earthcare project management requirements and...

Doc. No: EC-RS-ESA-SY-0004Issue: 1 Date: 02 February 2007 Page: 1 of 45

EarthCARE Project Management Requirements and Tasks for Phases B, C/D, E1

Prepared by: B. Condon

Checked by: J. Butu Approved by: A. Lefebvre

ESTEC Noordwijk

The Netherlands


DOCUMENT CHANGE RECORD

ISSUE/REV.

DATE

AFFECTED PAGES

1

02 February 2007

EarthCARE ITT Release


Table of Contents 1 Introduction........................................................................................................................................................................ 4 1.1 Scope .............................................................................................................................................................4 1.2 Applicable Documents .................................................................................................................................5 1.3 Implementation of ECSS Standards ...........................................................................................................5 2 Basic Project Management and Control .......................................................................................................................... 6 2.1 General...........................................................................................................................................................6 2.2 Project Management Organization..............................................................................................................7 2.3 Interrelations; Meetings, Action Items and Audits....................................................................................9 2.4 Management and Communication ..............................................................................................................11 3 Project Structures............................................................................................................................................................ 13 3.1 General...........................................................................................................................................................13 3.2 Product Tree..................................................................................................................................................13 3.3 Work Breakdown...........................................................................................................................................14 3.4 Contract Structure (CS)................................................................................................................................16 3.5 Project Organisation Breakdown Structure (POBS) .................................................................................16 4 Schedule Control ............................................................................................................................................................. 17 4.1 General...........................................................................................................................................................17 4.2 Master Schedule ...........................................................................................................................................17 4.3 Schedule Control Techniques .....................................................................................................................18 4.4 Schedule Reporting ......................................................................................................................................20 5 Financial and Cost Management .................................................................................................................................... 22 5.1 General...........................................................................................................................................................22 5.2 Cost Control Techniques .............................................................................................................................22 5.3 Financial Reporting ......................................................................................................................................24 6 Risk Management ............................................................................................................................................................ 25 6.1 Risk Management Process ..........................................................................................................................25 6.2 Risk Management Implementation and Reporting ....................................................................................26 7 Change Control ................................................................................................................................................................ 27 7.1 Contract Change Procedure ........................................................................................................................27 7.2 Change Log ...................................................................................................................................................29 8 Documentation and Configuration Management .......................................................................................................... 30 8.1 Configuration Management .........................................................................................................................30 8.2 Documentation Management.......................................................................................................................31 9 Progress Meetings and Reporting.................................................................................................................................. 36 9.1 General...........................................................................................................................................................36 9.2 Progress Meetings........................................................................................................................................36 9.3 Progress Reporting ......................................................................................................................................37 9.4 Project Reviews ............................................................................................................................................38 9.5 Contract Close-out Reporting and End of Project Assessment ..............................................................39 10 Inventory Control ......................................................................................................................................................... 40 10.1 General .......................................................................................................................................................40 10.2 Inventory handling ....................................................................................................................................41 10.3 Audits .........................................................................................................................................................42 11 Logistics ....................................................................................................................................................................... 43 A.1 Document Types YY(YY) ............................................................................................................................................. 44 A 2 Organisation Code ZZ(ZZ)................................................................................................................................45 A 3 Mission/Satellite Element Code AA(AA) .........................................................................................................45


1 Introduction

1.1 Scope Earth Explorer Missions are part of the Earth Observation Envelope Programme (EOEP). They are missions led by the European Space Agency (“ESA” or the “Agency”) to cover primary research objectives. The EarthCARE Mission has been approved for implementation as the third Earth Explorer Core Mission. The mission will be implemented in collaboration with Japan Aerospace Exploration Agency who will provide one of the core Instruments. The EarthCARE mission has been specifically defined with the basic objective of improving the understanding of cloud-aerosol-radiation interactions so as to include them correctly and reliably in climate and numerical weather prediction models. Specifically, the scientific objectives are:

• The observation of the vertical profiles of natural and anthropogenic aerosols on a global scale, their radiative properties and interaction with clouds.

• The observation of the vertical distributions of atmospheric liquid water and ice on a global scale, their transport by clouds and their radiative impact.

• The observation of cloud distribution (‘cloud overlap’), cloud-precipitation interactions and the characteristics of vertical motions within clouds, and

• The retrieval of profiles of atmospheric radiative heating and cooling through the combination of the retrieved aerosol and cloud properties.

EarthCARE will meet these objectives by measuring simultaneously the vertical structure and horizontal distribution of cloud and aerosol fields together with outgoing radiation over all climate zones. More specifically, EarthCARE will measure:

• Properties of aerosol layers:

(a) The occurrence of aerosol layers, their profile of extinction coefficient and boundary layer height, and

(b) The presence of absorbing and non-absorbing aerosols from anthropogenic or natural sources.

• Properties of cloud fields:

(a) Cloud boundaries (top and base height) including multi-layer clouds.

(b) Height resolved fractional cloud cover and cloud overlap.

(c) The occurrence of ice liquid and super-cooled cloud layers.

(d) Vertical profiles of ice water content and effective ice particle size and shape.

(e) Vertical profiles of liquid water content and effective droplet size.

(f) Small scale (1 km or less) fluctuations in these cloud properties.

• Vertical velocities to characterise cloud convective motions and ice sedimentation.

• Drizzle rain rates and estimates of heavier rainfall rates.

• Narrow-band and broad-band reflected solar and emitted thermal radiances at the top of the atmosphere. This document defines the management requirements applicable to the industrial team during the Phase B/C/D/E1 of the EarthCARE Project. It is the responsibility of the Contractor to allocate these requirements to his Subcontractors and suppliers, and to ensure their implementation. The Contractor is invited to propose, as part of his proposal, more effective means of improving cost and schedule efficiency, specifically tailored to EarthCARE needs. This will be subject to negotiation and agreement with the Agency.


1.2 Applicable Documents The following Applicable Documents are referenced in this text: AD0 The Contract AD1 EC-RS-ESA-SY-0011 EarthCARE Contractual Baseline Documentation List (CBDL) AD2 EC-SW-ESA-SY-003 The EarthCARE Statement of Work AD3 EC-RS-ESA-SY-004 EarthCARE Management Requirements and Tasks AD4 EC-RS-ESA-SY-005 EarthCARE Document Requirements List AD5 EC-RS-ESA-SY-006 EarthCARE Document Contents Guidelines The hierarchy of documents is given in the Contract.

1.3 Implementation of ECSS Standards The following standards shall be applicable to the extent and with the modifications specified in this document: The tailoring made shows the ECSS related requirements applicability where: Y = Yes M = Modified A = Additional Requirement Doc. Standard Ref Title ND46 ECSS-M-00B Policy and Principles ND47 ECSS-M-00-02A Tailoring of Space Standards ND48 ECSS-M-00-03B Risk Management ND49 ECSS-M-10B Project breakdown structures ND50 ECSS-M-20B Project organisation ND51 ECSS-M-30-01A Organisation and conduct of reviews ND52 ECSS-M-40B Configuration management ND53 ECSS-M-50A Information/documentation management ND54 ECSS-M-60A Cost and schedule management ND55 ECSS-M-70A Integrated logistic support


2 Basic Project Management and Control

2.1 General

2.1.1 Uniform approach in the industrial consortium

No Requirement Del. ECSS Ref Appl. BPa-01 The Contractor shall ensure a uniform approach to the applicability of

requirements and the performance of management functions and procedures, throughout the whole Industrial Structure.

A

BPa-02 The Contractor shall regularly advise the Customer of potential performance/cost/schedule problems and critical situations. The Contractor shall notify the Agency within 48 hours of any event that could significantly affect the achievement of the Contract objectives in terms of technical performance, schedule and cost.

M-20-B 5.3.3 e M

BPa-03 The customer at every level shall use the ECSS Standards to establish the project management requirements.

M-00B 6.2.a Y

BPa-04 The customer at every level shall specify the minimum requirements necessary for their supplier to achieve the project objectives.

M-00B 6.2.b Y

BPa-05 The customer at every level shall consider tailoring in order to minimize requirements.

M-00B 6.2.c Y

BPa-06 The project management requirements shall only specify what shall be achieved, not how it shall be done.

M-00B 6.2.d Y

BPa-07 The project management requirements shall use standard terms and definitions wherever practicable.

M-00B 6.2.e Y

BPa-08 The contractor shall establish a project Directory and send this and all its revisions to the Agency. The names of all key personnel should be highlighted and the complete project structure should be clear. The Directory shall be provided electronically.

D-PM3 M-20B 5.2.3 M

BPa-09 The Contractor shall provide a directory of the acronyms and abbreviations to be used by the whole project.

D-PM2 A

BPa-10 All generated information shall be made in the English language. On special request, the Agency may accept a language other than English for the supporting documentation of existing hardware

M-50A 5.1.4 M

2.1.2 Project Management Plan No Requirement Del. ECSS Ref App BPb-01 The supplier at every level shall respond to the project management

requirements in this document and in the Contract with a project management plan.

D-PM1 M-00B 6.3 M

BPb-02 The Contractor’s project management and project control organisation shall implement the Agency approved Project Management Plan.

M-20B 5.2.3c Y

BPb-03 The Contractor shall submit evidence to the Agency of concurrence by his Sub-contractors to the Project Management Plan

A


2.2 Project Management Organization

2.2.1 Responsibilities and authorities

2.2.1.1 The Customer; The Agency or the Contractor with subcontractors No Requirement Del. ECSS Ref App BPc-01 The customer shall identify the project characteristics and define the

projects requirements, the availability and the implementation requirements of the system including support elements.

M-20B 5.2.2 a Y

BPc-02 The customer shall maintain the definition of project performance requirements and constraints throughout the life of the project.

M-20B 5.2.2 b Y

BPc-03 The customer shall verify supplier compliance with requirements and constraints

M-20B 5.2.2c Y

BPc-04 When a customer supplies a product to lower tier actors he shall have the responsibility of a supplier in respect of that product

M-20B 5.2.2 d Y

2.2.1.2 The Contractor No Requirement Del. ECSS Ref App BPd-01 The Contractor’s project management organisation shall be separate

from its other projects and operations to the extent necessary to prevent interference with the timely completion of the contract.

M-20B 5.2.3 a M

BPd-02 The Contractor’s project management organisation shall be suitably structured with single point authority to support the control of the work/schedule/cost performance at all Contractor levels

M-20B 5.2.3b M

BPd-03 The supplier shall nominate a project manager with a team assigned to the project. The members of the project team shall be under the authority and responsibility of the project manager and shall report to the project manager or his key personnel

M-20B 5.2.de Y

BPd-04 The supplier’s project manager shall have authority to ensure proper execution of all tasks needed under the contract. S/he shall have direct access to his company management hierarchy so that conflicts can be resolved at the appropriate level.

M-20B 5.2.3f Y

BPd-05 Suppliers shall demonstrate that the key personnel have the necessary qualification, skills and experience to perform the task for which they are allocated.

M-20B 5.2.3g Y

BPd-06 All plans and data submitted by the Contractor in his Proposal shall be updated following the Contract award, taking into account the results of the Contract negotiations and Contract changes.

A

BPd-07 The Contractor shall manage his Sub-contractors. He shall regularly assess the progress status, and analyze and synthesize the reports from his Sub-contractors for a consolidated report to the Agency. This applies even if the Contractor is also a Sub-contractor in the same consortium.

A


2.2.2 Resident Agency Personnel No Requirement Del. ECSS Ref App BPe-01

The Agency shall have the right to place a limited number of resident Agency personnel at the Contractors and Sub-contractors premises. Resident access shall be applied for to facilitate these placements. The Contractor shall provide and maintain accommodation and furnishings of a reasonable standard, together with communication facilities for the Agency personnel in the vicinity of the Contractor’s Project Team, or where the activities are taking place. The communication facilities shall include phone, fax, e-mail and Internet accesses. The standard of accommodation should be similar to the one provided by the Contractor for his own personnel. On the Agency’s request, the Contractor shall also arrange for similar facilities at Sub-contractors’ premises.

A

2.2.3 CFI CPR Personnel No Requirement Del. ECSS Ref App BPf-01

The Agency shall have the right to place a limited number of representatives of the CFI CPR partner (JAXA, NICT and/or industry) for preparation and execution of the CPR AIT campaign at Payload and/or satellite level. The Contractor shall provide and maintain accommodation and furnishings of a reasonable standard, together with communication facilities for the CFI CPR personnel in the vicinity of the Contractor’s Project Team, or where the activities are taking place. The communication facilities shall include phone, fax, e-mail and Internet accesses. The standard of accommodation should be similar to the one provided by the Contractor for his own personnel.

A


2.3 Interrelations; Meetings, Action Items and Audits

2.3.1 Meeting Plan No Requirement Del. ECSS Ref App BPg-01 The Contractor shall issue, every 2 weeks, a meeting plan showing any

meeting, including reviews, planned to take place within the Industrial Consortium. Any rescheduling of planned meetings shall be communicated to all potential participants without delay.

D-PM41 A

BPg-02 The Agency shall be invited and may attend to all meetings. A BPg-03 Any meetings shall nominally be held at the Contractor’s or

Subcontractors’ premises, except for negotiation/kick-off meetings and some reviews, or if agreed otherwise.

A

2.3.2 Agenda and Minutes of Meeting No Requirement Del. ECSS Ref App BPh-01 For each meeting the Contractor shall propose an agenda and a list of

participants at least five working days prior to the meeting.

M-20B 5.3.1c M

BPh-02 With prior notice and agreement from the Contractor, the Agency reserves the right to invite third parties to meetings.

A

BPh-03 The minutes of meeting will be signed at the end of each meeting by the senior representative of each party. These minutes shall enable the correct understanding by non-participants of the points discussed. Signature of the minutes shall mean that the parties agree that they represent a correct recording of the proceedings and results of the meeting

D-PM42

M-20B 5.3.1 d and e

M

BPh-04 Action items shall be reviewed at each meeting. M-20B 5.3.1 f. Y BPh-05 Agreed actions shall be documented in an action item list M-20B 5.3.1 g Y BPh-06 Except for the negotiations, Kick-Off meetings and CRB’s, the

Contractor shall write the minutes of meeting, unless otherwise agreed. The Contractor is responsible for the distribution of the minutes of all meetings as paper copies immediately and not later than 5 days after the meeting for the electronic version.

M-20B 5.3.1 h M

BPh-07 Any matter having contractual impacts shall be highlighted and reported to the Project Manager and the Contracts Officer of each party within 48 hours, and shall be subject to formal approval by them before implementation.

M-20B 5.3.1 I Y


2.3.3 Action Items No Requirement Del. ECSS Ref App BPi-01 The Contractor shall establish an Action Item Control System, which

shall ensure that actions are raised and cleared effectively.

The Action Items list shall include:

• action item identifier,

• a brief description,

• initiation date,

• reference to the minutes of meeting at which the action item was initiated;

• due date

• the actionee (company + person’s name,)

• the initiator (company + person’s name,)

• status (“O” = Open “P” = Proposed for closure, “C”= Closed)

• final position agreed

• closing reference; in case of non availability of reference, the list itself shall include the rational for closure.

• closing date.

M-20B 5.3.2 M

BPi-02 The Contractor shall issue, every 2 weeks, a full up to date Action Items List in electronic format to be agreed with by the Agency. The Contractor shall also issue an open Action Items List in paper format.

D-PM43 M-20B A

2.3.4 Audits No Requirement Del. ECSS Ref App BPj-01 Every supplier shall accept to be assessed by the Agency or by a third

party agreed between the Agency and the Contractor in the framework of the contract.

M-20B 5.3.4a Y

BPj-02 Each supplier shall provide his customer access to his facilities, staff and data, which are relevant in the frame of the business agreement.

M-20B 5.3.4c Y

BPj-03 The customer shall notify the supplier minimum three days in advance of

• his intention to perform (or to delegate performance of) the assessment or audit,

• the objectives and the limits of the assessment or audit, • the designated assessor and his terms of reference, and • the assessment or audit schedule.

M-20B 5.3.4d M


2.4 Management and Communication

2.4.1 Information Exchange No Requirement Del. ECSS Ref App BPk-01 The Contractor shall ensure that any formal communications with the

Agency or within the Industrial Organization Structure follow the contractual hierarchy. Formal communications are defined as the exchange of information that affects technical standards, deliveries, time schedule, costs, or any other relevant aspect of the project that has an impact on the Contract. This type of communication shall take place between the respective responsible officers of the Agency and the Contractor (as defined in the Contract) and are binding on both parties.

Informal communications are defined as all other exchanges of information which are necessary for a good understanding of the project between project participants. Informal communication shall be allowed between project staff of the Agency and the Contractor or Sub-contractors. Appropriate key personnel of the Agency and the Contractor shall be kept informed of informal communications in due time.

M-20B A

BPk-02 All information exchange between the Contractor, his major Sub-contractors and the equipment suppliers shall be copied – for information – in parallel to the Agency, at the time of the transmission to the other party(s).

M-20B A

2.4.2 Electronic Communication Interfaces No Requirement Del. ECSS Ref App BPl-01 The Contractor shall agree with the Agency procedures to allow

communication with all project participants using electronic means. Such communication may include electronic mail. Methodology to be agreed with the Agency.

M-20B 5.4 M

BPl-02 The Contractor shall provide a server for data interchange and local storage for access by his Sub-contractors and by the Agency.

M-20B A

BPl-03 For the transfer of ASCII and binary files, the File Transfer Protocol (FTP), shall be used.

M-50A 6.1.5 M

BPl-04 All files shall be subjected to virus screening before electronic transmission.

M-20B A

BPl-05 All PDF type of files shall be provided as well in the original application format.

A

BPl 06 Baseline for electronic communication exchange shall be in the original application form and scanned version of the document shall be excluded except when agreed by the customer.

A

BPl-07 At the time of electronic dispatch or availability on the server, an auto electronic message shall also be dispatched to the Agency designated personnel.

A


2.4.3 Video Communication No Requirement Del. ECSS Ref App BPm-01 ESA intends to extensively use the means of Video Communication in

the EarthCare project. There shall be Video Communication available at the contractor’s premises and main sub-contractors premises including at least ATLID, BBR, MSI. Exact list of main sub-contractors to be agreed with the Agency.

A


3 Project Structures

3.1 General The project breakdown structures provide the basis for:

• creating a common understanding between the various participants by attributing unique item identifications and definitions as well as defining the associated tasks and resources;

• unambiguously identifying the responsibilities of individuals within the organization for performing the work; • enabling a structured definition, production and verification of documents for identification of all the tasks to

be performed, • identification of all the interfaces and their management, • effective management of the configuration, management of changes • management of risks and • allowing presentation/overview of resources/efforts according to standards (including PSS-A1, PSS-A2,

PSS-A8, PSS-A20). These requirements address technical and work scope definition structures through the Product Tree (PT) and the Work Breakdown Structure (WBS). The structures defining the organisation of the project team are the Project Organisation Breakdown Structure (OBS) and the Contract Structure (CS). Finally the definition of resource types and cost categories is done through the Cost Breakdown Structure (CBS).

3.2 Product Tree No Requirement Del. ECSS Ref App PSa-01 Based on customer inputs and contract negotiations, each supplier

shall develop the product tree for all his products down to the deliverable end items, and incorporate the product trees of lower tier suppliers.

D-PM6 M-10B 5.3.1 Y

PSa-02 The product tree shall be subject to customer approval. M-10B 5.3.2 a Y

PSa-03 The supplier shall maintain the product tree up-to-date under configuration control.

M-10B 5.3.2 b Y


3.3 Work Breakdown

3.3.1 Work Breakdown Structure (WBS) (Note: WBS only requested for one approval, once the Agency has approved that it is the responsibility of the contractor to maintain the WBS.) No Requirement Del. ECSS Ref App PSb-01 A WBS covering all activities required to fulfil the contract and based on

the Product Tree shall be provided as a part of the proposal.

D-PM7 M-10B 5.5.1 M

PSb-02 Work related to manufacturing, assembly, integration and test shall be shown in the WBS, in relation to the models.

M-10B 5.5.2a Y

PSb-03 Engineering work shall be identifiable in connection with its related product tree elements such as system, subsystem or unit level.

M-10B 5.5.2b Y

PSb-04 Work related to management, product assurance and any other support activities (e.g. procurement) shall be shown in the WBS.

M-10B 5.5.2c Y

PSb-05 The initial WBS presented in the proposal shall be subject to customer approval.

M-10B 5.5.3a M

PSb-06 Each supplier shall maintain the WBS for his work share in the project up-to-date.

M-10B 5.5.3b Y

3.3.2 Work Packages No Requirement Del. ECSS Ref App PSc-01 Each work package identifier shall be unique. M-10B 5.5.4a Y

PSc-02 The rules for identification of each WP shall be specified by the first level customer.

M-10B 5.5.4b Y

PSc-03 The rules for identification of each WP shall be followed by each actor. M-10B 5.5.4c Y

PSc-04 Each WP shall have a single responsible WP manager (a WP manager may be responsible for several WP’s).

M-10B 5.5.5 Y

PSc-05 The supplier shall describe the content of each work package shown in his WBS.

M-10B 5.5.6a Y

PSc-06 The WP description shall be agreed between the actors. M-10B 5.5.6b Y


PSc-07 The WP description shall address the following subjects:

• project name and project phase,

• WP title,

• unique identification of each WP,

• supplier or entity in charge of the WP performance;

• WP manager’s name and organization;

• product to which the tasks of the WP are allocated (link to the product tree),

• description of the objectives of the WP,

• description of the tasks,

• list of the inputs necessary to achieve the tasks,

• interfaces or links with other tasks or WP’s,

• list of constraints, requirements, standards, and regulations,

• list of the expected outputs,

• start and end event identification including date and

• excluded tasks.

D-PM34 M-10B 5.5.7 M


3.4 Contract Structure (CS) No Requirement Del. ECSS Ref App PSd-01 The Contractor shall provide, as part of his Proposal, a Contract

Structure (CS). This shall represent the contractual hierarchy of the project, including all Subcontractors.

D-PM9 M-10B 5.6.2 a M

PSd-02 The CS shall show the relationship between companies such that the contractual responsibilities can be traced.

M-10B 5.6.2 a M

PSd-03 The identification of companies in the CS shall include the identification of the country in which the company is based.

M-10B 5.6.2 a M

PSd-04 The Contractor shall update the CS as appropriate. M-10B 5.6.2 a M

3.5 Project Organisation Breakdown Structure (POBS) No Requirement Del. ECSS Ref App PSe-01 The Contractor shall present his own Project Team organisation by

means of a detailed Project Organisation Breakdown Structure, which depicts the functional aspects of the project organisation, and show in a few lines the place of the Project Team within the overall company structure.

D-PM10 M-10B 5.6.3 M

PSe-02 The responsible supervisor for each Work Package shall be identified within the POBS.

PSe-03 Each Sub-contractor shall provide his own POBS as per the above guidelines.

A

3.5.1 Key Personnel No Requirement Del. ECSS Ref App PSf-01 The supplier shall identify the key personnel to be deployed on the

work, and include them in the project organization. The following project functions shall be considered:

• project management, • contracts, • project control, • documentation management, • information systems, • procurement, • assembly, integration and verification, • product assurance and safety, and • engineering.

The Agency reserves the right to verify the qualifications and suitability of the key personnel assigned and to approve them. In the case that the Agency does not approve an assignment, the Contractor or Subcontractor shall provide other personnel meeting the professional standards required by the Agency.

M-20B 5.2.3d Y


4 Schedule Control

4.1 General No Requirement Del. ECSS Ref App SCa-01 Any planning shall be linked to the WBS, such that major project

milestones (including the contractual ones) and all the significant start and end events of Work Packages, can be identified.

All known internal and external constraints shall be taken into account such as the due dates for Customer Furnished Items, interfaces with third parties such as JAXA, test facilities availability, ground segment providers, launcher authority and launch dates.

M-60A 7.1 M

SCa-02 Pro-active schedule control shall be implemented and work around solution proposed in case of any changes, e.g. test facility availability.

M-60A 7.6 Y

4.2 Master Schedule No Requirement Del. ECSS Ref App SCb-01 The Contractor shall create a Master Schedule by integrating the

detailed schedules and interface milestones, connected with relationships, for all the work to be performed during the Contract, including his Subcontractors. The Contractor shall perform appropriate resource planning

D-PM18

A

SCb-02 The Master Schedule shall be approved by the Agency prior to contract signature and shall be implemented by the Contractor and his Subcontractors. The approved Master Schedule shall become the Original Baseline Schedule (OBS) to monitor and control progress against

D-PM18

A

SCb-03 Any modification to this Original Baseline Schedule affecting contractual milestones needs to have formal approval by the Agency and will then constitute the Current Baseline Schedule (CBS)

D-PM18

A

SCb-04 The Contractor shall update the Baseline Schedule with all agreed changes.

D-PM11

A


4.3 Schedule Control Techniques No Requirement Del. ECSS Ref App SCc-01 Schedule control during the Contract, including reviews on major

tests, shall be based on:

• milestone lists,

• trend analysis,

• barcharts and

• critical items analysis

M-60A 7.5 M

SCc-02 Schedule control shall be based on the WBS and shall be created and maintained by the responsible Subcontractor for each level as appropriate, including:

• Level 1: the overall Satellite;

• Level 2: the major constituents or instruments and major tasks (e.g. Platform and instrument including their main subsystems)

• Level 3: subsystems and their assemblies

M-60A A

SCc-03 It shall include the following:

• The original baseline schedule (baseline schedule reference)

• The current baseline schedule (baseline schedule reference updated with all agreed changes)

• The current working schedule

• The contactor shall use networks.

M-60A A

SCc-04 The Contractor shall create the schedule by using a state of the art and frequently used software package such as Primavera Project Planner or MS Project

M-60A A

SCc-05 The contractor shall ensure that all lower level software packages used are compatible, or as a minimum ensure that the complete schedule can be electronically integrated.

M-60A A

4.3.1 Milestone List No Requirement Del. ECSS Ref App SCd-01 The Contractor shall include a milestone list in his Proposal. Milestones

shall be clearly defined and related to reviews, major tasks or interfaces and delivery dates.

M-60A A

SCd-02 For each milestone a target date shall be defined associated with its earliest date of completion, and, if needed, a prediction of a new date compared to the previous updates

M-60A A


4.3.2 Trend Analysis No Requirement Del. ECSS Ref App SCe-01 The Contractor shall provide a trend analysis, which shall be based on

the milestone list and on trend charts.

D-PM18

M-60A

A

SCe-02 Trend Charts shall show each significant milestone to be agreed between the Agency and the Contractor, and shall clearly indicate the progress from the start to the expected completion date. Should delays occur, the Contractor shall briefly comment on the reasons for the delay and the actions taken or planned for recovery

D-PM18

M-60A A

4.3.3 Barcharts No Requirement Del. ECSS Ref App SCf-01 The Contractor shall prepare barcharts, which shall serve as working

basis and schedule reporting documents on task planning and scheduling.

The Barchart package should consist of three levels;

• Level 1: Project Summary Barcharts

• Level 2: Major constituents Barcharts (main s/s from platform and instruments etc)

• Level 3: All subsystems and their assemblies.

• Detailed AIV barcharts for level 1, 2 and 3

D-PM18

M-60A A

SCf-02 The level 1 barchart shall show all contractually agreed miletones on that level, the due dates for CFE's. The use of CETeFs and or other test facilities as well as interfaces to third parties, such as JAXA, Launcher Authorities and Ground Segment Developers.

D-PM18

M-60A A

SCf-03 The AIV Barcharts shall be established on Satellite, instruments and subsystem level

D-PM18

M-60A A

SCf-04 All Barcharts shall indicate the critical path, main milestones and deliveries.

D-PM18

M-60A A

4.3.4 Critical items No Requirement Del. ECSS Ref App SCg-01 The Contractor shall include in his proposal a list of critical items and

maintain it during the execution of the programme. This list shall be analysed in detail, with the aim to identify alternatives, which reduce the criticality of the items. It shall be made available electronically in conjunction with the required report.

D-PA6 Q-20-B 2.8 Y

SCg-02 Such a Critical Items Analysis report shall include:

• Description

• Reason for criticality

• Possible alternative solutions and resulting impact on the project

D-PA6


SCg-03 Long lead items list and availability shall be tracked.

4.4 Schedule Reporting No Requirement Del. ECSS Ref App SCh-01 The Contractor shall provide a complete Schedule Report in advance of

the Progress Meeting and every eight weeks, either as part of the Progress Report or in a separate report to be issued at the same time of the Progress Report.

D-PM18 M-60A A

SCh-02 The Contractor shall provide an electronic version of the complete and integrated schedule to the Agency, using the originally used schedule management tool.

M-60A A

SCh-03 The Schedule Report shall be the result of an objective and realistic analysis of the progress made, showing an active control of the execution of the work.

M-60A A

SCh-04 The Schedule Report shall include:

• a narrative part explaining the overall status of the Project

• the updated milestone list

• the updated barcharts

• the updated trend analysis

• an analysis of any critical items affecting the schedule

• Main Hardware Delivery List in the format of an excel table indicating, Margin vs Delivery Need date, any period slip (vs reported date in the previous report), any overall slip (vs agreed baseline).

• a report on the planned usage of the test facilities, identifying any potential conflict in availability and identifying backups in case of problems. The use of CETeF’s and/or other test facilities shall be clearly indicated;

• an indication of any further changes in duration, added or deleted activities or logic changes which may have occurred and the reason for such changes

D-PM18 M-60A 7.7 M

SCh-05 If during the reporting cycle, a situation arises which results in a substantial change in planning or scheduling, the Contractor shall notify the Agency accordingly within 2 working days of becoming aware of it.

M-60A 7.8 M

SCh-06 The reporting shall show the approved Original or Current Baseline Schedule against the Current Working Schedule

M-60A A

SCh-07 The Agency reserves the right to request, at times of intense activity or in critical situations, more frequent or detailed schedule reporting of the relevant activities.

M-60A A

SCh-08 The Agency reserves the right to perform on-site inspections of the schedule control system and the progress at the premises of the Contractor and its Subcontractors at mutually agreed dates

M-60A A


SCh-09 The content of the Summary Schedule shall cover KO to launch and

the level of detail shall be agreed with the Agency.

The contractor shall also provide a page of size A3 which shall report the schedule for one year, the last 3 months and the next 9 months to a level of detail to be agreed with the Agency.

M-60A A

SCh-10 During AIT campaigns, the reporting of achieved, on-going and planned activities shall be increased to weekly or bi-weekly.

M-60A A

SCh-11 The reporting period shall be consistent for all elements of the program and cover all Contractor and Sub-Contractor procurements (i.e. Spacecraft, Payload, Instruments, sub-systems, …)

M-60A A

SCh-12 Dedicated paragraphs of the programme status overview shall cover per major sub-system the delivery of individual elements, critical items and long lead items status.

M-60A A


5 Financial and Cost Management

5.1 General Management requirements for the definition, creation, reporting and use of cost and manpower data applicable to (firm) fixed price Contracts are mainly related to the internal Company’s cost control system, which should ensure the following primary objectives:

• to establish and maintain an agreed cost and manpower basis for all the work to be performed during the Contract across the project and its participants;

• to be able to rapidly evaluate the actual expenditure, assess deviations, predict potential cost impacts and rapidly propose and implement corrective actions;

• to define, use and report a consistent set of cost data. No Requirement Del. ECSS Ref App FCa-01 The Contractor and his Sub-contractors shall implement a cost control

system and shall closely monitor expenditure against the agreed cost references, with respect to the planned value of work achieved.

M-60A A

FCa-02 The contractor and his Sub-contractors shall be able to detect and report, at an early stage, any unfavourable cost trends and propose to their management work-around solutions to respect the cost constraints.

M-60A A

FCa-03 The contractual financial transactions under the contract, in particular the establishment of Milestone Payment Plans (MPP’s) and the certification of milestones shall be based on the financial data processed by the ESA Financial & Invoicing System (EFIS).

M-60A A

5.2 Cost Control Techniques

5.2.1 Original Baseline Cost Plan No Requirement Del. ECSS Ref App FCb-01 The Contractor shall propose as part of his offer, Milestone Payments

Plans, including those of his Sub-contractors, in line with the Milestone Lists and specifically separating each Phase and any bread boarding milestones.

M-60A A

FCb-02 The Milestone Payments Plans shall be subject to the Agency’s agreement during Contract negotiations.

M-60A A

FCb-03 The consolidated set of Milestone Payments Plans for each Contract based on the agreed Contract price including estimated or known escalation shall constitute the Original Baseline Cost Plan (OBCP).

D-PM20 M-60A A

5.2.2 Current Baseline Cost Plan No Requirement Del. ECSS Ref App FCc-01 The Current Baseline Cost Plan (CBCP) is defined as the OBCP and

the financial impacts of all contractually agreed changes. It includes the consolidated set of approved updated Milestone Payments Plans prices and estimated or known escalation.

M-60A 5.22 M


FCc-02 The Contractor shall follow the formal change procedure for any

change to the OBCP.

M-60A 5.12 M

FCc-03 The Contractor shall develop, evaluate, and implement corrective actions where deviations are predicted.

M-60A A

FCc-04 A more frequent submission of the CBCP shall be done on special request by the Agency.

M-60A A

5.2.3 Certification of Achievement of Milestones No Requirement Del. ECSS Ref App FCd-01 The Contractor shall certify an achievement of a milestone through

attaching supporting documentation, such as Minutes of Meeting, at the time when the invoice is raised in EFIS. Subsequent certification shall be provided by all higher tier contractors, through approval of invoice in EFIS.

M-60A A

5.2.4 Payment and Invoice Control No Requirement Del. ECSS Ref App FCe-01 All industrial milestones and escalations shall be monitored and

controlled so that payment and invoice status and forecasts can be accurately reported at a consolidated level and per subcontractor via EFIS.

M-60A A

5.2.5 Geographical Distribution of Work To support the Agency's obligation to record Industrial Return to the member states, identification and recording of expenditures by country is required. No Requirement Del. ECSS Ref App FCf-01 The first issue of the Geographical Distribution of Work shall be based

on the offer provided by the Contractor, amended as a result of the Contract negotiation, and shall be issued immediately thereafter.

D-PM30 M-10B 5.6.2b. M

FCf-02 Any further updates shall take due account of the results of selection of Sub-contractors, including approved class A and class B changes.

M-60A 5.9 M


5.3 Financial Reporting The following cost reporting is required during phase B/C/D/E1: The Agency reserves the right to exceptionally request more frequent reporting for certain critical areas. No Requirement Del. ECSS Ref App FCg-01 Original Baseline Cost Plan (OBCP) shall be provided at the proposal

and updated after finalization of contract negotiations.

D-PM20 M-60 M

FCg-02 Current Baseline Cost Plan (CBCP) shall be provided every 6 months after kick off with cut- off date at the end of March and September, maximum 10 days after the cut- off date. A final CBCP shall be provided at the end of phase E1. Detailed visibility (showing the baseline and each change) shall be maintained

M-60A 5.22 M

FCg-04 A payment status and forecast report including all milestones and known or estimated escalation amounts shall be provided. It shall be based upon the latest known schedule, and any other known specificities of each contractor. It shall be reported on a monthly for the current year and thereafter yearly. It shall be provided every 3 months after kick off with cut- off date at the end of December, March, June and September, maximum 10 days after the cut- off date.

D-PM11

M-60A 5.2.3

A

FCg-05 Geographical Distribution of Work (GDW) shall be provided every 6 months after kick off with cut- off date at the end of March and September, maximum 10 days after the cut- off date

D-PM30 M-60A A

FCg-06 The Agency reserves the right to exceptionally request more frequent reporting for certain critical areas.

A

FCg-07 The Agency reserves the right in case the contract runs under a CostReimbursement scheme, the Agency to ask for Financial Reporting inline with such a scheme.

A


6 Risk Management

6.1 Risk Management Process No Requirement Del. ECSS Ref App RMa-01 The basis for risk management shall be a four-step process including

nine tasks. The starting point for risk management shall be the agreement of the risk management policy at the beginning of the project.

• Step 1 Define Risk Management Requirements.

o Task 1: Define Risk Management Policy

o Task 2: Prepare Risk Management Plan

• Step 2. Identify and assess the risk

o Task 3: Identify risk scenarios

o Task 4: Assess the risks

• Step 3. Decide and Act

o Task 5: Decide if the risk may be accepted

o Task 6: Reduce the risks

o Task 7: Recommend the acceptance

• Step 4. Monitor, communicate and accept risks

o Task 8: Monitor and communicate risks.

o Task 9: Summit risks for acceptance, return to 6 if not accepted.

M-00-03-B

7.2.1 M

RMa-02 A risk management plan (including a risk management policy) shall be established by the contractor.

D-PM-4 M-00-03-B

7.2.2 Y

RMa-03 Risk scenarios shall be identified using available information sources such as:

• previous analysis, lessons learned and historical data;

• expert interviews and experience data;

• data extrapolation;

• simulations, test data and models;

• analysis of proposed changes and

• test results.

M-00-03-B

7.2.3

Y

RMa-04 The risk scenarios shall be assessed, analysed for their acceptability and reduced in accordance with the risk management policy.

M-00-03-B

7.2.4/5/6 Y

RMa-05 The overall risk after consideration of the risk reduction shall be determined.

M-00-03-B

7.2.7 Y


RMa-06 Options for acceptance of resolved, acceptable and overall risks shall

be defined where appropriate and presented to the appropriate management level, as defined in the risk management plan, for disposition.

M-00-03-B

7.2.8 Y

RMa-07 Unresolved risks shall be presented to the appropriate managementlevel, as defined in the risk management plan, for further disposition.

M-00-03-B

7.2.9 Y

RMa-08 A Risk register shall be included in the proposal and thereafter provided on a quarterly basis by the prime contractor. The updates shall also include risk trend charts.

D-PM4 M-00-03-B

7.2.11 M

RMa-09 Residual risks at the end of a risk management cycle shall be submitted to the appropriate management level, as defined in the risk management plan, for acceptance.

M-00-03-B

7.2.10 Y

6.2 Risk Management Implementation and Reporting No Requirement Del. ECSS Ref App RMb-01 Risk management shall be implemented in a cost-effective manner,

using the existing project organization to the maximum extent.

M-00-03-B

7.3.2 Y

RMb-02 Recognized improvements to the risk management process shall be implemented with the project progress.

M-00-03-B

7.3.5 Y


7 Change Control

7.1 Contract Change Procedure

7.1.1 Introduction of a Change A Contract Change Notice (CCN) may be raised by Contractor or his Subcontractors, either on his own initiative or in response to a Change Request (CR) from the Agency. No Requirement Del. ECSS Ref App CCa-01 Following receipt of a CR from the Agency, the Contractor shall submit

a complete and co-ordinated CCN within 15 calendar days, unless otherwise agreed.

D-PM31 A

CCa-02 Each proposed CCN must be identified by a unique number, in line with the overall project Documentation Control Procedure (see Section 7 “Configuration Management and Documentation Control”). In the event that a CCN has been rejected or withdrawn, this number shall not be used again.

A

CCa-03 Each CCN shall be valid for at least 4 months. Any deviation from this requirement shall be clearly justified by the Contractor within his CCN.

A

CCa-04 The substantiating documentation and information to be supplied with the CCN shall include, as a minimum, the following:

• Justification of change

• A detailed technical description of the change, and its implications and consequences on system or subsystem performances. This shall be accompanied by the proposed - amendments to the relevant documents.

• A description of the envisaged tasks in the form of a brief Statement of Work, subdivided into the affected Work Packages, and/or list of the tasks to be eliminated.

• Work Package Descriptions.

• A statement of the schedule impact, if any, supported by revisions to the affected schedule documents.

• Company Price Breakdown Forms (PSS-A1, PSS-A2, PSS-A8 and PSS A10). All changes shall be submitted as Firm Fixed Price in Euros. Proposed payments plan(s) for the change, including those of the Subcontractors.

• The Contractor shall list on each CCN the reference numbers of any CCN’s from his Subcontractors. These shall be annexed to the Contractors CCN. The Contractor shall include, as part of his CCN, his assessment, conclusions and recommendations on any CCN submitted by his Subcontractors

A

CCa-05 The Contractor shall ensure that his Subcontractors’ CCN’s are submitted by means of fully completed CCN forms, with additional information as required, in a fully co-ordinated manner, including all impacts of even lower level Subcontractors

A


7.1.2 Review and Approval of a Change No Requirement Del. ECSS Ref App CCb-01 Upon receipt of a CCN, the Agency shall review the proposal within 20

calendar days and either request further clarification or give the technical go-ahead for the implementation of the change.

A

CCb-02 All submitted CCN’s shall be processed by a Change Review Board (CRB). This Board shall consist of the Agency’s and Contractor’s Responsible Officers, supported by other experts as required.

A

CCb-03 No activities on the proposed CCN shall start prior to a written go-ahead. In cases where the Contractor does not follow this procedure, the resulting contractual consequences shall be borne by him.

A

CCb-04 In special cases, the Agency’s Responsible Officers may instruct the Contractor to introduce the change, before a CCN has been formally processed, without prejudice to a subsequent CRB.

A

CCb-05 If an agreement on a CCN is reached, the CCN shall be signed by the Agency’s and Contractor’s Responsible Officers; this constitutes approval of a change, and the terms and conditions of the Contract shall be deemed modified accordingly.

A

CCb-06 After approval of a change, the Contractor (and his Subcontractors) shall implement the change without delay. Such implementation shall include the full integration of the change into the project plans (e.g. Current Baseline Cost Plan) and any other documentation, to the extent necessary to keep these up to date.

A

CCb-07 At the end of a CRB, the minutes of meeting shall be signed by the Agency’s and Contractors Responsible Officers, and shall constitute an integral and overriding part of the content of the CCN.

A

CCb-08 In case of disagreement, a new CRB shall be scheduled within 20 calendar days. In case no further agreement can be reached, the subject CCN shall be presented to the Change Appeal Board (CAB), in accordance with the relevant Contractual conditions.

A

CCb-09 The Contractor shall hold regular Change Control Boards (CCB) for internal review and co-ordination of any proposed change.

A


7.2 Change Log No Requirement Del. ECSS Ref App CCc-01 The Contractor shall create and continuously maintain an up to date log

(the Contract Change Notices Status List) of all his own and his lower level Contractors contract changes, including:

• list of changes still under preparation

• list of approved CCN’s, breakdown per Contractor, classification, price, type of price,

• list of rejected or withdrawn CCN’s

• list of changes submitted to the Agency, but not yet approved

• list of Change Requests issued by the Agency, with reference to the related CCN

• list of all approved Class B changes

The Contract Change Notices Status List shall be issued at the same time as the Progress Report.

D-PM33 A


8 Documentation and Configuration Management

8.1 Configuration Management

8.1.1 General Configurations Management shall be in accordance with ECSS-M-40B

8.1.2 Management and planning DMa-01 Each supplier shall produce a configuration management plan which is

subject to approval by the Agency. M40-B M

DMa-02 The starting point of formal configuration control shall be upon signature of the contract.

M40-B M

8.1.3 Configuration baseline DMb-01 The approval of configuration baselines shall be part of the major project

reviews M40-B M

8.1.4 Configuration status accounting and verification DMc-01 Configuration status accounting shall be organised in such a way that the

“running baseline” can be determined at any point in time. M40-B M

DMc-02 Each actor may require an audit to be performed, relative to configuration management activities, of lower level actors.

M40-B M


8.2 Documentation Management

8.2.1 General The objectives of Document Management are to: • identify all documents to be produced by all Contractors and a schedule for production, • establish common document formats, • ensure that documents are produced, reviewed, approved and distributed in a timely fashion • allow efficient distribution and retrieval of documents and • provide secure archiving to ensure availability at all times No Requirement Del. ECSS Ref App DMd-01 The Contractor shall, as part of his Proposal, provide a “Documentation

Management Plan” including an appropriate Document Control Procedure, for approval by the Agency.)

D-PM36 /

D-PA2

M50-A A

DMd-02 The Contractor shall as part of his proposal provide a Document Tree and shall maintain it during the execution of the programme.

D-SA7 A

8.2.2 Document Identification No Requirement Del. ECSS Ref App DMe-01 For EarthCARE documents, including drawings, the following

identification scheme shall be used: XX-YY(YY)-ZZ(ZZ)-AA(AA)-BBBB Where: XX = EarthCARE YY(YY) = document type ZZ(ZZ) = code of generating organisation AA(AA) = mission/satellite element concerned BBBB = sequential number Non- exhaustive lists of “YY(YY)”, “ZZ(ZZ)”, and “AA(AA)” codes defined in Annex A. The Contractor shall maintain these lists.

M50-A 6.1.4 M

DMe-02 For minor updates a revision shall be used with alphabetical values (A, B etc.) and for major updates a new issue shall be made using numerical values (1,2 etc.)

M50-A 6.1.4 M

DMe-03 The identification of correspondence (e.g. letters, fax, memo, e-mail if formal …) shall be as follows : XX-YY(YY)-ZZ(ZZ)-AA(AA)-BBBB /yyyy Where: XX-YY(YY)-ZZ(ZZ)-AA(AA)-BBBB is as defined in DMe-01 yyyy = the year of issue It is requested to install a separate numbering sequence (BBBB) for each document type and company.

M50-A 6.1.4 M


8.2.3 Levels and Classification No Requirement Del. ECSS Ref App DMf-01 All documents shall fall into one of three different levels:

Level 1: Contractually Controlled Baseline Documentation. (initially only the Agency’s issued documents). Level 2: Class A documents issued by the Contractor and to be submitted to the Agency for approval. Level 3: All other documents issued by the Contractor, either for review (Class R) or for information (Class I).

M50-A 6.1.9 M

DMf-02 The classification of documents shall be as follows: Class A: Documents issued by the Contractor, which shall be approved by the Contractor and the Agency prior to their implementation. After approval, these documents are contractually binding. Class R: these documents shall be sent to the Agency for review, but shall be approved only by the Contractor prior to their implementation. Implementation can start as soon as the Contractor corrects errors and inconsistencies that have incurred the Agency's disapproval. Failure to comply with these requirements shall be at the Contractor’s risk. In any case, the Contractor shall notify the Agency of his decision before implementation.

Class I: all other documents.

M50-A 6.1.4 M

DMf-03 The Contractor shall agree with the Agency and impose on his Subcontractors the procedures and standards for all documentation, including: • classification of documents (see 8.2.3) • document numbering and identification (see 8.2.2 above) • distribution of documents • format and contents for each class of document (see DCG) • approval procedure for each class of document • updating procedure for each class of document

M50-A 6.2.2 M

DMf-04 The Contractor shall ensure that all documents and document updates are approved as required.

M50-A A


8.2.4 Document Change No Requirement Del. ECSS Ref App DMg-01 Updates to level 1 and level 2 documents shall be recorded by mean of

a Document Change Notice (DCN), issued to all via ESA in case of external party recipients.

D-PM35 M50-A A

DMg-02 All DCN’s shall be subject to the Agency’s approval. M50-A A

DMg-03 CPR-CDN - DCN handling (both directions). ) shall be as per DMg-01and DMg-02. Detailed procedure to initiate the Document Change Request to be agreed during Phase B.

M50-A A

8.2.5 Document Status List No Requirement Del. ECSS Ref App DMh-01 The Contractor shall create and maintain a Document Status recording

all the documents produced during the Contract, including reports, specifications, plans and minutes. This list shall be continuously updated and made available electronically or via an on-line database to the Agency (to be agreed).

D-PM37 M50-A 6.3.1 A

DMh-02 The Contractor shall ensure that such a Document Status List is created and maintained by his Subcontractors.

M50-A A

DMh-03 The Contractor shall submit a complete and updated Document Status List every six months and at the occasion of each Progress Meeting a partial list including all documents issued under the reporting period. The Agency reserves the right to exceptionally request more frequent reporting.

M50-A A

DMh-04 The status list shall include an overview of the approval status of the documents. This applies to complete and partial list attached to the Progress Report.

DMh-05 It shall be possible to protect the documents in distribution with encryption passwords to allow read/write access to involved parties.

8.2.6 Documents Requirement List (DRL)

The documents required are defined in the Documents Requirement List (DRL), ref EC-RS-ESA-DR-0005.

No Requirement Del. ECSS Ref App DMi-01 The Contractor shall set-up and maintain all Sub-contractor DRLs

based on the Agency’s DRL referenced above. D-PM38 M50-A A


8.2.7 Document Distribution and Retrieval No Requirement Del. ECSS Ref App DMj-01 As soon as they become available, the Contractor shall submit to the

Agency all documents, including technical notes, drawings, plans, specifications, procedures, etc, which are produced during the execution of the Contract.

D-PM37 M50-A 6.3.1 M

DMj-02 The Contractor shall provide access to the Agency to all project documents, regardless of their confidentiality.

M50-A 6.3.1 M

DMj-03 Any document to be discussed at a meeting with the Agency shall be submitted two weeks prior to such meeting.

M50-A A

DMj-04 Documents from Sub-contractors shall be submitted to the Agency by the Contractor. The Contractor shall provide to the Agency within two weeks, his comments and/or acceptance of such documents.

M50-A A

DMj-05 All documents shall be delivered electronically in PDF format. The PDF format shall not be derived from a scanned paper copy, but from the original source file. Moreover:

• PDF text shall be searchable • Tables of Contents shall exist and shall be PDF bookmarks • Fonts shall be embedded in the PDF documents

In case the document is provided on a CD/DVD, the directory structure of the CD/DVD shall be readable by both PC and Macintosh environments.

M50-A A

DMj-06 All documents, excepted financial, confidential, and drawings larger than A3 shall be delivered by means of FTP.

M50 A

DMj-07 Data packages shall be delivered in paper and on CD/DVD and via ftp in PDF format to the relevant parties, as well as electronically to the customer. Formats as per DMj-05 apply

M50A A

DMj-08 Electronic structure of CD/DVD Data package shall be proposed by the Contractor and agreed with the Agency. As baseline, an overall Table of content –TOC- shall be available and based on hyperlink to provide access to all documents within EIDP. In case, of delta-delivery, an updated TOC shall allow access to both initial and delta-delivery documentation

A

DMj-09 Data package larger than maximum CD size shall be delivered on larger capacity media such as DVD.

A

DMj-10 It shall be possible to protect the documents in distribution with encryption passwords to allow read/write access to involved parties.

A


8.2.8 Document Availability and Archiving No Requirement Del. ECSS Ref App DMk-01 The Contractor shall store documents in a manner that enables easy

and speedy retrieval. M50-A 6.1.1 M

DMk-02 The Contractor shall ensure that documents are available for retrieval by any authorised person.

M50-A 6.1.2 M

DMk-03 The Contractor shall protect and distribute documents according to the level of confidentiality of information they contain (and according to the applicable clauses of the General Clauses and Conditions for ESA Contracts).

M50-A 6.1.2 M

DMk-04 Documents shall be stored in a manner that protects the information which they contain against foreseeable hazards e.g. fire, flood, earthquake, viruses, etc.

M50-A 6.1.3 M

DMk-05 All documents shall be retained for a period of not less than 2 years after launch date. The documents may be stored on transferable, electronic media, such as CD/DVD.

M50-A A

DMk-06 These documents shall include Level 1, Level 2 and Level 3 documents including those of the sun-contractor

8.2.9 Document Signatures No Requirement Del. ECSS Ref App DMl-01 All documents should carry the name signature of the originator of the

document. In the case of Level 1 and Level 2 documents, they shall also carry the signature of Agency authority.

DMl-02 An electronic document signature system shall be implemented except for formal documents which will be dealt with on a case be case basis.


9 Progress Meetings and Reporting

9.1 General

The primary objectives of progress reporting are to ensure that:

• The Agency’s Project Management is regularly provided with sufficient up-to-date and accurate information, across all functions, on which to base decisions.

• Early identification of adverse trends as they start to develop. • Problems notified by reporting are highlighted, with proposed solutions for actions to be taken.

9.2 Progress Meetings No Requirement Del. ECSS Ref App PMa-01 Progress Meetings shall be held every eight weeks between the

Contractor and the Agency chaired by the Agency’s Project Manager, supported by other personnel as necessary. The dates for these meetings shall be fixed for one year, agreed at the one but last progress meeting of the year.

A

PMa-02 Progress Meetings shall include a “Plenary Session”, where mainly technical and schedule aspects are presented. Provision shall be made to accommodate several “Splinter Meetings” to take place in parallel, including amongst others, a managerial session.

A

PMa-03 At the Agency’s discretion Sub-contractors may participate in progress meetings.

A

PMa-04 The Contractor shall have Progress Meetings with each of his Sub-contractors even if the sub-contractor is in the same consortium. These shall be grouped to take place within two weeks of the Agency/Contractors Progress Meeting.

A


9.3 Progress Reporting No Requirement Del. ECSS Ref App PMb-01 The progress report shall be provided at 8 weekly intervals, at least five

working days prior to the planned progress meeting.

The sub-contractors shall issue Progress Reports on their own activity for the same reporting period and with similar level of information as described in 9.3.

M-20B 5.3.3a M

PMb-02 The Progress Report shall:

• highlight adverse trends in technical, schedule and cost performance,

• identify potential problems and

• propose corrective actions.

PMb-03 The progress report shall contain as a minimum:

• the project manager’s concise assessment of the current project situation in relation to the forecasts and risks,

• the status of the progress of work being performed by the contractor measured against planned results,

• essential narrative and summary data in each section, with clear indication of achievement measured against planned programmatic and technical progress as well as future outlook,

• progress status of Subcontractors as extracted by Prime, in particular assessment of critical items such as Schedule Risk.

• schedule report,

• a partial Document Status List including all documents issued in the reporting period.

• a DCN, CCN and CR status list

• a NCR, RFW and CIL list and

• an invoice and payment status list.

D-PM19 M-20-B 5.3.3 b M

PMb-04 Progress status of sub-contractors shall be made available.


9.4 Project Reviews The requirements with respect to Project and Agency Level Reviews as well as lower level reviews are specified in the Statement of Work.

9.4.1 Other review Boards No Requirement Del. ECSS Ref App PMc-01 The Contractor and his Subcontractors shall establish and operate

Review Boards as appropriate including Material-, Test Readiness-, Test-, Delivery- and Qualifications Results Review Boards. For description of these review boards reference is made to ECCS Q 20-B.

Q-20-B Y

PMc-02 The Agency has the right to attend these Boards as a member of the Board.

A

PMc-03 The Agency shall be kept informed of the various Boards, at least 3 working days before the Board meets.

A

9.4.2 Review Procedure No Requirement Del. ECSS Ref App PMd-01 The Contractor being reviewed shall support preparation of a Review

Procedure if requested by the Customer, two months prior to each review.

D-PR2 A

PMd-02 The Review Plan, should define:

• the objectives and scope with relation to the development planning,

• the review schedule,

• the organisation of the review, and participants,

• required inputs including:

o review Data Package

o status of actions from previous reviews

o outputs (Report Outlines, etc.) and

• procedures and forms such as:

o a suitable Review Item Disposition (RID) Form and

o a suitable Action Item Form.

A

PMd-03 The Contractors being reviewed shall submit a Review Data Package 30 days prior to each review.

D-SA 9-14

A

PMd-04 The Review Data Package shall include a single volume synthesis report, to be updated for each review, summarising the essential elements of the system design, including drawings and data tables.

A

PMd-05 The Contractor being reviewed shall provide a list of all project documentation and provide any documentation requested.

A


PMd-06 The Contractor shall provide an assessment of RID's raised during the

review.

A

PMd-07 The Contractor shall incorporate those recommendations of the Review Board as instructed by the Customer's Project Manager.

A

PMd-08 The Contractor shall organise and conduct lower level reviews to assess the status and, as necessary, in support of any Customer reviews, and shall invite its Customer to attend these reviews.

A

PMd-09 The Contractor as Customer shall participate in the lower level reviews held by its lower tier Contractors.

A

PMd-10 The Contractor shall maintain and provide the Agency, with a Review Procedure for the all sub systems.

D-PR-2 A

9.5 Contract Close-out Reporting and End of Project Assessment No Requirement Del. ECSS Ref App PMe-01 The Contractor shall prepare a Contract Close-out Data Package on

completion of the contract.

D-PM44 A

PMe-02 The Contractor shall prepare an end of project assessment report of the lessons learnt.

D-PM44 A


10 Inventory Control

10.1 General Inventory Control is the instrument for accounting of the Agency’s assets, and is specifically addressed in article 9 of the Contract. No Requirement Del. ECSS Ref App IRa-01 Items which are produced or purchased specifically and used

exclusively for the purpose of the Contract, as well as items made available by the Agency to the Contractor shall be subject to Inventory Control.

A

IRa-02 The Contractor shall prepare as part of his Proposal a concept of his Inventory Control Plan addressing all items to be controlled and including:

• classification of property,

• treatment of property,

• recording of property,

• marking of property and

• disposal of property

D-PM45 A

IRa-03 The Contractor and all his Subcontractors shall operate an Inventory Control system in such a way that:

• the existence and location of all inventory items can be verified,

• changes in value, resulting from acquisitions, disposals and items written off, are controlled and

• financial reconciliation can be made and status reports be prepared.

A


10.2 Inventory handling

10.2.1 Classification of Items No Requirement Del. ECSS Ref App IRb-01 For the purpose of Inventory Control, items shall be classified into two

categories, according to the source and intended use of the items:

• Contractor acquired Items

• Agency Furnished Items

Example of items to be monitored are jigs, test rigs, fixtures, devises, apparatus, instruments, machines, installations, technical facilities, buildings, computer programmes, documentation, models, samples or any other item which, after their use in or in conjunction with the production process under the Contract, may have a residual utility or other value for the Agency.

A

IRb-02 For each classification of property, a minimum item value of 3.000 Euro shall be observed, above which the item shall be subject to Inventory Control.

A

10.2.2 Recording of Inventory Items No Requirement Del. ECSS Ref App IRc-01 The Contractor shall establish an electronic central database (called

Inventory Record) of all Inventory Items for the whole project.

A

IRc-02 The Inventory Record shall be presented to the Agency in the following way:

• one for each class

• one per physical location (company level) and

• record of deleted items, one for each class including reason for deletion

A

IRc-03 All Inventory Items shall be entered into a registration system with the following deliverable information:

• ·unique item registration number (inventory number),

• ·quantity,

• ·item description,

• ·manufacturer model and serial number,

• ·acquisition date and value in Euro and National currency at the time of purchase,

• ·classification (1 or 2) and

• ·physical location (sufficient detail to accommodate inspection).

A

IRc-04 An inventory Record shall be presented on a yearly basis, with a cut-off date at the end of September and at the close out of each contract

D-PM 40

A


10.2.3 Disposal and Deletion of Items from the Inventory Record No Requirement Del. ECSS Ref App IRd-01 All deletions require Agency’s approval before they can take effect. A

10.3 Audits

No Requirement Del. ECSS Ref App IRe-01 The Agency reserves the right to audit the existing Company Inventory

Control System and to have physical checks on the Inventory itself, at the Contractor’s and Subcontractors premises.

A


11 Logistics

No Requirement Del. ECSS Ref App LGa-01 The Contractor shall prepare a Logistics and Transportation Plan,

based on contract negotiations, indicating the location of all hardware at all times and all major shipments envisaged in the course of its work and lower tier Contractors work.

The Contractor shall regularly report to its Customer any progress on, and changes to the Logistics and Transportation Plan.

The Contractor shall ship, handle and store all hardware in accordance with the agreed Logistics and Transportation Plan and comply with shipping and customs instructions as included in the contract and as the Agency may issue.

D-AV 2 M-70A 7.3.5 M


Annex A: EarthCARE Documentation Codes The Requirements on Document Identification are defined under chapter 8.2.2.

XX-YY(YY)-ZZ(ZZ)-AA(AA)-BBBB Where: XX = EC (for EarthCARE) YY(YY) = document type ZZ(ZZ) = code of generating organisation AA(AA) = mission/satellite element concerned BBBB = sequential number

Below are two non –exhaustive lists of the document types (dd) and Mission/Satellite Element Code (ee). These lists shall be completed by the Contractor.

A.1 Document Types YY(YY) This list shall be completed by the Contractor. Abbreviation Name CCN Contract Change Notice CCR Contract Change Request CO Contract CSL Configuration Status List DCN Document Change Notice DP Data Package DR Drawing DS Design Specification ECP Engineering Change Proposal (ECP) EIDP End Item Data Package ICD Interface Control Document (ICD) IRD Interface Requirements Document MOM Minutes of Meeting MEMO Memorandum NCR Nonconformance Report PR Procedure PT Product Tree RFQ Request for Quotation RID Review Item Discrepancy (RID) RP Report RFW Request for Waiver (RFW) SC Schedule SOW Statement of Work (SOW) TN Technical Note TP Test Procedure TR Test Report WBS Work Breakdown Structure (WBS)


A 2 Organisation Code ZZ(ZZ) This list shall be completed by the Contractor. Abbreviation Name ESA European Space Agency JAXA Japan Aerospace Exploration Agency NICT National Institute of Information and Communications Technology Variable` Reflects Company Name

A 3 Mission/Satellite Element Code AA(AA) This list is also non-exhaustive and shall be completed by the Contractor. Abbreviation Name ATLD Atmospheric Lidar Instrument BBR Broad-Band Radiometer Instrument CPR Cloud Profiling Radar Instrument MSI Multi-Spectral Imager Instrument SAT Satellite (Platform) SYS System (including C&C and Science Data Handling Ground Segment)

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