-8739.8, Software Assurance and Software Safety Standard.

ss. NASA/SP-2016-6105 Rev 2, NASA Systems Engineering Handbook.

https://ntrs.nasa.gov/api/citations/20170001761/downloads/20170001761.pdf

tt. NASA/SP-2011-3422, NASA Risk Management Handbook.

https://ntrs.nasa.gov/api/citations/20120000033/downloads/20120000033.pdf

uu. NASA/SP-20220009501, NASA Space Flight Program and Project Management Handbook.

https://ntrs.nasa.gov/api/citations/20220009501/downloads/20220009501.pdf

vv. NASA/SP-20230001306, NASA Standing Review Board Handbook.

https://ntrs.nasa.gov/citations/20230001306

ww. NASA/SP-2016-3404, NASA Work Breakdown Structure (WBS) Handbook.

https://ntrs.nasa.gov/api/citations/20200000300/downloads/20200000300.pdf

NPR 7120.5F -- AppendixJ

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incorporated into a contract. This document is uncontrolled when printed. Check

the NASA Online Directives Information System (NODIS) Library to verify that

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Page 146 of 147

NPR 7120.5F -- AppendixJ Page 146 of 147

https://ntrs.nasa.gov/api/citations/20200000300/downloads/20200000300.pdf

xx. NASA/SP-2016-3424, NASA Project Planning and Control Handbook.

https://www.nasa.gov/content/project-planning-control-handbook

yy. SP-20205003605, Technology Readiness Assessment Best Practices Guide.

zz. NASA/SP-20210010952, NASA Human Systems Integration (HSI) Handbook.

aaa. NASA-HDBK-2203, NASA Software Engineering and Assurance Handbook.

https://swehb.nasa.gov/display/SWEHBVC

bbb. NASA Cost Estimating Handbook, version 4.

https://www.nasa.gov/pdf/263676main_2008-NASA-Cost-Handbook-FINAL_v6.pdf

ccc. NC 1000.46, NASA Program/Project Management Board Charter.

https://nodis3.gsfc.nasa.gov/OPD_docs/NC_1000_46_.pdf.

ddd. NASA Program Management Improvement and Accountability Act (PMIAA) Implementation

Plan.

eee. "Changes to the NASA Dissenting Opinion Process," NASA AA Memo, June 18, 2020.

fff. SAE/EIA 649 Standard for Configuration Management.

https://standards.nasa.gov/configuration-management-standard

ggg. NASA Common Leading Indicators Detailed Reference Guide.

https://nodis3.gsfc.nasa.gov/OCE_rep/OCE_list.cfm

NPR 7120.5F -- AppendixJ

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incorporated into a contract. This document is uncontrolled when printed. Check

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Page 147 of 147

NPR 7120.5F -- AppendixJ Page 147 of 147