NPR 7120.8.pdf

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NASA

Procedural Requirements

NPR 7120.8A

Effective Date: September 14, Expiration Date: September 14, COMPLIANCE IS MANDATORY FOR NASA EMPLOYEES

NASA Research and Technology Program and Project Management Requirements

Responsible Office: Office of the Chief Engineer

Table of Contents Preface P.1 Purpose P.2 Applicability P.3 Authority P.4 Applicable Documents And Forms P.5 Measurement/Verification P.6 Cancellation

Chapter 1. Introduction

1.1 Background

1.2 Overview of Management Process

Chapter 2. NASA Life Cycles for Managing Research and Technology

2.1 Governance

2.2 Research and Technology (R&T) Programs

2.3 Research and Technology Projects

2.4 Strategic Acquisition Planning

2.5 R&T Program and Project Oversight

.6 R&T Program and Project Reviews

NPR 7120.8A -- TOC

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Chapter 3. Program Requirements

3.1 Overview

3.2 R&T Program Requirements

Chapter 4. R&T Project Requirements

4.1 Overview

4.2 Project Requirements

Chapter 5. General Management Principles

5.1 Overview

5.2 Roles and Responsibilities

5.3 Process for Handling Dissenting Opinions

5.4 Technical Authority

5.5 Research Practices

5.6 Principles Related to Tailoring Requirements

5.7 Use of Metric System

Appendix A. Definition of Terms Appendix B. Acronyms Appendix C. R&T Program Formulation Authorization Document (FAD) Template Appendix D. R&T Program Commitment Agreement (PCA) Template Appendix E. Program Plan Template Appendix F. R&T Project Formulation Authorization Document (FAD) Template Appendix G. R&T Project Plan Template Appendix H. Reserved Appendix I. Research and Technology Project Work Breakdown Structure Appendix J. Requirement Reference Table Appendix K. Technology Maturity Assessment Process Appendix L. Requirement Waiver Form for NPR 7120.8 Appendix M. References

LIST OF FIGURES

NPR 7120.8A -- TOC

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Figure 3-1 Program Life-Cycle Figure Figure 4-1 R&T Project Life Cycle Figure 4-2 Generic Flow for R&T Projects Figure C-1 R&T Program Formulation Authorization Document Title Page Figure D-1 R&T Program Commitment Agreement Title Page Figure E-1 Program Plan Title Page Figure F-1 R&T Project Formulation Authorization Document Title Page Figure G-1 Project Plan Title Page Figure I-1 Technology Development Project Work Breakdown Structure Figure K-1 Configuration Fidelity Spectrum Figure K-2 Environment Spectrum

LIST OF TABLES

Table 3-1 Summary of Authorities for R&T Programs Table 3-2 Authority to Proceed Expected Inputs and Outputs Table 3-3 Program Approval Expected Inputs and Outputs Table 3-4 Program Status Review Expected Inputs and Outputs Table 3-5 PAR Expected Inputs and Outputs Table 3-6 Closeout Activity Expected Inputs and Outputs Table 4-1 Summary of Authorities for R&T Projects Table 4-2 Authority to Proceed Expected Inputs and Outputs Table 4-3 Project Approval Expected Inputs and Outputs Table 4-4 Periodic Project Reviews Expected Inputs and Outputs Table 4-5 Continuation Assessment Expected Inputs and Outputs Table 4-6 Closeout Expected Inputs and Outputs Table 4-7 Examples of Success Table 5-1 Waiver Approval for R&T Programs and Projects

NPR 7120.8A -- TOC

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Preface P.1 Purpose This document establishes the program and project management requirements by which the National Aeronautics and Space Administration (NASA) will formulate and execute research and technology (R&T) programs and projects, consistent with the governance model contained in NASA Policy Directive (NPD) 1000.0.

P.2 Applicability

a. This NASA Procedural Requirements (NPR) is applicable to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers. This directive applies to the Jet Propulsion Laboratory (a Federally-funded Research and Development Center) and other contractors only to the extent specified or referenced in the applicable contracts.

b. This document establishes the management requirements for formulating, approving, implementing, and evaluating NASA R&T programs and projects consistent with the governance model contained in NPD 1000.0 and applies to R&T managed or funded by NASA (excluding all NASA-funded programs, projects, and activities managed under NPR 7120.5 and NPR 7120.7).

R&T programs and projects that are directly funded by a space flight program/project should decide whether they are subject to NPR 7120.5, NPR 7120.8, or a hybrid per Mission Directorate policy and Decision Authority (DA) approval. R&T projects that directly tie to the space flight mission’s success and schedule are normally managed under NPR 7120.5. For existing R&T programs and projects, the requirements of this NPR apply to their current and future phases as of the effective date of this NPR as determined by the responsible Mission Directorate and concurred with by the

DA.

c. Programs and projects governed by NPR 7120.8 that have systems under development with information technology (IT) components follow relevant IT management processes and requirements contained in NPR 7150.2 and NPD 2800.1.

d. In this NPR, 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.

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

P.3 Authority

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

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

P.4 Applicable Documents and Forms

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P.4 Applicable Documents and Forms

a. Declaration of Policy, 15 U.S.C. § 205b.

b. Metric Usage in Federal Government Programs, Executive Order (EO) 12770, 56 Federal Register (FR) 35801 (July 29, 1991).

c. Procurement Strategy Meeting (PSM), NASA FAR Supplement (NFS), Part 1807.170.

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

e. NPD 1000.3, The NASA Organization.

f. NPD 1000.5, Policy for NASA Acquisition.

g. NPD 1001.0, NASA Strategic Plan.

h. NPD 1200.1, NASA Internal Control.

i. NPD 1382.17, NASA Privacy Policy.

j. NPD 1440.6, NASA Records Management.

k. NPD 1920.1, Scientific Integrity.

l. NPD 2800.1, Managing Information Technology.

m. NPD 2810.1, NASA Information Security Policy.

n. NPD 7120.6, Knowledge Policy on Programs and Projects.

o. NPR 1080.1, Requirements for the Conduct of NASA Research and Technology (R&T).

p. NPR 1441.1, NASA Records Management Program Requirements.

q. NPR 2210.1, Release of NASA Software.

r. NPR 2800.1, Managing Information Technology.

s. NPR 2810.1, Security of Information Technology.

t. NPR 7120.5, NASA Space Flight Program and Project Management Requirements.

u. NPR 7120.11, NASA Health and Medical Technical Authority (HMTA) Implementation.

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

w. NPR 7150.2, NASA Software Engineering Requirements.

x. NPR 7500.2, NASA Technology Transfer Requirements.

y. NPR 7900.3, Aircraft Operations Management.

z. NPR 8000.4, Agency Risk Management Procedural Requirements.

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

bb. NPR 8705.6, Safety and Mission Assurance (SMA) Audits, Reviews, and Assessments.

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cc. NPR 8715.3, NASA General Safety Program Requirements.

dd. NPR 8715.6, NASA Procedural Requirements for Limiting Orbital Debris and Evaluating the Meteoroid and Orbital Debris Environments.

ee. NPR 8715.7, Expendable Launch Vehicle (ELV) Payload Safety Program.

ff. NASA-STD-8709.20, Management of Safety and Mission Assurance Technical Authority (SMA TA) Requirements.

gg. NASA/SP-2014-3705, NASA Space Flight Program and Project Management Handbook.

hh. NASA/SP-2016-3706, NASA Standing Review Board Handbook.

ii. NASA/SP-2016-6105, NASA Systems Engineering Handbook.

jj. Guidebook for Proposers Responding to a NASA Funding Announcement, https://www.hq.nasa.gov/office/procurement/nraguidebook/proposer2017.pdf.

kk. NASA Agency Program Management Council (APMC), Independent Assessment Principles and Approach Decision Memorandum, December 13, 2016, https://nodis3.gsfc.nasa.gov/OCE_docs/OCE_31.pdf.

ll. Guide for Successful Headquarters Procurement Strategy Meetings (PSMs), https://prod.nais.nasa.gov/portals/pl/documents/PSMs.html

P.5 Measurement/Verification Compliance with this document is verified through oversight by the governing Program Management Council (PMC) and NASA internal controls described in NPD 1200.1, NASA Internal Control. Special audits are performed per NPD 1000.0.

P.6 Cancellation NPR 7120.8, NASA Research and Technology Program and Project Management Requirements, dated February 5, 2008.

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Chapter 1. Introduction

1.1 Background

1.1.1 This document establishes the process by which NASA will formulate and implement Research and Technology (R&T) managed or funded by NASA consistent with the governance model contained in NPD 1000.0. NASA manages a wide variety of R&T, including but not limited to, scientific research, aeronautics research, and technology developed for space activities. Due to the wide range of activities, this NPR does not standardize their development into a single process, but rather provides a minimum management requirement set for R&T programs and projects that is tailorable to suit their type and complexity. This NPR then establishes the management processes and practices available for NASA R&T activities and identifies the Decision Authority (DA) responsible to select the appropriate process. The requirements of this NPR may be tailored in accordance with Section 5.6.

1.1.2 Central to building this cohesive management process is the introduction of NASA R&T program and project life cycles and identification of the Key Decision Points (KDPs) within these life cycles. Along with program and project life cycles and KDPs, this document also describes the roles and responsibilities of key personnel for NASA R&T program and project management.

1.1.3 This document distinguishes between programmatic requirements and institutional requirements. Both categories of requirements ultimately need to be satisfied in program and project formulation and implementation.

1.1.3.1 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. See Table 1-1 in NPR

7120.5 for further details on 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.

1.1.3.2 Institutional requirements are the responsibility of the Institutional Authorities. They focus on how NASA performs program and project management activities and are independent of any particular program or project. These requirements are issued by NASA Headquarters (including the Office of the Administrator and Mission Support Offices) and by Center organizations. Institutional requirements may respond to Federal statute, regulation, treaty, or Executive Order. They are normally documented in NPDs, NPRs, NASA Standards, Center Policy Directives (CPDs), Center Procedural Requirements (CPRs), and Mission Directorate requirements.

1.2 Overview of Management Process

1.2.1 Program and project management is based on life cycles, KDPs, and evolving products that are embedded in NASA’s four-part process for managing programs and projects consisting of:

1.2.1.1 Formulation—the assessment of feasibility, technology, and concepts; risk assessment;

team-building; development of concepts and acquisition strategies; establishment of high-level requirements and success criteria; the preparation of plans, budgets, and schedules essential to the

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NPR 7120.8A -- Chapter1 Page 7 of 92 success of a program or project; and identification of how the program or project supports the Agency’s strategic needs, goals, and objectives.

1.2.1.2 Approval—the ongoing effort by responsible officials above the program and project management level to review plans and performance at KDPs and authorize continuation of the effort and progression to the next phase.

1.2.1.3 Implementation—the execution of approved plans for the development and operation of programs and projects and use of control systems to ensure performance to approved plans and requirements and continued alignment with current Agency strategies.

1.2.1.4 Evaluation—the self-review and independent assessment of the performance of a program or project and incorporation of accepted findings to ensure adequacy of planning and execution according to approved plans and requirements.

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Chapter 2. NASA Life Cycles for Managing Research and Technology

2.1 Governance

2.1.1 The fundamental principles of NASA governance are defined in NPD 1000.0. 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 and includes the Technical Authorities (refer to section 5.4). For further description of Programmatic and Institutional Authority, please see the NASA Space Flight Program and Project Management Handbook (NASA/SP-2014-3705), which can be found on the “Other Policy Documents” tab in NODIS under the Office of the Chief Engineer (OCE) menu item.

2.1.2 R&T management policy follows a different philosophy than NPR 7120.5, which compiles a comprehensive set of requirements for space flight that may need to be tailored down for smaller efforts that are not crewed. This directive applies the principle of a minimum set of essential requirements and maximum flexibility for research and technology development programs and projects. Rather than tailoring down from the directive’s requirements, R&T projects may need to pull in additional requirements from NPR 7120.5 for more robust or structured project management, particularly on larger projects or projects that may transition to flight. Further details can be found in Section 5.6, Principles Related to Tailoring Requirements.

2.2 Research and Technology (R&T) Programs

2.2.1 A program is a strategic investment by a Mission Directorate that has a technical approach, requirements, funding level, and management structure that initiates and directs one or more projects.1 A program defines a strategic direction that the Agency has identified as needed to accomplish Agency goals and objectives. An R&T program accomplishes Agency goals and objectives by managing projects that directly address NASA’s R&T investment strategy and portfolio goals. Programs are usually long-term commitments by the Agency with a common focus.

Programs follow a specific life cycle with periodic program reviews and the cyclical starts and stops of projects. Agency-level organizations such as the Office of the Administrator, the OCE, the Office of the Chief Financial Officer (OCFO), and the Office of Safety and Mission Assurance (OSMA) track, monitor, and assess the health and success of Agency programs.

1 The Office of the Chief Engineer (OCE) is responsible for the official listing of NASA programs and projects. This data is maintained by the Office of Chief Financial Officer (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.

2.2.2 This NPR applies only to R&T programs and projects. R&T programs comprise Technology Development (TD) projects and/or Research projects. (See Section 2.3 for details on TD projects and

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Research projects.) R&T program management requirements are defined in Chapter 3 of this document.

2.3 Research and Technology Projects

2.3.1 A project is a specific investment identified in a Program Plan, that has defined goals and/or requirements, a life-cycle cost, a beginning, and an end. Projects may consist of single or multiple related technology or research efforts. A project yields new or revised products that directly address NASA’s strategic needs. This NPR is applicable only to R&T programs and projects, which can be either technology development or research projects as described below.

2.3.1.1 Technology Development (TD) projects. TD projects characterize or enhance performance and mature a technology or set of related technologies. These projects attempt to solve a specific problem or address a practical need. They advance investigations, experiments, and prototyping to higher level of maturity. This should typically be a point at which a decision to continue into a new project task or cease investment can be made based on performance. The most mature R&T projects advance to the point where the technology is at its final pre-production version, and where the prototype design has been fully developed, tested, and verified. TD projects typically focus their activities on fully establishing their approach and techniques, answering all pertinent questions on the theory or hypothesis, developing the simulations, prototypes, and models that demonstrate the capability, and testing, verifying and validating the capability with the intended customer or beneficiary. These activities reduce the risk associated with the new technology to the point where it is ready for use by a customer or beneficiary. Usually, TD projects have an identified or targeted beneficiary who is the intended user of the technology being developed and who is involved throughout the development process.

2.3.1.2 Research projects. Research projects perform either basic research or applied research.

Basic research addresses the need for knowledge through investigation of fundamental principles and interactions. In the early stages, it may take the form of theory development, or scientific and/or technical investigations as to the feasibility of an idea. The activity at this stage is generally driven by a principal investigator. As the basic research evolves, hypotheses may be formed, or scientific testing may proceed to evaluate the theories. Research papers, presentations or articles are the typical outcomes of this phase. For applied research, once an idea is defined enough to start thinking about practical application, single prototypes can be designed and tested, or a simulation or model developed to demonstrate the potential of the research. Basic and applied research is directly tied to the Agency’s vision and mission, as defined by NPD 1001.0. The results of this basic or applied research may provide fundamental discoveries, expand the knowledge base, provide scientific and technological breakthroughs that are immediately applicable, or evolve into more advanced technology development. Research projects are characterized by unpredictability of outcome.

Funding may be at a fixed level on a yearly basis.

2.4 Strategic Acquisition Planning

2.4.1 NASA’s program and project support of its overall mission is long term in nature, but the environments in which these programs and projects are conducted are dynamic. In recognition of this, NPD 1000.0 and NPD 1000.5 put in place a framework for ensuring that NASA’s programs, projects, and resources align with NASA’s long-term strategic vision. At NASA, the annual strategic resource planning forms a continuous process all the way through to acquisition and procurement to

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NPR 7120.8A -- Chapter2 Page 10 of 92 ensure this alignment. NPD 1000.5 details this process. At the program and project level, 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. Links to the ASM guide and pre-ASM guide are found at the top of the first page of NPD 1000.5 in NODIS.

The PSM is in NASA FAR Supplement (NFS), Part 1807.170. The PSM guide is found at https://prod.nais.nasa.gov/portals/pl/documents/PSMs.html.

2.4.1.1 When determined applicable, these strategic acquisition events are part of the normal program and project formulation and implementation activities described in sections 2.5 and 2.6 and the remaining chapters of this NPR.

2.5 R&T Program and Project Oversight

2.5.1 Each program and project has a governing Program Management Council (PMC) that provides management oversight. To ensure the appropriate level of management oversight, NASA has established a hierarchy of PMCs—the Agency PMC (APMC) and Directorate PMC (DPMC). Each council has the responsibility of periodically evaluating the cost, schedule, risk, and performance of programs or projects under its purview. The evaluation focuses on whether the program or project is meeting its commitments to the Agency and is following appropriate management processes.

2.5.2 Oversight of programs and projects is also performed by a Center Management Council (CMC), which may evaluate all R&T work executed at that Center per the governance model in NPD 1000.0. The CMC evaluation is an additional assessment that focuses on whether Center engineering, research, and management practices (e.g., resources, contracting, institutional, and technical authority) are being followed by the R&T work under review and whether Center resources can support R&T work requirements. The evaluation should also focus on the technical authority role (see Section 5.4) of the Center to ensure technical and scientific integrity of work conducted at that Center. A CMC provides its findings and recommendations to the governing

PMC.

2.5.3 In addition to the management councils, each program and project has a DA, the individual authorized by the Agency to make important decisions on programs and projects to which they are assigned authority. For more detail on authorities, see Chapter 3 for programs and Chapter 4 for projects.

2.6 R&T Program and Project Reviews

2.6.1 Program and project maturity and performance are periodically reviewed by upper management. Three basic types of reviews are applicable to programs and projects: internal reviews, KDPs, and independent assessments (IAs). These reviews also apply to competed projects. (See Section 4.2.6.5 to 4.2.6.9 for more detail.) Programs and projects document their approach to conducting all program/project reviews in their Program and Project Plans. In addition, special reviews may be needed on an ad hoc basis internally or by external entities such as termination reviews or special independent reviews for specific purposes. Reviews should be scaled as appropriate for the size and complexity of the program/project, including delegations of responsibility. Programs and projects should continuously capture and document lessons learned throughout the life cycle in accordance with NPD 7120.4 and as described in NPD 7120.6 and other appropriate requirements and standards documentation.

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NPR 7120.8A -- Chapter2 Page 11 of 92 https://prod.nais.nasa.gov/portals/pl/documents/PSMs.html

2.6.1.1 Internal Reviews. Program and project managers conduct internal program and project reviews as essential elements of conducting, managing, evaluating, and approving programs and projects. These reviews help to establish and manage the progress against plans. These internal reviews are called Program Status Reviews (PSRs) for programs and Periodic Project Reviews (PPRs) for projects. More detail on PSRs and PPRs can be found in Sections 3.2.7 and 4.2.10, respectively.

2.6.1.2 Key Decision Points. KDPs are decisional reviews that serve as gates through which programs and projects need to pass to continue through their life cycle. The program or project DA conducts the KDPs. The DA may delegate, as appropriate, based on the size and complexity of the program or project. For more detail on KDPs see Chapter 3 for programs and Chapter 4 for projects.

To support the decision process, a KDP is typically preceded by one or more internal reviews and may include inputs from independent assessments. As appropriate for the size and complexity of the program or project, KDP membership may vary from a single DA to a more formal KDP board that includes other stakeholders and NASA Headquarters personnel. The DA shall approve decisions made at KDPs which are summarized and recorded in the decision documentation (e.g., memorandum or other appropriate format) that will become part of the retrievable program or project documentation. The decision documentation should include the decision made, rationale, effective date, and any actions associated with the decision (including responsible parties and due dates).

Materials required to support KDPs are designated by the DA. Dissenting opinions are resolved in accordance with the process described in Section 5.3. These decisional reviews are called Program Assessment Reviews (PARs) for programs and Continuation Assessments (CAs) for projects. More detail on PARs and CAs can be found in Sections 3.2.7.2 and 4.2.10.3, respectively

2.6.1.3 The potential outcomes at a KDP include:

a. Approval to continue through the life cycle.

b. Approval to continue through the life cycle, pending resolution of actions.

c. Disapproval to continue through the life cycle, with followup actions required (including descope actions). In such cases, followup actions are documented and the KDP is redone after the followup actions are completed.

d. Disapproval to continue the life cycle, with a decision to terminate.

2.6.1.4 Independent Assessments. The appointed Independent Assessment (IA) team shall conduct Independent Assessments during the program and project life cycles. The timing and frequency of the assessments are planned by the program or project manager with the approval of the Mission Directorate Associate Administrator (MDAA) and documented in retrievable program or project documents. The MDAA ensures the IAs are conducted in accordance with documented review expectations, e.g., charter or Terms of Reference (ToR). They are conducted periodically, typically prior to or concurrent with KDPs, particularly at the Program and Project Approval and Closeout KDPs. Findings and recommendations from the IA team and any responses from the program or project manager are provided to the DA to inform the KDP decision. The MDAA may utilize Center support to help manage and conduct IAs or may delegate this to the Center Director. The plan for the IA reviews is documented in the program or project Formulation Authorization Document (FAD) and Program or Project Plan. The plan should ensure the relevance, quality, and performance of the program or project. 2

2 See NPR 1080.1 for additional guidance on assessments.

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2.6.1.5 IA Expectations Document. The MDAA (or designee) is responsible for the development and approval of the IA expectations document. The document may be in the form of a charter, ToR, or other document that describes the IA review expectations. For each program and project IA, the IA expectations document describes the process and team membership, how the program or project will support the IA, and the nature, scope, schedule, and ground rules. The IA expectations document is developed in coordination with the program/project management.

2.6.1.6 Independent Assessment Team. The MDAA (or designee) is the management official for independent assessment teams. The MDAA identifies the chair of the IA team who then selects any team members. Approvals/concurrences are obtained from the Mission Directorate, implementing Centers and OCE for the (1) IA Chair, (2) IA team members, and (3) IA expectations document. The IA team membership and formality varies greatly depending upon the size and complexity of the program or project. Small projects may only need to appoint a single member to provide an independent assessment, whereas a large program or project may require a larger team, such as a Standing Review Board (SRB) with more formal processes. 3 The MDAA will ensure that the IA team membership and process are independent and objective in accordance with the SRB Handbook (Section 3.2 in NASA/SP-2016-3706) and the “NASA Independent Assessment Principles and Approach” white paper.4

3 For additional information on SRBs, refer to NASA/SP-2016-3706.

4 Approved at the APMC held on May 18, 2016, and documented in a Decision Memorandum signed on December 13, 2016. It can be found on the OCE menu under the "Other Policy Documents" tab in NODIS.

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Chapter 3. Program Requirements

3.1 Overview

3.1.1 R&T Programs

3.1.1.1 The requirements in this section cover R&T programs. R&T programs comprise only R&T projects (technology development and/or research projects).

3.1.2 Program Life Cycle

3.1.2.1 The program life cycle is shown in Figure 3-1. As shown in the figure, the program life-cycle phases consist of Pre-Formulation, Formulation, and Implementation (including Closeout). The figure also depicts program reviews (key decision points, internal reviews, and independent assessments) and key products.

3.1.2.2 The program reviews consist of KDP reviews, including the Authority to Proceed (ATP), Program Approval, Program Assessment Reviews (PARs), and Closeout; internal reviews, called PSRs; and IAs (see Section 3.2.7.2 for more detail on PARs). As depicted in the life cycle, three specific KDP reviews are required: ATP (to transition from Pre-Formulation to Formulation), Program Approval (to transition from Formulation to Implementation), and Closeout. In addition to these KDPs, at least one PAR is to be conducted during the Implementation phase. If IAs are required at any KDP, they are performed immediately preceding or concurrent with the KDP.

3.1.2.3 The DA is the individual authorized by the Agency to make important decisions on programs, including determining the readiness of a program to progress to the next life cycle phase.

The DA conducts the KDP reviews. The plans for conducting reviews, including the schedule for the ATP, Program Approval and Closeout KDPs and the periodicity of PSRs and PARs is approved by the DA in coordination with the program manager. While this NPR describes all potential phases of the program life cycle, which phases a specific program will execute and where the program enters the life cycle will be at the discretion of the DA in coordination with the program manager. The FAD, Program Commitment Agreement (PCA), and Program Plan or equivalent and the ATP, Program Approval, at least one PAR, and Closeout KDPs are required. Unless delegated and documented in the FAD, the DA for the Formulation Phase is the MDAA. Unless delegated and documented in the PCA, the DA for the Implementation Phase is the NASA Associate Administrator (AA). (See Table 3-1.)

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NPR 7120.8A -- Chapter3 Page 14 of 92

Figure 3-1 - Program Life Cycle

3.1.2.4 For R&T programs, the DA for KDPs, the Management Official for IA teams, the governing PMC, and the governing document are defined in Table 3-1.

Table 3-1 Summary of Governance Authorities for R&T Programs

Authority Role Authority Comments

Program DA for Authority to Proceed KDP and Formulation Phase

MDAA

Program DA for Program Approval KDP, Closeout KDP, and Implementation Phase

NASA AA

The NASA AA can delegate responsibility to the MDAA. The DA may request additional KDPs (PARs) during Implementation.

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Management Official for Establishing Independent Assessment Team(s)

MDAA

The MDAA identifies the chair of the independent assessment team. The chair selects any team members. Approvals/concurrences are obtained from the Mission Directorate, implementing Centers, and OCE for the (1) IA Chair, (2) IA team members, and (3) IA expectations document. The MDAA will ensure that the team(s) and process are independent and objective.

Governing PMC for Formulation DPMC

Governing PMC for Implementation APMC The NASA AA can delegate oversight responsibility to the DPMC.

Governing Document R&T Program Plan The R&T Program Plan is approved by the

MDAA.

Note: R&T Program Plans will reflect delegations, define reviews, and document the attendant rationale for delegations.

3.2 R&T Program Requirements

3.2.1 Select Program Manager

3.2.1.1 For an R&T program, the MDAA or their delegated representative shall assign a program manager to manage the effort. When a program manager will reside at a field Center, the Center Director will provide a recommendation for filling that role. The title of the position with responsibility for managing a program may be program manager, program lead, program executive, research director, program officer, or other. For the purposes of this NPR, the title “program manager” will be used.

3.2.1.2 If the program manager resides at a Center, the MDAA or their delegated representative coordinates the assignment of the program manager with the Center Director.

3.2.2 R&T Program Pre-Formulation

3.2.2.1 The MDAA has the authority to initiate Pre-Formulation of a potential R&T program. The MDAA is responsible for ensuring the start of new R&T programs are in line with the Agency’s vision and mission, as defined by NPD 1001.0.

3.2.2.2 The MDAA or their delegated representative shall provide the purpose, scope, and constraints of the potential R&T program to the program manager. The scope of the program may be provided in many forms, including in a formal FAD (see Appendix C for guidance), charter, task agreement, memorandum, or from a Request for Proposal (RFP), Announcement of Opportunity (AO), or other documentation, as appropriate for the type, size, and complexity of the program and as agreed-to by the MDAA.

3.2.2.3 During Pre-Formulation, the R&T program gains an understanding of the Agency strategic goals that need to be addressed. A literature search may be performed on existing and related

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NPR 7120.8A -- Chapter3 Page 16 of 92 research and technology development activities in other NASA programs, other Government agencies, and the commercial sector. Preliminary estimates for the program cost and schedule are developed. Planning is conducted to identify the tasks and activities needed to accomplish the Formulation Phase, including any Formulation key milestones and/or reviews. The program key deliverables are defined.

a. The program manager is responsible for developing a preliminary breakdown of the program’s scope into scope assignments for potential projects starting in Pre-Formulation.

b. To minimize duplication of effort and identify opportunities to augment R&T developed elsewhere, the program manager or designee should conduct a gap analysis, an assessment of related research and technology development activities in other NASA programs, other Government agencies, and the commercial sector, prior to investment in a proposed R&T area.

3.2.2.4 The Pre-Formulation Phase culminates with the R&T program ATP KDP, which officially determines approval for the start of the program and entry into the Formulation Phase.

3.2.3 R&T Program Authority to Proceed (ATP)

3.2.3.1 The DA shall conduct the Authority to Proceed KDP to determine approval for a proposed program to enter the Formulation Phase. This decision is based on review of information provided by the program manager. (See Table 3-2.) The DA may decide to gather the DPMC, peers, stakeholders, or line managers to review the information provided by the program manager or may make the decision on his or her own depending on the size and complexity of the program. If the information is not sufficient to make that determination, the DA may direct the program manager to continue the pre-formulation effort or to modify the formulation plans based on identified weaknesses. If the DA determines that concepts for the potential program do not meet minimum requirements, a decision to discontinue work on the potential program may be made. If the information is deemed sufficient to conduct the Formulation Phase, the DA authorizes the program to enter Formulation. The DA is responsible for ensuring the R&T program is formulated and continues to be in line with the Agency’s vision and mission, as defined by NPD 1001.0.

3.2.3.2 The ATP decision is documented in retrievable program documentation, which can be a Decision Memorandum or other appropriate format. This decision authorizes the R&T program to transition from the Pre-Formulation Phase to the Formulation Phase.

3.2.3.3 The decision documentation should include the formulation approach, cost, and schedule, with major formulation objectives identified, and any other decisions made or actions assigned.

3.2.3.4 Table 3-2 provides guidance on input and output expectations for the ATP KDP. The actual input and output content and format requirements are determined by the DA in coordination with the program manager and other key stakeholders and depends on the size and complexity of the program. The agreed-to information is provided by the program manager to the DA to determine if the potential program is in alignment with the previously defined purpose, scope, and constraints.

Table 3-2 ATP Expected Inputs and Outputs

Authority to Proceed

Input Expectations Output Expectations

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NPR 7120.8A -- Chapter3 Page 17 of 92

Understanding of Agency strategic goals being addressed by this research and/or technology program Formulation approach Preliminary program cost estimate, including detailed cost for the formulation phase Preliminary program schedule, including any formulation key milestones and/or reviews Preliminary IT Plan Expected formulation and program key deliverables, including final end-state deliverables

A documented decision on the Authority to Proceed by the DA.

3.2.4 R&T Program Formulation

3.2.4.1 During Formulation, R&T programs perform the detailed planning for how the program will be accomplished during the Implementation Phase. These planning activities include developing goals and objectives; identifying key stakeholders/beneficiaries; developing the cost plan/phasing and the master schedule; identifying the metrics to be used to ensure the program stays on track;

identifying the initial projects to be encompassed by the program; defining the organizational structure, roles, and responsibilities; defining the management approach, including the approach and plans for PSRs, PARs, and IAs; and determining and developing what program control plans and other documentation will be needed (such as risk management, configuration management, safety, IT security). Key products developed during the Formulation Phase are the PCA and the Program Plan.

3.2.4.2 Program Commitment Agreement (PCA)

a. The PCA is an agreement between the MDAA and the NASA AA and is necessary for the program to transition from Formulation to Implementation. The content of the initial PCA reflects the maturity of the R&T program at the beginning of Implementation. Prior to approval of the PCA, the MDAA coordinates with the NASA AA and any Center Directors contributing to the R&T program (not including competitively selected activities) to ensure their commitment to support the R&T program in terms of resources.

b. The MDAA, or designee, shall develop an R&T PCA during program Formulation. The content of the PCA includes program objectives; the organizational structure for managing the program and constituent projects; technical, schedule, and cost commitments; an overview of the acquisition strategy; and identification of high risk areas, internal and external agreements, PARs and IAs required by the DA during Implementation, and expected outcomes. A PCA template is provided as guidance in Appendix D. The PCA may take the form shown in the template or another form, as appropriate, for the size and complexity of the program. The R&T PCA is signed by the MDAA and approved by the NASA AA.

c. Key products such as the PCA and Program Plan (see Section 3.2.4.3) are updated as needed during the Implementation Phase. The updated documents are reviewed and approved using the same processes as the original.

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NPR 7120.8A -- Chapter3 Page 18 of 92

3.2.4.3 Program Plan

a. The Program Plan is an agreement between the MDAA, the program manager, and Center Director(s) that provide contributions to the program. The Program Plan details how the R&T program will be managed and executed and may contain a list of specific projects (updated as needed) that are official program elements. The initial Program Plan content is reviewed, approved, and baselined as part of the Program Approval KDP to transition to Implementation. The content of the initial Program Plan reflects the maturity of the program at the beginning of Implementation and may be updated during the program’s life cycle.

b. The program manager shall develop a Program Plan that provides the goals and objectives, management approach, program requirements, schedule/key milestones and cost estimate, the budget and acquisition strategy or the project selection approach, and the approach for reviewing and assessing projects. The Program Plan identifies all planned reviews, including PSRs, PARs, and IAs, other reviews required by this NPR, and any additional reviews deemed necessary by the program manager, DA, MDAA, or governing PMC. A template is provided in Appendix E as guidance on the expected content of the Program Plan. The Program Plan is signed by the program manager and Center Director(s), if applicable, and approved by the MDAA.

c. As part of monitoring and controlling the program, the program manager ensures adequate risk management in accordance with NPR 8000.4, planning is conducted in conjunction with the designated SMA Technical Authority. (See NPR 8715.3, section 1.5 and NPR 8705.6.) In many cases, plans are already established by Center and/or facility procedures. Any applicable Center and/or facility institutional plans that the program will use should be referenced in the Program Plan.

3.2.5 R&T Program Approval

3.2.5.1 The DA shall conduct the Program Approval KDP to determine the program’s readiness to proceed to Implementation.

3.2.5.2 As part of the Program Approval KDP, the DA reviews the Program Plan and any other relevant data requested to ensure that the program objectives are aligned with the research goals and/or stakeholder needs and that the program is well planned to meet the objectives.

3.2.5.3 The Program Approval decision is documented in retrievable program documentation, which can be a Decision Memorandum or other appropriate format depending on the size and complexity of the program and authorizes the R&T program to transition from the Formulation Phase to the Implementation Phase.

3.2.5.4 The decision documentation should include the decision made, the effective date, and any caveats for follow-up actions associated with the decision (including responsible parties and due dates). As part of the decision documentation the costs, schedules, and key deliverables are captured. Other information may also be captured such as the program roles and responsibilities, and other key parameters. Upon a successful Program Approval KDP, the program may proceed into the Implementation Phase. The decision documentation also documents any additional resources beyond those explicitly estimated or requested by the program/project (e.g., additional schedule margin) when the DA determines that this is appropriate.