91-950109-PPPL-RSimmons-01
TPX Tokamak Physics Experiment
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Project Controls System Description
(TPX-PLAN-PCS)
Revision 1
Prepared: ______
Robert T. Simmons
TPX Project Control Manager
Reviewed: ______
John A. Schmidt
TPX Project Director
Approved: ______
Gregory Pitonak
DOE TPX Project Manager
Princeton Area Office
Project Control System Description
Table of Contents
I.0 INTRODUCTION 1
1.1 Purpose and Scope 1
1.2 PCS Objectives 2
1.3 TPX PCS Overview 3
2.0 BASELINE DEVELOPMENT 5
2.1 Technical Baseline and Scope Definition 5
2.1.1 Approved TPX Project Technical Baseline 5
2.1.2 Work Breakdown Structure 6
2.2 Roles and Responsibilities 7
2.2.1 Overview 7
2.2.2 WAFs 11
2.2.3 Planning Accounts 13
2.2.4 Control of Indirect Costs 13
2.2.5 WAF and Planning Account Management 17
2.2.5.1 WAF Management 17
2.2.5.2 Plng Acct/Res-Loaded Sched Mgmt 19
2.2.6 WAF Status 19
2.3 Cost Estimating 23
2.3.1 Pre-Conceptual/Conceptual Dsn Cost Est 23
2.3.2 Changes to the Cost Est/Cost Baseline 23
2.3.3 TEC and TPC 26
2.4 Planning and Scheduling Baseline 27
2.4.1 Planning and Scheduling Constraints 27
2.4.2 Schedule Baseline Development 29
2.4.2.1 Sched Integ with WBS/Cost Est 29
2.4.2.2 Schedule Hierarchy 30
2.4.2.3 Res Loading and Crit Path Logic 35
2.4.2.4 Plng Detail/Rolling Wave Concept 39
2.4.2.5 Work Plans 41
2.5 Cost Baseline 41
2.5.1 Establishing the Cost Baseline 41
2.5.2 Cntrl Acct Relationship to Cost Baseline 43
2.5.3 Control Account Performance Measurement 44
2.5.4 Control of Indirect Budgets and Costs 44
2.5.5 Management Reserve 44
2.6 Systems Integration 45
2.6.1 PPPL Management Control Systems 45
2.6.2 Integ the PPPL Mgmt Control Systems 46
2.6.2.1 Current Fiscal Year 46
2.6.2.2 Outyears 47
Project Control System Description
Table of Contents
(Continued)
3.0 PROJECT PERFORMANCE 48
3.1 Funds Management 48
3.1.1 Funding for the TPX Project 48
3.1.2 Participant Funding 48
3.1.3 CPDS and Field Work Proposals 48
3.1.4 Annual Funding Limits 49
3.1.5 Changes in Funding Authorization 49
3.2 Accounting 50
3.2.1 PPPL Accounting System 50
3.2.2 PPPL TPX Project Costs 51
3.2.3 Other Participant TPX Project Costs 51
3.3 Work Authorization 52
3.3.1 General 52
3.3.2 DOE Work Authorization Documents 52
3.3.3 TPX Project Authorization Documents 53
3.3.3.1 IDOs and Subcontracts 53
3.3.3.2 TPX Budget Guidance Memos 55
3.3.3.3 WAFs 58
3.3.3.4 Work Plans 59
3.3.3.5 BSCNs 59
3.4 Performance Analysis 63
3.4.1 General 63
3.4.2 TPX Performance Indicators 63
3.4.2.1 BCWS 63
3.4.2.2 BCWP 64
3.4.2.3 ACWP 65
3.4.2.4 Budget At Completion (BAC) 65
3.4.2.5 Estimate At Completion (EAC) 65
3.4.3 Variances and Performance Indices 66
3.4.3.1 Schedule Variance (SV) 66
3.4.3.2 Cost Variance (CV) 66
3.4.3.3 Variance At Completion (VAC) 66
3.4.4.4 Internal Performance Indices 67
3.4.5 Internal Variance Analysis Thresholds 68
3.4.5.1 Monthly Analysis Threshold 68
3.4.5.2 Cumulative-to-Date Threshold 68
3.4.5.3 At Completion Variance Threshold 68
3.4.6 Variance Analysis 68
3.4.7 Other Management Oversight Methods 69
Project Control System Description
Table of Contents
(Continued)
3.5 Reporting 71
3.5.1 General 71
3.5.2 Requirements Reports 72
3.5.3 Technical Status Reports 72
3.5.4 Cost Plans and Status Reports 73
3.5.5 Milestone Plans/Schedule Status Reports 86
3.5.6 Variance Analysis Reports 90
4.0 CHANGE MANAGEMENT 91
4.1 Change Management System 91
4.1.1 General 91
4.1.2 Budget/Schedule Change Notice (BSCN) 91
4.1.3 Formal Change Control Process 91
4.1.4 Internal Replanning 92
4.1.5 Retroactive Change Prohibition 94
4.1.6 PCS Change Control Logs 94
4.1.7 Other Change Control Logs 95
5.0 SYS DELMT/IMPLEMENTATION/COMPLIANCE REVIEW PLAN 97
5.1 PCS Implementation Schedule 97
APPENDIX I LIST OF PCS ACRONYMS
Tables and Figures
Tables
2.2-1 National Laboratory Design/Procurement Respons. 9
2.2-2 CWBS/OBS Matrix 10-11
Figures
2.1-1 Sample Leg of the WBS 8
2.2-1 Sample TPX Project WAF (3 pages) 14-16
2.2-2 TPX Project Organization 19
2.2-3 Monthly Status Update Form 21
2.2-4 Typical Accrued Cost Spreadsheet 22
2.4-1 TPX Project Summary Schedule (Level I) 32
2.4-2 TPX Master Project Schedule (Level II) 33
2.4-3 TPX Project Schedule (Level III) 34
2.4-4 TPX Project Detail Schedule (Level IV - WAF) 37
2.4-5 Sample Work Plan 38
2.4-6 Relationships of Schedules and Work Plans 39
3.3-1 Sample DOE Project Directive 54
3.3-2 Sample TPX Budget Guidance Memo (2 pages) 56-57
3.3-3 Work Plan Form 60
3.3-4 Work Plan Preparation Guidance 61
3.3-3 Budget/Schedule Change Notice (BSCN) Form 62
3.4-1 Variance Analysis Report (VAR) 70
Project Control System Description
Table of Contents
(Continued)
Tables and Figures
Figures
3.4-2 Engineering Change Proposal (ECP) Log 74
3.5-1 Cost Estimate Status 75
3.5-2 Sample Cost Performance Report 76
3.5-3 Sample Contingency Log 77
3.5-4 Sample Management Reserve Log 78
3.5-5 Sample Undistributed Budget Log 79
3.5-6 Sample Internal Cost Performance Report 80
3.5-7 Sample PCS Analysis Report (Cost Center) 82
3.5-8 Sample PCS Analysis Report (Expense Class) 83
3.5-9 Sample Internal PPPL PCS Report 84
3.5-10 Sample TPX PCS Trend Chart 85
3.5-11 Sample Milestone Log 87
3.5-12 Sample Critical Path Analysis Overview 88
3.5-13 Sample Critical Path Analysis Detail Report 89
4.1-1 BSCN Changes Log 96
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I.0 INTRODUCTION
1.1 Purpose and Scope
This document describes the Project Control Systems (PCS) utilized on the Tokamak Physics Experiment (TPX) Project. It also serves as a general orientation and training document for persons involved with PCS implementation , operation, and surveillance. A list of acronyms used in this document can be found as Appendix I.
The TPX represents a major U.S. national fusion collaboration. Although managed by PPPL for the Department of Energy, the project is a national initiative with the participation of many national laboratories, industries, and universities. PCS is an integrated management control and reporting system which establishes the documentation, data requirements, information flow, and systems disciplines necessary to operate and maintain a system for control of all of the TPX Project work, costs, and schedules. The overall PPPL Project Control Systems (PPPL PCS) provides the basis for the TPX Project PCS (TPX PCS) described herein.
The PCS utilized by the TPX Project and described in this document complies with the guidelines contained in the following DOE Orders, Notices, and Implementation Guidelines and TPX Project Documentation:
• DOE Order 4700.1, "Project Management System;"
• DOE Order 1332.1A, "Uniform Reporting System;"
• DOE Order 5700.2D, "Cost Estimating, Analysis, and Standardization;"
• DOE Notice 4700.5, "Project Control Systems Guidelines," dated August 21, 1992;
• DOE "Interim Project Control System Guidelines Implementation Reference Manual," dated December, 1992;and the latest version of the
• TPX Project Management Plan (PMP)
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1.2 PCS Objectives
The overall objective of the TPX PCS is to provide TPX Project Management and the Department of Energy (DOE) with timely and auditable contract cost and schedule performance information which can be used in making management decisions for the TPX Project. To accomplish this overall objective, the TPX PCS provides an orderly systems framework within which to provide:
• The integration of contract work scope, schedules, and budgets in the form of a baseline plan;
• Objective assessments and measurements of work accomplished against the baseline plan;
• Timely and auditable reporting of cost, schedule, and technical results, both current and cumulative;
• A sound basis for continuously updating estimates of contract cost at completion and funding requirements; and
• Ready access and traceability to supporting detail about budgeted costs, actual costs, and work performed.
In order to insure that this objective is achieved for the entire Project, TPX Project Management will review the descriptions and operations of each Participant's PCS to ascertain their compliance with the DOE Project Control System (PCS) Guidelines. Based upon this review, one of three actions may be taken:
• If the system is deemed by the TPX Project to be compliant, the requirement for its use will be stated in the Inter-DOE Order/Subcontract and reporting requirements will be established accordingly (e.g., Cost Performance Reports [CPRs], schedule status, variance analysis thresholds, etc.).
• If the system is deemed by the TPX Project to be noncompliant in some areas, the Participant will be required to correct the deficiencies and utilize its system or, if there are serious deficiencies, utilize the PPPL PCS.
• If a Participant has no PCS, the Participant will be required to utilize the PPPL PCS and reporting requirements will be established accordingly (e.g., Job/activity status reporting, variance analysis reporting. etc.).
At a minimum, the accounting system of each participant will be utilized by the TPX PCS.
1.3 TPX PCS Overview
This TPX PCS Description addresses the four major PCS areas as follows:
• Baseline Development
• Technical Baseline and Work Scope Definition - describes how the TPX Project's technical work is structured and integrated to ensure that the defined TPX Project Objectives delineated in the TPX PMP are achieved.
• Roles and Responsibilities - identifies all the project participants, their responsibilities, and the role each performs on the TPX Project.
• Cost Estimating - describes the methods for developing the initial baseline budget and for maintaining up-to-date estimates of the at completion costs for the TPX Project.
• Planning and Scheduling Baseline - describes the process for developing the initial schedule baseline and for maintaining an up-to-date schedule that is integrated with all work elements.
• Cost Baseline - describes the accounting structure to collect costs, both direct and indirect, against specific scopes of work and to measure performance. Also describes the methods for establishing time-phase budgets for labor, services, subcontracts, and materials in accordance with the TPX Project Schedule.
• Systems Integration - describes how the TPX PCS is integrated into the PPPL systems.
• Project Performance
• Funds Management - describes the process for managing TPX Project funds and for ensuring that funding impacts are identified and reflected in updates to the TPX Project cost and schedule baselines.
• Accounting - describes the PPPL accounting system that forms the basis for ensuring the proper utilization of accounting data in baseline management.
• Work Authorization - describes how the work scope for each participant is defined, organized, and planned and then approved by the appropriate level of TPX management before the work is initiated.
• Performance Analysis - describes the processes used to obtain TPX Project status by analyzing cost, schedule, and technical performance, identify impacts, and for developing action plans to rectify potential or actual problems.
• Reporting - describes the reporting levels and formats to be utilized when reporting TPX Project performance measurement data to DOE and to TPX Project management.
• Change Management
• Baseline Change Management Control - describes the system for establishing and maintaining a timely process for managing and administering changes to the approved technical, cost, and schedule baseline.
• Systems Development, Implementation, and Compliance Review Plan
• TPX PCS Compliance Review Plan - describes the time-phased plan to obtain DOE compliance certification.
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2.0 BASELINE DEVELOPMENT
2.1 Technical Baseline and Scope Definition
2.1.1 Approved TPX Project Technical Baseline
The purpose of the technical baseline is to structure the TPX Project's technical work scope to ensure that all objectives are achieved and that a framework to integrate all elements is established. The initial scoping of the TPX Project was developed during the Conceptual Design phases. The conceptual design evolved throughout these phases and provided a basis for trade studies, cost estimates and schedule development. The Conceptual Design consisted of two phases. The first phase was concluded by a Conceptual Design Review (CDR) that involved a detailed review of the design. This phase was completed in April, 1993, and was reported in the "Review Committee Report of the Conceptual Design of the Tokamak Physics Experiment (DOE/ER-0592)." The second phase, called the Advanced Conceptual Design, incorporated changes resulting from the CDR and provided the basis for the start of Preliminary Design in Fiscal Year 1994. The completion of the two Conceptual Design phases established the technical baseline for the project.
The technical requirements and the associated design are defined by the latest revision of the top level Project Definition Statement (PDS) and the General Requirements Document (GRD) and other lower tier documents such as the :
• Systems Requirement Document (SRD);
• The System Design Descriptions (SDDs); and
• Selected conceptual design drawings that describe the tokamak configuration
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2.1.2 Work Breakdown Structure
An essential aspect of the TPX PCS is the definition of the scope of work. The TPX Project's scope of work is defined via a Work Breakdown Structure (WBS). The TPX WBS is a product/service-oriented family tree, or hierarchy, of tasks that make up the TPX Project. The TPX WBS is established from the top down (highest to lowest level), providing increasingly more detailed work definition at each succeeding level and serves the following functions:
• Defines the total TPX Project scope of work;
• Provides the framework for planning, scheduling, budgeting, work authorization, documentation, and cost accumulation;
• Provides a basis for cost and performance reporting and control at selected levels of detail; and
• Provides the capability to summarize detail elements in summary elements according to a logical order. The TPX WBS is the basis and foundation for the TPX Project's budgeting, planning, cost collection, and reporting processes.
In short, the WBS represents the way that all TPX work is planned and managed.
The first two levels of the TPX WBS are controlled by DOE. Level 1 of the TPX WBS represents the entire TPX Project that flows down from the DOE Budget and Review (B&R) categories for the TPX project. Level 2 represents the major systems of the project. The nine Level 2 WBS elements are as follows:
• WBS 1 - Tokamak Systems
• WBS 2 - Auxiliary Heating and Current Drive Systems
• WBS 3 - Fueling and Vacuum Systems
• WBS 4 - Power Systems
• WBS 5 - Maintenance Systems
• WBS 6 - Data Systems
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• WBS 7 - Facilities
• WBS 8 - Preparations for Operations
• WBS 9 - Project Support