Project Execution Plan for the Ocean Observatories Initiativeoceanleadership.org/wp-content/uploads/2009/04/OOI_PEP_Version_1.… · Project Execution Plan for the Ocean Observatories

Project Execution Plan for the

Ocean Observatories Initiative

Version 1.1 Issued by the ORION Program Office

August 7, 2006

Joint Oceanographic Institutions, Inc.

1201 New York Ave NW, Suite 400, Washington, D.C. 20005 www.joiscience.org • www.orionprogram.org

Document Control Sheet Record of Issue Issue Date Document Status Version 1.0 July 31, 2006 Initial Release Version 1.1 August 7, 2006 Revisions Date Description of Change August 7, 2006 The order of global node implementation was

changed in Table A4C-1.

Project Execution Plan for the Ocean Observatories Initiative Page 3 of 44

Version 1.1 August 7, 2006

Table of Contents Executive Summary ...............................................................................................................................5 1.0 Overview ......................................................................................................................................5

1.1 Scientific Goals ..................................................................................................................7 1.2 Technical Description........................................................................................................8

2.0 Acquisition Approach ...................................................................................................................10

2.1 Design and Development Strategy ................................................................................11 2.2 Construction and Installation Strategy ...........................................................................11 2.3 Commissioning and Initial Operations Strategy ............................................................11

3.0 Project Management.....................................................................................................................11

3.1 Organization Structure ....................................................................................................12 3.1.1 Interagency and International Partnerships..................................................12

3.2 Work Breakdown Structure.............................................................................................12 3.3 Cost and Schedule Management...................................................................................13 3.4 Financial Management....................................................................................................13 3.5 IO Management...............................................................................................................14 3.6 Configuration Management/Change Control.................................................................14

3.6.1 Requirements Management ..........................................................................14 3.6.2 Interface Management ...................................................................................15

3.7 Cyberinfrastructure..........................................................................................................15 3.7.1 Enterprise Architecture..................................................................................15 3.7.2 Administrative and Technical Data Management.........................................16

3.8 Quality Assurance and Quality Control ..........................................................................16 3.9 Risk Management ...........................................................................................................16 3.10 Health, Safety, and Environment .................................................................................17 3.11 Testing and Acceptance ...............................................................................................17 3.12 Annual Work Plan..........................................................................................................17 3.13 Document Control/Reporting ........................................................................................17 3.14 Contingency Management............................................................................................18 3.15 Procurement and Contracts..........................................................................................18

4.0 Security ....................................................................................................................................18

4.1 Physical Security .............................................................................................................18 4.2 Cyberinfrastructure Security ...........................................................................................19 4.3 Operational Security........................................................................................................19

5.0 Plan for Transition to Operations .................................................................................................20

5.1 Concept of Operations ....................................................................................................20 5.2 Governance of Science Planning...................................................................................20 5.3 Service levels, maintenance, and logistics approaches ...............................................21 5.4 Estimate of Operational Costs.....................................................................................21

6.0 Reviews ....................................................................................................................................21 7.0 PEP Summary...............................................................................................................................21 8.0 Documents Incorporated by Reference.......................................................................................22



Appendices Appendix 1: Work Breakdown Structure Dictionary..........................................................................23 Appendix 2: Report Templates...........................................................................................................28 Appendix 2A: Annual Work Plan Template..........................................................................28 Appendix 2B: Monthly Report Template ..............................................................................28 Appendix 2C: Quarterly Report Template............................................................................28 Appendix 2D: Annual Report Template ...............................................................................29 Appendix 3: Glossary and Acronym List............................................................................................30 Appendix 4: OOI Project Baseline......................................................................................................32 Appendix 4A: Technical Baseline .........................................................................................33 Appendix 4B: Cost Baseline, with staffing ...........................................................................34 Appendix 4C: Schedule Baseline .........................................................................................36 Appendix 5: OOI Network Risk Register ...........................................................................................38 Appendix 6: Description of ORION Advisory Structure ....................................................................41 Appendix 7: IO Project Execution Plans............................................................................................44



Executive Summary The Ocean Observatories Initiative (OOI) Project will construct an interactive, globally distributed, and integrated network of ocean observatories to enable transformational, complex, interdisciplinary ocean science. The National Research Council (NRC) recommended that the OOI management structure should be one in which the day to day operation of different OOI elements is the responsibility of entities with appropriate scientific and technical expertise, while the role of the program management organization should be one of coordination, oversight, and fiscal and contract management. NSF has signed a Cooperative Agreement with the Joint Oceanographic Institutions (JOI) for the establishment of a project office to coordinate the OOI activities; this is the existing ORION Program Office. After a competitive bid process, JOI intends to sign subawards with up to four Implementing Organizations (IO's) to conduct the detailed design, engineering, construction, testing, and operation of the different OOI elements. The Project Execution Plan (PEP) for the OOI describes how JOI will manage the OOI Project. The OOI Project will be funded by the National Science Foundation (NSF) through its Major Research Equipment and Facilities Construction (MREFC) account. The Large Facilities Office (LFO) at NSF has set out guidelines for the management of MREFC accounts, and the OOI PEP attempts to be responsive to the spirit of those guidelines even though the guidelines did not contemplate either a tiered acquisition approach or an evolving network project. In this spirit, JOI will conduct design reviews at appropriate times within each IO's schedule of activities. These design reviews will mirror the design reviews set out in the MREFC guidelines and will be important gates for release of funds to the IO. The master OOI Project Baseline will be established once the IO's are in place, but meanwhile, an OOI Project Baseline which is consistent with a conceptual design level is presented in this PEP. This initial version of the PEP has been created to support the OOI Conceptual Design Review (CDR) and will be modified as the project moves forward. The philosophy in writing this PEP is to incorporate a number of existing (or planned) supporting documents by reference. This allows the supporting documents to be updated without impacting the PEP. 1.0 Overview The Ocean Observatories Initiative (OOI) Project Execution Plan (PEP) is viewed as a living document and will be updated throughout the development and implementation phases of the OOI. This is the initial version of the document. The next version is planned for early 2007 prior to the Preliminary Design Review (PDR). Further versions will be issued as the project reaches critical milestones or when external factors, such as final decisions on each year's federal budget, materialize. The Observatory Steering Committee (OSC) will review each version of the PEP as it is developed. Substantive changes to the PEP, following major reviews or significant project changes will be sent to the cognizant NSF Grants Officer for written approval. The OOI represents the infrastructure portion of the Ocean Research Interactive Observatory Network (ORION). The ORION program will conduct transformational ocean science using a linked network of coastal, regional, and global observatories funded by the National Science Foundation (NSF) through its Major Research Equipment and Facilities Construction (MREFC) account. The OOI is an outgrowth of scientific planning efforts by the national and international ocean research communities over the past decade and is motivated in part by rapidly expanding development of computational, robotic, communications, and sensor capabilities.



The ORION program is managed through the ORION Program Office housed within the Joint Oceanographic Institutions (JOI) in Washington DC. JOI is a not-for-profit organization representing a consortium of 29 premier oceanographic research institutions. The OOI Project Office is contained within the ORION Program Office and has oversight responsibility for the OOI Project. JOI will contract with up to four Implementing Organizations (IO's) for the development, construction, and operation of the OOI. An IO is envisioned for each of the coastal, regional, and global observatories as well as for the Cyberinfrastructure that connects the observatories together. Figure 1 shows the responsibilities of JOI and each IO in the execution of the OOI project. Once under contract, each IO will develop a Project Execution Plan (PEP) covering their responsibilities. These subordinate PEP's will be consistent with this OOI PEP and will become incorporated by reference in accordance with Appendix 7.

Figure 1: Responsibilities of JOI and Each IO NSF's guidance is to plan the OOI with the following funding profile and allocation:

MREFC Funding Profile ($ in Millions) Fiscal Year 2007 2008 2009 2010 2011 2012 Total Project Office 2.5 3.5 3.5 3.5 3.5 3.5 20.0 Cyber IO 4.0 6.0 6.0 5.0 4.5 4.5 30.0 Coastal IO 3.5 20.4 23.0 1.0 3.5 12.1 63.5 Regional IO 2.5 8.6 34.5 63.0 35.5 5.9 150.0 Global IO 1.0 9.5 10.0 5.5 6.0 14.0 46.0 Total OOI 13.5 48.0 77.0 78.0 53.0 40.0 309.5

The funding profiles in this chart include about 20% contingency, which will be removed from each IO's budget and managed at the OOI overall project level. The Project Office budget includes $5 million for Education and Public Awareness infrastructure. The ORION website (http://www.orionprogram.org) serves as a source of information to keep the community informed of progress made on the program. The website includes information on the science planning, the conceptual network designs, requests for proposals for the IO's, and other news related to the OOI.

JOI (Awardee)

Program

management, network engineering,

leadership, and oversight

Cyberinfrastructure IO (Subawardee)

Design,

implementation, testing, operation, and

maintenance

Coastal IO (Subawardee)

Design, acquisition, installation, testing,

operation, and maintenance

Global IO (Subawardee)



Regional IO (Subawardee)





1.1 Scientific Goals The vast oceans, which cover two-thirds of our planet, largely determine the quality of life on Earth and are the last, unexplored frontiers on our planet. The complex, interacting environments and processes that operate within the world’s oceans modulate both short and long-term variations in climate, harbor major energy and raw material resources, contain and support the largest biosphere on Earth, significantly influence rainfall and temperature patterns on land, and occasionally devastate heavily populated coastal regions as a result of storms or tsunamis. Phenomena such as global climate change and El Niño events and natural hazards like hurricanes and tsunamis have enormous global economic and societal impact. Traditional ship-based research in the oceans or satellite observations of the ocean’s surface are inadequate for comprehensive study of many critical processes, such as those having short, episodic events (e.g., earthquakes, submarine volcanic eruptions, and particulate flux from the surface layer) or dynamic processes that change over time periods longer than a few months (e.g., motion of tectonic plates, sea level change, non-linear ecosystem response to perturbations). The National Science Foundation’s Ocean Observatories Initiative (OOI) is designed to enable powerful new scientific approaches for investigating complex atmosphere-ocean-Earth interactions. The OOI will transform research of the oceans by establishing pioneering technology and a network of interactive, globally distributed sensors and instrumentation for the research-driven ORION program. Recent technological advances in sensors, computational speed, communication bandwidth, Internet resources, miniaturization, genomic analyses, high-definition imaging, robotics and data assimilation-modeling-visualization techniques are opening new possibilities for remote scientific inquiry and discovery. The OOI and ORION will enable innovative developments across all of these fields and will contribute to maintaining American leadership in scientific advancement and the global economy, as well as providing excellent educational opportunities. The OOI infrastructure and the ORION program also are the NSF’s contribution to a broader national and international effort to establish a global Earth observing system, the Global Earth Observation System of Systems (GEOSS). The need for sustained ocean observations has long been recognized and was re-affirmed in 2004 by the U.S. Commission on Ocean Policy (see www.oceancommission.gov). The OOI project and ORION program are the result of more than 10 years of planning. The scientific goals and types of infrastructure required to support investigations of high priority science questions have been based on recommendations from more than 30 workshop reports and planning documents dating back to 1998, including two reports from the National Academy of Sciences, a number of widely attended national and international workshops, and a variety of more focused science, engineering, and outreach-oriented meetings and activities. In 2000, the National Science Board approved the OOI as a Major Research Equipment and Facilities Construction Account (MREFC) project and the OOI Science Plan was released in 2005. Five science themes highlighted in the OOI Science Plan include: Climate Variability, Ocean Food Webs and Biogeochemical Cycles; Coastal Ocean Dynamics and Ecosystems; Turbulent Mixing and Biophysical Interactions; Global and Plate-Scale Geodynamics; and Fluid-Rock Interactions and the Sub-Seafloor Biosphere. More than 85 members of the ORION Advisory Committees, representing ocean sciences, engineering, computer sciences, and educational communities, have been actively participating in planning activities to ensure that the research community in the United States is provided with the infrastructure required to maintain its leadership role in Earth and ocean sciences for decades to come. Conceptual Network Designs (CND's) for the coastal, regional cabled, and global observatory elements were developed by Advisory Committee members based on Request for Assistance (RFA) proposals and previous planning and workshop documents. Draft CND's were presented to the ocean science community at the ORION Design and Implementation Workshop in Salt Lake City, Utah in March 2006. The CND's were then revised, based on comments and recommendations from workshop participants and improved cost estimates of the infrastructure.



The OOI Scientific Objectives and Network Design Report articulates examples of high priority science questions within the broad science themes posed in the OOI Science Plan that will be investigated using the OOI infrastructure at the sites described in the CND's. Where appropriate, research questions that can be addressed across all scales of the infrastructure were noted. The OOI project and ORION program promise to transform ocean sciences and open entirely new avenues of research, encourage the development and application of new sensors and technologies, provide new opportunities to convey the importance of the oceans to students and the general public, and provide essential information for decision-makers responsible for developing ocean policy. 1.2 Technical Description In order to make the next significant step forward in understanding the oceans and seafloor below, phenomena must be observed at spatial and temporal scales appropriate to the processes and systems being studied. The infrastructure provided to research scientists through the OOI will include the cables, buoys, deployment platforms, moorings and junction boxes, required for power and two-way data communication to a wide variety of sensors at the sea surface, in the water column, and at or beneath the seafloor. The initiative also includes components such as unified project management, data dissemination and archiving, and education and public awareness activities essential to the long-term success of ocean observatory science. A fully operational research observatory system would be expected to meet most of the following goals:

• continuous observations at time scales of seconds to decades • spatial measurements from millimeters to kilometers • sustained operations during storms and other severe conditions • real-time or near-real-time data as appropriate • two-way transmission of data and remote instrument control • power delivery to sensors between the sea surface and the seafloor • standard Plug-n-Play sensor interface protocol • autonomous underwater vehicle (AUV) dock for data download/battery recharge • access to deployment and maintenance vehicles that satisfy the needs of specific

observatories • facilities for instrument maintenance and calibration • a data management system that makes data publicly available • an effective education and public awareness program

The OOI is a network of integrated ocean observatory systems with three physical Engineering System Elements:

1. Coastal Scale Observatory (CSO): new construction or enhancements to existing facilities leading to an expanded network of coastal observatories

2. Regional Cabled Observatory (RCO): a regional electro-optical cabled network consisting of interconnected sites on the seafloor spanning several geological and oceanographic features and processes

3. Global Scale Observatory (GSO): deep-sea buoys with capabilities appropriate to the experiments they will host with some designs capable of deployment in harsh environments such as the Southern Ocean

A critical fourth element, the Cyberinfrastructure, connects the three observatories, provides connections to scientists and classroom, and allows the OOI to function as a single, secure, integrated network. The OOI is shown schematically in Figure 2.



Figure 2: Schematic Representation of the OOI

The Coastal Scale Observatory (CSO) will provide sustained, adaptable access to investigate dynamic and heterogeneous processes in coastal systems. Fixed arrays of moorings and seafloor cables will provide continuous observations at appropriate scales to investigate processes studies of highest priority to the coastal research community. The fixed arrays established by the OOI will be augmented by the use of mobile platforms such as underwater gliders and autonomous underwater vehicles (AUV) to capture the temporal nature of environmental variability. The infrastructure constructed will be a mix of “permanent” stations to document long-term variability and “relocatable” mooring arrays targeted towards high-frequency, spatially-variable environmental processes. The settings for implementing the coastal-scale array of the OOI will not only incorporate new research locations but also will involve augmentations to existing coastal observing systems. The CSO Conceptual Network Design (CND) provides additional details on this OOI element. The Regional Cabled Observatory (RCO) will instrument a portion of the Juan de Fuca tectonic plate in the Northeast Pacific Ocean off the shore of Oregon, Washington, and Vancouver Island. A permanent electro-optical seafloor cable will connect five seafloor nodes at key locations and will provide power (tens of kilowatts) and high bandwidth (data transfer rates of 10 to 100 gigabits per second) for sensors, instruments, and underwater vehicles. This high power and bandwidth capability will allow experimental access from below, on the seafloor, within the water column, and across the air-sea interface. The RCO Conceptual Network Design (CND) provides additional details on this OOI element.



The Global Scale Observatory (GSO) comprises a set of highly capable interactive moored buoys sited around the world’s ocean in places where surface-to-bottom ocean data needs are greatest. These observatories will consist of large, robust, self-powered, telemetering buoys where scientific need dictates high data-return rates and power requirements; and simpler, yet capable, power efficient or contained designs for other settings. Extension cables on the bottom at some locations will provide for data input from bottom features of interest linked back to the buoy for transmission via satellite to the network. Special designs will be employed to enable the establishment of observing sites in some of the most inaccessible ocean environments. The GSO Conceptual Network Design (CND) provides additional details on this OOI element. The OOI Cyberinfrastructure (CI) will allow users, through its monitoring and control center element, to remotely control their instruments; to perform in situ experiments; to construct virtual observatories of suites of sensors specifically tailored to scientific needs; and to access data in near-real time from almost anywhere in the world’s oceans, thereby enabling adaptive sampling. The Cyberinfrastructure and information technology systems of the OOI, including the management of needs of the data users, data collectors and data system developers will need to be common across the entirety of the OOI to ensure the OOI operate as a secure and integrated network of observatories, as intended. In this sense, the CI acts as the network operations and control center for the OOI network. The CI Conceptual Network Design (CND) provides additional detail on this OOI element. The detailed Conceptual Network Design (CND) for each of the four observatory elements is incorporated by reference into the initial issue of this PEP. The initial issue of each of these documents forms the basis for the cost and schedule baselines shown in Appendix 4. The OOI is envisioned to be a network that can be arranged or interconnected in various ways (through the Cyberinfrastructure) to provide different capabilities. The requirement that each system operates seamlessly within the network adds complexity above that encountered in a large-scale, interdependent system, but this yields an enhanced set of capabilities in spatial scale and sensor distribution not available without the integrated network. It is this capability that will allow many of the transformational experiments to be accomplished. New sensors and nodes can be integrated into the OOI Network; similarly, old experiments and sensors may be removed. This implies that the OOI will need to be designed to work in stages or phases following a set of strategies or policies in which decisions are made over time. Ensuring an optimal level of performance in real-time without informational bottlenecks will pose significant challenges and require unique multi-tiered project management, engineering, construction, testing, operation and maintenance approaches. Much of the evolving system of systems engineering theory will be useful to help optimize these approaches. 2.0 Acquisition Approach The National Research Council, in its report "Enabling Ocean Research in the 21st Century," recommended that the philosophy of the OOI management structure should be one in which the day-to-day operation of different OOI elements is the responsibility of entities with appropriate scientific and technical expertise, while the role of the program management organization should be one of coordination, oversight, and fiscal and contract management. NSF has signed a Cooperative Agreement with JOI for the establishment of a Project Office to coordinate ocean observing activities; this is the existing ORION Program Office. After a competitive bid process, JOI intends to sign subawards with up to four implementing organizations to conduct the detailed design, engineering, procurement, installation, testing, and commissioning of the OOI elements. NSF may, at its request, be involved in the selection process and will approve the final contracts. To ensure that the oceanographic science community's interests will be represented in the final OOI Network, IO's will be academic



institutions, academically-led academic/industry partnerships, or nonprofit oceanographic research centers who are currently conducting graduate level research programs in oceanographic and broader geosciences. JOI will coordinate the work of the IO's and provide a single point of contact to NSF. JOI plans to implement a system engineering function to coordinate the technical interfaces and requirements for the integrated network of observatories and a project management function to coordinate financial, schedule, and administrative tasks and reports. 2.1 Design and Development Strategy JOI's system engineer will work with systems engineers at each of the IO's to define component requirements and interface requirements with the other IO's. JOI currently has the Jet Propulsion Laboratory (JPL), a federally funded research and development center, under contract to support the system engineering efforts. OOI Network science requirements will drive the designs of the OOI elements. Design and infrastructure development will be the responsibility of the IO's. NSF will fund, under a separate funding mechanism, advanced sensor development for use on the OOI Network. 2.2 Construction and Installation Strategy Each IO will contract with one or more entities for the construction and installation of its element of the OOI. This will entail the development of a detailed RFP, evaluation of bids, negotiation of a contract, and management of the resulting implementation contract. Each IO will conduct periodic reviews with the supplier(s) and with JOI for contact management and coordination. Each physical OOI observatory will conduct integration testing prior to installation. Integration testing will include both available sensors and the Cyberinfrastructure. 2.3 Commissioning and Initial Operations Strategy Each IO will be responsible for the commissioning of its element of the OOI, either directly or through their construction and installation contractor. JOI, in conjunction with NSF and the OSC, will approve and accept the observatories from the IO. Operation of the individual elements of the OOI will be the responsibility of the IO's for an initial period covered in their subaward. Following the acceptance of the observatories and the Cyberinfrastructure by JOI, an integrated system test will be conducted to ensure that all three observatories connected through the Cyberinfrastructure can act as a single integrated unit. The OOI network will then transition to operations in accordance with a "Transition to Operations" plan that will be developed. During this transition, operational readiness testing will be conducted to ensure that the OOI is operating in an integrated fashion and that the facilities are ready to support the movement to a fully-operational mode. After successful completion of the operational readiness testing, the OOI will be presented to NSF for acceptance. Operation from this point forward will be in accordance with the concept of operations that will be developed during the next phase of the OOI project, as described in the Project Development Plan (PDP). It is envisioned that the IO's will retain a role in the operation of the OOI. The nature and scope of their roles are yet to be determined and, after an initial operating period, may be based on a competitive bid. 3.0 Project Management



The OOI Project Management approach has been organized to conform to MREFC guidance contained in the various NSF management and oversight documents while providing a structure that will efficiently deliver the required elements of the OOI. The OOI Director at JOI has overall responsibility for the oversight of the OOI Project. In addition, JOI will appoint Contracting Office Technical Representatives (COTR's) who will have overall responsibility for the oversight of each of the IO's. 3.1 Organization Structure The OOI plans to adopt a management model that has been used successfully to manage the Ocean Drilling Program (ODP), now the Integrated Ocean Drilling Program (IODP), for many years. JOI will set up and manage an OOI Management Team comprised of the project managers from each IO, the OSC Committee Chair, the ORION Program Director, and the OOI Project Director, who will be the team leader. This team will be the focal point for all strategic planning, will interface with the science community, and will approve all project changes, procurement plans, and observatory designs. In a similar vein, it is envisioned that system engineers from each IO, led by the system engineer from JOI, will meet regularly to coordinate trade studies, share lessons learned, and negotiate appropriate interface specifications and documentation between OOI elements. In order to ensure effective implementation of an integrated and interactive observatory network, close collaboration and cooperation between system engineers at each IO and JOI's system engineer is essential. Decisions and their supporting justifications are to be captured, documented, and archived as part of a formal change control process. 3.1.1 Interagency and International Partnerships The National Science Foundation has signed a Memorandum of Understanding with the University of Victoria in Canada to cooperate in the construction of a regional cabled observatory on the Juan de Fuca Plate. The Canadians have already received funding for this project, NEPTUNE Canada, and have entered into a construction agreement with Alcatel. Both parties have agreed that these systems will be interoperable and the OOI CND's clearly show the intention to place scientific sensors on the NEPTUNE Canada nodes. The National Ocean Partnership Program (NOPP) is currently developing an Integrated Ocean Observing System (IOOS) which will support operational mission objectives for NOAA, the Navy, NASA, and the Coast Guard as opposed to the research and education objectives of the OOI. Nonetheless, OOI and IOOS will have areas of overlap where common infrastructure may serve both research and operational communities. The outcomes of research and technology development which are an integral part of the OOI will provide essential support for the IOOS. At the Earth Observation Summit, the European Commission plus 33 countries signed a declaration to support the collection of Earth observation data. To further this goal, Summit participants launched the intergovernmental ad hoc Group on Earth Observations (GEO) to develop an implementation plan for a Global Earth Observations System of Systems (GEOSS). NSF has been involved in the US effort and it is envisioned that the OOI will provide an important contribution to this "network of networks." 3.2 Work Breakdown Structure The Work Breakdown Structure (WBS) provides the framework for the organization of the OOI project effort. It is an indentured list of all the activities, products, components, software, and services to be furnished by JOI and the IO's. It is used as a common base for all project planning, scheduling, budgeting, cost accounting, and reporting of performance during the entire period of the project.



Figure 3: High-level OOI WBS An initial WBS has been created and is shown here at level 3 in Figure 3. This high-level WBS has been created such that each IO's work activities can be reported both on a stand-alone basis and as part of the overall integrated OOI Network. The lower level WBS and accompanying WBS dictionary can be found in Appendix 1. This initial WBS will be modified once the IO's are under contract in order to match their proposed management and planning structure and to incorporate tasks that are assigned under interface agreements. 3.3 Cost and Schedule Management A formal Earned Value Management System (EVMS) will be implemented for the OOI. JOI and each IO will develop a Performance Measurement Baseline (PMB) which is a time-phased budget plan against which performance can be measured. These PMB's will be linked by key interface milestones into an Integrated PMB in the ORION Program Office. This Integrated PMB will form the basis for EVMS reporting to the NSF and will be formally defined and completed within 6 to 12 months following award. The OOI Project Baseline is the subject of Appendix 4. JOI has been evaluating Earned Value Management software for use on the OOI Project. It is expected that Microsoft Project® for scheduling, forProject® for earned value overlay, and WinSight® for analysis and plots will be adopted. Compliance Software Technologies, Inc. (CSTI) has developed this software to be compatible with many commonly-used financial accounting programs which will be an important feature for integrating reports from four IO's and JOI on a regular basis. The software meets the ANSI/EIA Standard for Earned Value Management (ANSI/EIS 748). 3.4 Financial Management Formal EVMS (criterion #16 of ANSI/EIA 748) requires the segregation of legitimate direct costs with the appropriate allocation of indirect costs. EVMS guidelines suggest projects use this “applied direct cost method”, but allows conventional accounting techniques to be used to account for direct costs.



JOI has been evaluating formal accounting systems that will use generally accepted accounting principles (GAAP) as standards. The accounting systems and all records and reports derived from it will be subject to and available for audit. The formal system will be GAAP, A-133 and ANSI 748 compliant. The accounting systems will be compatible with the EVMS software selected for the OOI in order to produce integrated financial reports to meet NSF guidelines for managing MREFC accounts. 3.5 IO Management The ORION Program Office will contract with up to four Implementing Organizations (IO's) for the development, construction, and initial operation of the OOI. An IO is envisioned for each of the coastal, regional, and global observatories and the Cyberinfrastructure which connects the observatories. Until the contracts are bid and negotiated, the Requests for Proposals (RFP's), which describe the work that is to be performed by each IO, are presented in Appendix 7 in lieu of the IO's PEP's which will ultimately appear in this appendix. The management model of using IO's to implement OOI is based on one that has been successfully used for many years by JOI in the Ocean Drilling Program (ODP). The benefit to this management structure is that it puts the day-to-day operations under the control of the groups who are implementing the construction activities. These groups will have the appropriate scientific and technical skills and are expected to provide the required project management structure for these activities. The role of the OOI Project Office COTR's are coordination, oversight, and fiscal and contract management. Staffing levels and descriptions of positions at the IO will be detailed in the response to the RFP. It is envisioned that each IO will be led by a Director with a broad scientific understanding of the scientific rationale for the OOI as well as extensive experience with large-project management. Below the Director, it is expected that a Project Manager will be appointed to oversee the day-to-day activities of the project and keep the project's schedule and budget on target. Additionally, it is envisioned that a Project Scientist will be appointed to work with the engineering teams to ensure that science requirements are met by the system designs being implemented, including the responsibility for configuration and change control. 3.6 Configuration Management/Change Control A formal Configuration Management and Change Control process will be adopted for the requirements, interfaces, and design documents and drawings of the OOI Project. This process is described in JOI's document, Ocean Observatories Initiative (OOI) Configuration Management and Change Control Plan which is hereby incorporated by reference. This process includes formal change control boards to process Engineering Change Proposals through a structured review process and approved by JOI or NSF depending upon the nature of the change. Changes that do not affect form, fit, function, or interfaces are delegated for handling within each IO's change control process with appropriate reporting to the OOI's change control board at JOI. All approved changes will be incorporated into the appropriate document(s) and be reflected in the EVMS system by the cognizant IO project manager. 3.6.1 Requirements Management The ORION Executive Steering Committee, now known as the Observatories Steering Committee (OSC), developed a Science Plan for the OOI in May of 2005. From this and the outputs of the past decade's numerous community workshops, JOI has started to develop a Science User Requirements (SUR) document that will be used to set out the high level OOI requirements for the Implementing Organizations in their subawards. During the preliminary design phase of the OOI, JOI intends to facilitate further refinement of the SUR with small groups of cross-functional



oceanographers. The SUR will contain the OOI Network level service requirements as well as the highest level requirements for each element of the OOI Network. The resulting document will be vetted by the OSC and their delegates and placed into the OOI's document management system when it is final. The SUR will directly drive the engineering designs, which are to be developed in order to deliver these user-specified functionalities in accordance with the subaward. The detailed performance requirements will be captured and documented by each IO in collaboration with JOI's System Engineer. The performance requirements will flow from the SUR and will be directly traceable to the SUR in a methodology that will be developed. The approved requirements documents will be entered into the OOI's document management system. 3.6.2 Interface Management The OOI is envisioned as an integrated, interactive network of observatories with three major observatory elements covering coastal, regional, and global spatial scales connected via Cyberinfrastructure. The observatories will also be linked to the extent practical by common instrument interfaces and infrastructure components. Ongoing cooperation and collaboration among the four IO's is essential to achieving the OOI mission of establishing an integrated and interactive network of observatories. Systems engineers from each IO will meet regularly with JOI's System Engineer to negotiate and document appropriate interface specifications between OOI elements. In addition, a comprehensive set of instrument interface requirements will be developed to specify standard instrument interface(s) and levy appropriate requirements on instrument designs to ensure non-interference with the infrastructure as well as other instruments. These agreements will be captured in the form of signed Interface Control Drawings (ICD's) and entered into the OOI's document management system. 3.7 Cyberinfrastructure The Cyberinfrastructure IO will provide the design of the OOI Cyberinfrastructure. The goal of this group is to bring the latest network and computer capabilities to the OOI so that the scientists have a robust computing environment within which to control sensors and to manipulate and view data over the internet without the need to buy expensive software or special purpose hardware. Security of this system is of critical importance. The OOI Project will be designed to operate under the formal ORION Data Policy which places obligations on both data providers and data users. This policy will be formulated to provide rapidly disseminated, open, and freely available data. The ORION Data Policy will be proposed by the ORION Cyberinfrastructure Committee (not the IO) and approved by the Observatories Steering Committee (OSC). The ORION Data Policy will be published on the ORION website and will be entered into the OOI document management system once approved. The current version of the ORION Data Policy is incorporated into this PEP by reference. 3.7.1 Enterprise Architecture The objective of the ORION Cyberinfrastructure is to provide a comprehensive federated system of Observatory, Research and Education Facilities that realizes the goals of the ORION Mission. This federated system extends, virtually, from the Ocean Instrument Networks to the shore-based Observatory Control Facilities across the Internet to Scientists and Educators in their respective Laboratories and Classrooms. The vision of the ORION Cyberinfrastructure is to provide the ORION user, beginning with the science community, a system that enables simple and direct use of ORION resources to



accomplish the user's scientific objectives. This vision includes both the direct access to instrument data, control, and operational activities, and the opportunity to seamlessly collaborate with other scientists, institutions, projects, and discipline. The Cyberinfrastructure is planned as an incremental development with three major releases of the software. Release 1 will provide for the basic functionality of the cyberinfrastructure; release 2 will add the collaborative features; and release 3 will enable the auto-adapted features of the OOI. Further information about the content of each release is available in the Executive Summary section of the Cyberinfrastructure CND. The conceptual architecture development was initiated according to the guidelines in the Department of Defense (DOD) Architecture Framework (DODAF), as described in DODAF Volumes I and II and is available on the JOI web site. The Implementing Organization for the CI may continue the development of the CI Architecture using the DODAF approach to defining the CI architecture, or it may use a similar well structured approach to architecture development. The next step will be for the CI Implementing Organization to update the OOI CI Conceptual Design in preparation for the Preliminary Design Review. No direct linkages to other architectures are mandated at this time. However, several other environmental observatories, including IOOS, NEPTUNE Canada, and GEOSS, have created or are creating standards and interfaces which will be important to incorporate with this architecture. Analysis of standards compatibility is in the domain of the ORION Program Office and the IO's. 3.7.2 Administrative and Technical Data Management Management of the administrative and technical data during the MREFC phase of the OOI project is the responsibility of JOI and each IO. Each IO is responsible for managing its administrative and technical data. JOI is responsible for managing the OOI level administrative and technical data. IO's may or may not choose the same data management processes that JOI uses; however, compatibility with JOI's systems must be established. Management of observatory data from sensors and instruments from community and principle investigator experiments will be processed and stored for transmission by the CI portion of the OOI. An appropriate strategy for incrementally purchasing needed data storage and archival capacity as the project evolves will be developed. 3.8 Quality Assurance and Quality Control The responsibility and guidance for the overall quality assurance of the OOI will be coordinated through the OOI Project Director. The quality assurance and quality control function for the OOI will be primarily implemented by the IO organizations since this is where the hardware and software will be built and accepted. Any subcontractors to the IO are expected to have and maintain an ISO 9001 certification or appropriate equivalent. The OOI Project Office may choose to audit selected major suppliers. Use of COTS (Commercial, Off the Shelf) technology and technology solutions and proven open source code will be adopted to minimize both risk and cost with the hardware and software systems. Choices will reflect the adoption of industry and commercial standards where possible. 3.9 Risk Management A formal risk management program will be implemented for the OOI. This program is described in JOI's document, Risk Management Plan for the Ocean Observatories Initiative (OOI) which is incorporated in this PEP by reference. This risk management plan follows a traditional risk



management approach of identifying potential risks, applying a severity ranking, analyzing potential cost impacts, and developing mitigation strategies. The identified risks to the OOI project as of the date of this document are documented in the OOI Network Risk Register in Appendix 5. 3.10 Health, Safety, and Environment The OOI project and each IO will comply with all applicable Health, Safety, and Environment policies and requirements of the NSF and each of the IO's organizations. In conjunction with the IO's, the ORION Program Office will coordinate safety and environmental audits of OOI installations including any ground stations and shipborne facilities. On behalf of NSF, JOI has contracted with SRI International to conduct a Programmatic Environmental Assessment (PEA) for the OOI. As needed, this firm will also provide Environmental Impact Statements (EIS) for areas that are identified as high risk. Each IO will be responsible for obtaining any necessary permits from governmental, military, and regulatory agencies in order to construct and install the infrastructure. All infrastructure drawings must comply with local ordinances and codes and be approved by a Professional Engineer (PE) with standing in the state of installation. Each IO will develop safety procedures for personnel involved in the operation of the observatory. Guest scientists will be required to understand and adopt these policies. Further, each IO will develop a process to qualify instruments to be sure that the instruments will not harm or damage any part of the OOI. No instruments will be allowed on the OOI without proper certification. Both the personnel training and the instrument safety qualification records will be kept in the project operational records. 3.11 Testing and Acceptance A Test Plan will be developed that documents the approach for testing of the OOI. The responsibility for testing will reside with the IO's. The systems engineers at each IO, in conjunction with JOI's system engineer, will be responsible for verification and validation to ensure that science, engineering design, performance, and interface requirements are met throughout implementation. Each requirement will be verified and traceable to the verification event. Each observatory element will be integrated at a shore-based site prior to deployment in the water. After installation, each observatory system will be tested and confirmed to be consistent with its pre-deployment characteristics. Each IO, in conjunction with the OOI Project Office, will identify and correct any physical, documentation, or performance deficiencies before presenting the system to the OOI Project Office for Acceptance. The Project Office has responsibility for accepting the observatories. 3.12 Annual Work Plan JOI and each IO will prepare annual work plans to provide a clear accounting of the part of the OOI project that is being executed during the particular fiscal year. The OOI Project Office will compile these into the OOI Annual Work Plan for delivery to NSF. Current OOI activities are in accordance with the plan in the FY '06 Supplemental Funding Request to Cooperative Agreement OCE-0418967. An outline for this report is shown in Appendix 2. 3.13 Document Control/Reporting



A formal document management system will be implemented to track and control documents for the OOI. JOI has invested in the OPTIX document management system and is developing a web-based document management module for tracking all deliverables on the Scientific Ocean Drilling Vessel (SODV) project. JOI will evaluate the OPTIX document management system for use on the OOI. It is expected that the OPTIX software development can be leveraged to apply to the OOI. JOI will coordinate monthly reports to NSF on the OOI project. The reports will include a section that analyzes the cost and schedule variances from the EVMS. Quarterly and Annual reports will be produced in phase with the federal government's fiscal year. Outlines for each type of report are shown in Appendix 2. Delivery dates for the reports will be negotiated with the NSF Program Manager. 3.14 Contingency Management A management contingency in the amount of approximately 20% of the OOI budget has been created and will be managed by the OOI Project Director in JOI. The contingency amount of $55.3 million dollars, shown in the budget table in Appendix 4B, was arrived at a top-down assessment of the risks associated with various elements of the OOI project. This fund will be used to mitigate specific risks that arise on the program and to provide a source of funds as change orders are approved. Requests to release contingency funds may be made through the OOI Change Control Board. Requests will be approved by the OOI Management Team, JOI, and NSF in certain cases, as outlined in the OOI Configuration Management Plan. 3.15 Procurement and Contracts Procurement and contracts for the hardware and software of the OOI elements will be the responsibility of the IO's, in accordance with the Statement of Work in each of their subawards. Each IO is expected to use the contracting and procurement processes in place at its institution. Contracts are expected to incorporate flow-down clauses from the cooperative agreement and the subaward. Equipment suppliers are required to be ISO 9001 compliant and software suppliers are required to be qualified to a formally-recognized software quality system. IO's are required to meet regularly with suppliers and vendors to review status, issues, action items, payment forecasts, and schedules. 4.0 Security Security will be integral to the OOI on several levels. First, the OOI must be concerned about the physical security of the observatory hardware both at sea and in the development laboratories. Second, it must be concerned about the security of the data that is collected from the observatories. Finally, it must be concerned about the operational security of the integrated system. 4.1 Physical Security Ensuring the physical security of the OOI will primarily be the responsibility of the IO's. On-shore facilities will be locked and protected from illegal entry and access. The nature of the facility may warrant significant measures like security systems or guards. Each IO will plan and implement appropriate security throughout the design, implementation, installation, and operational phases of the OOI. Physical security of the wet plant is also the responsibility of the IO. Each IO will consider physical security in the design phase and implement solutions that will reduce or eliminate risk



through the choice of landing sites, burial methods, and route selection. In addition, the IO's may recommend that the OOI participate in community preventative measures by publishing route position lists and communicating with fishermen. 4.2 Cyberinfrastructure Security The ORION data policy envisions that all OOI data will be open and freely-available to users. The CI IO will have responsibility for implementing this policy. It is expected that users will be required to register with and fulfill the obligations of the OOI data policy. The process for this is the responsibility of the CI IO. The CI IO will also be responsible to ensure that the OOI data and programs are not susceptible to cyber attacks in the form of viruses, etc. and to ensure that the data cannot be corrupted by outside influences. A formal tracking system which documents the cause and resolution of each attack or intrusion will be implemented. The CI IO is also responsible for implementing data and system back-up designs for service interruptions or disasters. 4.3 Operational Security Security for the OOI during its operational phase takes several forms: national security, individual PI data security, data validity, data collisions, protection of operational systems during software upgrades or turn-up of new observatory elements, and installation of new sensors on existing infrastructure. Acquisition and public distribution of acoustic and other geophysical data in some regions along the US coastlines poses a significant national security risk. Deploying sensitive arrays in some areas could lead to the need to restrict data access, prevent data acquisition at random intervals, or restrict publication of results. JOI and NSF are having discussions with the US military groups about this issue. The OOI will conform to conditions levied by these groups. In a similar vein, individual PI's who have developed a data source that becomes part of our network may, per the ORION data policy, have exclusive rights to the data produced by that data source for a period of no more than one year from the onset of the data stream. The PI will expect the OOI to maintain the security of that data. The OOI will honor any restrictions imposed on data access by the data policy. Data users also want to be sure that the data that the OOI is providing is accurate. The ORION data policy requires data providers to provide information regarding the provenance, description, quality, maturity level, and collection context of their data. This additional information that is associated with the data will help the users understand the quality level of the data. An important feature of the OOI is the ability for scientists to interact with their instruments in near-real time to respond to significant events. The IO's operating center must coordinate these requests, especially when such a request will overload the node and require other instruments to be turned down or turned off. The OOI operating center(s) will develop a process that will regulate this feature to avoid data or power contention. The OOI will have a number of experiments running on the system. During system upgrades, it may be necessary to remove power on the system for a brief period. The IO's operating center will develop procedures and tests to ensure that this can be done without harming any instruments on the observatory. Similarly, upgrades of the observatory software will be coordinated through the IO's operating center and will be tested to ensure backward compatibility.



Finally, the IO's must approve any new sensors for use on their observatory element according to a formal process that they will develop. OOI, as part of operational security, will confirm that any sensors planned to be placed on the OOI have been approved by the necessary entity(s). 5.0 Plan for Transition to Operations The IO's together with JOI's System Engineer will develop a "Transition to Operations" plan for the OOI Network. 5.1 Concept of Operations The OSC has been discussing and evaluating the costs and benefits of a spectrum of operating concepts from centralized to widely-distributed. It is expected that the IO's will also weigh in on this topic and make a recommendation through JOI's Systems Engineer and the OOI Management Team. The result of this discussion may impact the network design and is anticipated to be resolved before the Preliminary Design Review in April of 2007. 5.2 Governance of Science Planning The Science Planning for the OOI is carried out through the ORION Advisory Committee Structure which consists of scientists, engineers, and educators from academia, industry, government and the international community. The members of the advisory committees have broad, interdisciplinary expertise in ocean-related problems. This structure is pictured in Figure 4. Additional Description of the advisory structure can be found in Appendix 6. The Science and Technical Advisory Committee (STAC) is the main science and technical planning committee of the ORION Advisory Structure. The STAC is focused on year-by-year science planning and technical development, including production of the annual ORION Science and Operations Plan. The Observatory Operations Committee (OOC) is a subcommittee of the STAC that provides advice to the Program Office and NSF on the technical feasibility, resource requirements, infrastructure costs, environmental issues, and scheduling of proposals to use the OOI infrastructure. The OOC will also assist the Program Office in the scheduling of funded observatory experiments and the development of the Operations Plan component of the Annual ORION Program Plan. OOC membership has not yet been established.



Figure 4 – ORION Advisory Committee Structure 5.3 Service levels, maintenance, and logistics approaches Service levels, maintenance, and logistics approaches will be defined for the OOI as the engineering design progresses. There are a wide variety of maintenance options which will affect both cost and service levels. Additionally, the requirements for maintenance of science instruments will require the specification of service level agreements on different levels. For example, if an instrument needs to be frequently serviced, then the availability of that instrument will be lower than for a less-frequently serviced sensor, which in turn will have lower availability than a backbone cable in the network. 5.4 Estimate of Operational Costs As part of the conceptual design process, operational costs have been estimated for each element of the observatory. These estimates are included as part of Appendix 4B. These estimates will be revised as the OOI concept of operations becomes better defined and as design and operational trade-offs are studied. 6.0 Reviews The OOI will maintain a schedule of baseline design reviews structured at strategic points throughout the six years of the program as required under NSF guidance for MREFC projects. For each IO, JOI will implement a set of reviews structured at critical points in the IO program schedule to ensure the management team that sound progress is being accomplished. During the design and development phase, preliminary and critical design reviews will be held to ensure that the IO's technical solution satisfies the requirements and interfaces. During the implementation phase, reviews will be held with the construction contractor(s) at key points in the construction process and prior to installation. Commissioning design reviews will be held following installation, commissioning, and just prior to acceptance.



7.0 PEP Summary This document describes the plan for managing the OOI Network Project from JOI as envisioned at the end of the Conceptual Design Phase. The document will be updated as the project evolves and will form the framework for interaction between JOI and the NSF and between JOI and the IO's. The next major update of the PEP is planned for the end of the Preliminary Design Phase. 8.0 Documents Incorporated by Reference

Release Date Document Title May 2005 Ocean Observatories Initiative Science Plan May 2006 Risk Management Plan for Ocean Observatories Initiative (OOI) March 2006 ORION Data Policy, DRAFT June 16, 2006 OOI Configuration Management and Change Control Plan June 19, 2006 Regional Cabled Observatory – Conceptual Network Design June 30, 2006 Global Scale Observatory – Conceptual Network Design June 30, 2006 Coastal Scale Observatory – Conceptual Network Design July 2006 Cyberinfrastructure – Conceptual Network Design May 2006 Regional Cabled Observatory – Request for Proposal TBD Global Scale Observatory and Coastal Scale Observatory –

Request for Proposal July 2006 Cyberinfrastructure – Request for Proposal July 2006 OOI Scientific Objectives and Network Design Report (Blue

Ribbon Panel)



Appendix 1: Work Breakdown Structure Dictionary The WBS dictionary has been developed at a relatively high level during the conceptual design phase. This conceptual design version of the WBS dictionary follows. When the IO's are established, they will design the lower level WBS for their element of the OOI Network and write a corresponding WBS dictionary. Hence, in future versions of the PEP, the WBS dictionary will be incorporated by reference. Ocean Observatories Initiative (OOI) WBS Dictionary at Conceptual Design Review (CDR)

WBS Number WBS Title WBS Definition

1.1 OOI Network IO (JOI)

This is a roll-up element for all of the work in the JOI Program Office in support of the OOI Network Construction. JOI must provide high level systems engineering, interface definition and control, and the integration of project management functions throughout the project to establish and maintain a coordinated and effective OOI network implementation team. JOI is more than a contract manager for the OOI.

1.1.1 OOI Network Project Management

This task effort directs and manages all resources and activities necessary to deliver the OOI network on time, on budget, and meeting all performance requirements. In addition to the technical oversight and management of the four IO's, the Program Office must provide for the integration of the EVMS, Reports, and PEP's; OOI Network scheduling; and participation in numerous interface and advisory groups.

1.1.2 OOI Network Systems Engineering

This task effort directs and manages the high level system engineering for the OOI Network. In addition to developing OOI Network level performance requirements with traceability to the science user requirements, these tasks will develop an overall concept of operations, perform trade studies, manage network resources (power, data rates, etc.), product assurance, reliability allocations, maintenance and sparing philosophies, requirements verification and validation, and will manage the overall configuration of the OOI Network. This task will also develop test plans, acceptance plans, and commissioning plans and maintain interface control documentation for the OOI Network. This task will also work with the Observatory Steering Committee (OSC) to develop rules and procedures to deal with constraints and contentions among the OOI Network users and data streams.

1.1.3 Education and Public Outreach

This task supports infrastructure purchases for promoting education and public awareness of the OOI Network. Budget may be delegated to IO's when specific EPO purchases are identified and approved. The budget for this task will be capped at its allocation.

1.2 Cyberinfrastructure (CI)

This is a roll-up element for all of the work of the Cyberinfrastructure (CI) Implementing Organization (IO) in support of delivering an operating Cyberinfrastructure to the OOI Network. The MREFC funding will end when a fully capable CI is commissioned and accepted for the OOI Network.




1.2.1 CI IO Project Management

This task effort directs and manages all resources and activities necessary to deliver the CI to the OOI network on time, on budget, and meeting all performance requirements. The IO will develop a PEP, implement EVMS, prepare reports and perform other management activities both internal to the IO and in coordination with the other IO's and the Program Office.

1.2.2 CI Systems Engineering

This task effort directs and manages the system engineering for the Cyberinfrastructure. In addition to developing performance and interface requirements with traceability to the science user requirements, these tasks will develop a concept of operations for the CI and lower level reliability allocations, maintenance and sparing philosophies. It is envisioned that the CI will manage and control the overall operation of the OOI Network; therefore, this task will also work with the Observatory Steering Committee (OSC) to implement rules and procedures to deal with constraints and contentions among the OOI Network users and data streams. These tasks also develop and conduct test scenarios and plans for acceptance of the CI software releases.

1.2.3 CI Software Development

The task organizes and develops any software required for the operation and control of the OOI Network while incorporating existing open source software to the extent possible. Software development activities include configuration management and verification and validation. Three software releases are envisioned. The first provides for functional operation of the OOI Network, the second adds the collaborative features of the OOI Network, and the third provides the auto-adaptive features of the OOI Network.

1.2.4 CI Hardware Development

This task provides for the development of any hardware required for the operation and control of the OOI Network, including the management of the VPN, the nodes, the science sensors, and the data.

1.2.5 CI Implementation

This task captures all of the required activities to construct and install the OOI network, including any primary and secondary data storage facilities and any interconnecting VPN facilities. It also provides for the purchase of any existing open source software programs. In addition, it captures all of the activities necessary to migrate, test, accept and commission the CI software capabilities onto the network.

1.3 Coastal Scale Observatory (CSO)

This is a roll-up element for all of the work of the Coastal Scale Observatory (CSO) Implementing Organization (IO) in support of delivering operating coastal nodes to the OOI Network. The MREFC portion of each node of the CSO will end with its commissioning and acceptance onto the OOI Network.

1.3.1 CSO IO Project Management

This task effort directs and manages all resources and activities necessary to deliver the CSO nodes to the OOI network on time, on budget, and meeting all performance requirements. The IO will develop a PEP, implement EVMS, prepare reports and perform other management activities both internal to the IO and in coordination with the other IO's and the Program Office.




1.3.2 CSO Systems Engineering

This task effort directs and manages the system engineering for the coastal observatories. In addition to developing performance and interface requirements with traceability to the science user requirements, these tasks will allocate CSO reliability requirements to the CSO subcomponents, develop maintenance and sparing philosophies, develop logistics and support plans, conduct trade off studies, and participate in risk management activities. These tasks also develop and conduct test scenarios and plans for acceptance of the CSO nodes and sensors.

1.3.3 CSO Software Development

This task develops any software that is specifically needed to ensure the operation of the coastal elements of the OOI Network.

1.3.4 CSO Hardware Development

These tasks will support the development, design and specification of the physical components of the coastal observatory, including hardware prototypes and qualification testing of any new designs. The physical components of the CSO include backbone cables, extension cables, pioneer arrays, endurance array hardware, moorings, communication systems, sensors, gliders, and AUV's. With some exceptions, most of the CSO will use commercial components that will be specified accordingly.

1.3.5 CSO Shore Facilities

This task captures all of the required activities to plan; construct, lease, or refurbish; and fit-out required shore facilities for the coastal observatory elements. The CND contemplates an on-shore facility at Skidaway Institute of Oceanography (SkIO) as a result of a cable landing.

1.3.6 CSO Implementation

This task captures all of the required activities to plan, construct, and install each of the nodes in the CSO network. This includes site surveys, bill of materials, purchase orders or construction contracts, mobilization, installation, testing, and commissioning the nodes onto the OOI Network. In addition, secondary infrastructure and core sensors for each node will be purchased and substantially (TBD) installed and tested within this task. The GSO has three major elements: a west coast endurance array, an east coast endurance array, and a moveable pioneer array which will initially be deployed in the mid-Atlantic bight. The west coast endurance array consists of several lines with several nodes. The definition of nodes for the CSO is to be determined.

1.4 Regional Cabled Observatory (RCO)

This is a roll-up element for all of the work of the Regional Cabled Observatory (RCO) Implementing Organization (IO) in support of delivering operating cabled nodes to the OOI Network. The MREFC portion of each node of the RCO will end with its commissioning and acceptance onto the OOI Network.

1.4.1 RCO IO Project Management

This task effort directs and manages all resources and activities necessary to deliver the RCO nodes to the OOI network on time, on budget, and meeting all performance requirements. The IO will develop a PEP, implement EVMS, prepare reports and perform other management activities both internal to the IO and in coordination with the other IO's and the Program Office.




1.4.2 RCO Systems Engineering

This task effort directs and manages the system engineering for the cabled observatory. In addition to developing performance and interface requirements with traceability to the science user requirements, these tasks will allocate RCO reliability requirements to the RCO subcomponents, develop maintenance and sparing philosophies, develop logistics and support plans, conduct trade off studies, and participate in risk management activities. These tasks also develop and conduct test scenarios and plans for acceptance of the RCO nodes and sensors.

1.4.3 RCO Software Development

This task develops any software that is specifically needed to ensure the operation of the cabled elements of the OOI Network. An example might be the network management software required to monitor the health and status of repeaters and nodes in the RCO.

1.4.4 RCO Hardware Development

These tasks will support the development, design and specification of the physical components of the cabled observatory, including hardware prototypes and qualification testing of any new designs. The physical components of the RCO include backbone cables, extension cables, primary nodes, secondary nodes, mooring positioning equipment, communication systems, sensors, gliders, and AUV's. With some exceptions, most of the RCO will use commercial components that will be specified accordingly.

1.4.5 RCO Shore Facilities

This task captures all of the required activities to plan; construct, lease, or refurbish; and fit-out required shore facilities for the cabled observatory elements. The CND contemplates a cable landing site and single on-shore facility in Oregon.

1.4.6 RCO Implementation

This task captures all of the required activities to construct and install each of the nodes in the RCO network. This includes site surveys, bill of materials, purchase orders or construction contracts, mobilization, installation, testing, and commissioning the nodes onto the OOI Network. In addition, secondary infrastructure and core sensors for each node will be purchased and substantially (TBD) installed and tested within this task. In addition to the four nodes along the defined cable route, this task instruments nodes in the existing NEPTUNE Canada system. In addition, a connection to the NEPTUNE Canada system is contemplated and budgeted but is subject to further analysis. Additional nodes on the defined cable route have been identified and prioritized to allow for scope changes that may result from the analyses.

1.5 Global Scale Observatory (GSO)

This is a roll-up element for all of the work of the Global Scale Observatory (GSO) Implementing Organization (IO) in support of delivering operating global nodes to the OOI Network. The MREFC portion of each node of the GSO will end with its commissioning and acceptance onto the OOI Network.

1.5.1 GSO IO Project Management

This task effort directs and manages all resources and activities necessary to deliver the GSO nodes to the OOI network on time, on budget, and meeting all performance requirements. The IO will develop a PEP, implement EVMS, prepare reports and perform other management activities both internal to the IO and in coordination with the other IO's and the Program Office.




1.5.2 GSO Systems Engineering

This task effort directs and manages the system engineering for the global observatories. In addition to developing performance and interface requirements with traceability to the science user requirements, these tasks will allocate GSO reliability requirements to the GSO subcomponents, develop maintenance and sparing philosophies, develop logistics and support plans, conduct trade off studies, and participate in risk management activities. These tasks also develop and conduct test scenarios and plans for acceptance of the GSO nodes and sensors.

1.5.3 GSO Software Development

This task develops any software that is specifically needed to ensure the operation of the global elements of the OOI Network. An example might be a program to ensure that data buffering at the node contains synchronized timing indicators or a program that the electrical power is distributed properly after a change in the sensor remote configuration.

1.5.4 GSO Hardware Development

These tasks will support the development, design and specification of the physical components of the global observatory, including hardware prototypes and qualification testing of any new designs. The physical components of the GSO include spar buoys, subsurface moored buoys, high latitude spar buoys, acoustically-linked surface buoys, positioning equipment, buoy-based power systems, communication systems, sensors, seafloor cables, benthic nodes, gliders and AUV's. With some exceptions, most of the GSO will use commercial components that will be specified accordingly.

1.5.5 GSO Implementation

This task captures all of the required activities to construct and install each of the nodes in the GSO network. This includes site surveys, bill of materials, purchase orders or construction contracts, mobilization, installation, testing, and commissioning the node onto the OOI Network. In addition, secondary infrastructure and core sensors for each node will be purchased and substantially (TBD) installed and tested within this task. Eleven nodes have been identified and prioritized in the CND, with six being highest priority. The initial budget appears to be able to support seven nodes, but the CND allows for both budget and scope contingency management.

1.6 Maintenance and Operation Phase

These activities provide for oversight and direction in operating and maintaining the OOI Network. In addition, these tasks will provide for reviews of the OOI Network by and continuing support for the oceanographic community. As nodes become integrated in the OOI Network, this task will provide for the maintenance, operation, and science planning for the node. Although this task does not require MREFC dollars, the start of this phase will overlap the completion of the OOI Network build.



Appendix 2: Report Templates For efficiency, the OOI project proposes to use standard templates for the creation of recurring reports. This approach has the advantage of allowing reports from the IO's to be integrated easily into a combined report for delivery to NSF. In response to comments, corrective actions, or lessons learned, these templates may be modified to enhance the value of the various reports. Changes will be adopted by all the IO's in order to support the combined reporting of the OOI.

Appendix 2A: Annual Work Plan Template

1. Project Introduction and programmatic goals 2. Recent scientific results/accomplishments and Lessons Learned in the context of the preceding AWP. 3. Goals for the year ahead, including major planning and review activities 4. Schedule, overall with pull out of the year ahead 5. WBS, with detailed description of each activity for the year ahead 6. Budget, overall with pull out of the year ahead 7. Major Purchases planned in the year ahead 8. Key Personnel and their responsibilities 9. Risk involved in accomplishing this work plan

Appendix 2B: Monthly Report Template

1. Progress toward Key Milestones A. Significant Accomplishments B. Technical Status and Activity Update C. Financial Status using Earned Value Management D. Risk Status

2. Project Changes A. Adjustments to Level 1 Milestones B. Use of Contingency Budget C. Cost Variance D. Schedule Variance

Appendix 2C: Quarterly Report Template

1. Executive Summary 2. Key Milestones

A. Significant Accomplishments B. Progress toward Scheduled Milestones C. Technical Status and Activity Report

3. Financial report A. Facilities construction B. Other WBS items

4. Project Changes and Effects A. Adjustments to Level 1 Milestones B. Use of Contingency Budget C. Cost Variance D. Schedule Variance



E. Items requiring change control board 5. Potential areas of future concern

A. Risk Status

Appendix 2D: Annual Report Template

1. Executive Summary 2. Key Milestones

A. Significant Accomplishments B. Progress toward Scheduled Milestones C. Technical Status and Activity Report D. Comparison to Year’s Goals

3. Financial report A. Facilities construction B. Other WBS items

4. Project Changes and effects A. Adjustments to Level 1 Milestones B. Use of Contingency Budget C. Cost Variance D. Schedule Variance E. Items requiring change control board

5. Potential areas of future concern A. Risk Status

6. Future year plans



Appendix 3: Glossary and Acronym List

ADCP Acoustic Doppler Current Profiler ALPS Autonomous LaGrangian Platforms and Sensors AUV Autonomous Underwater Vehicle AWP Annual Work Plan BAFO Best and Final Offer CDR Conceptual Design Review

CI Cyberinfrastructure CND Conceptual Network Design CO Contracting Officer

COTR Contract Office Technical Representative COTS Commercial Off-the-Shelf CSO Coastal Scale Observatory CSTI Compliance Software Technologies, Inc. CTD Conductivity, Temperature, and Depth sensor D&I Design and Implementation

DDRD Detailed Design Requirements Document EA Environmental Assessment EIS Environmental Impact Statement ERD Engineering Requirements Document ESC Executive Steering Committee (old name for OSC)

EVMS Earned Value Management System GEO Group on Earth Observations

GEOSS Global Earth Observation System of Systems GPRA Government Performance and Results Act GSO Global Scale Observatory

IA Interface Agreement ICD Interface Control Drawing IO Implementing Organization

IODP Integrated Ocean Drilling Program IOOS Integrated Ocean Observing System IRS Internal Revenue Service JOI Joint Oceanographic Institutions JPL Jet Propulsion Laboratory

MARS Monterey Accelerated Research System MBARI Monterey Bar Aquarium Research Institute MREFC Major Research Equipment and Facilities Construction

NEPTUNE NorthEast Pacific Time-series Undersea Networked Experiments NMS Network Management System

NOPP National Ocean Partnership Program NSF National Science Foundation

OA&M Operations, Administration, and Maintenance ODP Ocean Drilling Program OOC Observatory Operations Committee OOI Ocean Observatories Initiative

ORION Ocean Research Interactive Observatory Networks OSC Observatory Steering Committee PDP Project Development Plan PDR Preliminary Design Review PEA Programmatic Environmental Assessment PEP Project Execution Plan PFE Power Feed Equipment



PI Principle Investigator PMB Performance Measurement Baseline

PMCS Project Management Controls System PMP Project Management Plan RCO Regional Cabled Observatory RFA Request for Assistance RFP Request for Proposal RIF Risk Identification Form RMT Risk Management Team SLTE Submarine Line Terminal Equipment SODV Scientific Ocean Drilling Vessel SOW Statement of Work SSAC Source Selection Advisory Council SSC Source Selection Committee SSO Source Selection Official SSP Source Selection Plan

STAC Science Technical Advisory Committee SUR Science User Requirements TBD To Be Determined TR Technical Representative

VENUS Victoria Experimental Network Under the Sea



Appendix 4: OOI Project Baseline

There are budget, schedule, and technical constraints on the OOI project. The OOI Project Baseline will allow proper oversight of the acquisition program using MREFC funds. The OOI Project Baseline consists of a Technical Baseline, a Cost Baseline, and a Schedule Baseline. The baseline will be managed and controlled through the OOI Configuration Management and Change Control Plan. NSF has the sole authority to revise any of the baselines. NSF will review cost and schedule baselines with assistance from the OOI Advisory Committee. Baseline reviews will be held with NSF at the following program milestones, to assess progress and reset baselines as necessary:

• At the completion of the Preliminary Design Phase, expected in April 2007 • At the completion of the Final Design Phase, expected in 2008

JOI will neither exceed the schedule and cost baselines nor deliver less than the capability baseline threshold requirements without prior NSF approval. The OOI Project Baseline at the end of the Conceptual Design Phase is defined in three sub-appendices. Appendix 4A shows the technical baseline, Appendix 4B shows the cost baseline, and Appendix 4C discusses the schedule baseline.



Appendix 4A: OOI Technical Baseline at CDR

The OOI Technical Baseline at CDR is defined in the Conceptual Network Design for the OOI Network which is incorporated in this PEP as referenced documents:

• Regional Cabled Observatory – Conceptual Network Design, June 19, 2006 • Global Scale Observatory – Conceptual Network Design, June 30, 2006 • Coastal Scale Observatory – Conceptual Network Design, June 30, 2006 • Cyberinfrastructure – Conceptual Network Design, July 2006



Appendix 4B: OOI Cost Baseline at CDR

Program Office CI IO GSO IO RCO IO CSO IO TOTAL Contingency

Percent Contingency

Dollars Rationale for Contingency

Project Support $7.0 $4.0 $2.0 $4.0 $2.0 $19.0 25% $4.8 Labor

Systems Eng $8.0 $5.0 $4.0 $4.0 $4.0 $25.0 30% $7.5 Interfaces

Software - $8.0 $2.0 $4.0 $2.0 $16.0 20%, 30% (CI) $4.0 Open Source

Hardware - $2.0 $1.8 $6.0 $1.2 $11.0 30% $3.3 Development

Shore Facilities - - - $9.5 $0.6 $10.1 15% $1.5 Experience

Implementation - $6.3 $27.1 $92.9 $41.8 $168.1 20%, 30% (CI) $34.3 Experience, Ship costs

Education $5.0 - - - - $5.0 0% $0.0 Scope

Contingency $55.3 - - - - $55.3

TOTAL $75.3 $25.3 $36.9 $120.4 $51.6 $309.5 $55.3

This cost baseline is in 2006 millions of dollars.

Basis of Estimate

The ORION Engineering Committee has assembled detailed cost estimates for the backbone infrastructure as well as for the hardware and installation at each science node in the OOI Network. These costs are reasonably well understood and are derived from price lists, quotations, previous purchases, and RFP's. These costs are captured in the WBS Implementation elements for each OOI network element and are further described in the CND. Historically, JPL has said that it estimates Project Support and Systems Engineering at 15 percent of the total project cost, so these cost numbers are based in experience. The cost estimate for the Shore Facilities is based upon a desktop study performed for the project. The cost for education infrastructure was allocated by NSF and is capped. Non-recurring engineering is captured in software and hardware development based on estimates by the ORION Engineering Committee. Please note that some higher risk development activities on profiling moorings, AUV docking stations, and bio-fouling resistant sensors is planned to be funded through research funding at NSF and those numbers are not included in this MREFC budget. Contingency Estimate Each element in the WBS was assigned a risk. Higher contingency was assigned to the Cyberinfrastructure software development and implementation because these costs were based on estimates rather than quotations. Hardware development activities were assigned a higher contingency allocation because of the risk associated with new design activities. Systems engineering was assigned a higher contingency because of the large number of interfacing parties in the OOI Network. When in place, the IO's will develop contingency estimates from a bottom up assessment. Annual Operating Costs

As part of the CND process, estimates of annual operating costs were estimated. These are not part of the OOI Project Baseline because they are not part of the MREFC account. These costs will be refined significantly in the years ahead. However, this estimate may be useful for making



life cycle cost trades during the MREFC period of performance. The following chart summarizes the CDR phase view of the annual operating costs for the fully commissioned OOI Network.

Prog Office CI CSO RCO GSO TOTAL Project Management $2.5 $1.5 $1.5 $2.0 $1.0 $8.5 O&M, including ships $1.0 $16.9 $20.0 $18.0 $55.9 TOTAL $2.5 $2.5 $18.4 $22.0 $19.0 $64.4

This cost baseline is in 2006 millions of dollars.

Details supporting these operational cost estimates are available in the CND. Operating costs will begin to be incurred early in the MREFC process when science nodes are brought onto the network and will continue to ramp up as the OOI Network grows. Therefore, operating costs will be well defined by the time the OOI Network is commissioned.



Appendix 4C: OOI Schedule Baseline at CDR

Conceptual Schedule Discussion and Definitions The OOI Network is planned to be in operation for more than 25 years. During that time, the network will continually evolve with new experiments, new sensors, and new capability. For the purposes of establishing a schedule baseline for the MREFC, JOI has developed definitions to focus the answers to questions such as:

When does the MREFC funding end and the operational funding begin? What is the critical path through the project? How should the linkages between OOI Elements be made?

In Figure 2, which shows the schematic representation of the OOI, it is clear that the various observatories are linked together. The Cyberinfrastructure IO will be responsible for implementing the network between the observatory elements. The diagram also depicts the primary science nodes which are linked to the network either directly through a cable, or through satellite and acoustical transmission linkages. The primary science nodes have been geographically located (by the oceanographic community in numerous workshops) to be accessible to answer the highest priority science questions for the OOI. These primary science nodes are shown in the figure as small square boxes at the base of what looks like a stalk of broccoli. From these primary science nodes, extension cables of varying lengths connect to secondary nodes which allow the real estate and power around the primary node to be shared by various sensors, instruments and equipment. Some of the sensors will be core sensors and will be purchased with MREFC funds. As the network evolves over its lifetime, the extension cables, secondary nodes, and attached sensors will change. More sensors will be added, some will be removed. Only the primary science nodes will remain relatively stable. In many cases, the primary science nodes are independent from each other, even in the same scale observatory. For example, each of the GSO moorings is separately linked to the OOI Network via satellite transmission. Obviously, this is not true for the RCO primary science nodes which are all linked by the backbone cable. Clearly, some secondary nodes and some core sensors will be installed during the initial installation of the primary science node. However, the absence of a core sensor would not indicate that the primary science node was not capable of providing scientific data. Therefore, for schedule purposes, JOI defines the OOI Network as being complete when the Cyberinfrastructure is fully capable (Release 3) and all of the primary science nodes are operating. Furthermore, a primary science node is complete when the Cyberinfrastructure is functional (Release 1) and the node is capable of transmitting scientific data and receiving instrument control commands via the Cyberinfrastructure. Primary science nodes can complete in any order and at any time after Release 1 of the Cyberinfrastructure. Therefore, Release 1 of the Cyberinfrastructure software is the critical path for the OOI Network. The MREFC budget constraints and the progress of new development will determine when each primary science node will complete. Because the RCO uses most of the



available OOI Network budget in the mid-years of the project, it will be the controlling factor in the timing of the GSO and CSO node completions. Each primary science node will have a critical path for its completion. Delays in completion of a given primary science node will delay the science from that node, but will not prevent the remainder of the OOI Network from obtaining good science. Therefore, individual primary science nodes are not in the critical path of the OOI Network. Conceptually, this way of thinking about the OOI Network requires an incremental commissioning and acceptance process for each (or each group) primary science node. The OOI Network will begin drawing operational funds when the first primary science node "completes." These definitions are for purposes of schedule and do not define the complete scope of the MREFC project (which includes secondary infrastructure and sensors). Specific OOI Network Schedule Table A4C-1 lists the primary science nodes for the OOI Network and their estimated dates for completion. These estimates will be significantly refined when the IO's are in place and are determining their baseline schedules. The estimates are based around the funding profiles and the estimate of difficulty.

Table A4C-1: Primary Science Nodes and Estimated Dates for Completion

Node Notation Node Name or Location Estimated Completion GA1 Station Papa, North Pacific October 2008 G8 South Pacific Gyre December 2008 C3 Central California February 2009 G6 Mid Atlantic Ridge, DSDP 396 June 2009

GA2 Irminger Sea, Greenland June 2009 C2 Central Washington July 2009 C4 Southern California July 2009 C5 South Atlantic Bight September 2009 G7 South Atlantic, Argentine Basin February 2010

ALOHA Hawaii Sub-Surface May 2010 GA3 East Pacific Rise RIDGE ISS August 2010 GA5 Southern Ocean, Antarctica February 2011 RC1 Hydrate Ridge June 2011 RC2 Newport Line West June 2011 RC3 Blanco Fracture Zone June 2011 RC4 Axial Seamount June 2011 RC6 Subduction Zone June 2011 C1 Central Oregon February 2012 C6 Coastal Pioneer Array June 2012

GA4 Southern Ocean, Chile February 2013 G9 Global Pioneer Array July 2013

Appendix 5: OOI Network Risk Register

ID Description of Risk Likelihood Seriousness Rating Change Mitigation Actions Responsible Party Cost WBS

GSO-1 Environmental Conditions for Implementation of High Latitude SPAR Buoy 5 3 H NEW Development during Preliminary

Design Phase Frye TBD 1.5.4

GSO-2 Development of Upper Water Column Profiler 5 3 H NEW Development during Preliminary Design Phase Frye TBD 1.5.4

GSO-3 EOM Cable and Termination Long Term Testing 4 3 M NEW Development and Testing during Preliminary Design Phase Frye TBD 1.5.4

GSO-4 Reliability of Commercial Acoustic Modem Links 4 3 M NEW Development during Preliminary Design Phase Frye TBD 1.5.4

GSO-5 Sensor Reliability due to Biofouling 4 3 M NEW Sensor Biofouling in Open Ocean to be studied during Preliminary Design Phase

Frye TBD 1.5.4

GSO-6 Limited Weather Window for Maintenance may reduce Availability 4 3 M NEW Accept; Strategy in Reliability

Allocation and Maintenance Plan Frye TBD 1.5.2 1.6

GSO-7 Occasional Loss of Single Point Mooring 3 1 L NEW Review Experience and Incorporate and Lessons Learned or Trends into Preliminary Design

Frye TBD 1.5.2 1.5.4

GSO-8 Electronic/Telemetry Failures due to Catastrophic Failure 3 1 L NEW

Review Experience and Incorporate and Lessons Learned or Trends into Preliminary Design

Frye TBD 1.5.2 1.5.4

GSO-9 C-Band Telemetry Link Failure on remote SPAR buoys 3 1 L NEW

Analyze need for redundant telemetry system on SPAR buoys during Preliminary Design Phase

Frye TBD 1.5.2

GSO-10 Diesel Generator Failure on remote SPAR buoys 3 1 L NEW Analyze need for redundant power system on SPAR buoys during Preliminary Design Phase

Frye TBD 1.5.2

GSO-11 Icing on High Latitude Buoys may reduce Performance 3 1 L NEW

Analyze need for heating sensors given limited power scenario during Preliminary Design Phase

Frye TBD 1.5.2

CSO-1 Immature Technology for AUV Power and Communication Docking Ports 5 3 H NEW Develop Mitigation Plan CSO IO TBD 1.3.2

CSO-2 High Stress and Seabed Instability for Shallow Water Nodes and Profilers 5 2 M NEW

Analyze Potential Stresses for Requirement Specification and Develop Mitigation Plan

CSO IO TBD 1.3.2

CSO-3 Sensor Reliability due to Biofouling 5 2 M NEW

Conduct Survey of Commercial Developments, Propose Development Activities, Incorporate in Reliability Allocation and Maintenance Plans

CSO IO TBD 1.3.2

CSO-4 Immature Technology for Acoustic Linking of Multiple CPIES 5 2 M NEW

Coordinate with GSO Acoustic Plans, Propose Development and Test Activities

CSO IO TBD 1.3.2




CSO-5 Long Term Access to Navy Towers not Guaranteed 5 2 M NEW Begin Negotiations with Navy

during Preliminary Design Phase JOI TBD 1.1.1

RCO-1 Multiple Interfaces and Dependencies 5 5 H NEW

Start RCO requirements and interface control documents at appropriate time; develop teaming arrangements with other IO's

RCO IO TBD 1.4.2

RCO-2 30 Year Design Life in Harsh Enviornment 3 5 H NEW Contractor Selection; Technology Selection; Testing RCO IO TBD

1.4.2 1.4.4 1.4.6

RCO-3 Site Environments Purposely Harsh 3 5 H NEW Select benign route for backbone cables; maintain spare parts for repairs

RCO IO TBD 1.4.2 1.4.6

RCO-4 ROV Cable Laying Operations Required for Extension Cables 3 3 M NEW Review surveys and routes; discuss

with experts RCO IO TBD 1.4.2 1.4.6

RCO-5 Interoperability with NEPTUNE Canada 4 3 M NEW Evaluate cost and reliability of interconnection during the supplier selection process

RCO IO TBD 1.4.2

RCO-6 Development of Profiling Mooring 4 3 M NEW Development and testing of prototypes before manufacturing production units

RCO IO TBD 1.4.2

RCO-7 Environmental Permitting of Active Acoustics 5 5 H NEW

Continue EA/EIS Process; Obtain permits for RCO without active acoustics and make separate application when (and if) deployed

NSF JOI

RCO IO TBD TBD

RCO-8 Legal Liability of RCO Ownership 5 5 H NEW Identify owner, identify liabilities, protect facilities, implement safety practices, purchase insurance.

NSF JOI

RCO IO TBD TBD

RCO-9 Limited Vendors for Backbone Cables 3 3 M NEW Ensure RCO IO RFP contract experience and level, assess contractor solvency and processes

JOI RCO-IO TBD 1.4.1

RCO-10 Change in Economic Climate for Undersea Telecom 3 3 M NEW Track market conditions and

establish appropriate contingency. RCO IO TBD 1.4.1

RCO-11 Extension Cable Survivability in Harsh Environment 3 3 M NEW

Review node locations and routes; study and trade-off cable design and higher maintenance costs

RCO-IO TBD 1.4.2

RCO-12 Instrument Repair and Calibration Intervals 3 3 M NEW

Choose higher reliability sensors and instruments; develop a concept of maintenance and repair during preliminary design phase

Raybould TBD TBD

PM-1 CDR Cost Estimates Based on Smaller Systems 4 3 M NEW

Revise estimates during the preliminary design phase, build a more detailed cost book from bottom-up estimates

JOI TBD PDP

PM-2 Ramp-up of IO's to Support Overall OOI 4 3 M NEW Evaluate IO management maturity JOI TBD PDP




Schedule during selection process; conduct training sessions following selection

1.1.1

PM-3 Marine Mammals Affected by Acoustic Measurements 4 4 H NEW

Continue EA/EIS process in conjunction with OOI technical specifications; establish a working group with other federal agencies

NSF JOI TBD PDP

PM-4 Water Quality Affected by OOI Operations 5 3 H NEW

Work with environmental engineering company to select installation and maintenance processes to minimize disturbance

NSF JOI

All IO's TBD PDP

PM-5 Commercial Fishing in Areas of OOI 5 3 H NEW Perform careful route planning; coordinate with local fishing industry and NMFS

NSF JOI

All IO's TBD PDP

CI-1 Conceptual Cost Estimates Not Detailed 5 4 H NEW

Revise estimates during the preliminary design phase, build a more detailed cost book from bottom-up estimates

JOI Engineering Committee

TBD PDP

CI-2 Dynamic Allocation of Bandwidth and Power for Events 4 3 M NEW

Assess dynamic allocation processes for other types of science observatories and incorporate lessons learned in design

CI IO TBD 1.2.2

Appendix 6: Description of ORION Advisory Structure

Description of the ORION Advisory Structure (Revised March 2006)

ORION Advisory Committee Structure Scientific and technical advice to the ORION Program Office will be provided by a committee structure. The membership of these committees will come from academia, industry, government and the international community, and will include scientists, engineers and educators with broad, interdisciplinary expertise in ocean-related problems. The following is a brief description of the proposed ORION Advisory Structure. This is meant to be a high-level description of the structure and functioning of the ORION Advisory Structure and is not a substitute for formal Terms of Reference for each committee. Solid lines and arrows indicate reporting lines; dashed lines indicate lines of communication. The Observatory Steering Committee (OSC) is the top-level committee in the ORION Advisory Structure. The OSC oversees the operation of the advisory structure, advises the Program Office on policies and procedures for observatory operations, usage and data management, approves (but does not produce) the annual ORION Science and Operations Plans for submission to NSF, and is responsible for longer term program planning and development including fostering links with other national and international research programs and observatory systems. The specific responsibilities of the Observatory Steering Committee (OSC) include:

• The OSC will advise the Program Office and the Board of Managers on the operation of the ORION Advisory Structure including recommending to the Board of Managers the formation and terms of reference for ORION committees as needed; • The OSC appoints Advisory Structure committee members and committee chairs; • The OSC reviews and approves all reports arising from committees in the Advisory Structure; • The OSC approves the ORION Science and Project Execution Plans before forwarding to the Board of Managers who have a fiduciary responsibility to review and approve these plans before they are submitted to NSF (pre-funding phase of OOI); • The OSC approves the annual ORION Science and Operations Plan before forwarding to the Board of Managers who have a fiduciary responsibility to review and approve this plan before it is submitted to NSF (after OOI is funded); • The OSC will advise the Program Office on prioritizations when resource conflicts emerge; • The OSC will develop and approve policies for observatory usage, operations and data management; • The OSC will assist the Program Office in developing procedures and criteria for evaluating the performance of contractors (including observatory operators); • The OSC will, through the activities of the Advisory Structure, develop longer-range scientific and technical goals for ORION and the observatory infrastructure, including developing and annually updating an ORION 5-year plan; • The OSC will work to foster links between ORION and other national and international observing systems (for example, IOOS, GOOS and GEOSS) and focused research programs (such as OCCC, IMBER, SOLAS, RIDGE2000); • The OSC will work to engage all constituencies within the ocean science and technology community in the ORION program; • The OSC will anticipate and assist the Program Office in responding to environmental and public policy concerns related to ocean observatories;

The Science and Technical Advisory Committee (STAC) is the main science and technical planning committee of the ORION Advisory Structure. While the OSC is focused on advising the



Program Office on policies and procedures and on the longer-term scientific goals and development of the ORION Program, the STAC is focused on shorter-term (year-by-year) science planning and technical development, including production of the annual ORION Science and Operations Plan. It will consist of ~15-18 members with broad interdisciplinary expertise in ocean and engineering science. The STAC will meet either as a committee-of-the-whole, or in coastal, regional and global subgroups, as appropriate. The responsibilities of STAC include the following:

• The STAC will assist the Program Office in integrating the science and technical objectives from highly ranked proposals from the RFA process into the Project Implementation portion of Project Execution Plan (pre-funding phase of OOI); • The STAC will assist the Program Office in the development of the annual ORION Science and Operations Plan (operational phase of ORION); • The STAC will provide advice to the Program Office and NSF on the technical feasibility and resource requirements of science proposals submitted to use observatory infrastructure through its operations subcommittee; • STAC will receive regular reports from and delegate tasks to the committees on Sensors, CI/Data Management, Engineering, Education and Public Awareness, and Observatory Operations and advise the OSC on the need for additional standing committees or ad-hoc working groups; • STAC will nurture pre-proposals for experiments with long-lead times or that place unusual scheduling demands on observatory infrastructure; • STAC will recommend to the OSC and Program Office workshops to facilitate science planning and technical development of observatory infrastructure and the development of the ORION program; • STAC will provide advice on fostering closer collaboration between ORION and the ocean and earth science modeling communities; • STAC will coordinate science and technical planning with other national and international observing programs; • STAC will assist the Program Office and NSF in evaluating the scientific performance of observatory facilities.

A subcommittee of STAC, the Observatory Operations Committee (OOC) will have the following two major responsibilities:

• The OOC will provide advice to the Program Office and NSF on the technical feasibility, resource requirements (power, bandwidth, servicing), infrastructure costs, environmental issues and scheduling of proposals to use OOI infrastructure; • The OOC will assist the Program Office in the scheduling of funded observatory experiments and the development of the Operations Plan component of the annual ORION Program Plan.

The OOC will include a subset of members of STAC and senior facility managers from major observatory operators. The ORION Program Director and Project Manager will be ex-officio members of this committee. The Engineering Committee (EC) reports to STAC. The responsibilities of the EC include the following:

• The EC will assist the Program Office in developing the technical descriptions and specifications for observatory elements based on highly ranked proposals from the RFA process and subsequent community workshops into the Project Implementation portion of Project Execution Plan (pre-funding phase of OOI); • The EC will assist the Program Office in identifying areas of high technical risk and recommend ways to mitigate risk; • The EC will provide input to the Program Office on the cost analysis/tradeoffs for various observatory configurations;



• The EC will provide advice to the Program Office on the technical specifications for RFP's issued by the Program Office; • The EC will advise the Program Office on observatory technical standards for sensor interfaces, power, communications, etc; • The EC will recommend modifications to, or enhancement of, the observatory infrastructure as new technology becomes available; • The EC will assist the Program Office and NSF in evaluating the technical performance of observatory facilities.

Other committees reporting to the STAC include a Sensors Committee, a Cyberinfrastructure Committee, an Education and Public Awareness Committee, and an Observatory Facilities Operators Committee (OFOC). The OFOC, like the UNOLS RVOC, would provide a forum for observatory operators to meet and share information of common interest on observatory construction, installation, operation and maintenance. Liaisons between these various committees will ensure each committee is aware of the other’s activities. These committees may meet jointly as appropriate. The Chairs of each committee will attend meetings of the STAC.



Appendix 7: IO Project Execution Plans Each IO, when identified, will prepare a Project Execution Plan. These plans will also be living documents with regular updates. Each of the IO PEP's must be consistent with this overarching OOI PEP, just as this OOI PEP will become more detailed as the IO's are named. Since the IO's will not be identified for several months, this version of the OOI PEP includes the RFP's for each IO as a stand-in for their future PEP. These RFP's are incorporated by reference:

• RCO Request for Proposal • CI Request for Proposal • GSO and CSO Request for Proposal(s) – to be developed

JOI will issue the RFP for the GSO and CSO in a single solicitation. Offerors may bid on one or both observatories, but they will prepare a separate proposal for each. Each proposal will be judged on its own merits with prejudice. If a single Offeror is judged to be the best value for each solicitation, then that organization will be asked to prepare a combined bid. In the event that the CSO and the GSO are contracted to a single IO, the PEP's will also merge. In order to simplify updates of both this PEP and each IO's PEP, the IO PEP's will also be incorporated by reference. The controlling IO PEP will be the latest edition entered into the OOI document control system.