Climate Change Initiative Extension (CCI+) Phase 1 - New Essential Climate Variables - Statement of Work

Transcription

1 ecsat Fermi Avenue Harwell Campus Didcot, Oxfordshire OX11 0FD United Kingdom T +44 (0) Climate Change Initiative Extension (CCI+) Phase 1 - New Essential Climate Variables - Statement of Work Prepared by ESA Reference ESA-CCI-PRGM-EOPS-SW Issue 1 Revision 3 Date of Issue 22/08/2017 Status Approved Document Type SOW Distribution

2 Table of contents: 1 SCOPE Terminology Applicable Documents Reference Documents CCI PROGRAMME BACKGROUND CCI Programme Scope and Context CCI Programme Objectives CCI Programme Implementation CCI+ Phase I Longer term continuity Phase I Cardinal Requirements ECV to be Addressed International Scientific Cooperation Building on the CCI Legacy Technical Constraints Role of the Climate Research Group Scientific Cooperation between CCI Project teams Interface to CMUG Knowledge Exchange Activities CCI Programme Outputs TASKS TO BE EXECUTED Organisation of the Work Task 1 - Requirements Management Objectives Work Logic for Task Inputs Activities Deliverables Task 2 Algorithm Development Objectives Work Logic for Task Inputs Activities Deliverables Task 3 - System Development Objectives Work Logic for Task Inputs Activities Deliverables Task 4 ECV Product Generation & Validation Objectives Work Logic for Task Inputs Activities Deliverables Task 5 - Assessment of ECV Products by Climate Users Objectives Page 2/63

3 3.6.2 Inputs Activities Deliverables MANAGEMENT REQUIREMENTS Organisation Prime Contractor Science Leader Project Manager Working Teams EO Science Team Validation Team Climate Research Group System Engineer(s) Working Groups Climate Science Working Group (CSWG) Data Engineering Working Group (DEWG) Meetings Contract Progress Meetings Annual Review Meetings Colocation Meetings CMUG Integration Meetings Meeting Locations Deliverables Data Sets Documents Project Monitoring Project Management Plan Monthly Progress Report Project Scientific Highlights Quarterly Progress Report ECV Project Website Schedule Meetings Schedule Deliverables Schedule Milestones Schedule ABBREVIATIONS AND ACRONYMS Annex A: Water Vapour ECV (Water_Vapour_cci) Annex B: Salinity ECV (Salinity_cci) Annex C: Sea State ECV (Sea_State_cci) Annex D: Lakes ECV (Lakes_cci) Annex E: Snow ECV (Snow_cci) Annex F: Permafrost ECV (Permafrost_cci) Annex G: Land Surface Temperature ECV (LST_cci) Annex H: High Resolution Land Cover ECV (HR_LandCover_cci) Annex I: Biomass ECV (Biomass_cci) Page 3/63

4 1 SCOPE This Statement of Work (SoW) specifies the tasks to be performed by the Contractor under the first phase ( ) of ESA s Climate Change Initiative Extension (CCI+) for the New ECVs. It will serve as a contractually applicable document for all contracts awarded by ESA as a result of this Invitation to Tender. The tasks to be undertaken by the Contractor, the deliverables to be generated, the technical and performance requirements to be met, and the project schedule and milestones to be achieved are defined herein. During execution of the project the Contractor shall comply with the requirements set out in this document, including all Annexes. Where there is a conflict between requirements stated in the main body of this document and its annexes, the annex shall have precedence. This document is organized as follows: Section 1: documents Defines the document scope, terminology, applicable and reference Section 2: Presents the background to the CCI programme and identifies resulting requirements for the CCI projects to be implemented Section 3: Specifies the tasks to be executed in each CCI project, and describes the associated workflow Section 4: Specifies the management requirements, deliverable items, schedule and milestones, applicable to all CCI projects Section 5: Provides a list of Acronyms and Abbreviations Annexes A-I Define specific technical requirements applicable to each individual ECV. Page 4/63

5 1.1 Terminology GCOS specific terms An understanding of the terminology used in reference to climate-related datasets is important for communicating the correct meanings and intentions. Terms used in this document follow the definitions provided in GCOS-200 [RD-15], specifically: Essential Climate Variable (ECV) An ECV is a physical, chemical or biological variable or group of linked variables that critically contributes to the characterization of Earth s climate. ECVs have been identified by GCOS according to the following criteria: Relevance: The variable is critical for characterising the climate system and its changes; Feasibility: Observing or deriving the variable on a global scale is technically feasible, using proven, scientifically understood methods; Cost-effectiveness: Generating and archiving data on the variable is affordable, mainly relying on coordinated observing systems using proven technology, taking advantage where possible of historical datasets. Climate data record (CDR) A CDR is a time series of measurements of sufficient length, consistency and continuity to determine climate variability and change. These changes may be small and occur over long time periods (seasonal, interannual and decadal to centennial) compared to the short-term changes that are monitored for weather forecasting. Climate data records can be created by merging data from surface, atmosphere and space-based systems. Fundamental climate data record (FCDR) A fundamental climate data record (FCDR) consists of calibrated and quality-controlled sensor data. It denotes a well-characterized, long-term data record, sometimes involving a series of instruments with potentially changing measurement approaches, but with overlaps and calibrations sufficient to allow the generation of products that are accurate and stable in both space and time to support climate applications. Examples of FCDRs are calibrated radiances, backscatter of active instruments and radio occultation bending angles. FCDRs also include the ancillary data used to calibrate them. ECV product An ECV product denotes parameters that need to be measured for each ECV. For instance, the ECV cloud property includes at least five different geophysical variables where each of them constitutes an ECV product. There may be several CDRs for each ECV product. Page 5/63

6 Measurement domain Atmospheric Oceanic Terrestrial Essential Climate Variables Surface: air temperature, wind speed and direction, water vapour, pressure, precipitation, surface radiation budget Upper-air: temperature, wind speed and direction, water vapour, cloud properties, Earth radiation budget, lightning Composition: carbon dioxide (CO2), methane (CH4), other long-lived greenhouse gases, ozone, aerosol, precursors for aerosol and ozone Physics: temperature: sea surface and subsurface; salinity: sea surface and subsurface; currents, surface currents, sea level, sea state, sea ice, ocean surface stress, ocean surface heat flux Biogeochemistry: inorganic carbon, oxygen, nutrients, transient tracers, nitrous oxide (N2O), ocean colour Biology/ecosystems: plankton, marine habitat properties Hydrology: river discharge, groundwater, lakes, soil moisture Cryosphere: snow, glaciers, Ice sheets and Ice shelves, permafrost Biosphere: albedo, land cover, fraction of absorbed photosynthetically active radiation, leaf area index, aboveground biomass, soil carbon, fire, land surface temperature Human use of natural resources: water use, greenhouse gas fluxes Table 1: Essential Climate Variables for which global observation is currently feasible and that satisfy the requirements of the UNFCCC and broader user communities. [RD-15] CCI specific terms Processing System: A processing system in the context of the CCI Programme and hence this SoW is a science-driven system that produces the required data products to satisfy the GCOS and evolved data requirements, is built on the heritage of the prototype systems, system specifications and requirements generated in precursor projects, is capable of processing long time series, and rapidly reprocessing them, is under configuration control Page 6/63

7 and maintenance (bug tracking, reprocessing, traceability) and is technically capable of being sustainable in the long term beyond funding from the CCI programme. Third Party Mission: ESA uses its multi-mission ground systems to acquire, process, distribute and archive data from other satellites known as Third Party Missions. The data from these missions are distributed under specific agreements with the owners or operators of those missions, which can be either public or private entities outside or within Europe. See [RD-25]. Copernicus Space Component: The Copernicus Space Component comprises two types of satellite missions, six families of Copernicus dedicated Sentinel satellites and missions from other space agencies, called Contributing Missions. A unified ground segment, through which the data are streamed and made freely available for Copernicus services, completes the Space Component. See [RD-27]. DOI (Digital Object Identifier): this provides an electronic document/dataset a unique, global and permanent identifier which identifies a particular version of the relevant data/document. It serves to provide both visibility and the ability to cite ECV datasets. The DOIs have accompanying citation rules. Transferability: The ability to reinstall the software or operating system onto a new computer. Sustainability: The ability to maintain the system in a safe and reliable functioning condition according to pre-defined requirements. It includes the ability of the whole system to work together to accomplish the common task. CCI+: In this document CCI+ is used to refer to the extension to the CCI programme that was approved by ESA Member States in December 2016, and nominally extends over the period CCI is used to refer to the whole programme, from (i.e. including the CCI+ extension). CCI is formally known as the Global Monitoring for Essential Climate Variables (GMECV) element of the European Earth Watch programme. 1.2 Applicable Documents [AD-1] Data Standards Requirements for CCI Data Producers, CCI-PRGM-EOPS-TN , 9 March Available online at: Reference Documents [RD-1] Systematic Observation Requirements for Satellite-based Products for Climate: Supplemental Details to the satellite-based component of the Implementation Plan for the Global Observing System for Climate in support of the UNFCCC (GCOS-92), GCOS-107, September 2006 (WMO/TD No.1338). Available online at Page 7/63

8 [RD-2] [RD-3] [RD-4] 2015 Update of Actions in The Response of the Committee on Earth Observation Satellites (CEOS) to the Global Climate Observing System Implementation Plan 2010 (GCOS IP-10). Available online at mate_the-ceos-cgms-response-to-the-gcos-2010-ip_jun2015.pdf The Second Report on the Adequacy of the Global Observing Systems for Climate in Support of the UNFCCC, GCOS 82, April 2003 (WMO/TD No. 1143). Available online at IPCC, 2007: Climate Change 2007: Synthesis Report. Contribution of Working Groups I, II and III to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change [Core Writing Team, Pachauri, R.K and Reisinger, A. (eds.)]. IPCC, Geneva, Switzerland, 104 pp. All four documents contributing to the Fourth Assessment Report are available online at m [RD-5] The ESA Climate Change Initiative Description, issue 1 revision 0-30/09/09 EOP-SEP/TN/ /SP Available online at: [RD-6] Climate Change Initiative web site: [RD-7] GCOS Climate Monitoring Implementation Principles, November Available online at: _Principles.pdf [RD-8] Guideline for the Generation of Satellite-based Datasets and Products meeting GCOS Requirements, GCOS Secretariat, GCOS-128, March 2009 (WMO/TD No. 1488). Available online at: [RD-9] [RD-10] [RD-11] [RD-12] Quality assurance framework for earth observation (QA4EO): The ESA Data User Element: IPCC, 2013: Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change [Stocker, T.F., D. Qin, G.-K. Plattner, M. Tignor, S.K. Allen, J. Boschung, A. Nauels, Y. Xia, V. Bex and P.M. Midgley (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA, 1535 pp. Available online at: EU Research Programmes on Space and Climate: H2020 ( and Copernicus ( Page 8/63

9 [RD-13] [RD-14] [RD-15] Implementation Plan for the Global Observing System for Climate in support to UNFCCC (2010 Update), GCOS-138, August Available online at: Systematic Observation Requirements for Satellite-Based Data Products for Climate Update, GCOS-154, December Available online at: The Global Observing System for Climate: Implementation Needs, GCOS-200, October Available online at: [RD-16] Status of the Global Observing System for Climate - Full Report, GCOS-195, October Available online at: [RD-17] ESA CCI: CCI Project Guidelines EOP-DTEX-EOPS-SW , Available at: [RD-18] ESA CCI Status 2012 v1.1, CCI-MNGT-EOPS-TN , September Available at: te.pdf [RD-19] M. Dowell, P. Lecomte, R. Husband, J. Schulz, T. Mohr, Y. Tahara, R. Eckman, E. Lindstrom, C. Wooldridge, S. Hilding, J. Bates, B. Ryan, J. Lafeuille and S. Bojinski, 2013: Strategy Towards an Architecture for Climate Monitoring from Space. Pp. 39. This report is available from: mate_strategy-towards-an-%20architecture-for-climate-monitoring-from- Space_2013.pdf [RD-20] S. Bojinski, J-L. Fellous, June 2013: Response by ESA to GCOS - Results of the Climate Change Initiative Requirement Analysis, GCOS Secretariat, CCI-PRGM- EOPS-TN Available online at [RD-21] [RD-22] Hollmann, R.; Merchant, C.J.; Saunders, R.; Downy, C.; Buchwitz, M.; Cazenave, A.; Chuvieco, E.; Defourny, P.; De Leeuw, G.; Forsberg, René; Holzer- Popp, T.; Paul, F.; Sandven, S.; Sathyendranath, S.; Van Roozendael, M.; Wagner, W. The ESA climate change initiative: Satellite data records for essential climate variables. American Meteorological Society. Bulletin, Vol. 94, No. 10, 2013, p Available online at: (Joint Committee for Guides in Metrology, 2008, Evaluation of measurement data Guide to the expression of uncertainty in measurement (GUM), JGCM 100: Available online at Page 9/63

10 [RD-23] Merchant, C., et al, 2017, Uncertainty information in climate data records from Earth observation, Earth Syst. Sci. Data Discuss., doi: /essd , [RD-24] Ohring, G., 2007: Achieving Satellite Instrument Calibration for Climate Change. National Oceanographic and Atmospheric Administration, 144 pp. [RD-25] Ohring, G., Tansock, J., Emery, W., Butler, J., Flynn, L., Weng, F., St. Germain, K., Wielicki, B., Cao, C., Goldberg, M., Xiong, J., Fraser, G., Kunkee, D., Winker, D., Miller, L., Ungar, S., Tobin, D., Anderson, J.G., Pollock, D., Shipley, S., Thurgood, A., Kopp, G., Ardanuy, P. And Stone, T., 2007, Achieving satellite instrument calibration for climate change. Eos, Transactions American Geophysical Union, 88, p. 136 [RD-26] ESA Third Party Missions: rview [RD-27] Copernicus Space Component: ent [RD-28] European Cooperation for Space Standardization: ecss.nl [RD-29] Data Standards Requirements for CCI Data Producers (v1.2, March 2015) cci.esa.int/sites/default/files/cci_data_requirements_iss1.2_mar2015.pdf 2 CCI PROGRAMME BACKGROUND 2.1 CCI Programme Scope and Context The Climate Change Initiative Extension (CCI+) was approved by ESA member states at the Ministerial Council in December 2016, as an element of the European Earth Watch Programme. CCI+ capitalizes on the success of the CCI programme element, as well as previous investments in the space and ground segment by ESA, its Member States and its European partners, and their commitment to long term operational provision of global satellite observations, notably through the Copernicus Sentinel missions and the EUMETSAT meteorological missions. CCI+ takes, as its primary source of requirements, the GCOS Status and Implementation Needs documents which have been recently published [RD-15] [RD-16] as well as the previous GCOS Implementation Plan and associated Satellite Supplement [RD-13] [RD- 14]. CCI+ aims to continue the successful achievements made under the CCI programme to date on the research, development and qualification of pre-operational ECV Page 10/63

11 products and processing systems that are then ready to be transferred to operational production outside CCI. CCI does not build operational processing systems. CCI develops software systems for preoperational ECV production in a research context. Within CCI the system development work comprises products specification, algorithm development and improvement, uncertainty characterisation, prototype product generation, system definition, sizing and demonstration. The aim is that the resulting specifications will subsequently be handed over to be further developed into operational systems in a non-esa context. CCI actively coordinates with other European initiatives including the Copernicus Climate Change Service (C3S), EUMETSAT and its Satellite Applications Facilities (SAFs), and other national climate service initiatives. The aim of this cooperation is to ensure an optimal uptake of the R&D performed under CCI in the operational production of ECVs outside ESA, and to assess with these operational entities the R&D needs to be supported by CCI in future. By mid-2017, eight of the ECVs developed under CCI had found an operational home in C3S. The scope of this CCI extension (CCI+) covers four main themes: (i) (ii) (iii) (iv) Development of new ECVs, not yet included in CCI New R&D on existing ECVs that were already started in CCI Cross-ECV scientific exploitation Supporting activities on Knowledge Exchange The subject of this Statement of Work is restricted to theme (i), the development of new ECVs. To maximise scientific return from Europe's investments in space infrastructure, theme (i) of CCI+ will perform the development and qualification of ECVs that were not included in CCI so far. As well as the development and qualification of new ECV retrieval algorithms, an associated task is to build the data processing systems (software) required to produce the ECV products pre-operationally and produce prototype products. The list of the new ECVs for CCI+ is: A. Water Vapour B. Sea Surface Salinity C. Sea State D. Lakes E. Snow F. Permafrost G. Land Surface Temperature H. High Resolution Land Cover I. Above-Ground Biomass Page 11/63

12 Any adequate response to this statement of work will require all project participants to be fully informed on the scope and international context of this programme. 2.2 CCI Programme Objectives The objective of the CCI (and its extension CCI+) as laid out in the programme declaration approved by ESA Member States is: To realize the full potential of the long-term global Earth Observation archives that ESA together with its Member states have established over the last thirty years, as a significant and timely contribution to the ECV databases required by United Nations Framework Convention on Climate Change (UNFCCC). CCI ensures that full capital is derived from previous, on-going and planned ESA missions for climate purposes, including the historical ERS and Envisat missions, the ESA Earth Explorer missions, relevant ESA managed archives of Third-Party Mission data and the Copernicus Space Component. An essential feature of CCI is to implement a coherent and continuous suite of actions that encompasses all steps necessary for the systematic generation of relevant Essential Climate Variables (ECVs), and ensures their regular updating on timescales corresponding to the increasingly urgent needs of the international climate change community. The users of the ECV data products, as specified by GCOS, are the scientific, research, and operational organizations from the UNFCCC countries responsible for climate research, modelling, climate service development, assessment and prediction within nationally and internationally funded programmes. Some, but not all, of these scientists, organizations and programmes are already users of ESA EO data products. Consequently, it is expected that project teams will engage key international scientific user communities and climate science programmes to guide their activity, to independently validate their results and to test prototype products within climate research and climate service activities, as part of the project. 2.3 CCI Programme Implementation New ECVs will be addressed in dedicated projects that each encompass all activities necessary for the development, processing, validation and climate user-assessment of one or more related ECVs. Activities on each ECV will be progressively built-up over two 3- year phases, as illustrated in Figure 1. Phase 1: Scientific user consultation, detailed specification, algorithm development testing and intercomparison, uncertainty characterisation, ECV product prototyping, validation and climate-user assessment; Phase 2: Pre-operational system development and demonstration, large scale ECV data processing, final validation and climate-user assessment. Page 12/63

13 Each phase will involve multiple cycles of ECV algorithm development, processing, validation, user assessment, and feedback, to ensure progressive iterative development towards meeting the GCOS requirements. The gap between phases will be minimised as much as possible to avoid loss of key expertise and engaged users, subject to permitting sufficient time to fully evaluate the outcomes of Phase 1 before initiating procurement of Phase 2. Phase 1 ECV Projects Phase 1 ECV ITTs!! (i) New ECV Projects (ii) New R&D on Existing ECVs CCI+ Mid Term Review " Phase 2 ECV Projects Phase 2 ECV ITTs!! (i) New ECV Projects (ii) New R&D on Existing ECVs Cross-ECV Exploitation & CMUG Knowledge Exchange CSAB Meetings " " " " " " " " Colocation Meetings " " " " " " " CMUG Integration Meetings " " " " " " " Figure 1: CCI+ schedule Each project will consist of a multidisciplinary team of four groups: EO retrieval algorithm developers, Validation scientists, System development engineers, A dedicated Climate Research Group (CRG) The CRG will provide in-depth user-assessment of the specific ECV products delivered by a single project. The validation and climate research groups within each project shall be separate from the EO retrieval algorithm and system engineering groups (i.e. consortium partners shall not have a role in both ECV development/production and ECV evaluation activities). This is to ensure independence and therefore credibility in the ECV evaluation and assessment activities conducted within each project team. The technical activities of each project shall be directed by a Science Leader who will be an internationally recognised leader in the retrieval or in the assessment of the ECV from EO data. Deliverables shall consist of full-mission and multi-mission ECV data sets, including free and open data access via the CCI Open Data Portal, plus supporting documentation covering the full development cycle from climate user requirement analysis to climate user assessment. The subsequent transfer of pre-operational ECV production systems to Page 13/63

14 operational entities shall be supported by the delivery of relevant system documentation covering system requirements analysis, design, specification and verification. This Statement of Work encompasses the Phase 1 component for the nine ECVs listed above, nominally corresponding to the period A mid-term review by the Participating States shall take place in December 2020, and shall guide the execution of Phase 2. The rationale and details of the technical challenges to be addressed for each of these ECVs are elaborated in the Technical Annexes A-I CCI+ Phase I Phase I provides a unique opportunity for the European EO science community in collaboration with the climate science community to define and validate innovative approaches for continuously generating and updating a comprehensive and consistent set of ECV global satellite-based data products in the long term i.e. decades hence. The focus is on a major sustained, and coordinated scientific effort to review and improve underlying processing, retrieval and validation methods. To do so the climate science community shall be involved in each project to define what is to be implemented but also to determine how it can most effectively be implemented with regard to both system architecture and system operations while remaining science driven throughout. This requires from the outset, scientists, systems experts, and prospective operators to work side by side in CCI to identify modern, adaptive and cost effective implementation and sustainable approaches. To aid this process a series of coordination and scientific exchanges between the teams shall be introduced at programme-level. CCI teams shall also contribute to specific working groups on Data Engineering and, given the importance of contributing to IPCC AR6, on Climate Science. Science Leaders are expected to meet regularly to coordinate their activities, independently of ESA, and thus help to structure the CCI programme itself. Cooperation with international partners and projects shall occur at project level, through established international scientific working groups and forums. All project documentation shall be made publicly available via the CCI Open Data Portal: In addition to the new ECV projects which are the subject of this SoW, a dedicated Climate Modelling User Group (CMUG) is being set up to provide integrated consistency and quality analysis, from a climate model perspective, across all ECVs being addressed in the CCI programme. CMUG will also strengthen the links with, and foster the use of, CCI products in the climate modelling and reanalysis community. It is expected that the CMUG and the project Climate Research Groups will interact closely and will together contribute to the CCI Climate Science Working Group. Page 14/63

15 2.3.2 Longer term continuity CCI performs R&D necessary to support the operational production of ECVs under activities such as C3S. This R&D foundation feeds into operational European framework(s), managed and funded by organizations that have the mandate, expertise, infrastructure and funding mechanisms necessary to sustain long-term generation and cyclical updating of ECVs for GCOS and UNFCCC beyond the lifetime of the CCI. Therefore all CCI project teams should, throughout the project, take into account technical issues related to future implementation in an operational context. They should actively prepare future opportunities for doing so within operational structures in Europe, both those existing and those planned, particularly Copernicus and, if appropriate, operational meteorology. 2.4 Phase I Cardinal Requirements Each CCI project (the contractor) shall meet the following Cardinal Requirements (these are further tailored within each specific ECV Annex contained in this document): [CR-1] Develop and validate algorithms to approach the GCOS ECV and meet the wider requirements of the Climate Community (i.e. long term, consistent, stable, uncertainty-characterized) global satellite data products from multisensor data archives. [CR-2] Produce, validate and deliver consistent time series of multi-sensor global satellite ECV data products for climate science. [CR-3] Maximise the impact of European EO missions data on climate data records. [CR-4] Generate and fully document a production system capable of processing and reprocessing the data in CR-2, with the aim of supporting transfer to operational activities outside CCI (such as C3S). [CR-5] Strengthen the CCI programme through inter-disciplinary and cross-domain cooperation. Page 15/63

16 [CR-6] Strengthen inter-disciplinary cooperation between international earth observation, climate science communities, through involvement in major intercomparison or assessment initiatives using the collective resources from the CCI programme. [CR-7] Publish the results of the CCI projects in world class peer-reviewed scientific journals, in particular in time to contribute to IPCC Assessment Reports, and actively pursue collaborations to ensure these results are known to the climate science communities. The Cardinal Requirements are derived directly from the programme objectives and programme implementation plan approved by ESA Member States. They constitute the top level objectives for each CCI project and they determine the measures by which ESA will formally assess the progress, success, or failure of each CCI project. All other requirements, defined herein, are derived from them. In addressing these cardinal requirements each CCI project team shall: Pursue scientific advances, innovation and international excellence to achieve the significant performance improvements required by GCOS for specific ECVs [RD-15]. Adhere to the GCOS guidelines for the generation of global satellite data products [RD-8]. Build-on lessons from previous projects and existing global data sets, in particular outputs from the CCI itself. Bring together several leading research groups expert in EO data analysis along with relevant engaged climate research groups (for evaluation and feedback). These groups shall be representative of the expertise in Europe for any given ECV. Collaborate with the main worldwide groups developing and producing climate relevant products from satellite observations to develop the ECV products through exchange of experience, inter-comparison exercises and merging approaches. Such collaborations are necessary for sharing data (particularly validation data), establishing common data standards, and jointly developing and testing improvements to algorithms. Work with the appropriate international research communities that ultimately will use the data. Liaise with other consortia producing ECV products under the CCI to ensure consistency is assured, in particular focusing on algorithm, ancillary data and processing efficiency. Page 16/63

17 Liaise with the CMUG and the wider Climate Research Community to ensure the ECV products developed are compatible with their needs. Go as far as possible in a research context to generate consistent, long-term global data sets, improved with respect to those presently available. In particular, the teams will quantify the added value of the ECV data set they generate, compared to what is currently available and used by the climate research community. They will also quantify the incremental improvement of one reprocessing cycle to the other. Provide a free and unlimited licence for using the ECV data to ESA and all users. Cooperate with ESA and its contractors to transfer copies of the ECV data to the CCI Open Data Portal for publication. Also provide public information about the project and document deliverables for publication. Assist in the integration of the ECV data products with the CCI Toolbox software. Provide input, and review content developed, for CCI knowledge exchange activities, which include communication to the wider scientific community, public, decision makers, and educational audiences. 2.5 ECV to be Addressed [R-1] Each CCI project (the contractor) shall address one of the 9 ECVs listed in table 2. ECV GCOS-200 (October 2016) Project Name Annex to this SoW Atmosphere Water Vapour p.89-91, Table 23 Water_Vapour_cci Annex A Ocean Sea Surface Salinity p , Table 24 Salinity_cci Annex B Sea State p , Table 24 Sea_State_cci Annex C Lakes p , Table 25 Lakes_cci Annex D Snow p , Table 25 Snow_cci Annex E Permafrost p , Table 25 Permafrost_cci Annex F Terrestrial Land Surface Temperature High Resolution Land Cover Above-Ground Biomass p , Table 25 LST_cci Annex G p , Table 25 HRLC_cci Annex H p , Table 25 Biomass_cci Annex I Table 2: ECVs within the scope of this statement of work Page 17/63

18 [R-2] Each CCI project shall be executed within a total of 36 months, with annual reviews of progress conducted by ESA hosted in ECSAT. In addressing these ECVs the emphasis will be on performing the necessary R&D required for the generation of high quality, global, long-time series, maximising the consistency between products from different satellite missions and between different ECVs. Demonstration and validation of the successful achievement of this R&D will require the delivery of sufficiently long prototype global ECV time series and their assessment by climate users as part of each CCI project. A comprehensive algorithm assessment (Round- Robin) bringing together the key algorithms for each ECV and dedicated effort on uncertainty characterisation from the input data through to the product will be critical components in Phase 1 of CCI International Scientific Cooperation The CCI programme must meet the needs of the international climate science community and contribute effectively to the collective international response to GCOS, via CEOS and GEO. Consequently: [R-3] Each CCI project (the contractor) shall make significant progress towards meeting the corresponding GCOS requirements for their ECV. Key elements of the international framework for this programme are: GCOS: which represents the scientific and technical requirements of the Global Climate Observing System on behalf of UNFCCC, IPCC and WMO (e.g. for Ozone Assessment Reports); World Climate Research Programme, which represent the collective interests and priorities of the worldwide climate research communities; CEOS and CGMS WGClimate: which serves as a focal point for climate-related Earth Observation activities of Space Agencies in the Research and Meteorological Domain; Individual Partner Space Agencies with whom ESA cooperates bilaterally; EU and National Research Programmes which establish research priorities and provide resources for the climate research community within Europe; Climate Services who are major users of the ECV data sets produced; Page 18/63

19 Individual end-user organizations in ESA member states and worldwide, climate research, monitoring and modelling practitioners who are active in the IPCC processes. While ESA will ensure the necessary international coordination at programme level, each CCI project team shall implement the necessary international scientific coordination at project level. In practice, this means that each CCI project team (the contractor): [R-4] Within Europe: shall take full advantage of existing results, on-going projects, and future funding opportunities from national research programmes, from the EC Copernicus and Horizon 2020 programmes, from ECMWF and from EUMETSAT, when planning, implementing and reviewing the progress of their CCI project. In particular: Establish effective scientific and technical exchanges with relevant EC H2020 climate research projects, and Copernicus services, in particular the Copernicus Climate Change Service (see [RD-12]) Maintain and enhance the integration of relevant data from EUMETSAT meteorological observing systems within the ECV data products. Develop cross-fertilization between different ECV projects within CCI, by planned cross-project activities and coordinated work-packages. Capitalize on the links CMUG provides to international climate re-analysis and modelling communities and projects such as CMIP6. [R-5] On the international scene: shall coordinate activities with non-european teams, and seek independent scientific review of methods and validation of results, under the auspices of the authoritative international scientific bodies, most appropriate for each ECV. Consequently a limited provision within each project's budget envelope is available for organisations from countries outside the ESA Member States to participate in CCI+ projects - for details, please see the ITT Special Conditions for Tender document. In particular: Page 19/63

20 Actively pursue opportunities for enlarged cooperation with expert international research teams, notably with teams generating ECV climate records with observations from NASA, NOAA, USGS and other missions. This should in particular focus on algorithm intercomparison and uncertainty characterisation. Continue efforts to integrate data from operational and research sources, both European and non-european, in order to extend the temporal extent, ensure the continuity, and enhance the resilience of the ECV data products. Maintain close engagement with GCOS Panels (AOPC, OOPC, TOPC) and contribute to future updates of the GCOS Status and Implementation documents. Each CCI team shall provide feedback to GCOS on the evolving requirements and technical specifications of ECV products through participation in the activities of the relevant GCOS Panel (i.e. AOPC, OOPC, or TOPC). Support WGClimate by submitting new ECV records to the WGClimate ECV Inventory ( Actively contribute to the IPCC AR6 and Special Reports through the publication of key results, contribution to intercomparison activities, and involvement in relevant writing teams. 2.7 Building on the CCI Legacy The CCI programme grew from the experience of the Glob series of projects in ESA's Data User Element [RD-10] and represents a concerted effort to establish long time series of consistent products as a contribution to the ECVs required by GCOS. Over the period , CCI developed long term climate data records responding to GCOS requirements for the following ECVs: Cloud Ozone Aerosol Greenhouse Gases (CO2 and CH4) Sea Ice Sea Level Sea Surface Temperature Ocean Colour Glaciers and Ice Caps Land Cover (Medium Resolution) Fire Disturbance Soil Moisture Page 20/63

21 Ice Sheets Further information about these ECVs is available from the CCI web site (cci.esa.int). CCI+ will similarly benefit from the precursor work that has continued in DUE, in projects such as GlobTemperature, GlobBiomass, GlobSnow, GlobPermafrost as well as from the innovation, approach and rigour of the CCI programme itself. In parallel, the initiation of the Copernicus programme and the continued development of the EUMETSAT SAF network has both contributed to and changed the landscape that CCI occupies. [R-6] Each CCI project (the contractor) shall bring continuity of action and coherent scientific progress, to relevant existing research efforts, including Copernicus, capitalising on advances made during precursor projects and relevant previous CCI projects. Since the beginning of the CCI programme advances in climate research, including increases in the sophistication of both climate models and the model validation process, and understanding of the Earth system have taken place as reported in IPCC AR5 [RD-11]. The CCI has contributed to these advances while also creating the framework to provide improved insight into questions raised by AR5 and requiring responses for AR6. Aspects of the legacy of the CCI, derived generically from the project teams, are summarised as: The CCI projects have made a significant science impact through papers on methods, standards and product exploitation but also through the provision and integration of data products more firmly within the climate community. CCI ECV data sets have been used to verify climate models, to produce better climate trends, better uncertainties, better consistency (in particular with the products being consistent with one another) and better access to the data sets through the CCI Open Data Portal and Obs4MIPs. Methods and techniques for obtaining ECV products from satellites have been developed and improved over the life of the programme. The selection of algorithms, through the round-robin process, was obtained through a consensus between EO experts and with contributions from climate scientists. There has been a strong emphasis on validation, with the generation of large databases a common outcome of the projects, and the production and refinement of formal protocols for validation. CCI Projects have generated long time series, consistent, high quality products that are multi-sensor and have both improved spatial and temporal coverage. There has been an emphasis on consistency in the CCI products both within and across projects. CCI has promoted cooperation between projects and encouraged the community to come together to learn from each other as well as develop new coordination Page 21/63

22 mechanisms. This has developed links between European partners including multiinstitute collaboration on algorithm development and improved scientific collaborations between EO and climate researchers. There has been strong engagement in international activities which has raised the profile of the CCI Projects, the CCI programme, ESA and Europe more generally. This has included international collaboration, in particular with US groups, to facilitate product intercomparison, product merging and validation. The working approach in the CCI Programme has brought together disparate communities at the EO level, but also across disciplines (satellite, in situ, climate) and domains (land, ocean, atmosphere) and promoted a sense of community and strong working relationships encouraging consensus. All projects have contributed to the development of consistent open access product availability through the CCI Open Data Portal. The CCI projects and CCI programme have contributed significantly in moving forward on uncertainty characterisation and its establishment as an essential feature of ECV product generation. Cooperation across different expert groups has been especially productive, both on the retrievals and with key users. Being part of the wider CCI programme and most importantly having stable funding for a period of time has allowed regular improvement, reprocessing and data analysis cycles, resulting in quasi-continuously improved data quality. The emphasis on data standards and documentation promoted good discussions and feedback between the CCI programme and individual projects. This has enabled improvements to the transfer of products into the climate community through agreed data standards. The work undertaken in the CCI programme has had a significant impact in moving forward the GCOS process and also in addressing data issues and gaps in the IPCC, COP and UNFCCC as well as contributions to Model Intercomparison Exercises and the Coupled Model Intercomparison Project Phases 5 and 6 (CMIP5 and 6). It is of critical importance that the CCI+ projects learn from, understand and build upon the achievements and working processes already established in CCI. As a consequence: Each CCI project (the contractor) shall take into account the legacy of the CCI in their projects. This involves: [R-7] adopting the community consensus concept learning from, understanding and building upon the success achieved in CCI Page 22/63

23 espousing the implicit request to contribute actively to the core elements of the CCI Programme, in particular Colocation and Integration meetings, working groups, cross-programme activities (Open Data Portal, Toolbox, Knowledge Exchange) and cross-project initiatives. However, repetition of the work undertaken in CCI is not envisaged, other than the reprocessing of data to accommodate more consistent and improved algorithmic approaches. Such reprocessing shall not be assumed to be the responsibility of the existing teams and must be accounted for in the proposed approach. Thus: [R-8] Each CCI+ project (the contractor) shall assess the relevant documents, systems and data generated in CCI as the basis for their CCI+ project with the emphasis on the value and applicability of the algorithms, quality of outputs, specification of uncertainties and capability for reprocessing. 2.8 Technical Constraints [R-9] Each CCI project team (the contractor) shall take full account of the following key technical constraints when planning and implementing the CCI project: During Phase 1 the project consortium shall need to respond to the following technical constraints: Need for scientific consensus on detailed ECV product and performance specifications Availability and quality input data from EO Archives (ESA and non-esa) Availability and quality of associated metadata, cal/val data, and documentation Compatibility of data from different missions and sensors Trade-offs between cost, complexity and impact of new algorithms to be developed and validated during the project Advance planning for data from new missions to be integrated during the project End-to-end throughput of ECV production systems Re-use of existing capabilities within Europe Compliance to applicable standards Availability of external validation data No duplication of activities covered by other projects or programmes (e.g. H2020, Copernicus, national funding) Page 23/63

24 In addition: The project consortium is encouraged to take advantage of the documents available from previous CCI projects, as they provide a template for teams new to CCI to benefit from: o User Requirement Document (URD) o Product Specification Document (PSD) o Data Access Requirement Document (DARD) o Algorithm Theoretical Basis Document (ATBD) o Uncertainty Characterisation Report (UCR/CECR) o Detailed Processing Model (DPM) o Input Output Data Definition (IODD) o System Requirements Document (SRD) o System Specification Document (SSD) o Database for Task 3 (from Phase I) (DTBT3) o Climate Research Data Package (CRDP) o Climate Assessment Report (CAR) During Phase 1 the development of prototype capabilities should benefit from advances made elsewhere within Europe as well as existing processing approaches from CCI. It is vital that the CCI project team is aware of and has as its objective to progress towards and contribute to the global scientific consensus on detailed ECV product and performance specifications. Consistency and efficiency are key elements of the CCI programme and hence exploitation of the potential for common processing approaches with other CCI projects is encouraged. The FCDR and hence ECV is dependent on the availability and quality of input data from EO Archives (ESA and non-esa) and long-term future systems e.g. Copernicus Sentinels, ESA Earth Explorers, Third Party and other Missions. It is each CCI project's responsibility to acquire the relevant data and perform advance planning for the acquisition of data from new missions. Maintenance of the quality and consistency of the output as new satellite sensors are introduced into the data stream is critical to the generation ECV products. Therefore all issues associated with data inputs need to be considered in product generation. Uncertainty characterisation is central to the development of ECV products and must be undertaken through consideration of the impacts of all potential sources Page 24/63

25 of uncertainty from the input data through to the output products ([RD-22], [RD-23], [RD-24], [RD-25]). A fundamental requirement for each ECV data product is the provision and quality of the associated metadata, including where relevant provision of associated calibration and validation data. The outputs should also be accompanied by appropriate user-oriented documentation to facilitate ease of use by the climate research community. Projects include the development of science-driven, sustainable ECV processing systems. Thus: o Systems need to be designed for continued future operation outside the CCI programme (and ESA funding) to ensure that ECV developments made under CCI can later be exploited in operational programmes outside ESA. o The systems need to be designed to be sustainable. Hence there is a need to plan for evolution from the prototype approach towards compliance with applicable software standards e.g. appropriate components of ECSS- E-ST-40C [RD-28]. This implies the requirements for configuration control and maintenance (bug tracking, reprocessing, traceability), operability and transferability are priorities. They shall at the start of the project identify the correspondence between the documentation set within this project and those required by the applicable Software Standard. o Since the system is science-driven it must be capable of being regularly updated as scientific understanding improves and new algorithms are developed. The incorporation of new algorithms needs to consider tradeoffs in cost, complexity and scientific impact on the quality and consistency of outputs, and the introduction of new algorithms must not jeopardise the output generation. The design should also be modular and flexible while at the same time capable of rapid reprocessing, thus the overall design needs to be developed with end-to-end throughput of the ECV production as a design priority. Continuous validation of the ECV products, ensuring the validation is performed comprehensively in time and space, is critical to their acceptance and use by the climate research community. Thus access to validation data, including that external to the project, is a fundamental prerequisite. CCI ECV projects are dedicated to the generation of the European contribution to the ECV. This type of work is also the subject of activities elsewhere within Europe and thus it must be clear that activities under CCI are not a duplication of activities covered by other projects or programmes (e.g. Copernicus, H2020, National funding). Page 25/63

26 2.9 Role of the Climate Research Group Each CCI project team includes a Climate Research Group (CRG) with domain-specific expertise and capabilities for each ECV covering a wide range of climate research applications, from process understanding to adaptation. This group will identify areas of climate science that are likely to benefit significantly from the ECV. Based on the outcome of this process the CRG will design and implement "case studies" to demonstrate the scientific impact of these ECVs. Priority will be given to case studies that (i) contribute to the IPCC Assessment process, and (ii) enhance transfer of CCI ECV R&D to external climate services such as C3S. The CRG also has the responsibility to interface with the climate science community and identify specific user needs and priorities, elaborate upon the high-level requirements set by GCOS, provide independent critical user reviews of product definitions and algorithm performance and assess the consistency and quality of data products. The CRG is also expected to contribute actively to the CCI programme through its colocation and integration meetings and participation in the Climate Science Working Group (CSWG), as well as promoting CCI to the wider climate science community. The CSWG provides a means to ensure complementarity and efficient interaction between CRG and CMUG activities. To aid this process, the CRG members of all the project teams are encouraged to collectively discuss their activities, exchange ideas and plan assessment exercises and/or participation in larger international assessment exercises. They should feedback to the CCI project teams and programme the initiation and progress of international assessment exercises, explore mechanisms for cross-ecv and multi-ecv assessment exercises within the CCI and finally, be responsible for improving links between the CCI and international research programme projects (e.g. Future Earth, WCRP) in collaboration and coordination with CMUG. Thus: [R-10] Each CCI project team (the contractor) shall engage key international scientists to guide their activity. [R-11] Each project's CRG shall also participate in the cross-programme Climate Science Working Group coordinated by CMUG Scientific Cooperation between CCI Project teams During the CCI the common benefits provided by the CCI programme of exchange between different CCI projects was highlighted by the Science Leaders [RD-21]. Such interdisciplinary interaction potentially brings the benefits of: Page 26/63

27 Encouraging consistency across the projects to maximise the utility of the products for users Increasing the science impact through development of a science agenda to exploit the ECV products. Contributing to building a community of non-eo scientists who are familiar with a range of ECVs and ESA products. These cooperations are required from the start both between CCI+ projects but also where practical, with existing CCI projects that are still active. The cooperation can be implemented as loose exchange or as coordinated work packages either as engineering or as scientific types of activities. Coordinated work packages shall address only one well defined engineering or scientific issue. Potential risks associated with project interdependencies shall be fully analysed and subject to ESA approval prior to commencing any work. Work packages from more than two CCI projects may be coordinated. Each independent workpackage shall have an identified leader and clearly identified deliverables (which could be a set of chapters in a single common document for example) Interface to CMUG CMUG will continue as a structured forum, dedicated to CCI, through which all CCI projects can, iteratively, identify achievable performance targets for each ECV, discuss and inter-compare assessment methods, agree best practices and common standards, and conduct multi-disciplinary assessments of the consistency, uncertainty characteristics and impacts of the global data products generated by CCI. The CMUG will establish working links and information exchange between the CCI programme and the global climate modelling community at large, coordinating with relevant international activities related to climate modelling, such as WCRP, CMIP, Obs4MIPs, H2020 projects (e.g. FIDUCEO, GAIA-CLIM) and infrastructures such as IS- ENE2. In addition, the CMUG project team, addressing specifically the Climate Modelling & Re- Analysis communities, will independently assess the quality and impact that multiple ECVs have in climate modelling and reanalysis. This will involve analysis both spatially and temporally as well as in terms of consistency and quality of model results in the context of the ECV products. As a consequence: Page 27/63

28 Each CCI project team (the contractor) shall cooperate with the CMUG team for: Participation of at least one representative of each ECV project's CRG in the cross-programme Climate Science Working Group (CSWG) led by CMUG annual working meetings of the CSWG involving all CCI projects, convened by CMUG (i.e. CMUG Integration Meetings) [R-12] open review of key climate science developments and testing of ECV products particularly analysing consistency across products and in relation to the model formulations assessing the uncertainty characterization of satellite data products from each CCI project and from models. comparing climate quality satellite data products and climate models generating systematic user feedback for annual planning of CCI projects 2.12 Knowledge Exchange Activities The CCI programme has developed tools and materials, as well as participating in a number of events in order to promote and communicate its work and results. All of the available ECV data sets have been visualised and added to the CCI Visualisation Tool that allows non-experts to explore and compare the data. A publically available version of this tool was also made available as a tablet App, called Climate from Space. Brochures, fact sheets and a Massive Open Online Course (MOOC) are some of the other material that has also been developed during the course of the CCI programme. These have all facilitated easy communication of the programme to the participating ESA member states and potential users of CCI data, helping the programme to gain international visibility. A separate contract on Knowledge Exchange will be initiated under the CCI Programme in It is planned that the promotion and communication activities will be further expanded in CCI+ to have a more targeted impact on a wider range of audiences, including educational, scientific, public, and decision makers. In order for this to be done successfully it is essential that the CCI projects cooperate with the Knowledge Exchange team to provide input and review of the content jointly developed. Therefore: [R-13] Each CCI project shall liaise with the Knowledge Exchange team in order to contribute relevant outreach material and tools, and identify opportunities for wider promotion. Page 28/63

29 2.13 CCI Programme Outputs ESA Member States have assigned resources to the CCI programme extension so that it will, in due course deliver a well defined, comprehensive set of outputs. Deliverables include global data sets, associated metadata, software systems, scientific reports and technical documentation, all complying with: GCOS Climate Monitoring Implementation Principles [RD-7]. Guideline for the Generation of Satellite-based Datasets and Products meeting GCOS Requirements [RD-8]. Each CCI project shall produce validated long-term prototype ECV data records, as specified in the Annexes to this statement of work. CCI is intended to significantly advance scientific understanding of the climate system and of climate change, in support to the IPCC process (see Since the IPCC assessments synthesise collective understanding of the state of the planet from world class peer-reviewed scientific journals, the CCI must produce and publish its results in world class peer-reviewed scientific journals with a particular emphasis in on meeting the publication deadline for the IPCC AR6. [R-14] Each CCI project team (the contractor) shall publish its results in world class peer-reviewed scientific journals with the objective to have them cited in the IPCC AR6. 3 TASKS TO BE EXECUTED 3.1 Organisation of the Work The work envisaged in Phase 1 is contained in five discrete technical tasks and one management task to be executed under each ECV development contract: Requirements Management, Algorithm Development, System Development, Product Generation, Product Assessment, Project Management. Page 29/63

30 These tasks will be organised to allow a graceful evolution of the system from the prototype developed in Phase 1 to the sustainable version in Phase 2 with the tasks revisited following a cycle of review-design-produce-assess as indicated in Figure 1. Figure 2: Cycle of Tasks during Phase 1 Each task consolidates a major activity and produces deliverables that the Contractor will need to maintain throughout the contract. Concurrent engineering and management practices shall be adopted whenever possible to maintain continuous project activity in tasks which can be carried out in parallel to avoid unproductive latency times. Feedback on algorithm performance obtained, e.g. during system prototyping or from users after dissemination shall be immediately analysed by the groups working on product specification and algorithm development for preparation of upgrades and re-processing cycles. [R-15] Each CCI project team (the contractor) shall execute all tasks as specified herein. These activities will be managed in annual cycles (not necessarily synchronised with calendar years) with annual reviews to assess achievements against major milestones and deliverables during the previous year. Conceptually each annual review presumes a reprocessing as indicated in Figure 2. This cyclic approach is intended to result in updated Page 30/63

31 and improved data products with the new version assessed against the old both in terms of production and climate impact. The later reprocessing phases will include new instruments with a specific emphasis on incorporation of new satellite instruments (such as the Copernicus Sentinels, Earth Explorers, etc.) as a means to ensure long-term evolution of ECV data products. The precise implementation of each project may be adapted for specific circumstances, as specified in the relevant ECV Annex. Figure 3: Conceptual organisation of work flows for the 6 tasks showing 3 cycles of reprocessing corresponding to the three years of the project. The overlap of task start and end dates is clearly indicated The above schedule is a template that each CCI team may adapt in accordance with the effort and time needed for the different tasks on each specific ECV. For example, it may be preferable, for a given ECV, to start certain tasks sooner than identified in the template, or to continue work on certain tasks for longer. This adaptation should reflect the current state of art, maturity of algorithms, diversity of input data sources, and present operational readiness for each ECV. CCI Project teams should note that: Task 1 Requirement Management involves compiling and maintaining ECV user requirements, product specification and data requirements documentation. This documentation shall be maintained, periodically reviewed and kept up-to-date as the project develops. Task 2 Algorithm Development focuses on assessing the quality and consistency of algorithms for generating products for individual satellites, across satellites and also across ECVs by introducing new or evolving existing algorithms across the entire processing chain. This involves comprehensive algorithm testing and assessment in a formalised and fair manner (round-robin) based on open established criteria to determine the most appropriate algorithms for products meeting GCOS ECV requirements. This is needed to Page 31/63

32 ensure progress towards GCOS and wider user requirements and is particularly relevant for the introduction of new satellites e.g. ESA Earth Explorers and Copernicus Sentinels. These developments will respond to requirements (Task 1) and feedback from the user assessment of products from task 5 in a cyclic approach. Task 3 System Development is intended to develop Processing Systems, implement improved algorithms (Task 2) and product quality in response to user requirements (Task 1) and feedback from subsequent (Task 5) user assessments of the products generated (Task 4). Task 4 Product Generation is intended to generate the full set of ECV products using the Task 3 processing system and reprocess them following Task 5 feedback. Task 5 Product Assessment is intended to perform a full assessment of the ECV products produced in Task 4 (including reprocessed versions as required) by the associated CRG and international scientific community in particular those involved in international assessments for the specific ECV. Task 6 Management concerns the overall project management and this task is covered in Section 4. Page 32/63

33 3.2 Task 1 - Requirements Management Objectives The objective of this task is to document the user requirements of climate science and climate services for ECV products, and to update these documents as required to capture significant changes in user requirements, evolved product specifications, changed satellite data availability, and lessons learnt during the course of the project. This should take into account the priorities of international climate assessments (e.g. IPCC AR6 WG1), and specific user requests for ECV data products, such as for use in e.g. model intercomparison exercises, climate services, or model down-scaling. This shall take account of recent GCOS updates[rd-15], [RD-16]and be guided by [RD-8], as well as feedback between GCOS and CCI such as that completed in 2013 [RD-20], and assessment of the WGClimate ECV Inventory. Each ECV project team shall coordinate with other relevant CCI project teams in order to define common ancillary data sets (e.g. land/sea mask), reference data sets (e.g. reanalysis) or thresholds (e.g. cloud masking), in order to improve the cross-ecv consistency of data products Work Logic for Task 1 GCOS,&CEOS,&Climate&Community,&Climate&Services& CMUG& URD& PSD& Other&CCI& DARD& Inputs This task requires a comprehensive survey of climate user requirements, elaborating on the high-level ECV specification provided by GCOS [RD-15], [RD-16]. All applications of the ECV in climate science shall be considered, not limited to only those represented in the project's CRG. Each CCI team is encouraged to discuss widely with other CCI projects in Page 33/63

34 this phase to ensure there is consideration of cross-ecv consistency and cost efficiency in terms of processing. As starting points the following shall be consulted: This SoW complete with its Annexes GCOS-200: The Global Observing System for Climate: Implementation Needs, October 2016 [RD-15], GCOS-195: Status of the Global Observing System for Climate - Full Report, October [RD-16], GCOS-154: Systematic Observation Requirements for Satellite-based Products for Climate [RD-14], GCOS-138: Implementation Plan for the Global Observing System for Climate in support of the UNFCCC [RD-13], The Response of the Committee on Earth Observation Satellites (CEOS) to the Global Climate Observing System (GCOS) Implementation Plan (IP) 2010, CEOS, GCOS Global Climate Monitoring Principles [RD-7] GCOS Guideline for the Generation of Satellite-based Datasets and Products meeting GCOS Requirements [RD-8] Lessons from other relevant projects and existing global data sets Lessons from assimilation of existing global data products in numerical climate models Activities In consultation with the CMUG, the Climate Research Group engaged in the project, relevant other CCI projects and the wider climate science community, write the User Requirements Document (URD), Product Specification Document (PSD), and the Data Access Requirement Document (DARD). The PSD shall specify ECV product uncertainty targets based on climate user requirements. These documents shall be critically reviewed and revised annually (or at the start of each reprocessing cycle) to reflect changing user needs and updates to GCOS documentation and CEOS responses to them. This review shall also take into account the evolving capabilities of the available satellite infrastructure, technical developments in distribution of data products and consensus across the programme from the DEWG, CSWG and Open Data Portal and Toolbox teams. The Contractor shall provide feedback to EO data providers on requirements for FCDRs needed to support the delivery of ECVs meeting GCOS requirements. Feedback to ESA shall be coordinated via the DEWG. Provide feedback to GCOS on the evolving requirements and technical specifications of ECV products through participation in the activities of the relevant GCOS Panel (i.e. AOPC, OOPC, or TOPC) Page 34/63

35 3.2.5 Deliverables Delivery of the following documents: D1.1 User Requirement Document (URD) D1.2 Product Specification Document (PSD) D1.3 Data Access Requirement Document (DARD) 3.3 Task 2 Algorithm Development Objectives The objective of this task is to develop, test and select the necessary algorithms to generate the high quality (multi-sensor) ECV data products required by the end-users. This process shall respond to the performance requirements identified in the URD and PSD. Major sustained, and coordinated scientific effort shall be undertaken to review, improve, and re-invent the underlying processing and retrieval algorithms. This includes the prototyping of scientifically improved algorithms for ECV processing, as well as aggregation and multi-sensor data merging. The best performing algorithm(s) or combinations of algorithms shall be selected following an open round-robin algorithm inter-comparison and product validation exercise following the protocols developed and agreed on by the relevant key science bodies in the initial steps of this task. Validation activities shall be performed by consortium partners who are not involved in ECV development and production. Following the algorithm selection a detailed description of the algorithms will be generated as the basis for subsequent implementation in an end-to-end system to be used for the generation of a sufficient quantity of test ECV products to allow their effective assessment. [R-16] Each CCI project team (the contractor) shall integrate data from the Copernicus Sentinels and other key satellite missions within the relevant CCI processing systems and ECV data products. Page 35/63

36 3.3.2 Work Logic for Task 2 Task&1&A&URD,&PSD,&DARD,&& (Previous&ATBD,&PVIR,&CAR,&E3UB&as&in&each&cycle)& Other&CCI& ATBD,& PVP& E3UB& Round ARobin& ADP& Inputs From Task 1 the following documents: D1.1 User Requirement Document (URD) D1.2 Product Specification Document (PSD) D1.3 Data Access Requirement Document (DARD) Activities! Round Robin of algorithms and selection of the best algorithm(s) to use for the ECV. Write the Product Validation and Algorithm Selection Report (PVASR) as the output of the Round-Robin intercomparison of algorithms.! Write an Algorithm Theoretical Basis Document (ATBD) based on the PVASR with the emphasis on consistency across satellites and across relevant ECVs. This shall include consideration of consistent approaches to ancillary data and where relevant pre-processing modules.! In the Algorithm Development Plan (ADP), document on an annual basis the planned algorithm developments to be performed in each year of project activity, together with the algorithm developments achieved in the preceding year.! Develop an end-to-end uncertainty budget by estimating the uncertainties that arise in each step of the retrieval process, including from instrument noise characteristics, atmospheric correction, geolocation, pixel classification, and geophysical product retrieval. Include all potential sources of uncertainty, for example those introduced from the use of external ancillary data (e.g. meteorological fields), forward radiative Page 36/63

37 transfer models, incorrect retrieval model assumptions, etc. Analyse how these different sources of uncertainty combine into the total product uncertainty, and make an estimate of this. Identify the major sources of uncertainty, and also investigate sources of uncertainty that are difficult to quantify (e.g. unknown optical properties). Uncertainties in validation data sources shall be characterised. Where independent measurement of each component of ECV product uncertainty is impossible, the uncertainty budget must be derived using a theoretical/simulation approach. Document this analysis in the End-to-End ECV Uncertainty Budget (E3UB).! The ATBD shall specify how product uncertainties shall be calculated (estimated) on a per-pixel basis, reflecting the combination of sources of uncertainty identified in the E3UB.! Write an ECV Product Validation Plan (PVP) describing the validation approach, and listing all reference data sets to be used in the validation of each ECV product. Fiducial Reference Measurements (FRM) are a suite of independent, fully characterized, and traceable ground measurements that follow the guidelines outlined by the GEO/CEOS Quality Assurance framework for Earth Observation (QA4EO). Where available, fiducial reference measurements should be utilised for validation purposes. The validation approach should follow QA4EO guidelines. Access mechanisms to all validation data shall be described Deliverables Delivery of the following documents: D2.1 Product Validation and Algorithm Selection Report (PVASR) D2.2 Algorithm Theoretical Basis Document (ATBD) D2.3 End to End ECV Uncertainty Budget (E3UB) D2.4 Algorithm Development Plan (ADP) D2.5 Product Validation Plan (PVP) 3.4 Task 3 - System Development Objectives The objective of this task is, for each ECV, to develop a Processing System capable of generating the ECV data products (Task 4) as specified in the applicable technical annex (A-I). This includes the evolving needs for ECV data processing as specified in the applicable technical annex (A-I). Page 37/63

38 [R-17] Each CCI project team (the contractor) shall ensure that the system is adequately dimensioned to accommodate the growing volumes of input and output data, and the increasing computational loads needed to process, reprocess, quality control, validate, and disseminate multi-decadal, global, ECV data products, of the required climate quality, in a timely manner Work Logic for Task 3 Task%1%&%Task%2%Deliverables,% E3UB,%CCI%Data%Standards% Task%3% Exis>ng%European% assets,%including% Open%Source% scien>fic%tools%and% prototype%ecv% processing%systems% from%other%projects.%% SRD% SSD% SVR% Inputs The following documents: D1.1 User Requirement Document (URD) D1.2 Product Specification Document (PSD) D1.3 Data Access Requirement Document (DARD) D2.2 Algorithm Theoretical Basis Document (ATBD) D2.3 End-to-End ECV Uncertainty Budget (E3UB) D2.4 Algorithm Development Plan (ADP) CCI Data Standards Document [RD-29] Activities The Contractor shall: Page 38/63

39 Create a System Requirements Document (SRD) specifying the requirements of a Processing System capable of generating ECV data products as specified in the applicable technical annex (A-I). The SRD shall include verifiable requirements on the following: Data processing function of each step of its processing chain, including data volumes; Platform specification; Compliance to all processing needs defined by the Task 3 inputs. Fully capitalise on existing European assets through their reuse, particularly Open Source scientific tools and prototype ECV processing systems from prior projects. All investment in tools and technology shall be optimal and justified. Create a System Specification Document (SSD) specifying the design of the Processing System. The SSD shall fully meet the SRD. The SSD shall include details on the following: Trade-off criteria and trade-off analysis; Engineering methodologies adopted; A quantitative justification for cost-effectiveness of the system platform, particularly in relation to Cloud facilities; Security measures preventing malicious access to the system; A design walkthrough describing fully usage of the system; Conformance to EU General Data Protection Regulations (GDPR). Develop the system specified by the SSD. All code developed shall be Open Source (MIT License) as far as is possible by the licensing constraints of existing ECV processing systems reused by the Contractor. All Open Source code developed by the Contractor shall be maintained in a common CCI github code repository, details of which shall be provided by the Agency at project kick-off. Mitigate development risk by performing the following practices: Confirmation of legal right to tools and technologies prior to usage; Source-code version control; Issue tracking; Regular backup of assets. Create a System Verification Report (SVR) which includes a plan for system validation and verification which addresses the SRD, and evidence of compliance to the plan in the form of the design walkthrough defined by the SRD. All Task 3 deliverables are considered living documents and shall be revised given progress in other tasks, including: Revised user requirements; Revised sensor requirements; Revised processing input data; Algorithm improvements; Consistency with other CCI product outputs; Feedback from product assessment in Task Deliverables Delivery of the following documents: D3.1 System Requirements Document (SRD) D3.2 System Specification Document (SSD) D3.3 System Verification Report (SVR) Page 39/63

40 3.5 Task 4 ECV Product Generation & Validation Objectives This task involves the generation of global products using the processing system developed in Task 3, and their quality assessment against independent validation data. Products shall be global (spatially complete), long time series, multi-sensor, as specified in the Technical Annexes (A-I). Consistency across the full temporal record is required and CCI Data Standards [RD-29] shall be fully implemented Work Logic for Task 4 Task&1& &PSD,&DARD& Task&2& &E3UB,&ATBD,&PVP& Task&3& &ProcessingASystem& Prototype& Products& ValidaMon& Products& CRDP& PVIR& AlternaMve& Products& PUG& Products& and& metadata& to&odp& Inputs From Task 2 and Task 3 the following documents: Algorithm Theoretical Basis Document (ATBD) Product Validation Plan (PVP) End to End ECV Uncertainty Budget (E3UB) Product Specification Document (PSD) Page 40/63

41 Data Access Requirement Document (DARD) Task 3 Processing System Activities " Generate the Climate Research Data Package (CRDP) as a fully uncertainty characterised, long time series of global ECV products as described in the Technical Annex (A-I) using the Processing System developed in Task 3. As part of the CRDP, provide a Release Note with every new ECV data set produced, documenting the product version and differences with earlier versions. " The ECV validation dataset, generated to fully characterise the global long time series products produced above, shall be included in the CRDP. " Confirm compliance of all ECV products to the CCI Data Standard. " Validate all aspects of the ECV products against independent measurements, according to the approach in the Product Validation Plan. Compare the results of the validation with the accuracy and stability requirements set by GCOS [RD-15]. " Intercompare the ECV products with other commonly used satellite and modelbased estimates. " Intercompare the products from the prototype (or previous version of the new processing system as relevant) and new processing system including assessment of inter-instrument consistency and document in the Product Validation and Intercomparison Report (PVIR). Ensure there is assessment of both spatial and temporal consistency in the assessment and that the products are assessed against product quality requirements. " For credibility, all validation and intercomparison activities shall be carried out by a team within the project that is separate from the ECV algorithm development and production teams. " Provide details to the DEWG on cases where ECV product compliance with the CCI Data Standards is difficult to implement. In such cases, the respective CCI project team shall propose solutions to the DEWG for discussion and implementation. " Write a user-oriented ECV Product User Guide (PUG) for every ECV data set made publicly available, and provide it to the users together with the ECV products. The user guide shall cover data format specifications, including the meaning of all metadata fields and quality flags, high-level qualitative user guidance on strengths, weaknesses and limitations of the product, and summarise quantitative results on product uncertainties from the PVIR. It shall cover: " Scientific quality of the products with respect to GCOS target requirements and the URD. " Product availability, access and usability recommendations for different applications of climate science, and comparison with alternative sources of information for this ECV (e.g. other satellite or model-based data sets). Page 41/63

42 " Maturity of the products and processing system " Product documentation and relevant scientific publications " Any existing usage information and user feedback " Review products and algorithms and implement changes based on PVIR conclusions and inputs from Task 5, and utilise this feedback in Task 2 to update the ATBD under configuration control. " Provide the products to the Climate Research Group, and on completion of product validation to other external groups via the CCI Open Data Portal. " Provide advance notification to the CCI Open Data Portal team of each new ECV product at least 3 months in advance of its availability. This notification shall include details of the new data product, such as metadata information and confirmation of its compliance to the CCI Data Standards. " Provide the ECV product to the CCI Open Data Portal immediately following its successful validation. " The Contractor shall submit the final ECV products produced in Year 3 to the WCRP Data Advisory Council for inclusion in the obs4mips initiative, and shall prepare the ECV products in obs4mips format, and write the required obs4mips documentation (proposal, technical note, etc.) " Promptly notify the CMUG and Knowledge Exchange teams of each new ECV product released for assessment, promotion and visualisation purposes Deliverables Delivery of the following documents: D4.1 Product Validation and Intercomparison Report (PVIR) D4.2 Climate Research Data Package (CRDP) D4.3 Product User Guide (PUG) 3.6 Task 5 - Assessment of ECV Products by Climate Users Objectives This task comprises comprehensive assessment of the ECV data products by CRG participants, and where relevant, other CCI projects and the wider climate research community, through links between them and the CRG. For each of the reprocessing cycles, feedback will be provided by the CRG to the project team responsible for ECV product generation to aid algorithm improvement. This feedback will pass back to Task 2 for review of algorithms, Task 3 for system design, changes where required in system implementation and Task 4 for reprocessing of products. This process will take into account the framework for international coordination established by the ECV project teams. To enhance exchange Page 42/63

43 between the project team and the wider climate research community, the project shall organise dedicated user workshops. The CRG will be responsible for liaising with the existing user community, engaging new users and participating in international assessments to which the ECV product contributes. Assessment will also be conducted by relevant independent international assessment panels. Where these do not exist the consortium should seek to establish a working group through collaborative activity. For credibility, the ECV product assessment shall not be performed by consortium partners who are also involved in ECV development and production activities Inputs From Tasks 1-4 the following Documents: User Requirements Document (URD) Product Specification Document (PSD) Algorithm Theoretical Basis Document (ATBD) End to End ECV Uncertainty Budget (E3UB) Product Validation and Intercomparison Report (PVIR) Product User Guide (PUG) From Task 4 the following Data set: Climate Research Data Package (CRDP) Activities Conduct product assessments to assess impact, product quality and appropriateness for climate needs using either specific models or by trend analysis and studies of spatial consistency against other climate data or CCI data products. Liaise with CMUG, and other CCI project CRG teams where necessary, on all ECV assessment activities via the Climate Science Working Group, through participation in CMUG integration meetings and other bilateral meetings as necessary. Review the Product User Guide (PUG) and recommend to Task 4 any necessary revision. Perform at least four user case studies of the application of the ECV products in climate science. At least one of these user case studies shall demonstrate the use of the ECV in a climate service. All user case studies shall provide as their main deliverable a scientific article submitted to a world-class peer reviewed scientific journal. User case studies shall begin work by KO of Year 2 at the latest. Provide feedback to the consortium based on these analyses via a Climate Assessment Report (CAR). These activities should quantify the added value of ECV data set generated in terms of improvement over existing ECV data products. Page 43/63

44 Liaise with and contribute to relevant international assessment exercises and panels (establishing a new working group where that does not exist already). Record in the Climate Assessment Report information on how the ECV assessment work is coupled with relevant international assessment exercises and panels Once the ECV products are available, organise at least one User Workshop to showcase the ECV products to the wider climate user community outside the CCI, and to gather user feedback which should also be included in the CAR Deliverables Delivery of the following documents: D5.1 Climate Assessment Report (CAR) D5.2 Peer reviewed publications submitted to world-class science journals documenting the results of each user case study. 4 MANAGEMENT REQUIREMENTS [R-13] Each CCI project team (the contractor) shall comply with all management requirements specified herein Page 44/63

45 4.1 Organisation ESA Technical Officer Science Leader Open Data Portal Project Manager Toolbox Knowledge Exchange EO Science Team Validation Team Climate Research Group System Engineers Working Groups (DEWG, CSWG) 4.2 Prime Contractor Each Consortium working on an ECV shall be led by a single Prime Contractor. The Prime Contractor shall appoint a Science Leader who shall lead the Consortium and be the interface to ESA and a Project Manager who shall provide the necessary administrative support to the Science Leader to ensure the project remains within schedule, within budget and achieves its objectives. 4.3 Science Leader The Science Leader shall be an internationally recognised expert from the EO science community, with a broad knowledge of ECV algorithm development, ECV product validation and assessment, and of ECV usage in climate science, with a proven track record on research activities relevant for the concerned ECV and with expertise in coordinating large scale research projects. The Science Leader of each ECV is the interface to ESA for all issues. They shall be responsible for setting-up the project in a manner that facilitates interaction, exchange and coordination. The Science Leader shall: Participate in activities carried out by either the EO Science Team, Validation Team, or Climate Research Group. Page 45/63

46 Manage the science interface with research groups, networks and relevant scientific bodies including the interface to the engaged Climate Research Groups. Manage the interface with the System Engineers to ensure that that the system specifications are driven by the scientific objectives and an effective exchange of ideas is established with the Climate Research Group and the EO Science Team. Actively link to and interact with the climate modelling experts engaged in the ESA Climate Modelling User Group (CMUG) project and with the other ECV project teams Build interfaces and linkages with relevant actors and community consensus groups and ensure efficient coordination and collaboration with all relevant partners and external activities of the wider community Ensure feedback mechanisms with the wider Climate Research Community Establish coordination and efficient cooperation with relevant on-going external activities and projects inside Europe (e.g., funded nationally, by EC or by EUMETSAT) and outside of Europe (e.g., NASA, NOAA, JAXA). Work closely with the Project Manager to achieve all milestones and ensure the timely delivery and quality of all documents and data sets. Participate in all project meetings with ESA (KO, annual reviews, progress meetings, CMUG Integration meetings, Colocations, etc.). 4.4 Project Manager The Project Manager shall support the Science Leader in the overall management of the project and ensure that all tasks are executed in a coherent, consistent and efficient manner. They shall have a proven track record on managing large scale international projects and an understanding of the scientific issues being tackled in the project. The Project Manager shall: Provide at Kick-Off and implement the Project Management Plan to achieve the objectives of the ECV project set out in this SoW Monitor progress of each task and identify, follow-up and close-out all problems or under-performance Set up and maintain a project actions database Organise internal quality review and ensure timeliness in submission of all deliverables Compile monthly progress reports and minutes of meetings Compile brief quarterly progress reports for a technically literate but non-expert audience. Organize and attend progress meetings and ensure attendance by all necessary project team members Ensure the participation of the project in the DEWG and CSWG working groups Ensure clear and timely cooperation with the cross-programme projects including the Open Data Portal, Toolbox and Knowledge Exchange teams. Page 46/63

47 Manage the entire organisation of the round robin exercises with the support of the EO Science Team Participate in all project meetings with ESA (KO, annual reviews, progress meetings, CMUG meetings, Colocations, etc.). Support the Science Leader in the interface with other ECV project teams and ensure that specifications, data definitions, reference data sets, output products, algorithms, and documentation are exchanged. Support the coordination of project activities with other relevant on-going national, EC funded and international projects. Set up and regularly update content for the project website (the web site shall be hosted and managed by ESA). 4.5 Working Teams Four working teams shall support the Science Leader: EO Science Team Validation Team Climate Research Group System Engineers For credibility, the Validation Team and the Climate Research groups shall be independent from the EO Science Team and System Engineers EO Science Team The EO Science Team shall comprise key experts who: are at the forefront of developing methodologies and next generation algorithms required for generating high quality climate relevant data sets have already developed, demonstrated and validated pre-cursor algorithms will orient their future research activities to support the CCI initiative The role of the EO Science Team shall be to: Review and improve existing, and develop new high-performance, algorithms necessary to produce long term data products meeting, or approaching the specific GCOS performance requirements for each ECV. Develop formal scientific specification of algorithms, prototype software, and reference data products. Page 47/63

48 Generate data products demonstrating the feasibility of achieving GCOS performance requirements Develop a formal protocol for the Round-Robin algorithm inter-comparison exercise Actively participate in the Round-Robin inter-comparison exercises and provide a conclusive Round-Robin Report. Publish the results of the project in internationally recognised, peer-reviewed scientific journals and through community newsletters Validation Team The Validation Team shall comprise experts in the validation of the ECV using independent observations (e.g. Fiducial Reference Measurements, ground-based, buoy, ship, balloon or aircraft measurements). Independently validate the derived products and provide recommendations for future algorithm developments to meet the GCOS performance requirements. Intercompare the ECV products against other satellite and model-derived data sets. Evaluate the quality of the ECV products against the requirements in the URD. Based on the results of the validation work, select the best performing and most suitable algorithms in agreement with the CRG. Publish the results of the ECV validation in internationally recognised, peerreviewed scientific journals and through community newsletters Climate Research Group Each ECV project shall engage internationally recognized experts involved in understanding climate dynamics specifically related to the concerned ECV. These experts shall: Ensure that the URD reflects the requirements of the climate research and climate service community, e.g. gather requirements from the wider community in terms of observational climate data and contribute to the preparation of the detailed User Requirements Document. Review and comment from an end-user and modeller perspective on key project deliverables. Liaise with the wider international research community in the exploitation and integration of ECV products within specialised models. Undertake necessary steps to integrate ECVs within specialised models. Assess the trends and consistency of these products, examine the impact of such datasets on results from specialised models and provide the necessary feedback. Perform user case studies demonstrating the impact and value of the ECV products in a range of applications in climate science and climate services. Page 48/63

49 Publish the results of the project in internationally recognised, peer-reviewed scientific journals and through specialised community newsletters System Engineer(s) The System Engineer(s) shall have previous expertise in requirement definition and specification of large EO data processing and product delivery systems, in terms of software, hardware, archiving and throughput. Knowledge of the latest related technologies is required, particularly modern high-performance computing. The System Engineers shall: identify the system requirements and the technical specifications for a complete end-to-end ECV Processing System. quantitatively and qualitatively justify the cost-effectiveness of the Processing System, particularly in comparison to Cloud computing platforms. This shall include a cost calculator, providing quantitative evidence of the cost effectiveness of the adopted computing platform in contrast to other competing platforms. interact closely with the EO Science Team and Climate Research Group to ensure that any specification is fit for purpose. conduct trade-off analysis between different system concepts based on the priorities of: o Cost effectiveness o Reprocessing capability o Modularity address the need (outside CCI) for establishing data service systems that ensure on-going accessibility to the ECV data products into the future as well as the required capacity to update these data sets periodically. 4.6 Working Groups Climate Science Working Group (CSWG) Background To facilitate close cooperation between CMUG and the CRGs within each CCI ECV teams, CMUG shall coordinate a Climate Science Working Group (CSWG). This shall include of key climate users from each ECV project. The CSWG will assist CMUG in its cross-ecv product assessments by providing guidance based on the experience of user assessments performed at ECV project level. It will also ensure ECV projects and CMUG remain up-todate on each other's activities, ensure complementarity, and identify synergies where possible. Page 49/63

50 The working group will also help to maximise the contribution of the CCI in international scientific assessments and address grand scientific challenges. Membership Two representatives of CMUG (one as Coordinator). One representative of each ECV project's Climate Research Group Aims The CSWG is a forum to collectively discuss CRG and CMUG activities, exchange ideas and plan assessment exercises and/or participation in larger international assessment exercises. It should explore mechanisms for cross-ecv and multi-ecv assessment exercises within the CCI and be responsible for improving links between the CCI and International Research Programme Level Projects (e.g. Future Earth, WCRP) in collaboration and coordination with CMUG. Deliverables Annual assessment of progress within the CCI towards contributions to AR6. Formal Meeting Minutes and Actions Assignment Contributions to the CCI Programme Quarterly Status Reports (QSR) Meeting Frequency At least 6-monthly through participation in the CMUG Integration Meetings and the CCI Colocation Meetings. Timeframe: The CSWG shall kick off in March 2018 at the first CCI+ Colocation meeting and will run until the end of the CCI programme. Governance: Decisions will be made by consensus where possible. Where consensus cannot be reached, and where it is not feasible to proceed with more than one solution, a decision will be achieved by majority vote. The CSWG Coordinator will be responsible for regularly checking on progress against Actions assigned to members of the CSWG Data Engineering Working Group (DEWG) Objective: Page 50/63

51 To ensure maximum usability of the datasets produced within CCI, and cultivate tools for their access, discovery and manipulation, through common CCI data standards [RD-8], [AD-1]. Membership: The DEWG shall include one representative from each CCI project, plus one representative from ESA who shall be Chair of the working group. Additional persons may be invited to attend meetings at the request of the Chair. Aims: To provide a forum to manage data standards across CCI projects To ensure that suitable existing standards are adhered to within CCI data products To agree common format and metadata requirements for CCI data products To enable CCI projects to feed back and iterate on proposed data standards To share expertise on data engineering, and to enhance coordination and communication to avoid duplication of data engineering effort. To provide ESA with insight into the data engineering needs and challenges being experienced by CCI projects. Deliverables: Annual assessment of progress within the CCI towards contributions to external data initiatives Feedback to ESA on requirements for FCDRs needed to support the delivery of ECVs meeting GCOS requirements. Formal Meeting Minutes and Actions Assignment Contributions to the CCI Programme Quarterly Status Reports (QSR) Meeting frequency: The DEWG shall meet quarterly via telecon. At least 6-monthly face-to-face meetings through participation in the CMUG Integration Meetings and the CCI Colocation Meetings. Each CCI project team shall be represented at each meeting. Timeframe: The DEWG shall kick off in March 2018 at the first CCI+ Colocation meeting and will run until the end of the CCI programme. Page 51/63

52 Governance: Decisions will be made by consensus where possible. Where consensus cannot be reached, and where it is not feasible to proceed with more than one solution, a decision will be achieved by majority vote. Additional notes: Communications will take place as and when required by , telephone or in person. Decisions and actions will be communicated to the WG via a WG mailing list, and recorded on a data issues wiki. 4.7 Meetings Five types of meeting shall be organised during the project: Contract progress meetings roughly every three months, Annual review meetings every year (instead of the fourth Progress meeting each year), Annual co-location meetings with the other CCI projects, starting in March Integration meetings with the CMUG every year, usually in the Autumn User workshops (at least one per ECV project) Contract Progress Meetings Progress meetings with ESA shall be held every three months. The Contractor shall make all organisational arrangements to prepare these progress meetings and shall circulate a draft agenda and meeting logistical information at least two weeks in advance. Choice of date, venue and agenda shall be subject to approval by ESA. The Contractor shall chair all progress meetings, shall be responsible for all minutes and shall ensure all actions raised during the meetings are promptly recorded in the Actions Database Annual Review Meetings Annual Reviews of all CCI projects shall be held at ECSAT, UK. The annual review shall cover: Progress status of the work in the current phase and reporting of achievements Completion status of the deliverables Management effectiveness and efficiency Identification of current and potential problems Page 52/63

53 Consolidation of action plans for the next project phase Review of algorithm developments achieved and plans for the next year Where progress is deemed by ESA to be unsatisfactory, recovery actions shall be identified and implemented. Based on the outcome of this review, the consortium shall revise its annual work-plan for the following year with the objective to return to the original project schedule Colocation Meetings Colocation meetings are an important means to firmly establish the scientific coherency between the ECV projects, ensure inter-consortia coordination, consolidate common approaches, and mobilize the multi-disciplinary scientific expertise available within the various teams. Three or four key personnel from each ECV project, to be selected as appropriate for the meeting topics, shall participate in the colocation meetings. Each colocation meeting shall last around 3 days. Colocation meetings shall typically be held in the Spring. The first colocation meeting of CCI+ will be held from March 2018, in Oxford, UK CMUG Integration Meetings Key representatives of the ECV project teams, to include the engaged Climate Research Group shall participate in integration meetings with, and organised by, the CMUG. These will take place once a year in order to discuss issues from a climate model perspective. The Climate Science Working Group shall also meet annually, alongside each CMUG Integration meeting. Typically these meetings will be held in the Autumn Meeting Locations The contract kick-off meeting, the annual review meetings and the co-location meetings shall be held at (or nearby) ECSAT, Harwell, UK. Contract progress meetings may be held at ESA, the premises of the EO Science Team partners, or the Climate Research Group. They shall normally last two full days. The Contractor and consortium members shall use video-conferencing, tele-conferencing, and internet-based meeting facilities for regular working meetings with partners to minimise travel and the project carbon footprint. CMUG Integration meetings shall be held at CMUG premises. Page 53/63

54 User Workshops shall be held at the premises of the Climate Research Group, or at the premises of another climate user organisation. 4.8 Deliverables This section defines the minimum set of items to be provided to the Agency within the frame of the whole project. All documents shall be delivered in English. The deliverable items are: Data sets Documents Project monitoring elements Content for the ECV project's web site [R-14] Each CCI project team (the contractor) shall produce and deliver all deliverable items specified herein, in accordance with the defined schedule It should be noted that progress payments will be linked to project milestones that are denoted by final acceptance of deliverable items (e.g. data products, technical and scientific documents) Data Sets The following Data sets are the primary deliverables of the project: Task Deliverable Number Dataset Ref Deliverable Name Delivery Date 4 D4.2 CRDP Climate Research Data Package However, for the development of the CRDP interim products and product versions may be required. These are detailed in the relevant Technical Annex. ESA shall be granted an unlimited free licence to distribute ECV data products (e.g. via the CCI Open Data Portal), and to employ them in any communication, education, or other type of outreach activity. All data sets released publicly shall be assigned a digital object identifier (DOI). If the Contractor is unable to do this, ESA may provide a facility to assign DOIs. Page 54/63

55 4.8.2 Documents This Statement of Work requests the limited number of documents necessary to provide full description and traceability of the ECV development and production process. All documents shall be delivered to ESA in Microsoft Word and Portable Document Format (PDF) electronic format and on physical media (USB or HDD). All documents shall be reviewed, before delivery to ESA, for: Scope, Completeness, Configuration control Clarity, consistency, grammar, spelling Scientific rigour Where there is an international interface a formal review shall be performed by the Science Leader. All review comments shall be visible in the submitted documents for traceability and to ensure that these reviews and their outcomes are conducted seriously and their recommendations incorporated into the documentation. All documents delivered to ESA shall bear the following information: Document title; issue & version number; issue date Author(s) name & signature Reviewer(s) name & Signature Approver(s) name, organisation & signature Issuing Authority name & signature All documents shall contain: Table of contents Executive Summary Change Record All text revisions shall be recorded in change logs that provide information on the reason for the change, the issue number, revision number, date and pages and paragraphs affected. All documents shall be clear, self-explanatory and self-contained. No two documents shall contain the same information neither verbatim, nor paraphrased (except where necessary for comprehension). All diagrams and illustrations shall be clear, easily legible and provided to ESA on request as high resolution TIFF files for promotion and publication purposes. All documents shall be made publicly available by uploading them to the ECV project's web site. Page 55/63

56 4.8.3 Project Monitoring Project monitoring is conducted through the generation and updating of the Project Management Plan and the delivery of Monthly and Quarterly Progress Reports Project Management Plan The Project Management Plan (PMP) describes the: project organisation resource breakdown travel plan and budget, communications, the tables of contents of each document deliverable, document review cycle, analysis of risk factors and mitigation strategies. It also contains: work breakdown structure Gantt charts, work package descriptions identification of task leaders level of effort per work package A full and revised version of this plan shall be prepared and presented at each progress meeting. Responsible: Project Manager Monthly Progress Report This describes the project achievements in the last month, current status, problems encountered and solutions adopted. Responsible: Project Manager Project Scientific Highlights This is 500 words of text designed for public consumption and two illustrating images and appropriate links for more details. It shall be produced quarterly by the ECV project team and will be used to provide project highlights on the CCI and project website. Responsible: Science Leader Quarterly Progress Report Quarterly progress reports shall be provided by the 15th day of the month before the end of each calendar quarter. Page 56/63

57 It shall concisely describe: the project achievements in the previous three months major planned project activities in the coming three months, cooperation with international partners, European and national projects, major problems encountered and solutions adopted. Peer-reviewed publications from the project Information on ECV downloads, where available It shall be written for a technically literate but non-expert audience, and shall not usually exceed one page in length. Requirements on the precise content and length may be communicated by ESA to the Science Leader two weeks in advance of submission. Responsible: Project Manager ECV Project Website Each ECV project shall be supported by a web site that shall be used in particular to: Present the project Publish technical documentation Track issues Provide discussion forum and FAQ Provide regularly updated information via newsletters To ensure uniformity across the CCI programme these web sites shall be managed by ESA. It shall be the Contractor's responsibility to author and upload all content to the ECV web site, and then to keep this information updated on at least a monthly basis. ECV data products shall be published via the CCI Open Data Portal once fully validated. However, ECV project teams are likely to need to set up their own data repositories for the exchange of prototype products with the CRG and CMUG, or if necessary, to provide their ECV products via community-specific interfaces if these are not supported by the CCI Open Data Portal. Documents shall first be delivered to the ESA Technical Officer for approval before being published on the web site. The minimum set of deliverables to be published on the ECV web sites shall be the URD, PSD, PVASR, ATBD, E3UB, PUG, CRDP, PVIR, CAR. Deliverable documents shall be uploaded to the web site as soon as they have been formally accepted by ESA. Page 57/63

58 4.9 Schedule Meetings Schedule The following figure indicates a typical meeting schedule assuming a kick-off on 01/01/2018. Note that the date of the Collocation and CMUG Integration meetings are respectively fixed in March and September/October each year, independently of the kick-off date of each ECV Project contract.! Year!1! Year!2! Year!3!! 1! 2! 3! 4! 5! 6! 7! 8! 9! 10! 11! 12! 13! 14! 15! 16! 17! 18! 19! 20! 21! 22! 23! 24! 25! 26! 27! 28! 29! 30! 31! 32! 33! 34! 35! 36! Kick%off% %! Progress%Meetings% % " " " " " " " " " Annual%Review% %!!! Collocation% Meetings%!!! CMUG%Integration% Meetings% " " "! Deliverables Schedule Taking as example the work flows showing 3 cycles of reprocessing corresponding to the three years of the project. The update of the documents and the release of other deliverables would follow the following schedule. Page 58/63

59 4.9.3 Milestones Schedule The Milestone schedule and in particular the deliverable associated with each milestone for will depend on the number of reprocessing cycles that will be requested to each CCI project. This example corresponds to a CCI project based on three reprocessing cycles. Date Milestone Milestone Description KO M0 Kick-off KO + 6 KO + 12 M1 M2 Delivery and acceptance of: URD (D1.1), PSD (D1.2), DARD (D1.3) Successful Annual Review #1 Delivery and acceptance of: (PVASR (D2.1), ATBD (D2.2), E3UB (D2.3), ADP(D2.4), PVP (D2.5) Page 59/63