NASA Procedural Requirements

NPR 7120.8A Effective Date: September 14, 2018 Expiration Date: September 14, 2028

Subject: NASA Research and Technology Program and Project Management Requirements (Revalidated w/change 5)

Responsible Office: Associate Administrator

Appendix E. Program Plan Template

E.1 Program Plan Title Page

Figure E-1 Program Plan Title Page

E.2 Program Plan Template

RESEARCH AND TECHNOLOGY
PROGRAM PLAN

Note: Required content is annotated by "Required." Optional content is annotated by "Optional." Optional content is recommended, if applicable. For information within the Program Plan that changes frequently (e.g., schedules), the information within the document could simply be a pointer to where the authoritative current information resides.

1.0 PROGRAM OVERVIEW

1.1 Introduction (Optional)

Optional: Briefly state the background of the R&T program and the current status, including the results of formulation activities, decisions, and documentation.

1.2 Goals, Objectives, and Metrics (Required)

Required: State the program goals and specific objectives with clear traceability to the Agency's vision and mission, as defined by NPD 1001.0, NASA Strategic Plan. In addition, goals and objectives should include commitment to safety and mission success.

Optional: Performance goals, and performance metrics, and their relationship to the Agency's vision and mission, as defined by NPD 1001.0, NASA Strategic Plan, should be expressed in an objective, quantifiable, and measurable form.

1.3 Customer or Beneficiary, Stakeholder and External Partner Definition and Advocacy (Required)

Required: Identify the main customers or beneficiaries, stakeholders, and external partners of the program (e.g., PI, science community, technology community, public, education community, Chief Information Officer (CIO), Mission Directorate, NASA AA/CPMO, OCE, OSMA, OCFO, and NASA Centers).

Optional: Describe the process to be used to ensure customer or beneficiary, stakeholder, and external partner advocacy.

1.4 Program Authority and Management Structure (Required)

Required: Identify the location of the program management office (Center or Headquarters) and the management relationships with any program components, including projects, located elsewhere.

Required: Describe the NASA organizational structure for managing the program and projects, from the MDAA to the project managers. Identify lines of authority and reporting; illustrate the organization graphically.

Required: Identify the DA and Governing Program Management Committee or Council for oversight of the program, and the DA and Governing Program Management Committee or Council for oversight of projects, including delegations of authority, if any. Provide the rationale for any delegations.

Required: Identify the responsibilities of each NASA Center as they relate to their respective requirement allocations referenced in Section 2.1 below, if applicable.

Required: Define the management responsibilities of management personnel, include the MDAA, Division Director(s), program manager, and project manager(s) for selecting, formulating, approving, reviewing, and terminating projects. Identify the processes by which projects are selected, formulated, approved, reviewed, and terminated.

Required: Indicate the management responsibilities of management personnel for developing, concurring, and approving principal documents, such as Project Plans, NRAs, Requests for Proposals (RFPs) and other contract-related documents, reports associated with major reviews, and other key activities.

Required: Define the management responsibilities of management personnel, include the MDAA, Division Director(s), and program manager for recommending program termination.

Optional: Briefly describe the architecture of the program and its major components. If applicable, describe how the major components are intended to operate together and with legacy systems.

Optional: Provide a list of projects within the program and where the work will be performed.

2.0 PROGRAM BASELINE

2.1 Program Requirements (Required)

Required: Document the requirements levied on the program, including programmatic Mission Directorate requirements, performance requirements/objectives, technical success criteria, and the end state or final product of the program, in an objective, quantifiable, and measurable form. Document the requirements allocated to Center(s), if applicable.

Optional: Programmatic success criteria such as KPPs, outcomes, and other accompanying performance metrics should be expressed in objective, quantifiable, and measurable form, where applicable. Include any safety requirements, where applicable.

Optional: For multiple projects within a program, describe the way in which the program requirements will be allocated to the respective projects, if applicable.

Optional: If the program characteristics indicate a greater emphasis is necessary on maintaining either technical, cost, or schedule, then this section should also identify which is more important to be considered (e.g., it should address if the program is cost capped, or if schedule is paramount, or if it is critical to accomplish all the technical objectives).

2.2 Program Schedule/Key Program-Level Milestones (Required)

Required: Provide a schedule for completion of program objectives. Provide a schedule or list of major program activities and events covering the life of the program. Include all applicable events, such as scheduled or approval dates for major program products, deliverables, documents and reports; dates of major program reviews; launch dates (or equivalent system "delivery" dates), and other NASA AA or MDAA decisions, including all program PCA key milestones (e.g., start and end of operations, other milestones, or time periods identified in the PCA), if applicable.

Optional: Include the strategy for addressing schedule updates when impacts to the schedule occur.

2.3 Program Resources/Annual Cost Estimate (Optional)

Optional: Document the estimated life-cycle cost, the annual cost breakdown, or other appropriate cost description for the program and program elements (e.g., projects), including costs for each participating Center, if applicable. Identify yearly New Obligational Authority (NOA) estimates for system development and operations, facility construction, institutional support (including safety and mission assurance), and management (if applicable), and address civil service workforce levels.

Optional: Document the integrated budget (three or five years) in accordance with defined WBS elements.

3.0 PROCESS DESCRIPTION

3.1 Controls and Compliance (Optional)

Optional: Describe the process by which the program ensures compliance with NASA policies and directives, as well as other applicable requirements. Describe the process for controlling changes to the program, and any associated projects.

Optional: Describe the process by which project requirements/objectives are validated for compliance with the program requirements/objectives. Describe the process for updating the R&T PCA as a result of any changes. Indicate key program parameters (cost, schedule, and technical) which will require NASA AA, MDAA, or program manager approval for change. If applicable, identify the unallocated future expenses (UFE) management strategy and approval authority to include identification of an Allowance for Program Adjustment (APA).

3.2 Relationships to Other Programs and Organizations (Optional)

Optional: Internal - Describe the way the program will relate to other institutions within NASA (e.g., crosscutting technology efforts, space communications, and launch services). List the internal agreements necessary for program success and projected dates of approval. This list may be maintained as a separate document that is referenced by the Program Plan and may be updated separate from the Program Plan (i.e., updates do not require formal revision to the Program Plan). This list should include those agreements that are concluded with the authority of the program manager, and reference those agreements concluded with the authority of the MDAA.

Optional: External - Describe the way the program will relate to entities outside of NASA (e.g., interagency or international). List the external agreements necessary for program success and projected dates of approval. This list may be maintained as a separate document that is referenced by the Program Plan and may be updated separate from the Program Plan (i.e., updates do not require formal revision to the Program Plan). This list should include those agreements that are concluded with the authority of the program manager, and reference those agreements concluded with the authority of the NASA AA and/or MDAA.

3.3 Budget and Acquisition Strategy or Research or Technology Selection Approach (Required)

Required: Briefly describe the budget and acquisition approach or the research or technology selection approach to be applied at the program level toward each project.

Optional: Address the respective roles, responsibilities, and relationships between the Government and its contractors, vendors, and/or partners, including a description of integration and surveillance responsibilities.

Optional: If applicable, the use of cost caps or other cost control strategies should be addressed, as well as the strategy for initiation of new program elements. The amount of UFE and at what level the UFE will be held should be stated, if applicable.

Optional: Define a process for determining openly competed, internally competed, and directed investments. Define a process for the solicitation, evaluation, and selection of proposals (including identifying Selection Official(s)). Establish proposal evaluation criteria, including considerations of technical merit, and relevance to the Agency's vision and mission, as defined by NPD 1001.0, NASA Strategic Plan, and cost realism.

Optional: If applicable, the Program Plan should incorporate by reference appropriate sections of standard R&T process documents, including the Guidebook for Proposers Responding to a NASA Funding Announcement, https://www.hq.nasa.gov/office/procurement/nraguidebook/proposer2017.pdf, and any Mission Directorate omnibus NASA Research Announcements.

3.4 Cooperation and Commercialization (Optional)

Optional: Identify opportunities for establishing partnerships with private industry, academia, or other governmental organizations to conduct dual use research, develop mutually beneficial technologies, and transfer results into NASA missions and into the private sector for commercial application (if applicable).

3.5 Data Management and Distribution (Optional)

Optional: Data management planning is provided as either a section of this Program Plan or as a separate document (if applicable). Address what data will be captured by all projects within the program and how the data will be collected, stored, and accessed. Define plans for data rights and services addressing issues that are community-wide and require tradeoffs between projects, Center interests, and various communities.

3.6 Safety and Mission Assurance and Risk Management Strategy (Optional)

Optional: Summarize the SMA approach and risk management approach to be used for the R&T program. Summarize program (or project) de-scope plans, if applicable, identify primary risks, and list any program elements that will develop their own standalone risk and/or SMA plans (see Section 3.2.4.4.3 and 3.2.4.4.4).

3.7 Program Control Plans (Optional)

Optional: Identify any additional program control plans that are appropriate for the program. These may include, but are not limited to, a Configuration Management Plan, Systems Engineering Management Plan, Software Development Plan, Environmental Protection Plan, System Security Plan and associated security plans and assessments, Education and Public Outreach Plan, and Technology Transition Plan, or other plans as agreed to by the project and the DA. The System Security Plan documents the program's approach to implementing cybersecurity requirements in accordance with NPR 2810.1. The Environmental Protection Plan describes any activities specific to the program to be conducted with support from the cognizant Environmental Management Office (EMO) to comply with NPR 8580.1. The Technology Transition Plan documents how the program will enable/facilitate the transition of technology for the constituent projects.

3.8 Reviews (Required)

Required: List the reviews that the program will conduct, including KDPs (Authority to Proceed (ATP), Program Approval, Program Assessment Reviews (PARs), and Closeout), internal reviews, called PSRs, and IAs. Include reviews required by this NPR⁹ and any additional reviews required by the program manager, DA, MDAA, or governing PMC.

Required: Describe the approach and processes for conducting PSRs and PARs (e.g., formal or informal, required participants, conducted as part of other reviews such as budget cycle meetings). Describe the approach and processes for conducting IAs, as determined by the MDAA with approval of the DA (e.g., formal (including use of SRBs); informal; as part of other reviews such as National Academy of Sciences (NAS) Decadal and peer reviews, or acceptance of papers for publication).

Required: Provide the technical, scientific, schedule, cost, and other criteria, which will be utilized in the KDPs and PSRs. This should include determination of gate products required prior to reviews and expected outputs from reviews. (Criteria, gate products, and expected outputs for IAs are established in the IA Expectations Document. (See Section 2.6.1.3.1.))

Optional: If applicable, identify the plans and approach for conducting IAs, PSRs and/or PARs concurrently.

Optional: Identify the timeline or frequency for IAs, PSRs, and PARs.

Optional: Identify the criteria that would trigger a Termination Review.

3.9 Tailoring Approach and Waiver Log (Optional)

Optional: Describe how the Program Plan has been tailored from the basic requirements identified in this NPR. Identify additional known waivers that the program has obtained or will obtain against NASA policies, directives, or other applicable external requirements. Provide rationale and risk impact for the waivers. Include characteristics such as scope, complexity, visibility, cost, and safety.

3.10 Change Log (Optional)

Optional: Document changes to the Program Plan.

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