NASA/SP-2014-3705 NASA Space Flight Program and Project Management Handbook NASA STI Program ... in Profile Since its founding, NASA has been dedicated to the • CONFERENCE PUBLICATION. Collected pa- advancement of aeronautics and space science. The pers from scientific and technical conferences, NASA scientific and technical information (STI) symposia, seminars, or other meetings spon- program plays a key part in helping NASA maintain this sored or co-sponsored by NASA. important role. • SPECIAL PUBLICATION. Scientific, technical, The NASA STI program operates under the auspices or historical information from NASA programs, of the Agency Chief Information Officer. It collects, projects, and missions, often concerned with organizes, provides for archiving, and disseminates subjects having substantial public interest. NASA’s STI. The NASA STI program provides access to the NTRS® and its public interface, the NASA • TECHNICAL TRANSLATION. 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NASA/SP-2014-3705 NASA Space Flight Program and Project Management Handbook National Aeronautics and Space Administration Headquarters Office of the Chief Engineer Washington, D.C. 20546 September 2014 On the Cover: This dramatic image of the Orion Nebula, created by using all the imaging instruments aboard the Hubble Space Telescope simultaneously and using data as well from the European Southern Observatory’s La Silla 2.2 meter telescope, represents the sharpest view ever taken of this region. More than 3,000 stars of various sizes appear in this image – from the massive, young stars that are shaping the nebula to the pillars of dense gas that may be the homes of budding stars. In a mosaic containing a billion pixels at full resolution of observations taken between 2004 and 2005, this extensive study took 105 Hubble orbits to complete. The Hubble Space Telescope is an international project between NASA and the European Space Agency (ESA). The Space Telescope Science Institute (STScI) conducts Hubble science operations. Image credit: NASA, ESA, Massimo Robberto (STScI), and the Hubble Space Telescope Orion Treasury Project Team Given ships or sails adapted to the breezes of heaven, there will be those who will not shrink from even that vast expanse. – Johannes Kepler Letter to Galileo, 1610 To request copies or provide comments, contact the Office of the Chief Engineer at NASA Headquarters Electronic copies are available at http://ntrs.nasa.gov/ ISBN: 978-0-9710327-3-6 Table of Contents Preface __________________________________________xiii Acknowledgments ________________________________ xv 1 Introduction __________________________________ 1 1.1 Purpose _________________________________________________1 1.2 Document Structure _______________________________________1 1.3 How to Use This Handbook _________________________________2 2 High-Level Overview of Program and Project Management _________________________________ 5 2.1 Overview of Program and Project Life Cycles ___________________6 2.2 Oversight and Approval ____________________________________8 2.2.1 Decision Authority __________________________________9 2.2.2 Management Councils ______________________________10 2.2.3 Key Decision Points ________________________________10 2.3 Governance _____________________________________________11 2.4 NASA Programs _________________________________________13 2.5 NASA Projects __________________________________________15 2.6 Interrelationships Between NASA Programs and Projects ________17 3 Program Life Cycles, Oversight, and Activities by Phase _______________________________________ 21 3.1 NASA Programs _________________________________________21 3.1.1 Program Life Cycles ________________________________22 3.1.2 Program Life-Cycle Reviews _________________________24 3.1.3 Other Reviews and Resources ________________________30 3.1.4 Program Evolution and Recycling _____________________33 3.2 Program Oversight and Approval ___________________________34 3.2.1 Decision Authority _________________________________34 3.2.2 Management Councils ______________________________36 NASA SPACE FLIGHT PROGRAM AND PROJECT MANAGEMENT HANDBOOK iii 3.2.3 Key Decision Points ________________________________39 3.2.4 Decision Memorandum, Management Agreement, and Agency Baseline Commitment ____________________40 3.2.5 Management Forum—Baseline Performance Review ______42 3.3 Program Formulation _____________________________________44 3.3.1 Program Activities Leading to the Start of Formulation ____44 3.3.2 Program Formulation Activities ______________________44 3.3.3 Program Management, Planning, and Control Activities ___57 3.3.4 Technical Activities and Products _____________________68 3.3.5 Completing Formulation Activities and Preparing for Implementation ___________________________________79 3.4 Program Implementation __________________________________83 3.4.1 Implementation Activities Unique to Tightly Coupled and Single-Project Programs by Phase _____________________88 3.4.2 Final Design and Fabrication _________________________88 3.4.3 Preparing for Program Decommissioning and Closing Out _96 3.5 Program Products by Phase ________________________________96 3.5.1 Non-Configuration-Controlled Documents _____________96 3.5.2 Configuration-Controlled Documents__________________97 4 Project Life Cycle, Oversight, and Activities by Phase ___________________________________109 4.1 NASA Projects _________________________________________109 4.1.1 Project Life Cycle _________________________________112 4.1.2 Project Life-Cycle Reviews __________________________115 4.1.3 Other Reviews and Resources _______________________120 4.1.4 Project Evolution and Recycle _______________________122 4.1.5 Project Tailoring __________________________________122 4.2 Project Oversight and Approval ____________________________126 4.2.1 Decision Authority ________________________________127 4.2.2 Management Councils _____________________________128 4.2.3 Key Decision Points _______________________________132 4.2.4 Decision Memorandum, Management Agreement, and Agency Baseline Commitment _______________________133 4.2.5 Management Forum—Baseline Performance Review _____135 4.3 Project Formulation _____________________________________137 4.3.1 Concept Studies (Pre–Phase A) Activities ______________137 4.3.2 Completing Pre–Phase A (Concept Studies) Activities and Preparing for Phase A (Concept and Technology Development) ____________________________________148 4.3.3 Initiation of Competed Mission Projects _______________152 4.3.4 Project Phase A, Concept and Technology Development Activities ________________________________________153 iv TABLE OF CONTENTS 4.3.5 Completing Concept and Technology Development (Phase A) Activities and Preparing for Preliminary Design and Technology Completion (Phase B) __________177 4.3.6 Project Phase B, Preliminary Design and Technology Completion Activities ______________________________178 4.3.7 Completing Preliminary Design and Technology Completion (Phase B) Activities and Preparing for Final Design and Fabrication (Phase C) ____________________187 4.4 Project Implementation __________________________________189 4.4.1 Project Phase C, Final Design and Fabrication Activities __189 4.4.2 Completing Final Design and Fabrication (Phase C) Activities and Preparing for System Assembly, Integration and Test, Launch and Checkout (Phase D) ______________196 4.4.3 Project Phase D, System Assembly, Integration and Test, Launch and Checkout Activities _____________________198 4.4.4 Launch Approval Process and Transition to Operations ___203 4.4.5 Completing System Assembly, Integration and Test, Launch and Checkout (Phase D) Activities and Preparing for Operations and Sustainment (Phase E) _____________210 4.4.6 Project Phase E, Operations and Sustainment Activities ___211 4.4.7 Project Decommissioning and Disposal _______________216 4.4.8 Project Phase F, Decommissioning/Disposal and Closeout Activities ________________________________________219 4.5 Project Products by Phase _________________________________221 4.5.1 Non-Configuration-Controlled Documents ____________221 4.5.2 Configuration-Controlled Documents_________________222 5 Special Topics _______________________________229 5.1 NASA Governance ______________________________________229 5.1.1 Programmatic Authority ___________________________232 5.1.2 Institutional Authority _____________________________234 5.2 Technical Authority _____________________________________237 5.2.1 Overview ________________________________________237 5.2.2 The Origin of the Technical Authority Process __________238 5.2.3 Technical Authority and NASA Governance ____________239 5.2.4 Common Technical Authority Roles __________________240 5.2.5 Special Risk Acceptance Roles _______________________241 5.2.6 Technical Authority and Dissent _____________________242 5.2.7 Specific Roles of the Different Technical Authorities ______243 5.3 Dissenting Opinion Process _______________________________252 5.3.1 Responsibilities of the Individual Raising a Dissenting Opinion _________________________________________256 5.3.2 Responsibilities of a Decision Maker __________________256 5.3.3 Appeal Path for Dissenting Opinions__________________257 5.3.4 Notifications During the Dissenting Opinion Resolution Process _________________________________________262 NASA SPACE FLIGHT PROGRAM AND PROJECT MANAGEMENT HANDBOOK v 5.4 Tailoring Requirements __________________________________263 5.4.1 Delegation of Tailoring Approval Authority ____________263 5.4.2 Tailoring NPR 7120.5 Requirements __________________264 5.4.3 Tailoring Process Documentation ____________________267 5.4.4 Tailoring a Derived Requirement _____________________268 5.4.5 Tailoring a Technical Authority Requirement ___________269 5.4.6 Non-Applicable Prescribed Requirements ______________270 5.4.7 Request for a Permanent Change _____________________270 5.5 Maturing, Approving, and Maintaining Program and Project Plans, Baselines, and Commitments ________________________270 5.5.1 The Agency Baseline Commitment ___________________272 5.5.2 Maturing the Program or Project LCC and Schedule Estimates during Formulation, and Establishing the Program or Project ABC____________________________273 5.5.3 Relationships Between the LCC, ABC, UFE, and Management Agreement ___________________________277 5.5.4 Replanning and Rebaselining ________________________278 5.5.5 Decision Authority ________________________________282 5.5.6 Decision Memorandum ____________________________283 5.6 Cost and Schedule Analysis Work to Support Decisions _________290 5.6.1 Cost and Schedule Estimates ________________________290 5.6.2 Probabilistic Analysis of Cost and Schedule ____________296 5.7 Realistic Cost and Schedule Estimating and the JCL ____________296 5.7.1 History of JCL ____________________________________297 5.7.2 Intention of Policy ________________________________298 5.7.3 Policy Clarifications _______________________________299 5.7.4 JCL Process Flow (Overview) ________________________300 5.7.5 Unallocated Future Expenses ________________________308 5.8 Federal Budgeting Process ________________________________309 5.8.1 NASA’s Interface with the Federal Budget Process _______310 5.8.2 OMB Passback ___________________________________311 5.8.3 PPBE Process ____________________________________312 5.8.4 Linkage Between Life Cycles ________________________316 5.8.5 Program and Project Involvement in the Budgeting Process _________________________________________317 5.9 The Work Breakdown Structure and Its Relationship to Agency Financial Processes ______________________________________319 5.9.1 Developing the Program WBS _______________________321 5.9.2 Developing the Project WBS ________________________321 5.9.3 Space Flight Project Standard WBS Dictionary __________322 5.9.4 Developing Level 3 and Subsequent Elements for the Project WBS _____________________________________326 5.9.5 Translating Work Breakdown into Funds ______________327 5.9.6 The Metadata Manager System _______________________328 5.9.7 Program WBS Work Elements _______________________330 vi TABLE OF CONTENTS 5.10 Independent Standing Review Boards and Life-Cycle Reviews ____330 5.10.1 Standing Review Board_____________________________331 5.10.2 Life-Cycle Reviews and Independent Assessment ________334 5.11 Other Reviews __________________________________________340 5.11.1 Termination Review _______________________________340 5.11.2 SMA Compliance/Verification Reviews ________________343 5.11.3 Program Implementation Review (PIR) Guidance _______344 5.12 External Reporting ______________________________________345 5.12.1 Conditions Leading to External Reporting Requirements _345 5.12.2 Integrated Technical, Cost, and Schedule Data Collection and Reporting Process _____________________________346 5.12.3 Major Cost and Schedule Reports Provided to Congress and OMB ________________________________________349 5.12.4 NASA Management and Use of Data __________________354 5.13 NASA Required and Recommended Leading Indicators _________355 5.13.1 Background ______________________________________355 5.13.2 Introduction to Leading Indicators ___________________356 5.13.3 Required Leading Indicators ________________________358 5.13.4 Other Leading Indicators and Resources _______________365 5.14 Earned Value Management and Integrated Baseline Reviews _____367 5.14.1 Integrated Baseline Review (IBR) _____________________369 5.14.2 EVM Performance Reporting ________________________370 5.15 Selecting and Certifying NASA Program and Project Managers __371 5.15.1 Selecting Program and Project Managers ______________371 5.15.2 Certifying Program and Project Managers _____________372 5.15.3 Agency Roles and Responsibilities ____________________372 5.15.4 Program or Project Manager Certification _____________373 Appendices _____________________________________381 A Definitions ____________________________________________383 B Acronyms _____________________________________________403 C NPR 7120.5E Requirements Rationale _______________________409 D Roles and Responsibilities Relationships Matrix _______________417 E Addressing the Six Life-Cycle Review Criteria ________________429 F Control Plan Description and Information Sources ____________447 G References _____________________________________________451 H Index _________________________________________________457 NASA SPACE FLIGHT PROGRAM AND PROJECT MANAGEMENT HANDBOOK vii Boxes Types of Requirements _________________________________________14 Extended Operations __________________________________________41 Formulation Agreement _______________________________________54 Required and Recommended Programmatic and Technical Leading Indicators ______________________________________________62 Operations Handbook _________________________________________91 Sustainment and Sustainment Engineering ________________________94 Formulation Agreement ______________________________________149 Required and Recommended Programmatic and Technical Leading Indicators _____________________________________________158 Operations Handbook ________________________________________196 Sustainment and Sustainment Engineering _______________________212 Challenger and Columbia Case Studies ___________________________253 STS-121 Return to Flight Launch Decision ________________________254 Types of Requirements ________________________________________265 Considering Other Stakeholders in Tailoring Requirements __________266 Tailoring of a Derived Requirement: Example _____________________269 Risk Acceptance _____________________________________________297 viii TABLE OF CONTENTS