J.1 (a) Attachment 2 Data Requirements Descriptions (DRDs)_.pdf

80ARC023R0002 - Attachment J.1(a)(2)

DATA TYPE DESCRIPTION

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

Type 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. 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.

Type 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.

1. DRD Title: Initial Financial Management Report

2. DRD No.: 1 3. Data Type: 3

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: An initial financial management report shall be submitted by the Contractor and each major subcontractor on NASA Form 533Q (or computer-generated version) in accordance with the instructions on the reverse side of the forms and the NASA Procedural Requirements (NPR) 9501.2E, NASA Contractor Financial

Management Reporting, at URL: http://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=9501&s=2E and as set forth in scope section below:

10. Distribution:

Contracting Officer's Representative (COR) Code TH, M/S 262-4 (1 cy)

Contracting Officer (CO) Code JAI, M/S: 241-1 (1 cy)

Financial Management Division, Code CF, M/S 203-20 (1 cy)

Resource Executive, Code TH, M/S 262-11 (1 cy)

Resources Management Office (RM), code CR (1 cy)

Initial Submission: 10 working days after effective date of contract

Submission Frequency: Once after contract award

Format: The 533Q template shall be utilized to provide the information to those identified in the Scope section below.

Interrelationship: NFS 1852.242-73, NASA Contractor Financial Management Reporting; SOW; CLIN 002

Applicable Documents: NASA 533Q

Scope: Reporting categories shall be elements of cost including direct labor hours (prime); labor hours

(subcontractors); direct labor costs (prime) and labor costs (subcontractor); overhead; other direct costs (ODCs), G&A; total costs; fixed fee; total cost plus fee. ODCs include occupancy, travel (separated by Prime and subcontractor), materials/supplies, equipment/software, communications, consultants, and other ODCs. All the above data is to be submitted for the base period. All blocks shall be completed as appropriate.

Contents: See scope section for detail on form contents.

Remarks: N/A

Maintenance: N/A

1. DRD Title: Quarterly Financial Management Report (NF533Q)

2. DRD No.: 2 3. Data Type: 3

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: The Contractor shall deliver the NF 533Q report in accordance with the instructions on the reverse side of the forms and the NASA Procedural Requirements (NPR) 9501.2E, NASA Contractor Financial

Management Reporting, at URL: http://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=9501&s=2E and as set forth below.

10. Distribution:

Contracting Officer's Representative (COR) Code TH, M/S 262-4 (1 cy)

Contracting Officer (CO) Code JAI, M/S: 241-1 (1 cy)

Financial Management Division, Code CF, M/S 203-20 (1 cy)

Resource Analyst / Executive, Code TH, M/S 262-11 (1 cy)

Initial Submission: 10 working days after completion of the first 3 months of the contract.

Submission Frequency: Quarterly, by the 10th working day of the month preceding the quarter (based on the

Government Fiscal Year) being projected

Format: The 533Q template shall be utilized to provide the information to those identified in the Scope section below.

Interrelationship: NFS 1852.242-73, NASA Contractor Financial Management Reporting

Applicable Documents: 533Q

Scope: Reporting categories shall be elements of cost including direct labor hours (prime); labor hours

(subcontractors); direct labor costs (prime) and labor costs (subcontractor); overhead; other direct costs (ODCs), G&A; total costs; fixed fee; total cost plus fee. ODCs include occupancy, travel (separated by Prime and subcontractor), material/supplies, equipment/software, communications, consultants, and other ODCs. All the above data is to be submitted for the reporting period, the cumulative periods, the Government Fiscal Year cumulative, and the estimated costs to completion. Formats will be agreed upon between the Contractor, COR, and Contracting

Officer.

Variances under and exceeding 5 percent between planned dollars and actual dollars for each reporting category (at the total contract level only) shall be explained. (Reasonable variance explanation includes the issue, monthly and/or total impacts, corrective actions and dates.)

Contents: See scope section for details on contents.

1. DRD Title: Monthly Financial Management Report (NF533M)

2. DRD No.: 3 3. Data Type: 3

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: The Contractor shall deliver the NF 533M report in accordance with the instructions on the reverse side of the forms and the NASA Procedural Requirements (NPR) 9501.2E, NASA Contractor Financial

Management Reporting, at URL: http://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=9501&s=2E and as set forth below.

10. Distribution:

Contracting Officer's Representative (COR) Code TH, M/S 262-4 (1 cy)

Contracting Officer (CO) Code JAI, M/S: 241-1 (1 cy)

Financial Management Division, Code CF, M/S 203-20 (1 cy)

Resource Analyst / Executive, Code TH, M/S 262-11 (1 cy)

Initial Submission: Submission of Draft to COR and Code TH Resource Analyst 6 working days after the first month of phase in period; Submission to CO and COR 10 working days after the first month of phase in period.

Submission Frequency: The Contract Summary 533M and Subproject breakout 533M shall be delivered to the

Code TH Resource Analysts and the COR by the 6th working day after the end of each month, Contract Summary

533M shall be delivered to the CO Monthly, by the 10th working day after the end of each month being reported.

Format: The 533M template shall be utilized to provide the information to those identified in the Scope section below.

Interrelationship: NFS 1852.242-73, NASA Contractor Financial Management Reporting

Applicable Documents: 533M

Scope: Reporting categories shall be elements of cost including direct labor hours (prime); labor hours

(subcontractors); direct labor costs (prime) and labor costs (subcontractor); overhead; other direct costs (ODCs), G&A; total costs; fixed fee; total cost plus fee. ODCs include occupancy, travel (separated by Prime and subcontractor), material/supplies, equipment/software, communications, consultants, and other ODCs. All the above data is to be submitted for the reporting period, the cumulative periods, the Government Fiscal Year cumulative, and the estimated costs to completion.

The Contractor shall provide one summary 533M for the entire contract as well as separate breakouts for each subproject (ASRS, and C3RS base operations and ASRS or C3RS special studies as specified by the COR/Code TH

Resource analysts and updated as required) for review by Code TH Resource Analyst. Errors shall be corrected before submitting final Contract Summary 533 to the CO. Formats, reporting granularity, and review processes will be agreed upon among the Contractor, CO, COR, and designated Resource Analysts for NASA ARC/Code TH.

Variances under and exceeding 5 percent between planned dollars and actual dollars for each reporting category (at the total contract level only) shall be explained. (Reasonable variance explanation includes the issue, monthly and/or total impacts, corrective actions and dates.).

Contents: See scope section for details on contents.

1. DRD Title: Monthly Report

2. DRD No.: 4 3. Data Type: 3

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☐

S&MA ☐

9. Description/Use: The Contractor shall provide a monthly status of all work accomplished.

10. Distribution:

Contracting Officer's Representative (COR) Code TH, M/S 262-4 (1 cy)

Contracting Officer (CO) Code JAI, M/S: 241-1 (1 cy)

Initial Submission: First monthly report shall be received on the 10th calendar day of the second month of the base period of the contract.

Submission Frequency: See Scope section for breakdown of submission frequency

Format: The report shall be in Microsoft Word/PDF compatible format

Interrelationship: SOW Section 2.1.9

Applicable Documents: See Format section above and the Scope section below for applicable documents

Scope: Separate Monthly Reports for each reporting system (ASRS and C3RS) shall be delivered to the CO and COR

NLT the 10th calendar day of the month following the month to be reported using the monthly reporting template which will be provided by the government. These reports shall provide an overview of the previous month’s technical activities, including data production statistics that describe report intake, cumulative statistics, electronic vs.

paper report volume, data requests, alert messages, database activity, and website activity. The report shall include a cover letter which summarizes monthly report intake, highlights achievements including Safety Alerts, Telecons, database activity, newsletters, and other accomplishments and outreach initiatives, and any other pertinent information related to program. Other topics may be requested to be included by the NASA ASRS/C3RS

Director/COR.

Contents: See Scope section above.

Maintenance: changes shall be incorporated by complete reissue.

1. DRD Title: Quarterly Briefing

2. DRD No.: 5 3. Data Type: 3

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administrative ☐

S&MA ☐

9. Description/Use: The Contractor shall provide a quarterly briefing of all work accomplished.

10. Distribution:

Contracting Officer's Representative (COR) Code TH, M/S 262-4 (1 cy)

Contracting Officer (CO) Code JAI, M/S: 241-1 (1 cy)

Initial Submission: NLT the 15th calendar day following the first completion of a CY quarter (March, June, Sept or

Dec)

Submission Frequency: Quarterly

Format: ASRS Quarterly Briefing Template

Interrelationship: SOW Section 2.1, 2.1.9, 2.2 , 2.3

Applicable Documents: See Format section above and the Scope section below for applicable documents

Scope: The Quarterly Program Briefing shall be delivered via a progress meeting at the Contractor’s ASRS/C3RS facility, or other location/remote web conference if arranged in advance, and shall include the CO, COR/NASA

ASRS/C3RS Director, and Contractor management including key personnel and other NASA officials as required.

The briefing shall provide an overview of program management, financial and contractual status, information technology, ASRS status, C3RS status, and challenges and opportunities in a standard format approved by the government. Draft presentation charts should be distributed one work day before the meeting. The meeting shall be held NLT the 15th calendar day following the quarter being reported; or as determined by the CO and COR. Final charts shall be distributed within one week following the meeting. The meeting shall be approximately one hour.

Contents: See Scope section above.

Maintenance: changes shall be incorporated by complete reissue.

1. DRD Title: Final Report

2. DRD No.: 6 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☒Administra tive ☐

S&MA ☐

9. Description/Use: Final Report

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy electronic)

Initial Submission: No later than 30 days after the last day of performance

Submission Frequency: Once at the end of the contract Period of Performance

Format: The last page of the final report shall be completed on Standard Form (SF) 298, Report Documentation

Page.

Interrelationship: NPR 2200.2D Requirements for Documentation, Approval and Dissemination of Scientific and

Technical Information

Applicable Documents: SF 298, Report Documentation Page

Scope: Final Report shall be submitted to the CO, COR, no later than 30 days after the last day of performance that shall document and summarize the results of both ASRS and C3RS throughout the entire contract including report intake metrics, report processing metrics, standard operating procedures employed during report processing, a complete list of safety products and deliverables and the method employed for generating them, special studies methods, procedures, and results, outreach initiatives, IT enhancements and system augmentations. The final report shall be of a quality suitable for publication and shall follow the formatting and stylistic guidelines contained in NPR

2200.2D, Guidelines for Documentation, Approval, and Dissemination of NASA Scientific and Technical

Information. Electronic formats for submission of reports shall be used.

Contents: See Scope Section

1. DRD Title: Annual Report and Program Briefing

2. DRD No.: 7 3. Data Type:2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☒Administra tive ☐

S&MA ☐

9. Description/Use: Annual Technical Report of previous calendar year’s activities.

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy electronic)

Initial Submission: Draft ASRS Annual Report and Briefing is due NLT January 30 of each calendar year for the proceeding calendar year and Draft C3RS Annual Report is due NLT February 28 of each calendar year for the proceeding calendar year

Submission Frequency: Annually

Format: To be determined in collaboration with CO/COR and Contractor.

Interrelationship: SOW Section 2.1.9, 2.2, 2.3

Applicable Documents: N/A

Scope: The Contractor shall provide annual reports to NASA on each reporting system. The Contractor shall provide an ASRS annual report, and Annual Program Briefing to NASA no later than Jan 30th of each year and a C3RS annual report and Annual Program Briefing no later than Feb 28th of each year.

Contents: The ASRS and C3RS annual reports shall provide summaries of the previous calendar year’s activities and any other related program activity, report intake, program outputs, details of problems encountered or anticipated, and suggestions for program augmentation and enhancements. The ASRS annual reports shall document ASRS report intake and report processing metrics, the topics of each issue of CALLBACK, the title and date of issuance of each

Alert and FYI notice, the dates and topics presented at each monthly ASRS/FAA safety telecon, Search Requests and

Quick Responses generated, a summary of Outreach initiatives, Special Studies and other Safety Products generated in the calendar year. The C3RS annual reports shall document C3RS report intake and report processing metrics, the topics of each issue of the Inside the Rail Newsletter, date of issuance of each Alert and FYI notice, a summary of the number of Carrier Heads-Up notices issued per month, the dates and topics presented at each PRT safety telecon, Search Requests and Quick Responses generated, a summary of Outreach initiatives, Special Studies and other Safety

Products generated in the calendar year. Each report shall also document any IT development and/or system enhancements completed during the Calendar Year and propose suggestions for improvements and augmentations for each reporting system.

Each annual report shall contain a one-page graphical summary overview of annual highlights suitable for public dissemination. Final content and format will be agreed upon in advance. CO or COR may request other topics to be included as needed.

An annual ASRS Program Briefing available as a PDF download from https://asrs.arc.nasa.gov/overview/summary.html shall be updated annually. The C3RS Program Briefing shall be modeled after the ASRS Program Briefing and in collaboration with the NASA C3RS Director.

Remarks: N/A

Maintenance: If NASA requests modifications to the annual reporting deliverables, a final version will be due NLT

30 days after receiving NASA comments.

1. DRD Title: Phase-in Plan

2. DRD No.: 8 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: The Contractor shall provide a Phase-in Plan to be followed by the Contractor as it starts its performance under the ASRS Contract.

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy electronic)

Initial Submission: The Phase-in Plan shall be submitted with the Contractor’s proposal.

Submission Frequency: An update to the initial submission in the Contractor's proposal shall be delivered 7 working days after contract start date. The plan will be revised, comments adjudicated, approved, and incorporated into the contract as Section J.1(a) Attachment 10. Updates will be submitted as needed.

Format: N/A

Interrelationship: SOW Section 3.1 Phase-in

Applicable Documents: N/A

Scope: Phase-In Plan

Contents: The Offeror shall submit a Phase-In Plan that describes their approach to transfer operations during contract turnover as described in Section 3.1 of the SOW

The Phase-in Plan shall:

• Provide a schedule for the Phase-In period that indicates tasks and milestones proposed to complete the Phase-

In requirements in SOW Section 3.1 in the most efficient manner possible without adversely impacting on-going contract requirements by the Incumbent Contractor.

• Describe the proposed approach for staffing the Phase-In period including the personnel that will be performing phase-in duties, the tasks each staff member will be responsible for, the amount of time allocated to Phase-In by each person, and where the Phase-In work shall be conducted. The Phase-In plan shall describe the proposed approach for transitioning any incumbent staff from a remote to an in-office work environment.

• Describe the proposed Phase-In approach that addresses the items in SOW Section 3.1, including:

o Personnel o Information Technology o Facility o Transfer of Property, Equipment, Licenses and Agreements o Transition of Technical Work Requirements

Remarks: The phase-in process shall be accomplished as quickly and efficiently as possible, with a maximum phase-in period of 60 days. The phase-in process shall not adversely impact the work being done by the outgoing contractor.

1. DRD Title: Phase-Out Plan

2. DRD No.: 9 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: The Contractor shall provide, for CO and COR review and approval, a Phase-Out Plan to be followed by the Contractor as it concludes its performance under the ASRS Contract.

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy)

Initial Submission: The Phase-Out Plan is required to be delivered 90 days before the end of the contract’s period of performance.

Submission Frequency: Once

Format: N/A

Interrelationship: SOW Section 3.2; Phase-Out; DRD 38

Applicable Documents: N/A

Scope: Phase-Out Plan

Contents: The Contractor shall provide, for CO and COR review and approval, a Phase-Out Plan for the complete and orderly transfer of duties,records, government furnished equipment and property to the incoming Contractor. The

Plan shall address section 3.2 of the SOW, in addition, the Plan shall address issues pertinent to the continuation of operations for all areas of responsibility under the contract.

1. DRD Title: Property Management Records Report

2. DRD No.: 10 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: The Contractor shall submit a quarterly Property Management Report itemizing all purchases for use in performance of the contractual requirements.

10. Distribution:

COR; Code TH; M/S: 262-4 (1 cy)

CO, Code JAI, M/S: 241-1 (1 cy)

Equipment Specialist (ES), Code JS, M/S 255-2 (original)

Industrial Property Officer (IPO) electronic cy

Initial Submission: 5 days after completion of initial contract quarter

Submission Frequency: quarterly, 5 days after end of each contract quarter

Format: DD Form 1149, DOD Requisition and Invoice/Shipping Document

Interrelationship: FAR 52.245-1 Government Property, SOW section 2.1.1, Contract Management Requirements

Applicable Documents: Reportable equipment shall be reported to the NASA Property Plant and Equipment System, DD Form 1149

Scope: The Contractor shall submit a Property Management Report itemizing all purchases for the quarter no later than 5 working days after the end of each contract quarter. All orders, items received, and prices must be included.

Contents: The Contractor shall use DD Form 1149, DOD Requisition and Invoice/Shipping Document, to report

Government property that is centrally reportable equipment to the N-Prop website located at https://nprop.nasa.gov/login: 1) at the time of receipt and acceptance of accountability; 2) when major changes occur in the data initially submitted to NASA; and, 3) when the equipment is no longer required for or actively being used in pursuit of this contract. The Contractor shall indicate the current condition code of equipment reported pursuant to

(3) above.

Remarks: Reportable data shall be submitted to the CO within 15 working days after the event that created the need for their preparation and shall be marked “FOR N-PROP”.

1. DRD Title: Contractor Request for Government-Furnished Property

2. DRD No.: 11 3. Data Type: 1

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: Contractor Request for Government-Furnished Property (Equivalent to DoD Industrial Plant

Equipment Requisition System (DD 1419)

10. Distribution:

Through COR, Code TH, M/S 262-4 (1 cy)

Through CO, Code JAI, M/S 241-1; to

Equipment Specialist, Code JS, M/S 255-2 (1 cy)

Industrial Property Officer (IPO) 1 electronic cy

Initial Submission: Submitted upon update

Submission Frequency: 30 days prior to purchase

Format: DD1419 or equivalent

Interrelationship: NFS 1852.245-70, Contractor Requests for Government Furnished Property, SOW section 2.1.1

Applicable Documents: See Format Section

Scope: The Contractor shall submit the information required by NFS 1852.245-70(b)(1) for property screening 30 days prior to purchase of property for each item of centrally reportable equipment to be acquired over $1,000 pursuant to clause NFS 1852.245-70 (ALT 1) Contractor Requests for Government-Furnished Property.

Contents: See Scope section.

1. DRD Title: NASA Property in the Custody of Contractors (NF 1018)

2. DRD No.: 12 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☐

S&MA ☐

9. Description/Use: NASA Property in the Custody of Contractors (NF 1018)

10. Distribution:

NF 1018 Electronic Submission System https://ness.nasa.gov/

Initial Submission: On day one of the base period of the contract

Submission Frequency: Annually by Oct 15th, report period is from Oct. 1 – Sept 30 of the following year.

Format: NASA Form 1018

Interrelationship: Instructions on the form, NFS subpart 1845.71, and any supplemental instructions

Applicable Documents: See Formant section

Scope: The Contractor shall submit annually a NASA Form (NF) 1018, NASA Property in the Custody of

Contractors.

Contents: The Contractor shall submit annually a NASA Form 1018, NASA Property in the Custody of Contractors, in accordance with requirements of CFR 1845.245-73, the instructions on the form in accordance with CFR subpart

1845.71, and any supplemental instructions for the current reporting period issued by NASA for property in the off-site possession of the contractor and/or any subcontractor.

1. DRD Title: Government Property Management Information Plan

2. DRD No.: 13 3. Data Type: 1

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: The Contractor shall provide a Government Property Management Information Plan with its proposal submission to detail how Government Property will be Managed under the ASRS Contract.

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy electronic)

IPO, Code JS M/S 255-2 (1 cy electronic)

Initial Submission: Submitted with the Offeror’s proposal

Submission Frequency: Plan shall be updated as necessary to address changed in Government Property, applicable regulation, management practices, etc., for Government review.

Format: See NFS provision 1852.245-80, Government Property Information

Interrelationship: NFS provision 1852.245-80, Government Property Information

Applicable Documents: Government Property Management Information Plan

Scope: In accordance with NFS provision 1852.245-80, Government Property Information, the Contractor shall provide a Government Property Management Information Plan with its proposal submission.

Contents: The Government Property Management Information Plan shall include all required content stated in NFS provision 1852.245-80, Government Property Information.

Remarks: An acceptable Government Property Management Information Plan will be incorporated into the contract as Section J.1(a) Attachment 12.

Maintenance: The plan shall be updated when applicable for Government and review.

1. DRD Title: Organizational Conflict of Interest Plan

2. DRD No.: 14 3. Data Type: 1 4. OPR: OP

5. Solicitation No.: 80ARC023R0002 6. Contract No.: TBD

7. Date Issued: 5/10/2023 8. Date Revised: TBD 9. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

10. 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.

11. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 241-1 (1 cy electronic)

Initial Submission: Initial submission shall be with the Contractor’s proposal.

Submission Frequency: Any updates to this plan during performance of this contract shall be reviewed and approved by the COR and the CO, and the contractor shall deliver a task order specific plan when required.

Format: Contractor’s format is acceptable.

Interrelationship: NASA Federal Acquisition Regulation (FAR) Supplement (NFS) 1852.209-71, Limitation of

Future Contracting, NFS 1852.237-72, Access to Sensitive Information, NFS 1852.237-73, Release of Sensitive

Information

Applicable Documents: FAR Subpart 9.5, Organizational and Consultant Conflicts of Interest, NFS 1809.500, NASA Guide on Organizational Conflicts of Interest

Scope: The 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

Contents: The OCI Plan shall meet the requirements of FAR 9.5 and include the following:

1. Point of contact for OCI issues and reports.

2. 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).

3. 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.

4. 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.

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

6. 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.

7. 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.

8. 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.

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

10. Include an assertion from the Contractor that to the best of their knowledge no OCIs exist currently, if applicable. Provide a list of all the prime’s and subcontractor’s NASA contracts and subcontracts, FAA and

FRA contracts and subcontracts, which would provide the CO a better understanding of other NASA, FAA or

FRA 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.

12. Require periodic self-audits to ensure compliance with established OCI procedures, requirements, and guidelines.

13. 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 12 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.

14. 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.)

Remarks: The OCI Plan will be incorporated into the contract as Section J.1(a) Attachment 8 once determined to be acceptable.

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.

1. DRD Title: Written Agreements Addressing Protection of Government Sensitive Information (GSI)

2. DRD No.: 15 3. Data Type: 3

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: The Contractor shall address the confidentiality requirements of ARC Clause 52.227-96, Handling of Data (Dec 2021), NFS 1852.237-72, Access to Sensitive Information (Jun 2005), and SOW Section

2.1.1. by entering into written agreements with all employees, including subcontract personnel and consultants. The agreements shall set forth their specific requirements for use, handling and non-disclosure of GSI.

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 241-1 (1 cy electronic)

Initial Submission: At the start of Phase-In.

Submission Frequency: N/A

Format: Contractor’s format is acceptable.

Interrelationship: ARC 52.227-96, Handling of Data (Dec 2021), ARC 52.227-98, DATA RIGHTS, SUBCONTRACTING, AND REPRESENTATION OF BACKROUND LIMITED RIGHTS DATA/RESTRICTED

COMPUTER SOFTWARE (DEC 2021); NFS 1852.237-72, Access to Sensitive Information (Jun 2005); SOW 2.1.1

Applicable Documents: See Interrelationship section.

Scope: The Contractor shall develop a written agreement to be signed by all employees including subcontract personnel and consultants to protect the confidentiality of GSI. GSI includes background Government and third-party sensitive information as well as sensitive program information received, used or produced by Contractor. Data sources may include Personally Identifiable Information (PII) and event details which may be used by others to reveal the identity of reporters or related-third parties such as airlines, rail carriers, equipment manufacturers, and other people involved in the reported safety events.

Contents: Provide a copy of the written employment agreement template or non-disclosure agreement instrument template that captures the confidentiality requirements to be signed by employees, subcontract personnel and consultants. The written agreement shall prohibit disclosure of confidential safety reporting data and related information and shall not restrict the lawfully reporting of waste, fraud or abuse related to the performance of the government contract as described in FAR clauses 52.203-18 and 52.203-19.

Remarks: All employees, including subcontract personnel and consultants, shall sign and agree to abide by their signed Agreement and agree to protect the confidentiality of all reporting systems’ data and information before being afforded access to NASA ASRS and C3RS data and systems.

Maintenance: N/A.

1. DRD Title: Safety Plan

2. DRD No.: 16 3. Data Type: 3

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: The Contractor shall provide a Safety Plan addressing issues pertinent to safe operation under the contract.

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy electronic)

Initial Submission: The plan shall be delivered no later than (NLT) 10 days after start of Phase-In for Government review.

Submission Frequency: See Initial Submission

Format: N/A

Interrelationship: NPR 8715.3C NASA General Safety Program Requirements as it applies to all NASA equipment, property, and systems.

Applicable Documents: See Interrelationship section.

Scope: The Contractor shall provide a Safety Plan addressing issues pertinent to safe operation under the contract.

The Safety Plan shall acknowledge corporate responsibility for understanding and implementing OSHA regulations, but also any other potential hazards and control, respectively to avoid possible injury.

Contents: The Safety Plan shall include the items listed below.

(1) Statement of corporate policy and program goals concerning safety.

(2) ASRS safety program management structure.

(3) ASRS safety management program elements.

• Contractor’s Experience Modification Rate and OSHA injury rate.

• Means for ensuring that every employee understands how to recognize hazards and how to avoid having mishaps in the workplace.

• Method of making sure that emergency plans and procedures are current and sufficient.

• Ergonomic program for employees.

• Method for ensuring management commitment to:

o Worksite Analysis o Hazard Prevention and Control o Safety Training

Remarks: The Safety Plan will be reviewed after award and incorporated into the contract as Section J.1(a)

Attachment 11.

1. DRD Title: IT Security Management Plan

2. DRD No.: 17 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: The contractor shall provide an IT Security Management Plan.

10. Distribution:

CO, Code JAI, (1 cy electronic)

COR; Code TH, (1 cy electronic)

CSRM, Code IEC, (1 cy electronic)

Center IT Security CISO, Code IEC, (1 cy electronic)

Initial Submission: 15 days after start of Phase-In

Submission Frequency: Reviewed annually. If updates or changes are required anytime during performance, a revised IT Security Management Plan is due within 15 days to the COR, CO, CSRM, and CISO for review.

Format: N/A

Interrelationship: NFS clause 1852.204-76, Security Requirements for Unclassified Information Technology

Resources.

Applicable Documents: See Interrelationship section and NASA ARC IT Security Management Plan template

Scope: The contractor shall provide an IT Security Management Plan which will be reviewed and approved by the

CO, COR, and Cybersecurity Risk Manager (CSRM), and the Center Chief Information Security Officer (CISO)

Contents: The Contractor shall submit an IT Security Management Plan, describing the management and technical controls required to implement and operate an effective IT Security process for the ASRS contract. This plan shall adhere to the NASA ARC IT Security Management Plan Template and describe the processes and procedures that will be followed to ensure appropriate security of IT resources that are developed, processed, or used under this contract. The template includes an IT Security Management Statement that addresses:

• Protecting Sensitive Information

• IT Information Types

• Security Plan Compliance

• Assessment and Authorization

• Configuration Control

• Incident Response

• System Configuration

• Vulnerability Mitigation

• Security Training

• General Rules of Behavior

Remarks: The IT Security Management Plan will be reviewed and approved after award and incorporated into the contract as Section J.1(a) Attachment 6.

Maintenance: See Submission Frequency section.

1. DRD Title: IT Training Report

2. DRD No.: 18 3. Data Type: 3

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: IT Training Report

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy electronic)

Initial Submission: 5th working day after the end of the first month of the base period of the contract.

Submission Frequency: Monthly, no later than the 5th working day after the end of each month.

Format: See Interrelationship section.

Interrelationship: NFS 1852.204-76, Security Requirements for Unclassified Information Technology Resources

Applicable Documents: See Interrelationship section and IT Security Management Plan

Scope: The Contractor shall submit a monthly listing, including updates, of all Contractor personnel receiving IT training.

Contents: The IT Training report shall indicate the specific IT training required; the date required by, and date of last completion for each contractor personnel performing requirements under the ASRS and Related Systems contract.

The training report shall indicate any employee with outstanding training requirements due within 30 days. This report shall include the status for all NASA-mandated training requirements for all staff, as specified in the IT

Security Management Plan and any ASRS / C3RS specific IT training requirements.

1. DRD Title: Individual Subcontracting Report (ISR)

2. DRD No.: 19 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: Individual Subcontracting Report (ISR)

10. Distribution: Electronic submittal into the Electronic Subcontracting Reporting System (ESRS) at http://www.esrs.gov

Initial Submission: Semi-annually by 30 days after the close of the reporting period (no later than April 30 and

October 30 of each year).

Submission Frequency: Semi-annually by 30 days after the close of the reporting period (no later than April 30 and

October 30 of each year).

Format: See the esrs.gov website

Interrelationship: Section I, FAR clause 52.219-9 Small Business Subcontracting Plan

Applicable Documents: See Interrelationship section.

Scope: The Contractor shall electronically submit their Individual Subcontracting Report (ISR) in accordance with the instructions provided at http://www.esrs.gov and in accordance with Section I, FAR clause 52.219-9 Small

Business Subcontracting Plan.

Contents: See Scope section.

1. DRD Title: Summary Subcontracting Report (SSR)

2. DRD No.: 20 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: Summary Subcontracting Report (SSR)

10. Distribution: Electronic submittal into the Electronic Subcontracting Reporting System (ESRS) at http://www.esrs.gov

Initial Submission: Annually for the 12-month period ending September 30, due 30 days following the reporting period (no later than October 30 of each year).

Submission Frequency: Annually for the 12-month period ending September 30, due 30 days following the reporting period (no later than October 30 of each year).

Format: See the esrs.gov website.

Interrelationship: Section I, FAR clause 52.219-9 Small Business Subcontracting Plan.

Applicable Documents: See Interrelationship section.

Scope: The Contractor shall electronically submit their Summary Subcontracting Report in accordance with the instructions provided at http://www.esrs.gov and in accordance with Section I, FAR clause 52.219-9 Small Business

Subcontracting Plan.

Contents: See Scope section.

1. DRD Title: Subcontract Consent Package

2. DRD No.: 21 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical ☐

Administrative ☒

S&MA ☐

9. Description/Use: Subcontract Consent Package

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy electronic)

Initial Submission:

Submission Frequency: Subsequent submissions as required by 52.244-2 and as requested by the CO

Format: N/A

Interrelationship: FAR 52.244-2 Subcontracts

Applicable Documents: See Interrelationship section

Scope: The Contractor shall submit subcontract consent package(s) in accordance with FAR 52.244-2 or as specifically requested by the Contracting Officer.

Contents: See Scope section

1. DRD Title: Facility Security Plan

2. DRD No.: 22 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: Facility Security Plan shall describe the controls that will be implemented to ensure facility security throughout this contract to protect ASRS and C3RS data, working documents, and work products.

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy electronic)

Initial Submission: The Facility Security Plan shall be submitted with the Contractor’s proposal.

Submission Frequency: An update to the initial submission in the Contractor's proposal shall be delivered 10 working days after start of Phase In. The plan will be revised comments adjudicated, approved, and incorporated into the contract as Section J.1(a) Attachment 9. Updates will be submitted as needed.

Format: N/A

Interrelationship: SOW Sections 5.1, and 2.1.3

Applicable Documents: N/A

Scope: The Contractor shall describe standards and practices that will be used on the contract to establish and maintain Facility Security.

Contents: This plan shall describe the physical, cyber, and procedural controls that will be implemented to ensure facility security throughout this contract to protect ASRS and C3RS data, working documents, and work products.

The Contractor shall develop, implement, and maintain this Plan, which shall include Facility security procedures and policies. The Facility Security Plan shall address at a minimum the requirements identified in the SOW 2.1.3 and

Appendix 5.1.3, “Minimum Security Considerations - Physical, Cyber, and Procedural Controls for Maintaining

Facility and System Security.”

Maintenance: Update as needed.

1. DRD Title: Contingency Plan

2. DRD No.: 23 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: Contingency Plan

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy electronic)

Initial Submission: 30 days after start of Phase-in.

Submission Frequency: Annually of initial submission.

Format: N/A

Interrelationship: SOW Section 2.1.6 and 2.2.2.2 and 2.3.2.2 and 5.1.5; National Institute of Standards and

Technology (NIST) Special Publication 800-34 Rev-1, Contingency Planning Guide for Information Systems, NIST

SP 800-34

Applicable Documents: N/A

Scope: The Contractor shall submit a Contingency Plan to address actions that would be necessary to assure accessibility and preservation of the ASRS, C3RS, and other databases and program archives, work products, and systems to ensure continued operation of these reporting systems, databases, and archives in the event of a catastrophe that may disrupt normal ASRS/ C3RS operations.

Contents: The Plan shall address how to restore the databases at 98% of the pre-catastrophic condition within one week of downtime as well as program archives, work products, and systems. The Plan shall address plans to reinstate electronic report submission and report batching (date/time stamping) with minimal downtime to these services.

The plan shall include the following:

• Maximize the effectiveness of contingency operations through an established plan consisting of these phases:

Notification/Activation - to detect and assess damage and to activate the plan

Recovery - to restore temporary information system operations and recover damage done to the original system

Reconstitution - to restore information system processing capabilities to normal operations

• Identify the activities, resources, and procedures needed to carry out processing requirements during prolonged interruptions to normal operations.

• Assign responsibilities to designated personnel and provide guidance for recovering the system during prolonged periods of interruption to normal operations.

• Ensure coordination with other staff, external points of contacts and/or vendors who participate in contingency planning strategies.

Remarks: N/A

Maintenance: The Contingency plan must be reviewed and updated annually and provide changed pages, if changes are required.

1. DRD Title: Quality Assurance Plan

2. DRD No.: 24 3. Data Type: 2

4. Solicitation No.: 80ARC023R0002 5. Contract No.: TBD

6. Date Issued: 5/10/2023 7. Date Revised: TBD 8. DRD Category:

Technical

☐Administra tive ☒

S&MA ☐

9. Description/Use: Quality Assurance Plan

10. Distribution:

CO, Code JAI, M/S 241-1 (1 cy electronic)

COR; Code TH, M/S 262-4 (1 cy electronic)

Initial Submission: 1 month after start of the base period of the contract.

Submission Frequency: updated as appropriate.

Format: N/A

Interrelationship: SOW Sections 2.1, 2.2, and 2.3

Applicable Documents: See Contents and Interrelationships

Scope: The Contractor shall submit a Quality Assurance Plan to assure confidentiality, accuracy, completeness and quality of data entry.

Contents: The overall standards of database records shall assure that the database is current with standards identified in the SOW. The quality of the database records shall be maintained at 95% accuracy for content and keying errors.

There is no tolerance for de-identification errors in the public database. The quality assurance plan shall include the approach that will be used to determine quality metrics and mechanisms for defining specific areas for improvement and mitigations. The quality assurance plan shall address analyst training/retraining and other processes and procedures to be taken to ensure and maintain high-quality output.

Remarks: N/A

Maintenance: The Quality Assurance plan shall be reviewed annually and updated as appropriate. Quality Assurance metrics and mitigations should be reviewed with the COR semi-annually or more frequently as needed.

1.…