SWARM. Management Requirements Document for Subcontractors DOCUMENT CHANGE DETAILS

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2 DOCUMENT CHANGE DETAILS ISSUE DATA SHEET DESCRIPTION all First Issue EADS Astrium GmbH Page - II File: SW-RS-EAD-SY-0003_ Document.doc

3 CONTENTS 1. INTRODUCTION Scope Applicable Documents Implementation of ECSS Standards BASIC PROJECT MANAGEMENT AND CONTROL General Uniform approach in the industrial consortium Project Management Plan Project Management Organization Responsibilities and authorities Resident ESA / EADS Astrium Personnel Interrelations; Meetings, Action Items and Audits Meeting Plan Agenda and Minutes of Meeting Action Items Audits Management and Communication Information Exchange Electronic Communication Interfaces PROJECT STRUCTURES General Product Tree Work Breakdown Work Breakdown Structure (WBS) Work Packages Contract Structure (CS) Project Organisation Breakdown Structure (OBS) Key Personnel Cost Breakdown Structure (CBS) SCHEDULE CONTROL General Master Schedule Schedule Control Techniques Milestone List Trend Analysis Barcharts Critical items Schedule Reporting FINANCIAL AND COST MANAGEMENT General Cost Control Techniques Original Baseline Cost Plan Current Baseline Cost Plan Certification of Achievement of Milestones Payment and Invoice Control Geographical Distribution of Work Financial Reporting...18 EADS Astrium GmbH Page - III - File: SW-RS-EAD-SY-0003_ Document.doc

4 6. RISK MANAGEMENT Risk Management Process Risk Management Implementation and Reporting CHANGE CONTROL Contract Change Procedure Introduction of a Change Review and Approval of a Change Change Log DOCUMENTATION AND CONFIGURATION MANAGEMENT Configuration Management General Management and Planning Configuration Baseline Configuration Status Accounting and Verification Documentation Management General Document Identification Levels and Classification Document Change Document Status List Documents Requirement List (DRL) Document Distribution and Retrieval Document Availability and Archiving PROGRESS MEETINGS AND REPORTING General Progress Meetings Progress Reporting Project Reviews System and Equipment Level Reviews Lower level Review Boards Review Procedure Contract Close-out Reporting and End of Project Assessment INVENTORY CONTROL General Inventory handling Classification of Items Recording of Inventory Items Disposal and Deletion of Items from the Inventory Record Audits LOGISTICS...34 ANNEX A: SWARM DOCUMENTATION CODES...35 A.1 Document Types (dd)...35 A 2 Mission/Satellite Element Code (ee)...36 ANNEX B: FORM SHEETS...37 EADS Astrium GmbH Page - IV - File: SW-RS-EAD-SY-0003_ Document.doc

5 INTENTIONALLY BLANK EADS Astrium GmbH Page 1 File: SW-RS-EAD-SY-0003_ Document.doc

6 1. INTRODUCTION 1.1 Scope This document defines the management requirements applicable to the subcontractors of EADS Astrium during the Phase B, advanced C/D, C/D, E1 (as applicable) of the SWARM Project. It is the responsibility of the Subcontractor to allocate these requirements to his lower tier Subcontractors and suppliers mutatis mutandur, and to ensure their implementation. In the context of this document, EADS Astrium refers to either EADS Astrium GmbH, or EADS ASTRIUM Ltd. as defined in the contract. The Subcontractor is invited to propose, as part of his proposal, more effective means of improving cost and schedule efficiency, specifically tailored to Swarm needs. Especially, the Subcontractor is invited to re-use existing design and correlated documentation to a maximum extend possible and reasonable in order to minimize cost, schedule, and risk to SWARM. These will be subject to negotiation and agreement with EADS Astrium. This document shall further support the subcontractor during the establishment of his project management plan. 1.2 Applicable Documents AD Title Doc-No AD 1 SWARM Generic Statement of Work for Equipment SW-SW-EAD-SY-0003 AD 2 Equipment Specific Statement of Work (as of contract) Note: The Document Requirements List (DRL) is integral part of AD Implementation of ECSS Standards The following standards shall be applicable to the extent and with the modifications specified in this document. The ECSS requirement applicability, reference as given in column ECSS, is derived from the original ECSS requirement of the respective Standard. In case where no reference is given, a new or Project specific requirement has been made applicable. Standard Ref Date issued Title Applicability ECSS-M-00B Policy and Principles Fully applicable ECSS-M-00-02A Tailoring of Space Standards Reference Document ECSS-M-00-03A Risk Management Partially Applicable ECSS-M-10B Project breakdown structures Partially Applicable ECSS-M-20B Project organisation Partially Applicable ECSS-M-30A Project phasing and planning Partially Applicable ECSS-M-30-01A Organisation and conduct of reviews Partially Applicable ECSS-M-40B Configuration management Partially Applicable ECSS-M-50A Information/documentation management Partially Applicable ECSS Cost and schedule management Partially Applicable ECSS-M-70A Integrated logistic support Partially Applicable EADS Astrium GmbH Page 2 File: SW-RS-EAD-SY-0003_ Document.doc

7 2. BASIC PROJECT MANAGEMENT AND CONTROL 2.1 General Uniform approach in the industrial consortium ECSS BP-01 BP-02 BP-03 BP-04 BP-05 BP-06 BP-07 BP-08 BP-09 BP-10 The Subcontractor shall ensure a uniform approach to the applicability of requirements and the performance of management functions and procedures, throughout the whole Industrial Structure. The Subcontractor shall regularly advise EADS Astrium of potential performance/cost/schedule problems and critical situations. The Subcontractor shall notify EADS Astrium within 48 hours of any event that could significantly affect the achievement of the Contract objectives in terms of technical performance, schedule and cost. The subcontractor shall use the ECSS Standards to establish the project management requirements to his lower tier subcontractors. The subcontractor shall specify the minimum requirements necessary for his suppliers to achieve the project objectives. The subcontractor shall consider tailoring in order to minimize requirements to this lower tier suppliers. The project management requirements shall only specify what shall be achieved, not how it shall be done. The project management requirements shall use standard terms and definitions wherever practicable. The subcontractor shall establish a project directory and send this and all its revisions to EADS Astrium. The names of all key personnel should be highlighted and the complete project structure should be clear (for definition of Key Personnel see requirement No. PS-22). The Directory shall be provided electronically. The Subcontractor shall provide a directory of the acronyms and abbreviations used. All generated information shall be made in the English language. On special request, EADS Astrium may accept a language other than English for the supporting documentation of existing hardware M-20-B e M-00B 6.2.a M-00B 6.2.b M-00B 6.2.c M-00B 6.2.d M-00B 6.2.e MA-3 M-20B MA-12 M-50A Project Management Plan ECSS BP-11 BP-12 The subcontractor at every level shall respond to the project management requirements in this document and in the Contract with a project management plan. The Subcontractor s project management and project control organisation shall implement the EADS Astrium approved Project Management Plan. MA-4 M-00B 6.3 M-20B 5.2.3c EADS Astrium GmbH Page 3 File: SW-RS-EAD-SY-0003_ Document.doc

8 2.2 Project Management Organization Responsibilities and authorities SWARM The Subcontractor to EADS Astrium as customer to his lower tier subcontractors ECSS BP-13 BP-14 The customer shall identify the project characteristics and define the projects requirements, the availability and the implementation requirements of the system including support elements. The customer shall maintain the definition of project performance requirements and constraints throughout the life of the project. M-20B M-20B a b BP-15 The customer shall verify his subcontractor's compliance with requirements and constraints M-20B c BP-16 When the customer supplies a product to lower tier actors he shall have the responsibility to his subcontractor in respect of that product M-20B d The Subcontractor ECSS BP-17 BP-18 BP-19 BP-20 BP-21 BP-22 The Subcontractor'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. The Subcontractor's project management organisation shall be suitably structured with single point authority to support the control of the work/schedule/cost performance at all Subcontractor levels The subcontractor 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 The subcontractor 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. Subcontractors shall demonstrate that the key personnel have the necessary qualification, skills and experience to perform the task for which they are allocated. EADS Astrium reserves the right to verify the qualifications and suitability of the key personnel assigned and to approve them. In the case that EADS Astrium does not approve an assignment, the Subcontractor or his Subcontractor shall provide other personnel meeting the professional standards required by EADS Astrium. All plans and data submitted by the Subcontractor in his Proposal shall be updated following the Contract award, taking into account the results of the Contract negotiations and Contract changes M-20B M-20B M-20B M-20B M-20B a 5.2.3b 5.2.de 5.2.3f 5.2.3g EADS Astrium GmbH Page 4 File: SW-RS-EAD-SY-0003_ Document.doc

9 BP-23 The Subcontractor shall manage his Sub-subcontractors. He shall regularly assess the progress status, and analyze and synthesize the reports from his Sub-subcontractors for a consolidated report to EADS Astrium Resident ESA / EADS Astrium Personnel ECSS BP-24 ESA and / or EADS Astrium shall have the right to place a limited number of resident personnel at the Subcontractors and his Subsubcontractors premises. The Subcontractor shall provide and maintain accommodation and furnishings of a reasonable standard, together with communication facilities for the resident personnel in the vicinity of the Subcontractor s Project Team, or where the activities are taking place. The communication facilities shall include phone, fax, and Internet accesses. The standard of accommodation should be similar to the one provided by the Subcontractor for his own personnel. On EADS Astrium s request, the Subcontractor shall also arrange for similar facilities at his Subcontractors' premises. 2.3 Interrelations; Meetings, Action Items and Audits Meeting Plan ECSS BP-25 BP-26 BP-27 The Subcontractor shall issue, with his Progress Report, a meeting plan showing any meeting planned to take place within his industrial team. Any re-scheduling of planned meetings shall be communicated to all potential participants without delay. EADS Astrium shall be invited and may attend all meetings of the subcontractor and his lower tier subcontractors. The Subcontractor shall inform EADS Astrium as soon as a meeting is scheduled and invite not later than 5 working days in advance of the meeting. For urgent matters, exceptions are possible. Any meetings shall nominally be held at the Subcontractor s or his own Subcontractors premises, if not agreed otherwise. MA Agenda and Minutes of Meeting ECSS BP-28 For each meeting the Subcontractor shall propose an agenda and a list of participants at least five working days prior to the meeting. M-20B 5.3.1c BP-29 With prior notice and agreement from the Subcontractor, EADS Astrium reserves the right to invite third parties to meetings. EADS Astrium GmbH Page 5 File: SW-RS-EAD-SY-0003_ Document.doc

10 BP- 29A SWARM 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. Minutes of meetings to be written during teleconferences shall be exchanged directly after the teleconference and signed to the rules defined above. Signature of the minutes shall mean that the parties agree that they represent a correct recording of the proceedings and results of the meeting. MA-6 M-20B 5.3.1d & e BP-30 Action items shall be reviewed at each meeting. M-20B f. BP-31 Agreed actions shall be documented in an action item list M-20B g BP-32 BP-33 Except for the negotiations, Kick-Off meetings, Reviews, and CRB s, the Subcontractor shall write the minutes of meeting, unless otherwise agreed. The writing party is responsible for the distribution of the minutes not later than 5 days after the meeting. Any matter having contractual impacts shall be highlighted and reported to the Project Manager and the Contracts Officer of each party, and shall be subject to formal approval by them before implementation. M-20B M-20B h I Action Items ECSS BP-34 The Subcontractor shall establish an Action Item Control System, which shall ensure that actions are raised and cleared effectively. The Action Items report 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,"" A""= Agreed C = Closed), closing reference and closing date. M-20B Audits ECSS BP-36 The Subcontractor and each of his lower tier subcontractors shall accept to be assessed by EADS Astrium, by ESA or by a third party agreed between EADS Astrium and the Subcontractor in the framework of the contract. M-20B 5.3.4a EADS Astrium GmbH Page 6 File: SW-RS-EAD-SY-0003_ Document.doc

11 BP-37 BP-38 The Subcontractor and each of his lower tier subcontractors shall provide his customer access to his facilities and data, which are relevant in the frame of the business agreement. EADS Astrium will notify the subcontractor 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 M-20B 5.3.4c 5.3.4d 2.4 Management and Communication Information Exchange ECSS BP-39 BP-40 The Subcontractor shall ensure that any formal communications with EADS Astrium 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 responsibles of EADS Astrium and the Subcontractor 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 EADS Astrium and the Subcontractor or his subcontractors. Appropriate key personnel of EADS Astrium and the Subcontractor shall be kept informed of informal communications in due time. All information exchange between the Subcontractor and his subcontractors shall be copied - for information - in parallel to EADS Astrium, at the time of the transmission to the other party(s). M-20B M-20B Electronic Communication Interfaces ECSS BP-41 BP-42 BP-43 The Subcontractor shall establish procedures to allow communication with all project participants using electronic means. Such communication may not be used for formal communication. The Subcontractor shall provide a server for data interchange and local storage for access by his Sub-subcontractors and by EADS Astrium. For the transfer of ASCII and binary files, the File Transfer Protocol (FTP), shall be used. M-20B 5.4 M-20B M-50A EADS Astrium GmbH Page 7 File: SW-RS-EAD-SY-0003_ Document.doc

12 BP-44 All files shall be subjected to virus screening before electronic transmission. M-20B EADS Astrium GmbH Page 8 File: SW-RS-EAD-SY-0003_ Document.doc

13 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, and management of risks. 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 PS-1 Based on EADS Astrium inputs and contract negotiations, the Subcontractor shall establish the Product Tree for all his products, and incorporate the product trees of his lower tier subcontractors. ECSS MA-13 M-10B PS-2 The product tree shall be subject to EADS Astrium review. M-10B a PS-3 The subcontractor shall maintain the product tree up-to-date under configuration control. M-10B b 3.3 Work Breakdown Work Breakdown Structure (WBS) (Note: WBS only requested for the Contract, once EADS Astrium has approved that it is up to the subcontractor to maintain the WBS.) ECSS PS-4 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. M-10B PS-5 PS-6 Work related to design, development, manufacturing, assembly, integration and test shall be shown in the WBS, in relation to the models. Engineering work shall be identifiable in connection with its related product tree elements on equipment or sub-equipment level. M-10B M-10B 5.5.2a 5.5.2b EADS Astrium GmbH Page 9 File: SW-RS-EAD-SY-0003_ Document.doc

14 PS-7 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 PS-8 The initial WBS presented in the proposal shall be subject to EADS Astrium approval. M-10B 5.5.3a PS-9 The Subcontractor shall maintain the WBS for his work and for the work share of his lower tiers in the project up-to-date. M-10B 5.5.3b Work Packages ECSS PS-10 Each work package identifier shall be unique. M-10B 5.5.4a PS-11 Not applicable M-10B 5.5.4b PS-12 Not applicable M-10B 5.5.4c PS-13 Each WP shall have a single responsible WP manager (a WP manager may be responsible for several WPs). M-10B PS-14 The subcontractor shall describe the content of each work package shown in his WBS. M-10B 5.5.6a PS-15 The WP description shall be agreed between the actors. M-10B 5.5.6b PS-16 The WP description shall address the following subjects: project name and project phase, WP title, unique identification of each WP, subcontractor 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 WPs, list of constraints, requirements, standards, and regulations, list of the expected outputs, end event identification including date and excluded tasks. M-10B Contract Structure (CS) This section is applicable to subcontractors with lower tier subcontractors, only. EADS Astrium GmbH Page 10 File: SW-RS-EAD-SY-0003_ Document.doc

15 ECSS PS-17 PS-18 The Subcontractor shall provide, as part of his Proposal, a Contract Structure (CS). This shall represent the contractual hierarchy of his industrial team. The CS shall show the relationship between companies such that the contractual responsibilities can be traced. M-10B M-10B a a PS-19 The identification of companies in the CS shall include the identification of the country in which the company is based. M-10B a PS-20 The Subcontractor shall update the CS as appropriate. M-10B a 3.5 Project Organisation Breakdown Structure (OBS) ECSS PS-21 The Subcontractor 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. M-10B Key Personnel ECSS PS-22 The subcontractor 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: M-20B 5.2.3d project management, contracts, project control, documentation management, information systems, procurement, assembly, integration and verification, product assurance and safety, and engineering. 3.6 Cost Breakdown Structure (CBS) ECSS PS-23 Based on the requirements of EADS Astrium the Subcontractor shall specify the cost categories for resources, including labour, equipment, facilities, etc., to be expended in the performance of M-10B EADS Astrium GmbH Page 11 File: SW-RS-EAD-SY-0003_ Document.doc

16 work in the form of a Cost Breakdown Structure (CBS). The CBS shall be based on ESA s standard cost headings, as defined in its ECOS Cost Forms. Where ESA s cost categories are not sufficient they shall be extended to include the Subcontractor s own categories. The Subcontractor s own cost categories of the CBS shall be approved by EADS Astrium. EADS Astrium GmbH Page 12 File: SW-RS-EAD-SY-0003_ Document.doc

17 4. SCHEDULE CONTROL 4.1 General ECSS SC-1 Any planning shall, in principle, be linked to the WBS, such that 7.1 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. SC-2 Pro-active schedule control shall be implemented Master Schedule ECSS SC-3 SC-4 SC-5 The Subcontractor 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 lower tiers. The Subcontractor shall perform appropriate resource planning. The Master Schedule shall be approved by EADS Astrium prior to contract signature and shall be implemented by the Subcontractor and his Subcontractors. The approved Master Schedule shall become the Original Baseline Schedule (OBS) to monitor and control progress against. Any modification to this OBS affecting contractual milestones needs to have formal approval by EADS Astrium and will then constitute the Current Baseline Schedule (CBS). M-60-A M-60-A M-60-A SC-5A The Subcontractor shall update the OBS with all agreed changes. M-60-A 4.3 Schedule Control Techniques ECSS SC-6 Schedule control during the Contract shall be based on: milestone lists, trend analysis, barcharts and critical items analysis Schedule control shall be based on the WBS and shall be created and maintained by the Subcontractor for each lower level as appropriate. 7.5 EADS Astrium GmbH Page 13 File: SW-RS-EAD-SY-0003_ Document.doc

18 SC-7 SC-8 The Subcontractor shall create the schedule by using a state of the art and frequently used software package such as Primavera Project Planner or MS Project. The subcontractor shall ensure that all lower level software packages used are compatible, or as a minimum ensure that the complete schedule can be integrated into a single electronic plan Milestone List ECSS SC-9 SC-10 The Subcontractor shall include a milestone list in his Proposal. Milestones shall be clearly defined and related to reviews, major tasks or interfaces and delivery dates. Any later change of the agreed milestones is subject to EADS Astrium approval by the formal contract change procedure. 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 Trend Analysis ECSS SC-11 SC-12 The Subcontractor shall provide a trend analysis, which shall be based on the milestone list and on trend charts. The trend analysis may be part of the Progress Reports. Trend Charts shall show each significant milestone to be agreed between EADS Astrium and the Subcontractor, and shall clearly indicate the progress from the start to the expected completion date. Should delays occur, the Subcontractor shall briefly comment on the reasons for the delay and the actions taken or planned for recovery Barcharts ECSS SC-13 SC-14 The Subcontractor shall prepare barcharts, which shall serve as working basis and schedule reporting documents on task planning and scheduling. The barcharts shall reflect the Subcontractor's work and the work of his lower tiers. Detailed AIV barcharts shall be provided. The barchart shall contain all contractually agreed milestones, the due dates for CFE's, the use of test facilities as well as interfaces to any third party. SC-15 Not applicable SC-16 All Barcharts shall indicate the critical path. EADS Astrium GmbH Page 14 File: SW-RS-EAD-SY-0003_ Document.doc

19 4.3.4 Critical items ECSS SC-17 The Subcontractor shall include in his proposal a list of critical items. This list shall be analysed in detail, with the aim to identify alternatives, which reduce the criticality of the items. PA-5 Q-20-B Schedule Reporting ECSS SC-18 SC-19 SC-20 SC-21 SC-22 SC-23 SC-24 SC-25 The Subcontractor shall provide a complete Schedule Report 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. The Subcontractor shall provide an electronic version of the complete and integrated schedule to EADS Astrium, using the originally used schedule management tool. 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 work. 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 a report on the planned usage of the test facilities 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. If during the reporting cycle, a situation arises which results in a substantial change in planning or scheduling, the Subcontractor shall notify EADS Astrium accordingly within 2 working days of becoming aware of it. The reporting shall show the approved Original or Current Baseline Schedule against the Current Working Schedule EADS Astrium reserves the right to request, at times of intense activity or in critical situations, more frequent or detailed schedule reporting of the relevant activities. EADS Astrium reserves the right to perform on-site inspections of the schedule control system and the progress at the premises of the Subcontractor and his Subcontractors at mutually agreed dates EADS Astrium GmbH Page 15 File: SW-RS-EAD-SY-0003_ Document.doc

20 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. ECSS FC-1 FC-2 FC-3 The Subcontractor and his Sub-subcontractors 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. The subcontractor and his Sub-subcontractors 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. The contractual financial transactions under the contract, in particular the establishment of Milestone Payment Plans (MPP s) and the certification of milestones shall, unless in particular case agreed otherwise, be based on the financial data processed by the ESA Financial & Invoicing System (EFIS). 5.2 Cost Control Techniques Original Baseline Cost Plan ECSS FC-4 FC-5 FC-6 The Subcontractor shall propose as part of his offer, Milestone Payments Plans, including those of his Sub-subcontractors, in line with the Milestone Lists and specifically separating each Phase and any bread boarding milestones. The Milestone Payments Plans shall be subject to agreement of EADS Astrium and ESA during Contract negotiations. 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) Current Baseline Cost Plan ECSS EADS Astrium GmbH Page 16 File: SW-RS-EAD-SY-0003_ Document.doc

21 FC-7 FC-8 FC-9 FC-10 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. The Subcontractor shall follow the formal change procedure for any change to the OBCP. The Subcontractor shall develop, evaluate, and implement corrective actions where deviations are predicted. A more frequent submission of the CBCP shall be done on special request by ESA or EADS Astrium Certification of Achievement of Milestones ECSS FC-11 The Subcontractor shall certify an achievement of a milestone through referencing to the relevant 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 subcontractors, through approval of invoice in EFIS Payment and Invoice Control ECSS FC-12 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 Geographical Distribution of Work To support ESA's obligation to record Industrial Return to the member states, identification and recording of expenditures by country is required ECSS FC-13 FC-14 The first issue of the Geographical Distribution of Work shall be based on the offer provided by the Subcontractor, amended as a result of the Contract negotiation, and shall be issued immediately thereafter. Any further updates shall take due account of the results of selection of Sub-subcontractors. These results shall be reported to EADS Astrium. M-10B 5.6.2b. 5.9 EADS Astrium GmbH Page 17 File: SW-RS-EAD-SY-0003_ Document.doc

22 5.3 Financial Reporting The following cost reporting is required during each phase: SWARM ECSS FC-15 FC-16 FC-17 FC-18 FC-19 Original Baseline Cost Plan (OBCP) shall be provided at the proposal and updated after finalization of contract negotiations. A final CBCP shall be provided with the contract close-out. Detailed visibility (showing the baseline and each change) shall be maintained during contract. A payment status and forecast report including all milestones and known or estimated escalation amounts (in case of FP price basis, only) shall be provided. It shall be based upon the latest known schedule, and any other known specificities of each subcontractor. It shall be reported on a monthly basis for the current year and thereafter yearly. Geographical Distribution of Work (GDW), including approved class A and class B changes, 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. ESA and EADS Astrium reserve the right to exceptionally request more frequent reporting for certain critical areas. M EADS Astrium GmbH Page 18 File: SW-RS-EAD-SY-0003_ Document.doc

23 6. RISK MANAGEMENT 6.1 Risk Management Process ECSS RM-1 The Subcontractor shall implement a systematic risk management. He can either use his own established risk management process or follow the four-step process described below, including nine tasks. The starting point for risk management shall be the formulation of the risk management policy at the beginning of the project. Step 1 Define Risk. o Task 1: Define Risk Management Policy (TBD) 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 A RM-1A The Subcontractor shall define in his proposal his risk management process, identify and assess his specific risks, and describe solutions to mitigate or minimize these risks. RM-2 to RM-4 RM-5 Not applicable Unresolved risks shall be presented to the appropriate management level for further disposition. M A RM-6 and RM-7 Not applicable 6.2 Risk Management Implementation and Reporting ECSS RM-8 Risk management shall be implemented in a cost-effective manner, using the existing project organization to the maximum extent. M A RM-9 Recognized improvements to the risk management process shall be implemented with the project progress. M A RM-10 Throughout the design, development, manufacturing, integration, and test phases, the Subcontractor shall continue to identify and assess new risks, to update the assessment of already known risks as necessary, and to report his findings on event to EADS Astrium. EADS Astrium GmbH Page 19 File: SW-RS-EAD-SY-0003_ Document.doc

24 The requirements RM-1A and RM-5 apply mutatis mutandur. EADS Astrium GmbH Page 20 File: SW-RS-EAD-SY-0003_ Document.doc

25 7. CHANGE CONTROL Contract Change Procedure Introduction of a Change A Contract Change Notice (CCN) may be raised by the Subcontractor or his Subcontractors, either on his own initiative or in response to a Change Request (CR) from EADS Astrium. ECSS CC-1 CC-2 CC-3 CC-4 Following receipt of a CR from EADS Astrium, the Subcontractor shall submit a complete and co-ordinated CCN within 15 calendar days, unless otherwise agreed. Each proposed CCN must be identified by a unique number, in line with the overall project Documentation Control Procedure (see Section 8 Configuration Management and Documentation Control ). In the event that a CCN has been rejected or withdrawn, this number shall not be used again. Each CCN shall be valid for at least 4 months. Any deviation from this requirement shall be clearly justified by the Subcontractor within his CCN. 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, in line with the price type of the (sub)contract concerned or as requested in the CR. Proposed payments plan(s) for the change, including those of the Subcontractors. The Subcontractor shall list on each CCN the reference numbers of any CCN s from his Subcontractors. These shall be annexed to the Subcontractors CCN. The Subcontractor shall include, as part of his CCN, his assessment, conclusions and recommendations on any CCN submitted by his Subcontractors The Subcontractor 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. MA-8 EADS Astrium GmbH Page 21 File: SW-RS-EAD-SY-0003_ Document.doc

26 7.1.3 Review and Approval of a Change ECSS CC-5 CC-6 CC-7 CC-8 CC-9 CC-10 CC-11 Upon receipt of a CCN, EADS Astrium 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 or reject unacceptable CCN. All submitted CCN s shall be processed by a Change Review Board (CRB). This Board shall consist of EADS Astrium s and Subcontractor s Responsible Officers, supported by other experts as required. In addition, for Class A changes representatives of ESA form part of the CRB. No activities on the proposed CCN shall start prior to a written goahead. In cases where the Subcontractor does not follow this procedure, the resulting contractual consequences shall be borne by him. In special cases, EADS Astrium authorized persons as defined in the contract may instruct the Subcontractor to introduce the change, before a CCN has been formally processed, without prejudice to a subsequent CRB. If an agreement on a CCN is reached, the CCN shall be signed by EADS Astrium s and Subcontractor s Responsible Officers; this constitutes approval of a change, and the terms and conditions of the Contract shall be deemed modified accordingly. After approval of a change, the Subcontractor (and his lower tier 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. At the end of a CRB, the minutes of meeting shall be signed by EADS Astrium's and Subcontractor's Responsible Officers, and shall constitute an integral and overriding part of the content of the CCN. CC-12 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. CC-13 Not applicable 7.2 Change Log ECSS CC-14 The Subcontractor shall create and continuously maintain an up to date log (the Contract Change Notices Status List) of all his own and his lower level Subcontractors contract changes, including: list of changes still under preparation list of approved CCN s, breakdown per Subcontractor, classification, price, type of price, list of rejected or withdrawn CCN s list of changes submitted to EADS Astrium, but not yet approved list of Change Requests issued by EADS Astrium, with reference to EADS Astrium GmbH Page 22 File: SW-RS-EAD-SY-0003_ Document.doc

27 the related CCN list of all approved Class B changes SWARM The Contract Change Notices Status List shall be issued at the same time as the Progress Report. EADS Astrium GmbH Page 23 File: SW-RS-EAD-SY-0003_ Document.doc

28 8. DOCUMENTATION AND CONFIGURATION MANAGEMENT 8.1 Configuration Management General Configurations Management shall be in accordance with ECSS-M-40B Management and Planning ECSS DM-1 DM-2 Each subcontractor shall establish a configuration management plan which is subject to approval by EADS Astrium. The starting point of formal configuration control shall be the Kick-Off of the Contractor M40-B M40-B Configuration Baseline ECSS DM-3 The approval of configuration baselines shall be at the conclusion of the major project reviews M40-B Configuration Status Accounting and Verification ECSS DM-4 DM-5 DM-6 Configuration status accounting shall be organised in such a way that the established baseline can be determined at any point in time. EADS Astrium may request to audit the Subcontractor, in order to verify the application of configuration management requirements by its lower tier suppliers. Not applicable M40-B M40-B 8.2 Documentation Management General The objectives of Document Management are to: identify all documents to be produced by all Sub-Contractors and a delivery schedule, establish common document formats, ensure that documents are produced, reviewed, approved and distributed in a timely fashion, EADS Astrium GmbH Page 24 File: SW-RS-EAD-SY-0003_ Document.doc

29 allow efficient distribution and retrieval of documents, and provide secure archiving to ensure availability at all times ECSS DM-7 The Subcontractor shall provide a Documentation Management Plan including an appropriate Document Control Procedure (e.g. as part of the Configuration Management Plan, for approval by EADS Astrium. MA-4 M40-B M50-A Document Identification ECSS DM-8 For SWARM documents, including drawings, the following identification scheme shall be used: SW-dd-ccc-ee-nnnn Where: dd = document type ccc = company code of generating company ee = mission/satellite element concerned nnnn = sequential number M50-A Non- exhaustive lists of dd and ee codes are defined in Annex A. The Subcontractor shall update these lists. DM-9 For updates of any documentation new issues shall be established using numerical values (1, 2, etc.) For minor updates revisions may be used with alphabetical values (A, B etc.) DM-10 The identification of correspondence (e.g. letters, fax, memo, ) shall be as follows : SW-dd-ccc-ee-nnnn /yyyy Where: yyyy = the year of issue M50-A M50-A It is requested to install a separate numbering sequence (nnnn) for each document type and company Levels and Classification DM-11 All documents shall fall into one of three different levels: ECSS M50-A Level 1: Contractually Controlled Baseline Documentation. (documents initially issued by EADS Astrium ). Level 2: Class A documents issued by the Subcontractor and to be submitted to EADS Astrium for approval. Level 3: All other documents issued by the Subcontractor, either for review (Class R) or for information (Class I). DM-12 The classification of documents shall be as follows: M50-A Class A: Documents issued by the Subcontractor, which shall be EADS Astrium GmbH Page 25 File: SW-RS-EAD-SY-0003_ Document.doc

30 approved by the Subcontractor and EADS Astrium prior to their implementation. After approval, these documents are binding, and Changes will only be implemented, configuration controlled, by DCR/DCN respectively CR/CCN. Class R: these documents shall be sent to EADS Astrium for review, but shall be approved only by the Subcontractor prior to their implementation. Implementation of customer comments is on responsibility of the contractor. Failure to comply with the requirements shall be at the Subcontractor s risk. In any case, the Subcontractor shall notify EADS Astrium of his decision before implementation. Class I: all other documents. DM-13 The Subcontractor shall agree with EADS Astrium and impose on his Sub-Contractors the procedures and standards for all documentation, including: classification of documents (see above) document numbering and identification (see 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 DM-14 The Subcontractor shall ensure that all documents and document updates are approved as required. M50-A M50-A Document Change ECSS DM-15 Updates to level 1 and level 2 documents shall be recorded by mean of a Document Change Notice (DCN), issued to all recipients. MA-7 M50-A DM-16 All DCN s shall be subject to EADS Astrium s approval. M50-A Document Status List DM-17 The Subcontractor shall create and maintain a Document Status recording all the documents produced within the Contract. This list shall be continuously updated. DM-18 The Subcontractor shall ensure that such a Document Status List is created and maintained by his lower tier contractors. ECSS M50-A M50-A DM-19 The Subcontractor shall submit an up-to-date Document Status List at the occasion of each major Review and for each Progress Report a incremental list including all documents issued under the reporting period. M50-A EADS Astrium GmbH Page 26 File: SW-RS-EAD-SY-0003_ Document.doc

31 EADS Astrium reserves the right to exceptionally request more frequent reporting Documents Requirement List (DRL) The documents required to be delivered are defined in the Documents Requirement List (DRL), being integral part of the equipment specific SoW [AD 2]. ECSS DM-20 The Subcontractor shall set-up and maintain all Sub subcontractor DRLs based on the EADS Astrium provided DRL of the SOW. M50-A Document Distribution and Retrieval DM-21 As soon as they become available, the Subcontractor shall submit to EADS Astrium all documents, including technical notes, drawings, plans, specifications, procedures, etc, which are produced during the execution of the Contract. DM-22 The Subcontractor shall provide access to EADS Astrium to all project documents. DM-23 Any document to be discussed at a meeting with EADS Astrium shall be submitted two weeks prior to such meeting. DM-24 Documents from Sub-subcontractors shall be submitted to EADS Astrium by the Subcontractor. The Subcontractor shall provide to EADS Astrium within two weeks, his comments and/or acceptance of such documents. DM-25 All documents shall be delivered electronically in PDF format. The PDF format should not be derived from a scanned paper copy, but from the original source file. If there is a security protection on the PDF file, the extraction of parts of the file shall be possible. In case the document is provided on a CD ROM, the directory structure of the CD-ROM shall be readable by both PC and Macintosh environments. DM-26 All documents, except financial, confidential, and drawings larger than A3 shall be delivered by means of FTP. ECSS M50-A M50-A M50-A M50-A M50-A M50 DM-27 Data packages shall be delivered in paper and on CD in PDF format. M50A EADS Astrium GmbH Page 27 File: SW-RS-EAD-SY-0003_ Document.doc

32 8.2.8 Document Availability and Archiving DM-28 The Subcontractor shall store documents in a manner that enables easy and speedy retrieval. DM-29 The Subcontractor shall ensure that documents are available for retrieval by any authorised person. DM-30 The Subcontractor 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). DM-31 Documents shall be stored in a manner that protects the information which they contain against foreseeable hazards e.g. fire, flood, earthquake, viruses, etc. DM-32 All documents shall be retained for a period of not less than 6 years, after the launch. The documents may be stored on transferable, electronic media, such as CD ROM. ECSS M50A M50A M50A M50A M50A EADS Astrium GmbH Page 28 File: SW-RS-EAD-SY-0003_ Document.doc

33 9. PROGRESS MEETINGS AND REPORTING 9.1 General The primary objectives of progress reporting are to ensure that: EADS Astrium 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 ECSS PM-1 PM-2 PM-3 PM-4 Progress Meetings shall be held every eight weeks between the Subcontractor and EADS Astrium chaired by EADS Astrium s Project Manager or a delegated person of EADS Astrium, supported by other personnel as necessary. The dates for these meetings shall be agreed at least two months in advance with EADS Astrium. 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. At EADS Astrium s discretion Sub-subcontractors may participate in progress meetings. The Subcontractor shall have Progress Meetings with each of his Subcontractors at intervals as deemed appropriate. 9.3 Progress Reporting ECSS PM-5 The progress report shall be provided as requested in the SOW, at least five working days prior to the planned progress meeting. M-20B 5.3.3a PM-6 PM-7 The Progress Report shall: highlight adverse trends in technical, schedule and cost performance, identify potential problems and propose corrective actions. 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 subcontractor 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, schedule report, A partial Document Status List including all documents issued in the reporting period. MA-5 M-20B 5.3.3b EADS Astrium GmbH Page 29 File: SW-RS-EAD-SY-0003_ Document.doc

34 a DCN, CCN and CR status list and an invoice and payment status list. SWARM 9.4 Project Reviews System and Equipment Level Reviews The requirements with respect to equipment level and higher level reviews are specified in the Statement of Work Lower level Review Boards ECSS PM-8 PM-9 PM-10 The Subcontractor and his lower tier subcontractors shall establish and operate Review Boards as appropriate and applying the rules as for equipment level reviews with EADS Astrium. For description of these review boards reference is made to ECCS Q 20-B. EADS Astrium and ESA have the right to attend these Boards as a member of the Board. EADS Astrium shall be kept informed of the various Boards as soon as they are scheduled, but in no case later than 5 working days before the Board meets. Q-20-B Q-20-B Q-20-B Review Procedure ECSS PM-11 PM-12 PM-13 PM-14 The Subcontractor being reviewed shall support preparation of a Review Procedure if requested by EADS Astrium, two months prior to each review. The Review Procedure, should define: the objectives and scope with relation to the development planning, the review schedule, the requirements baseline for the review 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. The Subcontractors being reviewed shall submit a Review Data Package 30 days prior to each review. Exception to this period may be agreed in special cases with EADS Astrium. 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. M-30A M-30A M-30A M-30A EADS Astrium GmbH Page 30 File: SW-RS-EAD-SY-0003_ Document.doc

35 PM-15 PM-16 PM-17 PM-18 PM-19 PM-20 The Subcontractor being reviewed shall provide a list of all project documentation and provide any documentation requested. The Subcontractor shall provide an assessment of RID's raised during the review. The Subcontractor shall incorporate those recommendations of the Review Board as instructed by EADS Astrium's Project Manager. The Subcontractor 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. The Subcontractor as Customer shall participate in the lower level reviews held by its lower tier Subcontractors. The Subcontractor shall maintain and provide EADS Astrium with a Review Procedure for all his lower tier Subcontractors. M-30-01A M-30-01A M-30-01A M-30-01A M-30-01A M-30-01A 9.5 Contract Close-out Reporting and End of Project Assessment ECSS PM-21 PM-22 The Subcontractor shall prepare a Contract Close-out Data Package on completion of the contract. On request of EADS Astrium, the Subcontractor shall prepare an end of project assessment report of the lessons learnt. EADS Astrium GmbH Page 31 File: SW-RS-EAD-SY-0003_ Document.doc

36 10. INVENTORY CONTROL 10.1 General Inventory Control is the instrument for accounting of ESA s and EADS Astrium's assets, and is specifically addressed in article 9 of the Contract. ECSS IR-1 IR-2 IR-3 Items which are produced or purchased specifically and used exclusively for the purpose of the Contract, as well as items made available by ESA or EADS Astrium to the Subcontractor shall be subject to Inventory Control. The Subcontractor 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 The Subcontractor 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 Inventory handling Classification of Items ECSS IR-4 IR-5 For the purpose of Inventory Control, items shall be classified into two categories, according to the source and intended use of the items: Subcontractor acquired Items EADS Astrium 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 ESA. For each classification of property, a minimum item value of Euro shall be observed, above which the item shall be subject to Inventory Control. EADS Astrium GmbH Page 32 File: SW-RS-EAD-SY-0003_ Document.doc

37 Recording of Inventory Items ECSS IR-6 IR-7 IR-8 IR-9 The Subcontractor shall establish an electronic central database (called Inventory Record) of all Inventory Items for the whole project. The Inventory Record shall be presented to EADS Astrium 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 All Inventory Items shall be entered into a registration system with the following 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 and physical location (sufficient detail to accommodate inspection). An inventory Record shall be presented on a yearly basis, with a cutoff date at the end of September and at the close out of each contract MA Disposal and Deletion of Items from the Inventory Record ECSS IR-11 All deletions require EADS Astrium s approval before they can take effect Audits ECSS IR-12 ESA and EADS Astrium reserve the right to audit the existing Company Inventory Control System and to have physical checks on the Inventory itself, at the Subcontractor s and Subcontractors premises. EADS Astrium GmbH Page 33 File: SW-RS-EAD-SY-0003_ Document.doc

38 11. LOGISTICS ECSS LG-1 Not applicable M-70A EADS Astrium GmbH Page 34 File: SW-RS-EAD-SY-0003_ Document.doc

39 ANNEX A: SWARM DOCUMENTATION CODES The Requirements on Document Identification are defined under chapter Below are two non exhaustive lists of the document types (dd) and Mission/Satellite Element Code (ee). These lists shall be completed by the Subcontractor. A.1 Document Types (dd) This list is non-exhaustive and shall be completed by the Subcontractor. Abbreviation AN BD CD CE CN CO CP CR CS DD DF DN DP DW DS EM EP FX Name Analysis Block Diagram Circuit Diagram Certificate of Conformance Contract Change Notice Contract Company Project Structure (CPS) Contract Change Request Configuration Status List Design Document Design Definition File Document Change Notice (DCN) Data Package Drawing Design Specification Engineering Change Proposal (ECP) Fax HO Handout / Viewgraph ID Interface Control Drawing (ICD) IF Interface Control Document (ICD) LI List LX Letter MA Manual MD Module Description ML Model (Catia-/ STEP ;3D ; Mathematical ) MN Minutes of Meeting MO Memorandum NC Non-Conformance Report (NCR) OF Offer / Tender / Proposal PA Parts Approval Document (PAD) PL Plan PO Purchase Order PR Procedure PT Product Tree RD Review Item Discrepancy (RID) RP Report RQ Request for Quotation (RFQ) RS Requirement Specification RW Request for Waiver (RFW) SC Schedule ST Standard SW Statement of Work (SOW) TN Technical Note TP Test Procedure TR Test Report WB Work Breakdown Structure (WBS) EADS Astrium GmbH Page 35 File: SW-RS-EAD-SY-0003_ Document.doc

40 A 2 Mission/Satellite Element Code (ee) SWARM This list is also non-exhaustive and shall be completed by the Subcontractor. Abbreviation AC AS AV BA EF EG EN GS GP LA MC MG OB OG PA PC PM SA SB SC ST SY VF Name Accelerometer Experiment ASM Instrument Assembly Integration & Verification (AIV) Battery EF Instrument Electrical Ground Support Equipment (EGSE) System and Engineering (for Subcontractor s documents) Ground Segment GPS Reciever Launcher Mission Control Centre (MCC) Mechanical Ground Support Equipment (MGSE) Onboard Computer Optical Ground Support Equipment (OGSE) Product Assurance Power Control and Distribution Unit Project Management Solar Array S- Band Spacecraft Star Tracker Mission / System VFM Instrument EADS Astrium GmbH Page 36 File: SW-RS-EAD-SY-0003_ Document.doc

41 ANNEX B: FORM SHEETS The form sheets shown in this Annex are examples only. The use of subcontractor specific form sheets is possible if the content complies with the form sheets presented in the following pages. Otherwise the following form sheets shall be used. The following form sheets are shown in this chapter: Change Request Form, CR The CR form can be used by the Subcontractor for Contract Changes to his subcontractor. Contract Change Notice Form, CCN The CCN form can be used to respond to a CR of EADS Astrium. For the filling process the following main steps are to be noticed (refer to the numbers on the Contract Change Notice form): block numbers 1 to 8 are filled in before CCB meeting by the originator. block numbers 9A to 9C are filled in during CCB meeting(s). They have to be checked, completed and signed at the final CCB meeting prior to submittal to EADS Astrium. block EADS Astrium approval has to be filled out by the EADS Astrium. Request for Deviation / Waiver Form, RFD / RFW The RFD / RFW Form can be used to waive a requirement. The following main steps are to be considered by filling in the RFD / RFW Form: The originator of the RFD / RFW is responsible for entering the related NCR s and effectiveness, the affected documentation, the description, justification/reason, the expected impacts, and confirms this by his signature. During the EADS Astrium-CCB meeting(s) the inputs have to be checked, completed and signed by the participants. Prior to Final Close-out the CCB have to consider possible other subcontractor impacts. CM have to verify the status of the RFD / RFW by referring to the new Issue/Revision Status of the documentation Document Change Request and Change Note, DCR/DCN EADS Astrium GmbH Page 37 File: SW-RS-EAD-SY-0003_ Document.doc

42 EADS Astrium GmbH Engineering Change Proposal / CONTRACT CHANGE NOTICE CONTRACTOR: CCN No.: (1) TITLE OF CHANGE Date: WP REFERENCE: CHANGE REQUEST REF.: (2) RECOMMENDED CLASS (3) INITIATOR OF CHANGE (4) RECOMMENDED INTRODUCTION POINT CLASS (5) DESCRIPTION OF CHANGE (6) DRAWINGS AND SPECS AFFECTED Number Issue (7) REASON FOR CHANGE (8) RELATED FACTORS FACTOR YES NO FACTOR YES NO FACTOR YES NO FACTOR YES NO Performance Dimensions Spare parts Publications Reliability Electrical Parameters Agency furnished equipment Other factors Interface Testing Ground support equipment Cost Weight Materials and processes Packaging Schedule (9) ESTIMATED INFLUENCE ON CONTRACT PROVISIONS (A) Total Price Influence SUMMARY OF PRICE : (B) Schedule Influence (C) Influence on other provisions CRB Date APPROVED... APPROVED... APPROVED... Configuration Manager Project Manager Contracts Manager DATE: DATE: DATE: ESA APPROVAL CHANGE CLASS INTRODUCTION POINT CRB DATE APPROVED... Project Manager DATE: APPROVED... Contracts Manager DATE: Sheet 1 of - 1 -

43 PROJECT: CHANGE REQUEST Doc-No: Issue: Page: ( Contractual ) 1 of 1 Date: The contractor is requested to submit a Contract Change Note to implement the change described below. The Contract Change Notice shall include a list of all items affected and the detailed changes proposed for each item. The request does not imply authorisation to implement the change unless approval will have been given subsequently in written form, or in the section below. The requested Contract Change Notice / Engineering Change Proposal, including planning and costing, should be submitted within 15 calendar days of receipt of this CR. 1. Title of Change: Document Affected: Title: Document Number: Issue / Rev: 2. Reason for Change: 3. Description of Change: Approval Signatures: Initiator: Date: Project Manager: Date: Contract Officer: Date: Authorisation to Proceed: When this section is signed and dated the contractor shall proceed to implement the above change immediately for a maximum of days, and / or maximum LOL of, unless otherwise instructed. Project Manager: Date: Contract Officer: Date: EADS Astrium GmbH - Configuration Management

44 REQUEST FOR Doc-No: WAIVER / DEVIATION Issue: Date: Project: Swarm RFW RFD Page: 1 of 1 Annexed Pages: Title: Effectivity: CI- Title: Model: CI-No s.: Serial-No.: Controlled Documents / Drawings affected DOC / DRW No.: Issue Rev. Date Title Appl. Req.: Description: Justification/Reason: ORIGINATOR Name: Date: Signature: CCB Authority: Function: Name: Date: Signature: EADS Astrium Proj. Manager A R (MoM-No.:)... Engineering Product Assurance Confi. Manager ESA Proj. Manager A R Engineering Product Assurance A: Approved R: Rejected EADS_RFW_SWARM.doc