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NASA Procedures and Guidelines

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NPR 7120.5E
Eff. Date: August 14, 2012
Cancellation Date:

NASA Space Flight Program and Project Management Requirements (Updated w/Change 18)
| TOC | ChangeLog | Preface | Chapter1 | Chapter2 | Chapter3 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | AppendixH | AppendixI | AppendixJ | ALL |


Appendix I. Program and Project Products by Phase

I.1 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 that is planned 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.

Products Formulation Implementation
KDP I1 KDP I1
SRR SDR PIR
1. FAD Baseline
2. PCA Preliminary Baseline
3. Program Plan Preliminary Baseline Update
3.a. Mission Directorate requirements and constraints Baseline Update
3.b. Traceability of program-level requirements on projects to the Agency strategic goals and Mission Directorate requirements and constraints Preliminary Baseline
3.c. Documentation of driving ground rules and assumptions on the program Preliminary Baseline
4. Interagency and international agreements Preliminary Baseline
5. ASM minutes Final
6. Risk mitigation plans and resources for significant risks Initial Update Update
7. Documented Cost and Schedule Baselines Preliminary Baseline Update
8. Documentation of Basis of Estimate (cost and schedule) Preliminary Baseline Update
9. Documentation of performance against plan/baseline, including status/closure of formal actions from previous KDP. Summary Summary Summary
10. Plans for work to be accomplished during Implementation Plan Plan
Program Plan Control Plans2
1. Technical, Schedule, and Cost Control Plan Preliminary Baseline
2. Safety and Mission Assurance Plan Preliminary Baseline
3. Risk Management Plan Preliminary Baseline
4. Acquisition Plan Preliminary Baseline
5. Technology Development Plan Preliminary Baseline
6. Systems Engineering Management Plan Preliminary Baseline
7. Review Plan Baseline Update
8. Environmental Management Plan Baseline
9. Configuration Management Plan Baseline
10. Security Plan Baseline
11. Technology Transfer (formerly Export) Control Plan Baseline
12. Communications Plan Baseline
13. Knowledge Management Plan Preliminary Baseline

1 If desired, the Decision Authority may request a KDP 0 be performed generally following SRR.

2 Requirements for and scope of control plans will depend on scope of program. As noted in the template, control plans may be a part of the basic Program Plan.

Table I-2 Tightly Coupled Program Milestone Products Maturity Matrix

Products Formulation Implementation
KDP 0 KDP I KDP II KDP III KDP n
SRR SDR PDR CDR SIR ORR MRR/FRR DR
1. FAD Baseline
2. PCA Preliminary Baseline
3. Program Plan Preliminary Baseline Update Update Update Update Update Update
3.a. Mission Directorate requirements and constraints Baseline Update Update
3.b. Traceability of program-level requirements on projects to the Agency strategic goals and Mission Directorate requirements and constraints Preliminary Baseline Update
3.c. Documentation of driving ground rules and assumptions on the program Preliminary Baseline Update Update Update
4. Interagency and international agreements Preliminary Baseline Update
5. ASM minutes Final
6. Risk mitigation plans and resources for significant risks Initial Update Update Update Update Update Update Update
7. Documented Cost and Schedule Baselines Preliminary Preliminary Baseline Update Update Update Update Update
8. Documentation of Basis of Estimate (cost and schedule) Preliminary Preliminary Baseline Update Update Update Update Update
9. Confidence Level(s) and supporting documentation Preliminary cost confidence level and preliminary schedule confidence level Baseline
Joint Cost and Schedule Confidence Level
10. Shared Infrastructure1, Staffing, and Scarce Material Requirements and Plans Initial Update Update Update
11. Documentation of performance against plan/baseline, including status/closure of formal actions from previous KDP Summary Summary Summary Summary Summary Summary Summary
12. Plans for work to be accomplished during next life-cycle phase Plan Plan Plan Plan Plan
1 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

NPR 7120.5
Program Plan Control Plans
(See template in Appendix G for control plan details.)		 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 Preliminary Baseline Update
2. Safety and Mission Assurance Plan Preliminary Baseline Update Update Update (SMSR)
3. Risk Management Plan Preliminary Baseline Update
4. Acquisition Plan Preliminary Strategy Baseline Update
5. Technology Development Plan Preliminary Baseline Update
6. Systems Engineering Management Plan Preliminary Baseline
7. Verification and Validation Plan Preliminary Baseline Update Update
8. Information Technology Plan Preliminary Baseline Update
9. Review Plan1 Baseline Update Update
10. Missions Operations Plan Preliminary Baseline Update
11. Environmental Management Plan Preliminary Baseline Update
12. Integrated Logistics Support Plan Preliminary Baseline Update
13. Science Data Management Plan Preliminary Baseline Update
14. Configuration Management Plan2 Preliminary Baseline Update
15. Security Plan Preliminary Baseline
16. Technology Transfer (formerly Export) Control Plan Preliminary Baseline Update
17. Communications Plan Preliminary Baseline Update Update
18. Knowledge Management Plan Preliminary Baseline Update


19. Human Rating Certification Package Initial Update Update Update Update Approve Certification


1 Review Plan should be baselined before the first review.

2 Software and hardware configuration management may be preliminary at SRR and updated at SDR.

Table I-4 Project Milestone Products Maturity Matrix

Products 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 Baseline
2. Program Plan Baseline
2.a. Applicable Agency strategic goals 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 Preliminary Baseline Update Update
2.c. Documentation of driving mission, technical, and programmatic ground rules and assumptions Preliminary Preliminary Baseline Update Update Update
3. Partnerships and interagency and international agreements Preliminary Update Baseline U.S. partnerships and agreements Baseline international agreements
4. ASM minutes Final
5. NEPA compliance documentation per NPR 8580.1 Final documentation per NPR 8580.1
6. Mishap Preparedness and Contingency Plan Preliminary Update Baseline (SMSR) Update Update
Project Technical Products2
1. Concept Documentation Approve Update Update Update
2. Mission, Spacecraft, Ground, and Payload Architectures 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 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 Preliminary Baseline Preliminary Design Baseline Detailed Design Update Baseline As-built hardware and software
5. Operations Concept Preliminary Preliminary Preliminary Baseline
6. Technology Readiness Assessment Documentation Initial Update Update Update Update
7. Engineering Development Assessment Documentation Initial Update Update Update
8. Heritage Assessment Documentation Initial Update Update Update
9. Safety Data Packages [Baseline at CDR] [per NPRs 8715.3, 8735.1, and 8735.2]

Preliminary

Baseline

Update

Update

Update
10. ELV Payload Safety Process Deliverables Preliminary Preliminary Baseline
11. Verification and Validation Report Preliminary Baseline
12. Operations Handbook Preliminary Baseline Update
13. Orbital Debris Assessment per NPR 8715.6 Preliminary Assessment Preliminary design ODAR Detailed design ODAR Final ODAR (SMSR)
14. End of Mission Plans per NPR 8715.6/NASA-STD 8719.14, App B Baseline End of Mission Plan (SMSR) Update EOMP annually Update EOMP
15. Mission Report Final
Project Management, Planning, and Control Products
1. Formulation Agreement Baseline for Phase A; Preliminary for Phase B Baseline for Phase B
2. Project Plan Preliminary Baseline
3. Plans for work to be accomplished during next Implementation life-cycle phase Baseline for Phase C Baseline for Phase D Baseline for Phase E Baseline for Phase F
4. Documentation of performance against Formulation Agreement (see #1 above) or against plans for work to be accomplished during Implementation life-cycle phase (see #3 above), including performance against baselines and status/closure of formal actions from previous KDP Summary Summary Summary Summary Summary Summary Summary Summary
5.Project Baselines Preliminary Baseline Update Update Update Update
5.a. Top technical, cost, schedule and safety risks, risk mitigation plans, and associated resources Initial Update Update Update Update Update Update Update Update Update
5.b. Staffing requirements and plans Initial Update Update Update Update Update
5.c. Infrastructure requirements and plans, business case analysis for infrastructure
Capitalization Determination Form (CDF) (NASA Form 1739), per NPR 9250.1		 Initial Update Update

 Update

 Update
5.d. Schedule 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. Preliminary Integrated Master Schedule Risk informed and cost- or resource-loaded. Baseline Integrated Master Schedule Update IMS Update IMS Update IMS
5.e. Cost Estimate (Risk-Informed or Schedule-Adjusted Depending on Phase) Preliminary Range estimate Update Risk-informed schedule-adjusted range estimate Risk-informed and schedule-adjusted Baseline Update Update Update Update Update Update
5.f. Basis of Estimate (cost and schedule) Initial (for range) Update (for range) Update (for range) Update for cost and schedule estimate Update Update Update Update Update Update
5.g. Confidence Level(s) and supporting documentation Preliminary cost confidence level and preliminary schedule confidence level Baseline

Joint Cost and Schedule Confidence Level
5.h. External Cost and Schedule Commitments Preliminary for ranges Baseline
5.i. CADRe Baseline Update Update Update Update3 Update
6. Decommissioning/Disposal Plan Baseline Update Disposal portions

1 These products are developed by the Mission Directorate.

2 These document the work of the key technical activities performed in the associated phases.

3The CADRe for MRR/FRR is considered the "Launch CADRe" to be completed after the launch.

Table I-5 Project Plan Control Plans Maturity Matrix

NPR 7120.5 Project Plan Control Plans
(See template in Appendix H for control plan details)		 Pre-Phase A Phase A
KDP B 		Phase B
KDP C		 Phase C
KDP D		 Phase D
KDP E		 Phase E
KDP F
MCR SRR SDR/MDR PDR CDR SIR ORR MRR/ FRR DR
1. Technical, Schedule, and Cost Control Plan Approach for managing schedule and cost during Phase A1 Preliminary Baseline Update
2. Safety and Mission Assurance Plan Baseline Update Update Update Update (SMSR) Update
3. Risk Management Plan Approach for managing risks during Phase A1 Baseline Update Update
4. Acquisition Plan Preliminary Strategy Baseline Update Update
5. Technology Development Plan (may be part of Formulation Agreement) Baseline Update Update Update
6. Systems Engineering Management Plan Preliminary Baseline Update Update
7. Information Technology Plan Preliminary Baseline Update
8. Software Management Plan(s) Preliminary Baseline Update
9. Verification and Validation Plan Preliminary Approach2 Preliminary Baseline Update Update
10. Review Plan Preliminary Baseline Update Update
11. Mission Operations Plan Preliminary Baseline Update
12. Environmental Management Plan Baseline
13. Integrated Logistics Support Plan Approach for managing logistics2 Preliminary Preliminary Baseline Update
14. Science Data Management Plan Preliminary Baseline Update
15. Integration Plan Preliminary approach2 Preliminary Baseline Update
16. Configuration Management Plan Baseline Update Update
17. Security Plan Preliminary Baseline Update annually
18. Project Protection Plan Preliminary Baseline Update Update Update Update Update annually
19. Technology Transfer (formerly Export) Control Plan Preliminary Baseline Update
20. Knowledge Management Plan Approach for managing during Phase A1 Preliminary Baseline Update
21. Human Rating Certification Package Preliminary approach 2 Initial Update Update Update Update Approve Certification
22. Planetary Protection Plan Planetary Protection Certification (if required) Baseline
23. Nuclear Safety Launch Approval Plan Baseline (mission has nuclear materials)
24. Range Safety Risk Management Process Documentation Preliminary Preliminary Baseline
25. Communications Plan Preliminary Baseline Update Update
1Not 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.

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

Products 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 Products1
1. FAD Baseline
2. PCA Preliminary Baseline
3. Traceability of Agency strategic goals and Mission Directorate requirements and constraints to program/project-level requirements and constraints. Preliminary Baseline Update Update
4. Documentation of driving mission, technical, and programmatic ground rules and assumptions Preliminary Preliminary Baseline Update Update Update
5. Partnerships and inter-agency and international agreements Preliminary Update Baseline U.S. partnerships and agreements Baseline international agreements
6. ASM minutes Final
7. NEPA compliance documentation per NPR 8580.1 Final documentation per NPR 8580.1
8. Mishap Preparedness and Contingency Plan Preliminary Update Baseline (SMSR) Update Update
Single-Project Program Technical Products2
1. Concept Documentation Approve Update Update Update
2. Mission, Spacecraft, Ground, and Payload Architectures 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 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 Preliminary Baseline Preliminary Design Baseline Detailed Design Update Baseline as-built hardware and software
5. Operations Concept Preliminary Preliminary Preliminary Baseline
6. Technology Readiness Assessment Documentation Initial Update Update Update Update
7. Engineering Development Assessment Documentation Initial Update Update Update
8. Heritage Assessment Documentation Initial Update Update Update
9. Safety Data Packages [Baseline at CDR]

Preliminary

Baseline

Update

Update

Update
10. ELV Payload Safety Process Deliverables Preliminary Preliminary Baseline
11. Verification and Validation Report Preliminary Baseline
12. Operations Handbook Preliminary Baseline Update
13. Orbital Debris Assessment per NPR 8715.6 Preliminary Assessment Preliminary design ODAR Detailed design ODAR Final ODAR (SMSR)
14. End of Mission Plans per NPR 8715.6/NASA-STD 8719.14, App B Baseline End of Mission Plan (SMSR) Update EOMP annually Update EOMP
15. Mission Report Final
Single-Project Program Management, Planning, and Control Products
1. Formulation Agreement Baseline for Phase A; Preliminary for Phase B Baseline for Phase B
2. Program Plan3 Preliminary Baseline
3. Project Plan3 Preliminary Baseline
4. Plans for work to be accomplished during next Implementation life-cycle phase Baseline for Phase C Baseline for Phase D Baseline for Phase E Baseline for Phase F
5. Documentation of performance against Formulation Agreement (see #1 above) or against plans for work to be accomplished during Implementation life-cycle phase (see #3 above), including performance against baselines and status/closure of formal actions from previous KDP Summary Summary Summary Summary Summary Summary Summary Summary
6.Project Baselines Preliminary Baseline Update Update Update Update
6.a. Top technical, cost, schedule and safety risks, risk mitigation plans, and associated resources Initial Update Update Update Update Update Update Update Update Update
6.b. Staffing requirements and plans Initial Update Update Update Update Update
6.c. Infrastructure requirements and plans, business case analysis for infrastructure

Capitalization Determination Form (CDF) (NASA Form 1739), per NPR 9250.1		 Initial Update Update

 Update

 Update
6.d. Schedule 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. Preliminary Integrated Master Schedule Risk informed and cost- or resource-loaded. Baseline Integrated Master Schedule Update IMS Update IMS Update IMS
6.e. Cost Estimate (Risk-Informed or Schedule-Adjusted Depending on Phase) Preliminary Range estimate Update Risk-informed schedule-adjusted range estimate Risk-informed and schedule-adjusted baseline Update Update Update Update Update Update
6.f. Basis of Estimate (cost and schedule) Initial (for range) Update (for range) Update (for range) Update for cost and schedule estimate Update Update Update Update Update Update
6.g. Confidence Level(s) and supporting documentation Preliminary cost confidence level and preliminary schedule confidence level Baseline

Joint Cost and Schedule Confidence Level
6.h. External Cost and Schedule Commitments Preliminary for ranges Baseline
6.i. CADRe Baseline Update Update Update Update4 Update
7. Decommissioning/ Disposal Plan Baseline Update disposal portions
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 and project plans may be combined with the approval of the MDAA.

4The 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

NPR 7120.5 Program and Project Plan Control Plans (See template in Appendices G and H for control plan details) Pre-Phase A Phase A
KDP B		 Phase B
KDP C		 Phase C
KDP D		 Phase D
KDP E		 Phase E
KDP F
MCR SRR SDR/MDR PDR CDR SIR ORR MRR/ FRR DR
1. Technical, Schedule, and Cost Control Plan Approach for managing schedule and cost during Phase A1 Preliminary Baseline Update
2. Safety and Mission Assurance Plan Baseline Update Update Update Update (SMSR) Update
3. Risk Management Plan Approach for managing risks during Phase A1 Baseline Update Update
4. Acquisition Plan Preliminary Strategy Baseline Update Update
5. Technology Development Plan (may be part of Formulation Agreement) Baseline Update Update Update
6. Systems Engineering Management Plan Preliminary Baseline Update Update
7. Information Technology Plan Preliminary Baseline Update
8. Software Management Plan(s) Preliminary Baseline Update
9. Verification and Validation Plan Preliminary Approach2 Preliminary Baseline Update Update
10. Review Plan Preliminary Baseline Update Update
11. Mission Operations Plan Preliminary Baseline Update
12. Environmental Management Plan Baseline
13. Integrated Logistics Support Plan Approach for managing logistics2 Preliminary Preliminary Baseline Update
14. Science Data Management Plan Preliminary Baseline Update
15. Integration Plan Preliminary approach2 Preliminary Baseline Update
16. Configuration Management Plan Baseline Update Update
17. Security Plan Preliminary Baseline Update annually
18. Project Protection Plan Preliminary Baseline Update Update Update Update Update annually
19. Technology Transfer (formerly Export) Control Plan Preliminary Baseline Update
20. Knowledge Management Plan Approach for managing during Phase A1 Preliminary Baseline Update
21. Human Rating Certification Package Preliminary approach2 Initial Update Update Update Update Approve Certification
22. Planetary Protection Plan Planetary Protection Certification (if required) Baseline
23. Nuclear Safety Launch Approval Plan Baseline (mission has nuclear materials)
24. Range Safety Risk Management Process Documentation Preliminary Preliminary Baseline
26. Communications Plan Preliminary Baseline 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.

| TOC | ChangeLog | Preface | Chapter1 | Chapter2 | Chapter3 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | AppendixH | AppendixI | AppendixJ | ALL |
 
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