NASA Project Management Handbook

486 Pages·2014·12.07 MB·English

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. English-lan-
guage translations of foreign scientific and tech-
Technical Reports Server, thus providing one of the
nical material pertinent to NASA’s mission.
largest collections of aeronautical and space science STI
in the world. Results are published in both non-NASA
channels and by NASA in the NASA STI Report Series, Specialized services also include organizing and
which includes the following report types: publishing research results, distributing specialized
research announcements and feeds, providing
• TECHNICAL PUBLICATION. Reports of com- information desk and personal search support, and
pleted research or a major significant phase of re- enabling data exchange services.
search that present the results of NASA Programs
and include extensive data or theoretical analysis. For more information about the NASA STI program,
Includes compilations of significant scientific and see the following:
technical data and information deemed to be of
• Access the NASA STI program home page at
continuing reference value. NASA counter-part of
http://www.sti.nasa.gov
peer-reviewed formal professional papers but has
less stringent limitations on manuscript length • E-mail your question to [email protected]
and extent of graphic presentations.
• Phone the NASA STI Information Desk at
• TECHNICAL MEMORANDUM. Scientific 757-864-9658
and technical findings that are preliminary or of
specialized interest, e.g., quick release reports, • Write to:
working papers, and bibliographies that contain
NASA STI Information Desk
minimal annotation. Does not contain extensive
Mail Stop 148
analysis.
NASA Langley Research Center
• CONTRACTOR REPORT. Scientific and tech- Hampton, VA 23681-2199
nical findings by NASA-sponsored contractors
and grantees.
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
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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