40. Attachment J-2 DPD.pdf

J-2-1

DATA PROCUREMENT DOCUMENT

NO. ISSUE

1791 Draft

XXXXX

CONTRACT/RFP

EXHIBIT NUMBER

J-2

ATTACHMENT NUMBER

Scalable Science Data Exploration

PROJECT/SYSTEM

Contractor

CONTRACTOR

March 22, 2022

DATE

National Aeronautics and Space Administration

03/22/22

J-2-2

National Aeronautics and Space Administration

DOCUMENT CHANGE LOG

NO. ISSUE

1791 Draft

INCORPORATED REVISIONS

OUTSTANDING REVISIONS

AS OF:

03-22-22

SUPERSEDING:

PAGE:

AUTHORITY PORTION AFFECTED - PAGE NO./NO.

REMARKS (DPD Revision) INTRO SGR DRL DRD

J-2-3

1.0 INTRODUCTION

1.1 Scope: Subject to the Rights in Data clause, this Data Procurement Document (DPD) sets forth the data requirements in each Data Requirements Description (DRD) and shall govern that data required by the DPD for the contract. The contractor shall furnish data defined by the DRDs listed on the Data Requirements List (DRL) by category of data, attached hereto, and made a part of this DPD. Such data shall be prepared, maintained, and delivered to NASA in accordance with the requirements set forth within this DPD. In cases where data requirements are covered by a Federal Acquisition Regulation (FAR) or NASA FAR Supplement (NFS) clause, that clause shall take precedence over the DPD, consistent with clause FAR 52.215-8.

1.2 DPD Description: This DPD consists of a Document Change Log, an Introduction, a Statement of General

Requirements, DPD maintenance procedures, a DRL, and the DRDs.

1.2.1 General Requirements: The general requirements, as specified in paragraph 2.0 of this DPD, prescribe those requirements applicable to the preparation, maintenance, and delivery of data that are better defined in aggregate than in the individual DRDs.

1.2.2 Data Requirements List (DRL): Throughout the performance of the contract, the DRL provides a listing by data category of the data requirements of the DPD.

1.2.3 Data Requirements Description (DRD)

1.2.3.1 Each data requirement listed on the DRL is given complete definition by a DRD. The DRD prescribes content, format, maintenance instructions, and submittal requirements.

1.2.3.2 For the purpose of classification and control, DRDs of this DPD are grouped into the following broad functional data categories:

CATEGORY SYMBOL DESCRIPTION

CD Contractual Data MA Management SW Software

1.2.3.3 The symbols representing these data categories form part of the prefix of the DRD identification number.

The first numerical characters reflect the DPD number.

1.2.3.4 To facilitate the usage and maintenance of the DPD, the DRDs have been sectionalized in accordance with the above data categories.

1.2.3.5 The DRDs are filed by data category and are in alpha-numeric sequence as listed on the DRL page (or pages) that precedes the DRDs.

1.2.4 Document Change Log (DCL): The Document Change Log chronologically records all revision actions that pertain to the DPD.

1.2.5 DPD Maintenance Procedures: Maintenance procedures define the detailed methods to be employed in maintaining the DPD. Detailed maintenance procedures are specified in paragraph 3.0 of this DPD.

1.3 Data Types for Contractual Efforts: The types of data and their contractually applicable requirements for approval and delivery are:

TYPE DESCRIPTION

1* All issues and interim changes to those issues require written approval from the requiring organization before formal release for use or implementation.

J-2-4

2* NASA reserves a time-limited right to disapprove in writing any issues and interim changes to those issues. The contractor shall submit the required data to NASA for review not less than 45 calendar days** prior to its release for use. The contractor shall clearly identify the release target date in the “submitted for review” transmittal***. If the data is unacceptable, NASA will notify the contractor within 45 calendar days** from the date of submission, regardless of the intended release date***.

The contractor shall resubmit the information for reevaluation if disapproved. The submittal is considered approved if the contractor does not receive disapproval or an extension request from NASA within 45 calendar days**.

3 These data shall be delivered by the contractor as required by the contract and do not require NASA approval. However, to be a satisfactory delivery, the data shall satisfy all applicable contractual requirements and be submitted on time.

4 These data are produced or used during performance of the contract and are retained by the contractor.

They shall be delivered only when NASA requests in writing and shall be delivered in accordance with the instructions in the request. The contractor shall maintain a list of these data and shall furnish copies of the list to NASA when requested to do so.

5 These data are incidental to contract performance and are retained by the contractor in those cases where contracting parties have agreed that formal delivery is not required. However, the Contracting Officer or the Contracting Officer’s Representative (COR) shall have access to and can inspect this data at its location in the contractor’s or subcontractor’s facilities, or in an electronic database accessible to the Government.

* Note: Type 1 and Type 2 data may be placed under NASA configuration management control when designated by NASA. CM control requires the contractor to submit Type 1 and Type 2 data updates through Engineering Change Proposals (ECPs).

** Note: This time limit may be tailored for individual DRDs to meet the requirements of the procuring activity.

*** Note: If the contractor does not identify a release target date or if the intended release date is shorter than 45 calendar days from the date of submission, the 45 calendar days review cycle stands (or the tailored Type 2 time limitation for the specific procurement).

2.0 STATEMENT OF GENERAL REQUIREMENTS

2.1 Applicable/Reference Documents: Documents included as applicable documents in this DPD are the issue specified in the Statement of Work and form a part of the DPD to the extent specified herein. Applicable documents listed in Item 15.2 of a DRD are applicable only to the preparation of the deliverable documentation described by that DRD.

References to documents other than applicable documents in the data requirements of this DPD may sometimes be utilized and shall be indicated in 13. Remarks of the DRD. These do not constitute a contractual obligation on the contractor. They are to be used only as a possible example or to provide related information to assist the contractor in developing a response to that particular data requirement.

2.2 Subcontractor Data Requirements

2.2.1 The contractor shall specify to subcontractors and vendors, if any, the availability source of all data required for the satisfactory accomplishment of their contracts. The contractor shall validate these requirements for documents when appropriate; where the requirement concerns other contractor data, the contractor shall provide his subcontractor or vendor with the necessary documents. All such requests shall be accomplished under the auspices of the contractor.

2.2.2 Reference to subcontractor data in the contractor’s responses is permissible, providing the references are adequate and includes such identification elements as title, number, revision, etc., and a copy of the referenced data is supplied with the response document at time of delivery to NASA.

J-2-5

2.3 Data Distribution, Format, Data Restriction Marking, and Transmittal

2.3.1 Distribution: Distribution of required documentation shall be in quantities determined by the Contracting

Officer. Recipient names and email (if applicable) addresses shall be noted on a separate distribution list to be furnished by the Contracting Officer. The Contracting Officer’s letter may include other information pertinent to delivery of data, as required.

2.3.2 Format

2.3.2.1 Electronic Format: Electronic submission of data deliverables is preferred. Electronic deliverables shall be printable. Data deliverables shall be delivered to NASA in the format specified below unless a specific format is required by a DRD. Data submittals shall consist of a single Adobe Acrobat PDF file and the native format electronic file(s). The preferred native formats include Microsoft Word, Excel, PowerPoint or CAD drawing plot file, as appropriate. Where a single native format file is not possible, multiple files may be integrated into a single ZIP file for submission. The organization of the contents of the integrated ZIP file shall be made readily apparent to the reader, and each file within the integrated product shall be clearly identifiable and traceable within the organization of the integrated product. If files are fragmented, file names shall be labeled logically and contiguously, and the files shall be easily reassembled or merged (e.g., 1 filename, 2 filename, 2a filename, etc.). The software versions shall be confirmed prior to submittals.

2.3.2.2 Hardcopy Format: Hardcopy of the DPD is not required unless electronic delivery is not possible or practical. The contractor’s transmittal memo shall be delivered in a hardcopy to the Contracting Officer (CO). The DPD shall be emailed to the CO.

2.3.3 Controlled Unclassified Information (CUI) Data Restriction Markings

2.3.3.1 CUI Data Restriction Determination and Marking Requirements: The Statement of Work (SOW) shall contain language to address markings of data (e.g., “The contractor shall determine whether each data deliverable contains Controlled Unclassified Information (CUI) and mark or transmit the CUI data in accordance with NPR 2810.7 and section 2.3.3 of the Data Procurement Document”).

The contractor shall determine whether each data deliverable contains Controlled Unclassified Information (CUI), which is unclassified information that requires any safeguarding or dissemination control. Data deliverables that contain CUI shall be managed, marked, and protected in accordance with NPR 2810.7 and CFR 32 Part 2002. Per NPR 2810.7, CUI data shall be marked with a CUI Banner on each page that is inclusive of all CUI within the data. The CUI Banner will be the same on each page, be placed at the top of each page, centered, bolded, in a single line with multiple CUI markings in alphabetic order separated by slashes (NOTE: See NPR 2810.7 for CUI Specified correct slash and dash placement and usage). In addition, the following statement from Standard Form (SF) 901 may be placed on the title page:

ATTENTION: This document is CONTROLLED UNCLASSIFIED INFORMATION (CUI). All individuals handling this information are required to protect it from unauthorized disclosure. Handling, storage, reproduction, and disposition of the attached document(s) must be in accordance with 32 CFR Part 2002 and applicable agency policy. Access to and dissemination of Controlled Unclassified Information shall be allowed as necessary and permissible to any individual(s), organization(s), or grouping(s) of users, provided such access or dissemination is consistent with or in furtherance of a Lawful Government Purpose and in a manner consistent with applicable law, regulations, and Government-wide policies.

Data deliverables created prior to October 1, 2021 (i.e., prior to NASA CUI implementation) that contain CUI are not required to be re-marked as CUI, but the SF 901 CUI Coversheet with appropriate CUI designation identified shall be appended to the data deliverable prior to transmittal to NASA.

The contractor shall make a determination for each individual data deliverable item and shall not apply a default or blanket CUI marking to all data deliverables. If NASA does not agree with the contractor applied CUI marking, the NASA Contracting Officer shall return the data to the contractor, cancel the markings, or ignore the markings consistent with the procedures set forth in the “data rights” clause(s) contained in the contract.

J-2-6

2.3.3.2 Data Restriction Categories and Marking Statements: In addition to CUI markings, the contractor shall consider the following data restriction categories, as a minimum, and utilize specified marking statements.

2.3.3.2.1 Export Control Restrictions. If data delivered under this contract is subject to export control restrictions, which includes International Traffic in Arms Regulations (ITAR) or Export Administration Regulations (EAR), the export-controlled information is required to be marked “CUI//SP-EXPT” in accordance with NPR 2810.7 prior to dissemination to NASA. CUI//SP‐EXPT controlled information is unclassified information concerning certain items, commodities, technology, software, or other information whose export could reasonably be expected to adversely affect the United States national security and nonproliferation objectives.

If data delivered under this contract is subject to ITAR, in addition to the CUI marking the data shall contain an “ITAR Notice” on the cover page as required by NAII 2190.1, section 2.2.1.1, with the appropriate United States Munitions List (USML) category filled in at the top of the ITAR Notice. On subsequent pages place the following statement at the bottom or footer, “See title page for restrictions”.

If data delivered under this contract is subject to EAR, in addition to the CUI marking the data shall contain the “EAR Notice” on the cover page as required by NAII 2190.1, section 2.2.1.1, with the appropriate Commerce Control List (CCL) Export Control Classification Number (ECCN) filled in at the top of the EAR Notice. On subsequent pages place the following statement at the bottom or footer, “See title page for restrictions”.

2.3.3.2.2 Limited Rights Restrictions. If the contract contains FAR 52.227-14 Alternate II, the “Limited Rights Notice” may be applicable to technical data (other than computer software) delivered under this contract.

The “Limited Rights Notice” is as follows:

CCL ECCN ___

Export Administration Regulations (EAR) Notice

This document contains information within the purview of the Export Administration Regulations (EAR), 15 CFR §730-774, and is export controlled. It may not be transferred to foreign persons in the U.S. or abroad without specific approval of a knowledgeable NASA export control official, and/or unless an export license or license exception is obtained/available from the Bureau of Industry and Security, United States Department of Commerce. Violations of these regulations are punishable by fine, imprisonment, or both.

USML Category ___ International Traffic in Arms Regulations (ITAR) Notice

This document contains information which falls under the purview of the U.S. Munitions List (USML), as defined in the International Traffic in Arms Regulations (ITAR), 22 CFR §120-130, and is export controlled. It shall not be transferred to foreign persons, in the U.S. or abroad, without specific approval of a knowledgeable NASA export control official, and/or unless an export license or license exemption is obtained/available from the Directorate of Defense Trade Controls, United States Department of State.

Violations of these regulations are punishable by fine, imprisonment, or both.

Limited Rights Notice (Dec 2007)

a) These data are submitted with limited rights under Government Contract No. _____ (and subcontract ______, if appropriate). These data may be reproduced and used by the Government with the express limitation that they will not, without written permission of the Contractor, be used for purposes of manufacture nor disclosed outside the Government; except that the Government may disclose these data outside the Government for the following purposes, if any; provided that the Government makes such disclosure subject to prohibition against further use and disclosure: [Agencies may list additional purposes as set forth in 27.404-2(c)(1) or if none, so state. (b) This notice shall be marked on any reproduction of these data, in whole or in part.

J-2-7

2.3.3.2.3 Restricted Rights Computer Software. If the contract contains FAR 52.227-14 Alternate III, the “Restricted Rights Notice” may be applicable to computer software delivered under this contract. The “Restricted Rights Notice” is as follows:

2.3.3.2.4 Small Business Innovation Research (SBIR) Rights. If the contract contains FAR 52.227-20, the “SBIR Rights Notice” may be applicable to SBIR data delivered under this contract. The “SBIR Rights Notice” is as follows:

If the contract contains NFS 1852.237-73, a sensitive information legend may be applicable to information (which does not qualify as technical data or computer software) delivered under this contract.

In accordance with the applicable data clause (e.g., FAR 52.227-14(c) or FAR 52.227-20(c)), the contractor may be able to assert copyright in data first produced in the performance of the contract. When claim to copyright is made, the Contractor shall affix the applicable copyright notices of 17 U.S.C. 401 or 402 and acknowledgment of Government sponsorship (including contract number) to the data.

2.3.4 Transmittal

2.3.4.1 Data shall be transmitted to NASA by email, CD or DVD, hardcopy, or other mechanism agreed to by the

Contracting Officer, COR, and Project representatives who are responsible to receive, index, and store the data deliverables.

2.3.4.2 If email is used to transmit data deliverables, the email size shall be 10 Megabytes or less to ensure receipt by the NASA email servers. Encrypted email format shall be used to transmit data which has been judged

SBIR Rights Notice (DEC 2007) These SBIR data are furnished with SBIR rights under Contract No._____ (and subcontract _____, if appropriate). For a period of 4 years, unless extended in accordance with FAR 27.409(h), after acceptance of all items to be delivered under this contract, the Government will use these data for Government purposes only, and they shall not be disclosed outside the Government (including disclosure for procurement purposes) during such period without permission of the Contractor, except that, subject to the foregoing use and disclosure prohibitions, these data may be disclosed for use by support Contractors. After the protection period, the Government has a paid-up license to use, and to authorize others to use on its behalf, these data for Government purposes, but is relieved of all disclosure prohibitions and assumes no liability for unauthorized use of these data by third parties. This notice shall be affixed to any reproductions of these data, in whole or in part.

Restricted Rights Notice (Dec 2007)

(a) This computer software is submitted with restricted rights under Government Contract No. _______ (and subcontract ________, if appropriate). It may not be used, reproduced, or disclosed by the Government except as provided in paragraph (b) of this notice or as otherwise expressly stated in the contract. (b) This computer software may be— (1) Used or copied for use with the computer(s) for which it was acquired, including use at any Government installation to which the computer(s) may be transferred; (2) Used or copied for use with a backup computer if any computer for which it was acquired is inoperative; (3) Reproduced for safekeeping (archives) or backup purposes; (4) Modified, adapted, or combined with other computer software, provided that the modified, adapted, or combined portions of the derivative software incorporating any of the delivered, restricted computer software shall be subject to the same restricted rights; (5) Disclosed to and reproduced for use by support service Contractors or their subcontractors in accordance with paragraphs (b)(1) through (4) of this notice; and

(6) Used or copied for use with a replacement computer. (c) Notwithstanding the foregoing, if this computer software is copyrighted computer software, it is licensed to the Government with the minimum rights set forth in paragraph (b) of this notice. (d) Any other rights or limitations regarding the use, duplication, or disclosure of this computer software are to be expressly stated in, or incorporated in, the contract. (e) This notice shall be marked on any reproduction of this computer software, in whole or in part.

J-2-8 sensitive by the contractor (e.g., export controlled, limited rights data, SBIR, restricted computer software, copyrighted, etc.).

2.3.4.3 Data Transmittal Package: Each data transmittal package shall include:

a. Transmittal memorandum that specifies the meta-data below for each data transmittal:

1. Contract number.

2. Data Requirements Description (DRD) number.

3. DRD data type (specified in Item 3 on the DRD).

4. Submission date or milestone being satisfied.

5. Document number and revision.

6. Document title.

7. File names of all files being delivered; file naming convention shall clearly identify the document being delivered.

8. Distribution (as defined by the Contracting Officer’s letter).

9. Requested response date.

10. Contractor assigned data restriction (export controlled, limited rights data, SBIR, restricted computer software, copyrighted, etc.) if not marked on data.

11. NASA Records Retention Schedule (NRRS) number, if applicable (See NRRS 1441.1, NASA

Records Retention Schedules).

b. Printable electronic files or hardcopy data.

2.3.5 When electronic data deliverables are transmitted directly to the MSFC Repository, SharePoint web interface shall be utilized. Instructions for electronic data submittals can be found at https://sharepoint.msfc.nasa.gov/rm/repo/SitePages/Home.aspx. For further information, contact the MSFC Repository Manager.

2.4 Printing: All printing, duplicating, or binding shall be in accordance with NFS 1852.208-81, Restrictions on

Printing and Duplicating. Printing of formal reports and Type 1 and 2 data in book format shall be in accordance with the following general specifications:

a. Method of reproduction – offset/xerography.

b. Finished size – 8 1/2” X 11”.

c. Paper – 20-pound opaque bond.

d. Cover – Litho cover stock.

e. Pages shall be printed on both sides; blank pages shall be avoided when possible.

f. Oversize pages shall be avoided when possible, but if necessary shall be folded to 8 1/2” X 11”.

g. Binding shall be the most economical method commensurate with the size of the report and its intended use.

2.5 Contractor’s Internal Documents: The contractor’s internal documents shall be used to meet the data requirements of this DPD unless a specific format is required by the applicable DRD.

2.6 Document Identification: Type 1 and 2 documents published by the contractor and submitted in response to the data requirements of this DPD shall be identified within an organized identification numbering system prescribed to NASA by the contractor and, if applicable, as approved by NASA. For all data types, the document number, change legend, date, and title constitute the minimum identification of the specific document and shall appear on the cover and title page. The contract number shall also appear on the cover and title page as separate markings. The originator and organization shall be included on the title page. The document number, change legend, and date shall appear on each page of the document. In the front matter of each document, identify the DPD number and applicable DRD number(s) required for document preparation. Successive issues or revisions of documents shall be identified in the same manner as the basic issue and shall have appropriate change identification. Drawings and ECP's are excluded from the marking provisions of this paragraph. All Type 1 documentation, excluding configuration management requirements, shall be marked “PRELIMINARY PENDING NASA APPROVAL,” and once approved shall be reissued with “APPROVED BY NASA” and the date and approval authority annotated on the cover.

2.7 Reference to Other Documents and Data Deliverables in Data Submittals: All referenced documents shall be made readily available to the cognizant NASA organization upon request. The contractor shall make sure https://sharepoint.msfc.nasa.gov/rm/repo/SitePages/Home.aspx

J-2-9 that the references are available to NASA in a manner which does not incur delays in the use of the response document. Reference may be made, within one data submittal, to other data submittals delivered in response to this DPD in those cases where the data required by one DRD may have been delivered by the contractor in response to another DRD. The reference to previously submitted data shall include the applicable DRD number, data submittal version date, and location within the referenced document.

2.8 Maintenance of Type 1 Document Submittals

2.8.1 Revisions of Type 1 documentation may be accomplished either by individual page revision or by a complete reissue of the document identified in accordance with requirements of 2.6 above, with the exception of drawings (which shall be revised in accordance with contract configuration management requirements).

2.8.2 Individual page revisions shall be made as deemed necessary by the contractor or as directed by the

Contracting Officer.

2.8.3 A Type 1 document shall be completely reissued when, in the opinion of the contractor and/or NASA, the document has been revised to the extent that it is unusable in its present state, or when directed by the Contracting Officer. When complete reissues are made, the entire contents of the document shall be brought up to date and shall incorporate revised pages. All revisions shall be recorded. A revision log shall identify complete reissues except for periodic reports and documents which are complete within themselves as final.

2.8.4 Changes of a minor nature to correct obvious typing errors, misspelled words, etc., shall only be made when a technical change is made, unless the accuracy of the document is affected.

2.8.5 All revised pages shall be identified by a revision symbol and a new date. Each document shall contain a log of revised pages that identify the revision status of each page with the revision symbol. This list shall follow the table of contents in each document. The line or lines revised on a given page shall be designated by the use of vertical line in the margin of the page, and the change authority shall be indicated adjacent to the change.

2.8.6 Contractor Type 1 document shall not be submitted containing pen and ink markups which correct, add to, or change the text, unless schedule problems exist and approval is obtained in writing from the Contracting Officer. Such markups, however, shall not exceed 20 percent of the page content and shall be acceptable provided that the reproduced copies are legible. In addition, hand-drawn schematics, block diagrams, data curves, and similar charts may be used in original reports in lieu of formally prepared artwork, as long as legibility of copies is not impaired. Acceptability shall be determined by the Contracting Officer.

3.0 DPD MAINTENANCE PROCEDURES

3.1 NASA-Initiated Change: New and/or revised data requirements shall be incorporated by contract modification to which the new or revised portion of the DPD shall be appended. The contractor shall notify the Contracting Officer in the event a deliverable data requirement is imposed and is not covered by a DRD, or when a DRD is changed by a contract modification and for which no revision to DPD is appended. In such cases, the contractor shall submit the requested changes to NASA for approval. See paragraph 3.3.1 for change procedures.

3.2 Contractor-Initiated Change: Contractor-proposed data requirements or proposed changes to existing requirements shall be submitted to NASA for approval.

3.3 DPD Change Procedures

3.3.1 Changes to a contractual issue of this DPD shall be identified by NASA on the Document Change Log.

3.3.2 The date of the DPD shall be entered under the “as of” block of the Document Change Log. The date that was in the “as of” block shall be entered in the “Superseding” block.

J-2-10

3.3.3 The Document Change Log entitled “Incorporated Revisions” shall be changed to indicate the modification number, portions affected, and remarks. All changes to the DPD/DRDs shall be identified in the “Remarks” column.

3.4 DPD Reissues

3.4.1 When conditions warrant, the DPD shall be reissued by NASA for each contract modification that affects the

DPD and shall supersede the existing DPD in its entirety. Reissues shall be issued by contractual direction.

3.4.2 All revision dates shall remain in the Date Revised block on all DRDs. The issue symbol, which shall commence with "A" and progress through "Z," shall be entered in the DPD identification block of each DRD page of the DPD.

J-2-11

Scalable Science Data Exploration

Data Requirements List

DRD DATA TYPE TITLE OPR

CD – Contractual Data 1791CD-001 3 Technology Reports ST22

MA – Management 1791MA-001 3 Organizational Conflict of Interest (OCI) Plan CS40 1791MA-002 3 Final Scientific and Technical Report IS02 1791MA-003 3 Monthly Progress Report CS40

SW – Software 1791SW-001 2 Software User Manual ES51

J-2-12

DATA REQUIREMENTS DESCRIPTION (DRD)

1. DPD NO.: 1791 ISSUE: Draft 2. DRD NO.: 1791CD-001

3. DATA TYPE: 3 4. DATE REVISED:

5. PAGE: 1/3

6. TITLE: Technology Reports

7. DESCRIPTION/USE: Provides NASA with technical information concerning any invention, discovery, improvement, or innovation made by a contractor in the performance of work under this contract for the purpose of disseminating this information to obtain increased use and to provide NASA with data to review for possible patentable items.

8. OPR: ST22 9. DM: ST14

10. DISTRIBUTION: Per Contracting Officer's letter

11. INITIAL SUBMISSION: Disclosure of Invention and New Technology (NASA Form 1679): Immediately or within three months of identification of subject invention.

Interim NASA New Technology Summary Report (NTSR) Form: 12 months from the date of the contract.

Final NASA New Technology Summary Report (NTSR) Form: Immediately or within three months after completion of contracted work. Final payment is contingent upon submission of the Final NTSR.

Utilization Report: Upon Contracting Officer’s request.

12. SUBMISSION FREQUENCY: Disclosure of Invention and New Technology (NASA Form 1679): For each subject invention as soon as it occurs or within three months of identification.

Interim NASA New Technology Summary Report (NTSR) Form: Every 12 months.

Final NASA New Technology Summary Report (NTSR) Form: Immediately or within three months after completion of contracted work. Final payment is contingent upon submission of the Final NTSR.

Utilization Report: No more frequently than annually.

13. REMARKS: Copies of NASA Forms 1679 and the NASA New Technology Summary Report (NTSR) Form

(Interim and Final) may be obtained and filled out electronically at: https://invention.nasa.gov/. These forms may also be obtained from the New Technology Representative (mailto: Sammy.Nabors@nasa.gov).

14. INTERRELATIONSHIP: SOW paragraph 3.0c

15. DATA PREPARATION INFORMATION:

15.1 SCOPE: The New Technology Reports should include sufficient technical detail as is necessary to identify and fully describe a "Subject Invention". Per FAR 52.227-11, "Subject Invention" means any invention of the contractor conceived or first actually reduced to practice in the performance of work under this contract.

15.2 APPLICABLE DOCUMENTS/CLAUSES:

FAR 52.227-11 Patent Rights – Ownership by the Contractor (APR 2015) - As modified by NASA

FAR Supplement 1852.227-11 (APR 2015) https://invention.nasa.gov/ mailto:mailto:%20Sammy.Nabors@nasa.gov

J-2-13

DRD Continuation Sheet TITLE: Technology Reports DRD NO.: 1791CD-001

DATA TYPE: 3 PAGE: 2/3

15. DATA PREPARATION INFORMATION (CONTINUED):

15.3 CONTENTS: The Technology Reports consist of:

a. Disclosure of Invention and New Technology (Including Software): In accordance with FAR 52.227- 11(c), the disclosure to the agency shall be in the form of a written report and shall identify the contract under which the invention was made and the inventor(s). It shall be sufficiently complete in technical detail to convey a clear understanding to the extent known at the time of the disclosure, of the nature, purpose, operation, and the physical, chemical, biological or electrical characteristics of the invention.

The disclosure shall also identify any publication, on sale or public use of the invention and whether a manuscript describing the invention has been submitted for publication and, if so, whether it has been accepted for publication at the time of disclosure. In addition, after disclosure to the agency, the Contractor shall promptly notify the agency of the acceptance of any manuscript describing the invention for publication or of any on sale or public use planned by the Contractor. This reporting requirement may be met by completing NASA Form 1679 (latest revision) in hardcopy or online at:

https://invention.nasa.gov/. Use of this form or the online system is preferred; however, if the form is not used the following information should be provided in order to meet the reporting requirement:

1. Descriptive title.

2. Innovator(s) name(s), title(s), phone number(s), and home address(es).

3. Employer when innovation made (name and division).

4. Address (place of performance).

5. Employer status (e.g., Government, college or university, non-profit organization, small business firm, large entity).

6. Origin (e.g., NASA grant number, NASA prime contract number, subcontractor, joint effort, multiple contractor contribution, other).

7. NASA Contracting Officer’s Representative (COR).

8. Contractor/grantee New Technology Representative.

9. Brief abstract providing a general description of the innovation:

(a) Description of the problem or objective that motivated the innovation’s development.

(b) Technically complete and easily understandable description of innovation developed to solve or meet the objective.

(c) Unique or novel features of the innovation and the results or benefits of its application.

(d) Speculation regarding potential commercial applications and points of contact (including names of companies producing or using similar products).

10. Additional documentation.

11. Degree of technological significance (e.g., modification of existing technology, substantial advancement in the art, major breakthrough).

12. State of development (e.g., concept only, design, prototype, modification, production model, used in current work).

13. Patent status.

14. Dates or approximate time period during which this innovation was developed.

15. Previous or contemplated publication or public disclosure including dates.

16. Answers to the following questions (for software only):

(a) Using outsiders to beta-test code? If yes, done under beta-test agreement?

(b) Modifications to this software continue by civil servant and/or contractual agreement?

(c) Previously copyrighted (if so, by whom?)?

(d) Were prior versions distributed (if yes, supply NASA or Contractor contract)?

(e) Contains or is based on code owned by a non-federal entity (if yes, has a license for use been obtained?)?

(f) Has the latest version been distributed without restrictions as to use or disclosure for more than one year (if yes, supply date of disclosure)?

17. Name(s) and signature(s) of innovator(s).

J-2-14

DRD Continuation Sheet TITLE: Technology Reports DRD NO.: 1791CD-001

DATA TYPE: 3 PAGE: 3/3

15. DATA PREPARATION INFORMATION (CONTINUED):

b. Interim NASA New Technology Summary Report: This report shall consist of a complete listing of subject inventions for the previous 12-month period or certification that there are none. Completion of Interim NASA New Technology Summary Report (NTSR) Form shall satisfy this reporting requirement.

Use of the form utilizing the online system at: https://invention.nasa.gov/ is preferred; however, an alternate format is acceptable provided all required information is provided.

c. Final NASA New Technology Summary Report: This report shall consist of a comprehensive list of all subject inventions for the duration of the contract or certification that there are none. Completion of Final NASA New Technology Summary Report (NTSR) Form shall satisfy this reporting requirement. Use of the form utilizing the online system at: https://invention.nasa.gov/ is preferred; however, an alternate format is acceptable provided all required information is provided.

d. Report on utilization of subject inventions: This report provides information on the utilization of a subject invention or on efforts at obtaining such utilization that is being made by the contractor or its licensees or assignees. Per FAR 52.227-11, this report shall include information regarding the status of development, date of first commercial sale or use, gross royalties received by the contractor, and other data requested by the Contracting Officer.

15.4 FORMAT: To report a Disclosure of Invention and New Technology (Including Software) NASA Form 1679

(latest version) may be used or submit the report online at: https://invention.nasa.gov/, or provide sufficient information to meet the reporting requirement.

The interim and final NASA New Technology Summary Reports may use the NTSR Form (Interim or Final whichever is applicable) utilizing the online system at: https://invention.nasa.gov/, or provide sufficient information to meet the reporting requirement.

15.5 MAINTENANCE: None required

J-2-15

1. DPD NO.: 1791 ISSUE: Draft 2. DRD NO.: 1791MA-001

3. DATA TYPE: 1 4. DATE REVISED:

5. PAGE: 1/2

6. TITLE: Organizational Conflict of Interest (OCI) Plan

7. DESCRIPTION/USE: The Plan will communicate the contractor’s approach to identify and resolve OCIs.

The contractor will be held accountable for identifying, dispositioning, and reporting OCIs during contract performance.

8. OPR: PS51 9. DM: ST14

10. DISTRIBUTION: Shall be as instructed by the contracting officer

11. INITIAL SUBMISSION: 30 days after contract award

12. SUBMISSION FREQUENCY: As needed

13. REMARKS:

14. INTERRELATIONSHIP: NASA Federal Acquisition Regulation (FAR) Supplement (NFS) 1852.209-71, Limitation of Future Contracting, NFS 1852.237-72, Access to Sensitive Information and NFS 1852.237-73, Release of Sensitive Information. SOW paragraph 3.0h

15.1 SCOPE: The Organizational Conflict of Interest (OCI) Plan describes the contractor’s comprehensive approach to identify, avoid, mitigate, neutralize, and report potential OCI issues, including conflicts described in the solicitation and those discovered during contract performance.

FAR Subpart 9.5 Organizational and Consultant Conflicts of Interest NFS 1809.500 NASA Guide on Organizational Conflicts of Interest

15.3 CONTENTS: The Organizational Conflict of Interest (OCI) Plan shall meet the requirements of FAR 9.5 and include the following:

a. Point of contact for OCI issues and reports.

b. Demonstrate an understanding of (1) OCI principles and (2) the full breadth of OCI issues and the types of harm that can result. The Plan at a minimum addresses the three primary types of OCIs (i.e., biased ground rules, unequal access to information, and impaired objectivity).

c. Define company roles, responsibilities, and procedures for (1) screening (i.e., identifying/recognizing, analyzing/evaluating, resolving, and reporting) existing and new business opportunities for actual/potential OCIs and (2) monitoring and reporting all potential/actual OCIs that arise, resolving conflicts, and reporting previously unidentified OCIs or potential OCIs to the Government.

d. Describe how employees are notified of the Plan’s requirements and how this notification will be documented. Establish and require entrance training for new employees, refresher training for existing employees, and exit training for departing employees. Describe how completion of this training will be documented, including a copy of any training certification template that the contractor will use to document that its employees have completed training.

e. Describe how the contractor will report breaches of the protective measures in the Plan to the contracting officer. The Plan should describe what processes the contractor will implement following any breach and should indicate that final resolution of the corrective action must be approved by the contracting officer.

f. Identify any affiliated companies/entities (e.g., a parent company or a wholly owned subsidiary) and procedures for coordinating OCIs with such affiliated companies/entities.

J-2-16

DRD Continuation Sheet TITLE: Organizational Conflict of Interest (OCI) Plan DRD NO.: 1791MA-001

DATA TYPE: 1 PAGE: 2/2

15. DATA PREPARATION INFORMATION (CONTINUED):

g. Address the process for reporting all potential/actual OCIs that arise during performance of the contract.

An OCI report shall include (1) a description of the conflict, (2) the plan for resolving the conflict, and (3) the benefits/risks to contract performance associated with plan approval/acceptance. Specific resolution strategies shall be appended to the Plan upon approval by the Government.

h. Explain how the contractor will flow down the provisions of this Plan to any subcontractor that may have a conflict with regard to performing the requirements of this contract. Discuss affected subcontractors’ OCI program as it relates to this contract and specifically explain how affected subcontractors will identify, resolve, and report actual/potential OCIs associated with this contract.

i. Define organizational and employee sanctions for violations of established OCI procedures/requirements/ guidelines.

j. Include an assertion from the Contractor that to the best of their knowledge no OCIs exist at this time, if applicable. Provide a list of all of the prime’s and subcontractor’s NASA contracts and subcontracts, which would provide the CO a better understanding of other NASA work performed by the Offeror that may give rise to an actual or potential conflict. 11. Include a requirement to update this plan as necessary to address specific OCIs. All updates to the plan must be approved by the contracting officer and the updates/changes must be incorporated in the contract to be effective.

k. Require periodic self-audits to ensure compliance with established OCI procedures/requirements/ guidelines.

l. The Plan demonstrates an understanding of the definition of “sensitive information”.

m. Document the training requirements for employees that have access to sensitive information and describe the procedures in the Plan that ensures safeguard of sensitive information and preclude unauthorized access or disclosure. What procedures/documentation (e.g., non-disclosure statement) are in place to identify these employees and validate that these employees will comply with mandatory protections of sensitive information.

n. Define records related to the OCI plan (e.g., training and audit records) that will be made available to the Government upon request. Note: The OCI Plan as outlined in paragraphs 1 through 14 above is not for the purpose of addressing other very important contractual obligations such as (1) the contractor’s obligation to protect sensitive information in accordance with NFS 1852.237-72, Access to Sensitive Information, (2) the contractor’s obligation to conduct business in an ethical manner in accordance with FAR 52.203-13, contractor’s Code of Business Ethics and Conduct, and (3) the contractor’s obligation to prevent personal conflicts of interest in accordance with FAR 52.203-16, Preventing Personal Conflicts of Interest.

o. In an appendix to the OCI Plan identify the strategy (e.g., mitigation, limitation on future contracting, etc.)

for resolving each OCI that is either identified in the solicitation or created by the requirements of the solicitation/contract and explain the effect of such strategy on performance of the contract. If using a firewall, explain how these actions will operate to successfully address the conflict without adversely affecting performance of the contract. (Note: Specific plans to limit future competition are reflected in the clause at NFS 1852.209-71, Limitation of Future Contracting.)

15.4 FORMAT: Contractor format is acceptable.

15.5 MAINTENANCE: The contractor shall review the OCI Plan on an annual basis or as directed by the contracting officer to revise the OCI Plan if necessary. Revisions are subject to Contracting Officer approval and shall be incorporated by change page or complete reissue.

J-2-17

1. DPD NO.: 1791 ISSUE: Draft 2. DRD NO.: 1791MA-002

5. PAGE: 1/1

6. TITLE: Final Scientific and Technical Report

7. DESCRIPTION/USE: To provide a summary of the results of the entire contract effort, including recommendations and conclusions based on the experience and results obtained.

8. OPR: IS02 9. DM: ST14

10. DISTRIBUTION: Final report shall be submitted to the Contracting Officer. In addition, contractor shall concurrently provide Center Scientific and Technical Information (STI) Manager and NASA STI Program Office, formerly Center for AeroSpace Information (CASI), a copy of the letter transmitting final report to the Contracting Officer. The copy of the letter shall be submitted to Center STI Manager at MSFC-STI@nasa.gov and NASA STI Program Office at the address listed at https://www.sti.nasa.gov under the “Get Help” link.

11. INITIAL SUBMISSION: 30 days after completion of contract

12. SUBMISSION FREQUENCY: One-time submittal

13. REMARKS:

14. INTERRELATIONSHIP: SOW paragraph 3.0d

15. DATA PREPARATION INFORMATION:

15.1 SCOPE: The Final Scientific and Technical Report summarizes the results of the entire contract work.

15.2 APPLICABLE DOCUMENTS/CLAUSES:

NFS 1835.070 Final Scientific and Technical Report NFS 1852.235-73 Final Scientific and Technical Reports NPR 2200.2 Requirements for Documentation, Approval, and Dissemination of Scientific and

Technical Information

15.3 CONTENTS: The Final Scientific and Technical Report shall be prepared and submitted in accordance with

NFS 1835.070 and meet the requirements of 1852.235-73. The report shall summarize the results of the entire contract, including recommendations and conclusions based on the experience and results obtained. The report shall include tables, graphs, diagrams, curves, sketches, photographs, and drawings in sufficient detail to explain comprehensively the results achieved under the contract. The report shall include a completed NASA Scientific, Technical and Research Information discoVEry System (STRIVES) NASA Form (NF) 1676 and Standard Form 298 as the final page, per NPR 2200.2 and NFS 1852.235.73.

15.4 FORMAT: The final report shall be of a quality suitable for publication and shall follow the formatting and stylistic guidelines contained in NPR 2200.2. Electronic formats are required. See https://nasa.sharepoint.com/sites/NASASTIProgram/SitePages/Formal-Report-Series.aspx for appropriate types of formats. The final page of the report shall be in accordance with NASA Form 1676 and Standard Form 298.

One electronic copy of each NASA STI Report Series publication is sent to NASA STI Program Office, formerly CASI through the STRIVES NF 1676 automated system located at https://strives.nasa.gov/ portal.

Electronic format shall be in accordance with NFS 1852.235-73.

15.5 MAINTENANCE: None required

mailto:MSFC-STI@nasa.gov https://www.sti.nasa.gov/ https://nasa.sharepoint.com/sites/NASASTIProgram/SitePages/Formal-Report-Series.aspx https://strives.nasa.gov/

J-2-18

DATA REQUIREMENTS DESCRIPTION (DRD)

1. DPD NO.: 1791 ISSUE: Draft 2. DRD NO.: 1791MA-003

5. PAGE: 1/1

6. TITLE: Monthly Progress and Annual Report

7. DESCRIPTION/USE: To provide visibility to contractor and MSFC project management of actual and potential problems and progress toward meeting the cost, technical and schedule requirements.

8. OPR: ST14 9. DM: ST14

10. DISTRIBUTION: Per Contracting Officer's letter

11. INITIAL SUBMISSION: Monthly Progress Report: The first submission shall be provided by the 15th day of the month following the contractor’s accounting month-end. If the contract is awarded beyond the 15th day of the month, the first report shall cover the period from award until the following accounting month-end, unless otherwise specified by the Contracting Officer. Annual Report: NOTE: Need a time for first delivery.

12. SUBMISSION FREQUENCY: Monthly Progress Report: Monthly by the 15th day of the month after the close of the contractor’s accounting period. Annual Report: Annually

13. REMARKS:

14. INTERRELATIONSHIP: SOW paragraphs 3.0a&b

15.1 SCOPE: The Monthly Progress and Annual Report provides data for the assessment of monthly cost, technical and schedule progress.

NFS 1852.235-74 Additional Reports of Work - Research and Development

15.3 CONTENTS: The Monthly Progress and Annual Report shall meet the requirements of NFS 1852.235-74 and shall contain the following:

a. Monthly Progress Report shall include:

1. Work accomplished for current reporting period, including a report of overall cost, technical and schedule performance.

2. Work planned for next reporting period.

3. Current problems or risks which may impede performance or impact program schedule or cost, as well as proposed corrective action(s) for these areas.

4. Other information that assists the Government in evaluating the contractor’s cost, technical and schedule performance, e.g., innovative processes and cost reduction initiatives.

b. Annual Report shall detail the development of the cloud native tools and services.

15.4 FORMAT: Contractor format as acceptable to Government customer.

15.5 MAINTENANCE: Changes shall be incorporated by complete reissue.

J-2-19

1. DPD NO.: 1791 ISSUE: Draft 2. DRD NO.: 1791SW-001

3. DATA TYPE: 2 4. DATE REVISED:

5. PAGE: 1/1

6. TITLE: Software User Manual

7. DESCRIPTION/USE: To provide for hands-on software users information on installation and use of a computer software configuration item (CSCI), a group of related CSCI’s, or a software system or subsystem.

The Software User Manual may also cover a particular aspect of software operation, such as instructions for a particular position or task.

8. OPR: ES51 9. DM: ST14

10. DISTRIBUTION: Per program/project/activity determination

11. INITIAL SUBMISSION: At Acceptance Review

12. SUBMISSION FREQUENCY: One time; update as required

13. REMARKS: Some DRDs are not applicable to all software classifications. Reference is made to NPR 7150.2, NASA Software Engineering Requirements, Appendix C, to determine requirement applicability for…