Attachment 3 - DD Form 1423-1.pdf

DD FORM 1423-1, FEB 2001

CONTRACT DATA REQUIREMENTS LIST

(1 Data Item)

PREVIOUS EDITION MAY BE USED.

Form Approved OMB No. 0704-0188

The public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to the Department of Defense, Executive Services Directorate (0704-0188). Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. Please do not return your form to the above organization. Send completed form to the Government Issuing Contracting Officer for the Contract/PR No. listed in Block E.

A. CONTRACT LINE ITEM NO. B. EXHIBIT C. CATEGORY:

TDP ________ TM _______ OTHER

D. SYSTEM/ITEM E. CONTRACT/PR NO. F. CONTRACTOR

1. DATA ITEM NO. 2. TITLE OF DATA ITEM 3. SUBTITLE

4. AUTHORITY (Data Acquisition Document No.) 5. CONTRACT REFERENCE 6. REQUIRING OFFICE

7. DD 250 REQ

8. APP CODE

9. DIST STATEMENT

REQUIRED

10. FREQUENCY

11. AS OF DATE

12. DATE OF FIRST SUBMISSION

13. DATE OF SUBSEQUENT

SUBMISSION

14. DISTRIBUTION

a. ADDRESSEE

b. COPIES

Draft Final

Reg Repro

15. TOTAL

16. REMARKS

17. PRICE GROUP

18. ESTIMATED

TOTAL PRICE

G. PREPARED BY H. DATE I. APPROVED BY J. DATE

Page of Pages

CONTRACT DATA REQUIREMENTS LIST

(1 Data Item)

A. CONTRACT LINE ITEM NO. B. EXHIBIT C. CATEGORY:

TDP ________ TM _______ OTHER

D. SYSTEM/ITEM E. CONTRACT/PR NO. F. CONTRACTOR

16. REMARKS (Continued)

DD FORM 1423-1, FEB 2001 Page of Pages

INSTRUCTIONS FOR COMPLETING DD FORM 1423

(See DoD 5010.12-M for detailed instructions.)

FOR GOVERNMENT PERSONNEL

Item A. Self-explanatory.

Item B. Self-explanatory.

Item C. Mark (X) appropriate category: TDP - Technical Data Package;

TM - Technical Manual; Other - other category of data, such as "Provisioning,""Configuration Management," etc.

Item D. Enter name of system/item being acquired that data will support.

Item E. Self-explanatory (to be filled in after contract award).

Item F. Self-explanatory (to be filled in after contract award).

Item G. Signature of preparer of CDRL.

Item H. Date CDRL was prepared.

Item I. Signature of CDRL approval authority.

Item J. Date CDRL was approved.

Item 1. See DoD FAR Supplement Subpart 4.71 for proper numbering.

Item 2. Enter title as it appears on data acquisition document cited in Item 4.

Item 3. Enter subtitle of data item for further definition of data item (optional entry).

Item 4. Enter Data Item Description (DID) number, military specification number, or military standard number listed in DoD 5010.12-L (AMSDL), or one-time DID number, that defines data content and format requirements.

Item 5. Enter reference to tasking in contract that generates requirement for the data item (e.g., Statement of Work paragraph number).

Item 6. Enter technical office responsible for ensuring adequacy of the data item.

Item 7. Specify requirement for inspection/acceptance of the data item by the Government.

Item 8. Specify requirement for approval of a draft before preparation of the final data item.

Item 9. For technical data, specify requirement for contractor to mark the appropriate distribution statement on the data (ref. DoDD 5230.24).

Item 10. Specify number of times data items are to be delivered.

Item 11. Specify as-of date of data item, when applicable.

Item 12. Specify when first submittal is required.

Item 13. Specify when subsequent submittals are required, when applicable.

Item 14. Enter addressees and number of draft/final copies to be delivered to each addressee. Explain reproducible copies in Item 16.

Item 15. Enter total number of draft/final copies to be delivered.

Item 16. Use for additional/clarifying information for Items 1 through 15.

Examples are: Tailoring of documents cited in Item 4; Clarification of submittal dates in Items 12 and 13; Explanation of reproducible copies in Item 14.; Desired medium for delivery of the data item.

FOR THE CONTRACTOR

Item 17. Specify appropriate price group from one of the following groups of effort in developing estimated prices for each data item listed on the DD Form 1423.

a. Group I. Definition - Data which is not otherwise essential to the contractor's performance of the primary contracted effort (production, development, testing, and administration) but which is required by DD Form 1423.

Estimated Price - Costs to be included under Group I are those applicable to preparing and assembling the data item in conformance with Government requirements, and the administration and other expenses related to reproducing and delivering such data items to the Government.

b. Group II. Definition - Data which is essential to the performance of the primary contracted effort but the contractor is required to perform additional work to conform to Government requirements with regard to depth of content, format, frequency of submittal, preparation, control, or quality of the data item.

Estimated Price - Costs to be included under Group II are those incurred over and above the cost of the essential data item without conforming to Government requirements, and the administrative and other expenses related to reproducing and delivering such data item to the Government.

c. Group III. Definition - Data which the contractor must develop for his internal use in performance of the primary contracted effort and does not require any substantial change to conform to Government requirements with regard to depth of content, format, frequency of submittal, preparation, control, and quality of the data item.

Estimated Price - Costs to be included under Group III are the administrative and other expenses related to reproducing and delivering such data item to the Government.

d. Group IV. Definition - Data which is developed by the contractor as part of his normal operating procedures and his effort in supplying these data to the Government is minimal.

Estimated Price - Group IV items should normally be shown on the DD Form 1423 at no cost.

Item 18. For each data item, enter an amount equal to that portion of the total price which is estimated to be attributable to the production or development for the Government of that item of data.

These estimated data prices shall be developed only from those costs which will be incurred as a direct result of the requirement to supply the data, over and above those costs which would otherwise be incurred in performance of the contract if no data were required. The estimated data prices shall not include any amount for rights in data. The Government's right to use the data shall be governed by the pertinent provisions of the contract.

DD FORM 1423-1 (BACK), FEB 2001

1. Block 12 - Date of First Submission. The first submission of Formats 1-6 is due within 12 working days after the end of the second full accounting period following Authorization to Proceed (ATP).

2. Block 13 - Date of Subsequent Submissions: Subsequent submissions containing all formats (Formats 1 through 6) shall be provided within 12 working days after the close of the contractor’s monthly accounting period. Format 7 is due quarterly within 12 working days after the contractor's monthly accounting period in the months of Dec, Mar, Jun & Sep.

3. Submission Formats and Instructions:

3.1 All formats shall be submitted electronically in accordance with the DOD-approved XML schemas located in the EVM Central Repository (EVM-CR). Refer to the DCARC EVM Website for a link to the EVM-CR http://dcarc.cape.osd.mil/EVM

3.2. Cost XML Guidelines. Formats 1-4 shall be submitted using the DoD-approved Cost XML guideline and schema. Formats 1-4 shall be submitted in whole units (no decimals) in the XML. Format 1 WBS data in XML shall be required down to the control account level. The Cost XML shall also contain the WBS and OBS structures from the control account level to the total program level.

3.3. IMS XML Guidelines. Format 6 shall be submitted using the DoD-approved IMS XML guideline and schema.

3.4. Time-phased Cost XML Guideline. Format 7 shall be submitted using the DoD-approved Time-Phased Cost XML Guideline and schema.

3.5 All IPMR files must be electronically forwarded to the central repository at the DCARC website at http://dcarc.cape.osd.mil/EVM

3.6 Formats 5 and 6 shall also be submitted in contractor native format. Formats 1-4 shall additionally be provided in human readable formats such as a word processor, spreadsheet or PDF file.

3.7 Subcontractors with DFARS 252.234-7002 requirement shall report Format 1-7 XML to the Government as specified in Block 14. This may be reported as part of the prime's submission or directly by the subcontractor to the central repository.

3.8 Method of compression: A ZIP method for compressing the XML submission will be agreed to by both the Government and Contractor.

4.1. Format 1 Instructions: Contract Work Breakdown Structure (CWBS) elements shall be reported in accordance with MIL-STD-881. The human readable Format 1 shall be reported at the level specified in MIL-STD-881, as tailored in the contract. This level is also known as the "Reporting Level".

4.2. Format 2 Instructions: Use organizational categories, e.g., Integrated Product Team (IPT) or functional organizations including each subcontractor with EVMS flowdown requirements (DFARS 252.234-7002) and each major vendor separately as an add/non-add item.

4.3. Format 3 Instructions: The individual lines when added to the “other” will total to the difference between the PMB ending of the period and PMB beginning of the period. Significant differences (values exceeding +/- 5%) between the Performance Measurement Baseline (PMB) at the beginning and end of each specified period by period and in total shall be individually listed and explained in Format 5. Significant changes shall be reported individually so that the “other” line is less than 30% of the total by period or at complete.

4.4. Format 3 and 4 time periods shall be consistent. Formats 3 and 4 columns 4-9 are months beyond the current period; columns 10-13 are defined as GFY quarters or fiscal years, and column 14 shall be the remainder of the contractual period of performance to reconcile with the totals.

4.5. Format 4 Instructions:

(1) The contractor’s estimate-to-complete projections shall be used for time phasing equivalent staff months for each organizational category specified in Format 2 and include staffing for effort performed by significant Intercompany Work Authorizations.

(2) Significant changes that require explanations in Format 5 are those that change more than +/-5% as measured between consecutive periods in columns 2, 4 -9.

(3) The reportable unit in Format 4 shall be in “equivalent months”.

4.6. Format 5 Instructions

(1) The reporting level defined above is the level where variance reporting thresholds are applied.

(2) The variance reporting thresholds are

a) $50K and 10% for current period cost or schedule variances

b) $100K and 10% for cumulative cost or schedule variances

c) $250K and 5% for at-complete variances.

d) Narrative explanations required and variance thresholds will be reviewed periodically, and may be adjusted by contract modification with no change in contract price.

(3) Monthly the contractor will notify the Government which reportable WBSs exceeded the threshold no later than the 15th working day after the accounting close.

(4) The government may notify the contractor which 15 variances are reportable in the current period no later than the 2nd working day after accounting close.

(5) Without the Government direction; the contractor shall report the top three current month, cumulative, and at complete schedule and cost variances. A total of 15 WBS elements are reported as applicable. The default method of contractor selection may be changed by the Government at no cost and without a change to the CDRL.

(6) The contractor or the Government may identify additional variances to report over the 15 to cover emerging trends. Items shall be reviewed monthly to see if still required; the intent of the requirement is to be temporary in nature. Temporary is defined as six months or less.

(7) Variance Analysis Narratives. All reportable WBS variances report shall

1) Adequately address the root cause of the variance

2) Adequately discuss any schedule variance in terms of float and the impact to the program critical path, if any.

3) The narrative shall be quantitative and explain the causes that account for at least 70% of the variance exceeding the threshold

(8) If there are no changes to the reportable element problem analysis, expected impacts, or corrective action status then specify, “no changes since the last reported analysis” and reference the IPMR date when the narrative was initially reported.

(9) IPMRs required from subcontractors will be provided electronically using the DOD approved XML format.