Exhibit_B_-_T9001B_05.21.13.pdf

T9001B Change 2

07 November 2007

TECHNICAL PROGRAM MANAGEMENT

REQUIREMENTS FOR STRATEGIC

SYSTEMS PROGRAMS ACQUISITIONS

As Check listed for Security Forces Qualification and Certification Management Tool

PUBLISHED BY DIRECTION OF DIRECTOR, STRATEGIC SYSTEMS PROGRAMS

TECHNICAL PROGRAM MANAGEMENT REQUIREMENTS FOR

STRATEGIC SYSTEMS PROGRAMS ACQUISITIONS

Purpose of Contract: Software procurement

Cognizant SSP Branch: SP32

Supplier or Subcontractor: TBD

Product: Security Forces Qualification and Certification Management Tool

Contract or RFQ Number: TBD

Approved:_____________________________________________________ ______ Cognizant SSP Branch Date

Concurrence:___________________________________________________ ______ SP2015 Date

T9001B, Change 2

Change Record

Change Date Affected Pages Original 15 November 2002

1 22 June 2005 1, 4, 5, 12, 37, and 45 2 07 November 2007 Change Record, 1, 5, 15, and 16 i

TECHNICAL PROGRAM MANAGEMENT REQUIREMENTS FOR

STRATEGIC SYSTEMS PROGRAMS ACQUISITIONS

TABLE OF CONTENTS

Paragraph Page

1. SCOPE 1

1.1 PURPOSE 1

1.2 APPLICABILITY 1

1.3 DEFINITIONS 2

1.4 ACRONYMS 3

2. APPLICABLE DOCUMENTS 4

3. REQUIREMENTS 6

3.1 MANAGEMENT 6

3.1.1 Program Management 6

3.1.2 Management Policy 6

3.1.3 Program Planning and Implementation 6

3.1.3.1 Program Plan Matrix 7

3.1.4 Documentation Requirements 7

3.1.4.1 Approval 7

3.1.4.2 Information 7

3.1.5 Risk Management 7

3.1.6 Readiness Review for Production Operations 8

3.1.7 Audits 8

3.1.7.1 Performance of Audits 8

3.1.7.2 Audit Reports and Corrective Actions 8

3.1.7.3 Program Reviews and Evaluations 8

3.1.8 Program Education, Training, and Certification of Personnel 9

3.1.8.1 Program Education 9

3.1.8.2 Training 9

3.1.8.3 Certification of Personnel 9

3.1.9 Information Management System 9

3.1.10 Corrective Action System 10

3.1.10.1 Problem/Failure Reporting 10

3.1.10.2 Problem/Failure Investigation 10

3.1.10.3 Problem/Failure Analysis 10

3.1.10.4 Corrective Action 11

3.1.10.5 Trouble and Failure Reports 11

3.1.11 Government-Furnished Material 11

3.1.12 Repair, Refurbishment, and Modification 12

3.1.13 Government-Industry Data Exchange Program 12

3.1.14 Coordination of Subsystem Interface Requirements 12

3.1.15 Fleet Technical Documentation Control and Verification 12

3.1.16 Logistics Support Strategy and Planning 12

3.1.17 Contractor Operations in Government Controlled Areas at the Strategic 13

Weapons and Naval Ordnance Test Unit Facilities ii

3.2 DESIGN 14

3.2.1 Integrated Product and Process Development 14

3.2.2 Systems Engineering 14

3.2.2.1 Requirements Analysis 14

3.2.2.2 Design Synthesis 15

3.2.2.3 Systems Analysis and Control 15

3.2.3 Design Practices and Documentation 15

3.2.4 Software Development Planning 15

3.2.4.1 Software Quality Assurance Planning 17

3.2.4.2 Software Development 17

3.2.4.3 Software Maintenance Planning 17

3.2.4.4 Control of Software Development, Maintenance, and Test Tools 17

3.2.4.5 Software Support and User Documentation 17

3.2.5 Fleet Documentation Design 18

3.2.6 Modeling and Simulation Tools 18

3.2.7 Open Systems Design and Standards 18

3.2.8 Commercial and Non-Developmental Items Selection, Evaluation, and 18

Support

3.2.9 Parts, Devices, and Materials Selection and Control 19

3.2.10 Controlled and Limited-Life Items 19

3.2.11 Parameter Studies 20

3.2.12 Design Traceability and Verification 20

3.2.13 Identification and Classification of Characteristics 20

3.2.14 Survivability Program and Requirements 21

3.2.15 Packaging Design 21

3.2.16 Safety and Environmental Requirements 21

3.2.17 Logistics Support 22

3.2.18 Design Reviews 22

3.2.18.1 Design Review Plan 23

3.2.19 Functional and Physical Configuration Audits 23

3.2.19.1 Functional Configuration Audit 23

3.2.19.2 Physical Configuration Audit 24

3.3 RELIABILITY, AVAILABILITY, AND MAINTAINABILITY (RAM) 25

3.3.1 RAM Program Development 25

3.3.2 Availability Program 25

3.3.2.1 Availability Apportionment 26

3.3.2.2 Availability Predictions 26

3.3.2.3 Availability Assessment 26

3.3.3 Reliability Evaluation 26

3.3.3.1 Reliability Modeling 27

3.3.3.2 Reliability Apportionment 27

3.3.3.3 Reliability Predictions 27

3.3.3.3.1 Reliability Prediction Reports 27

3.3.3.4 Reliability Analyses 27

3.3.3.5 Reliability Data 29

3.3.3.6 Reliability Assessment 29

3.3.3.7 Reliability Demonstration 29

3.3.4 Maintainability Program 29

3.3.4.1 Maintainability Apportionment 30

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3.3.4.2 Maintainability Predictions 30

3.3.4.3 Maintainability Analysis 30

3.3.4.4 Maintainability Data 30

3.3.4.5 Maintainability Assessment 31

3.3.4.6 Maintainability Demonstration 31

3.3.5 RAM Program Status Reports 31

3.3.5.1 Availability Section 31

3.3.5.2 Reliability Section 32

3.3.5.3 Maintainability Section 32

3.4 TEST PROGRAMS 34

3.4.1 Integrated Test Program 34

3.4.1.1 Integrated Test Program Plan 34

3.4.1.2 Integrated Test Program Status Reports 35

3.4.2 Development Tests 35

3.4.3 Software Development Testing 35

3.4.3.1 Computer Software Unit Testing 35

3.4.3.2 Computer Software Integration Testing 36

3.4.4 Engineering Evaluation Tests 36

3.4.5 Computer Software Evaluation Testing 36

3.4.5.1 Computer Software Verification 36

3.4.5.2 Computer Software Validation Testing 37

3.4.5.3 Computer Software Regression Testing 37

3.4.6 Fleet Documentation Verification and Proof Testing 37

3.4.7 Qualification Program 37

3.4.7.1 Qualification Program Plan 38

3.4.7.2 Qualification Tests 38

3.4.7.2.1 Sample Selection 39

3.4.7.2.2 Qualification by Similarity 39

3.4.8 Software Acceptance Testing 39

3.4.9 Production Assessment Tests 39

3.4.10 Surveillance and Service Life Evaluation Tests 40

3.4.10.1 Surveillance and Service Life Evaluation Test Program Plan 40

3.4.11 Test Plans, Procedures, and Reports 41

3.4.11.1 Test Plans 41

3.4.11.2 Test Procedures 41

3.4.11.3 Test Reports 42

3.5 CONFIGURATION MANAGEMENT PROGRAM 43

3.5.1 Configuration Identification 43

3.5.1.1 Configuration Baselines 43

3.5.1.2 Numbering and Marking 43

3.5.2 Configuration Control 44

3.5.3 Status Accounting 45

3.5.4 Configuration Verification 46

3.5.5 Design Disclosure Documentation 46

3.5.5.1 Development Documentation 46

3.5.5.2 Production Design Disclosure 46

3.5.5.3 Special Test and Measuring Equipment Design Disclosure 48

3.5.6 Version Description 48

3.5.7 Software Library System 48

iv

3.6 SUPPLIER MANAGEMENT 50

3.6.1 Selection of Procurement Source 50

3.6.2 Approved Sources 51

3.6.3 Audit of Suppliers 51

3.6.4 Supplier Program Requirements 51

3.6.5 Procurement Document Provisions 52

3.6.5.1 Technical Provisions 52

3.6.5.2 Detailed Provisions 52

3.6.6 Procurement Document Review 53

3.6.7 Procurement Document Change Control 53

3.6.8 Contractor and Supplier Coordination and Corrective Action 53

3.6.9 Government Source Inspection 53

3.6.10 Control of Purchased Items and Services 54

3.6.10.1 Contractor Source Inspection 54

3.6.10.2 Certified Supplier Source Inspection 54

3.6.10.3 Receiving Test and Inspection 55

3.6.11 Intracorporate Work Transfers 55

3.7 PRODUCTION 56

3.7.1 Planning for Production and Quality Assurance 56

3.7.1.1 Product Test and Inspection Plans 56

3.7.2 Production, Test, and Inspection Procedures and Workmanship 57

Standards

3.7.2.1 Production Operating Procedures 57

3.7.2.1.1 Production Operating Procedures for Certified 58

Processes

3.7.2.2 Test and Inspection Procedures 58

3.7.3 Production and Quality Documentation Change Control 59

3.7.4 Parts, Devices, and Materials Control 59

3.7.4.1 Identification, Handling, and Protection 59

3.7.4.2 Inspection and Test Status Indication 60

3.7.5 Production and Quality Operations 60

3.7.5.1 Process Control 60

3.7.5.2 Quality Verification 60

3.7.5.2.1 Certified Process List 61

3.7.5.2.2 In-Process and Acceptance Test and Inspection 61

3.7.5.2.3 First Article Test and Inspection 62

3.7.5.2.4 Nondestructive Test and Inspection 62

3.7.5.2.5 Sampling Plans 62

3.7.5.3 Software Media Generation and Verification 62

3.7.6 Nonconforming Items Control 62

3.7.6.1 Supplier Material Review Board 63

3.7.7 Production and Quality Control Records 63

3.7.7.1 Production Records 63

3.7.7.2 Quality Control Records 63

3.7.8 Preparation for Delivery 63

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3.8 TEST AND MEASURING EQUIPMENT AND STANDARDS 64

3.8.1 Test and Measuring Equipment Selection, Design, and Evaluation 64

3.8.1.1 Selection and Design 64

3.8.1.2 Evaluation 64

3.8.2 Calibration and Maintenance 65

3.8.2.1 Procedures 65

3.8.2.2 Records and Analysis 66

3.8.2.3 Nonconforming Test and Measuring Equipment and Standards 66

3.8.2.4 Calibration Source 66

3.8.2.5 Adequacy of Measurement Standards 67

3.8.3 Usage Requirements 67

3.8.3.1 Intervals 67

3.8.3.2 Labeling 68

3.8.3.3 Sealing for Integrity 68

3.8.3.4 Recall 69

3.8.3.5 Handling, Transporting, and Storage 69

3.8.3.6 Environmental Controls 69

3.8.3.7 Test and Inspection Station Operational Proofing and 69

Correlation

3.8.3.8 Station Logs 70

4. NOTES 71

4.1 Conflicting Requirements 71

4.2 Custodian 71

APPENDIX A DOCUMENTATION REQUIREMENTS 72

APPENDIX B COMPARISON MATRIX 75

TECHNICAL PROGRAM MANAGEMENT REQUIREMENTS

FOR STRATEGIC SYSTEMS PROGRAMS ACQUISITIONS

1. SCOPE

1.1 PURPOSE. This document delineates the set of requirements for technical program management applicable to Navy Strategic Systems Programs (SSP) acquisitions throughout the product life cycle. The primary purpose is to define the management actions and technical disciplines to be invoked on contractors and selected suppliers to assure acquisition of a weapon system that will achieve operational requirements. These management actions and technical disciplines include: management; design; RAM;

test programs; configuration management program; supplier management; production; and test and measuring equipment and standards. Quality system requirements are integrated throughout this document. This document also encompasses requirements for management of these technical disciplines that are consistent with Federal Acquisition Regulations (FAR), FAR supplements, and appropriate Department of Defense, Department of Navy, and SSP directives and instructions.

1.2 APPLICABILITY. The requirements of this document are applicable to:

a. Prime contractors and selected suppliers engaged in designing, developing, producing, or supporting subsystems, equipment, software and other items for Navy SSP acquisitions. The prime contractor shall recommend where T9001B will apply to suppliers in accordance with paragraph 3.6.4.

b. The total contractor organization. In no way is it implied that these requirements are solely the responsibility of a particular organizational element.

The requirements of this document must be checklisted (tailored) for each contract based on the scope of the contract, product being procured, and program phase. This document is structured as a checklist with the requirements identified by fixed lineal numbers, which appear on the left to provide an easy reference to the checklist item. The columns at the right are provided to support tailoring. These checklists are to be prepared and submitted to support compliance with SSPINST 4295.2. To facilitate the SSP review process, the checklist developers are encouraged to document their supporting rationale for any significant modifications. The first of the two columns allow an entry identifying whether the specific item is to apply (Yes, No, or as Modified). If the paragraph is modified, the modification shall be incorporated and maintained as part of the checklist. Deleted text shall be shown as lined-out text (e.g. Aaaaa bbbbb ccccc.) and added text shall be shown as underlined text (e.g. Xxxxx yyyyy zzzzz.). The use of lined-out, underlined, bolded, italicized, or any other highlighted font in the T9001B text is for the sole purpose of tailoring the T9001B for this particular contract. Other than this purpose, there is no legal significance attached to these highlighted modifications to the T9001B text. Cognizant SSP Branch approval and SP2015 concurrence signatures shall constitute agreement for all such deletions and additions. The second column identifies documentation to be submitted to the Government (no entry meaning no submission, and a letter entry signifying submission for Approval (A) or for Information (I)). Each document required by the checklist to be submitted to the Government shall have a corresponding data item entry in the Contract Data Requirements List. The completed checklist shall specify the applicability of each numbered requirement.

When appropriate, the contractor should participate in developing a checklist that is compatible with, and augments as necessary, the contractor’s existing management and technical systems. To aid in the tailoring process, Appendix B provides a cross reference of the requirements of this document to ANSI/ISO/ASQ Q9001-2000 and ANSI/ASQC Q9001-1994.

1.3 DEFINITIONS

a. Acceptance Test and Inspection: Acceptance Test and Inspection relates to those test and inspection operations that form a basis for Government buy-off decisions for deliverable products, including spares.

b. Certified Process: Any process where acceptable quality of the finished item is not, or cannot be readily determined by test and inspection.

1. Processes where “acceptable quality of the finished item is not readily determined by test and inspection” are processes where specified tests and/or inspections are not performed as a result of written agreement (deviation) with SSP.

2. Processes where “acceptable quality of the finished item cannot be readily determined by test and inspection” are processes where the test and/or inspection methods used would result in destruction of the finished item. (These processes are also known as Special Processes.)

c. Certified Supplier: A supplier that has demonstrated, to both the prime contractor’s and the

Government’s satisfaction, that they continuously produce a particular product in conformance to contract/purchase order requirements and the criteria set forth by a prime contractor’s certified supplier system (3.6.10.2). Supplier certifications are for a particular product from a particular supplier.

d. Commercial Items: Products or equipment developed by industry for sale in the general commercial marketplace. Commercial items may include modifications, provided the modifications are either:

1. Of a type customarily available in the commercial marketplace.

2. Of a type not customarily available in the commercial marketplace, which do not alter the non-governmental function, essential physical characteristics of an item or component, or change the purpose of a process.

e. Computer Software Configuration Item: An aggregation of computer software components and/or computer software units which are at a level of integration designated by the Government for separate configuration management.

f. Computer Software Component: Any aggregation of computer software units and/or other computer software components at a level of integration below that of a computer software configuration item.

g. Computer Software Unit: The lowest element specified in the design of a computer software component that is separately testable.

h. Establish and Maintain: Establish and maintain includes planning, developing, preparing, implementing, documenting, assessing, updating, and performing.

i. Facility Location: The location where the purchased item is actually built or produced. This does not include the location of a vendor or distributor who simply sells supplies that they do not produce.

j. Government Controlled Areas: Those areas where the Government has Technical Program

Management responsibility. These areas are specified in OD 55512 66768 and OD 63526.

k. Government Part or Identifying Number: Military specification number, Federal specification number, or Government authenticated/approved part or identifying number.

l. Government Representative: Shall be considered as applying to the cognizant Defense

Contract Management Agency Office unless otherwise specified by SSP.

m. Guide: Documents identified as guides are considered an information resource and may be used by contractors, as appropriate, to provide a degree of consistency within the program. Guides are not considered to be binding requirements.

n. Inspection and Test Status Indication: Documentation, either attached to the item or contained within the item’s production and quality control record, that indicates that the item has successfully completed planned manufacturing, test, and inspection operations.

o. Life Cycle: All phases of the system’s life including: research, development, test, and evaluation; production; deployment; operations and support; and disposal.

p. Non-Developmental Items: Any previously developed item used exclusively for governmental purposes by a Federal agency, a State or local government, or a foreign government with which the U.S. has a mutual defense cooperation agreement. Non-developmental items can require minor modification in order to meet the requirements of the agency. Items that are developed and will soon be used by the Federal, State, local, or foreign government are also considered non-developmental items.

q. Record: A document, in either hard copy or electronic format, that is used to report and preserve data.

r. Special Test and Inspection Equipment: Either single or multipurpose integrated test and inspection units engineered, designed, fabricated, or modified to accomplish special purpose testing in the performance of the contract. Such units comprise electrical, electronic, hydraulic, pneumatic, mechanical, or other items or assemblies of equipment, that are mechanically, electrically, or electronically interconnected so as to become a new functional entity, causing the individual item or items to become interdependent and essential in the performance of special purpose test and inspection.

s. SSP: SSP shall be considered as also applying to a designated Government representative of

SSP.

t. Supplier: Supplier includes subcontractors and vendors.

1.4 ACRONYMS

a. Ai: Inherent Availability

b. Ao: Operational Availability

c. RAM: Reliability, Availability, and Maintainability

d. SSP: Strategic Systems Programs

e. SPALT: SSP Alteration

2. APPLICABLE DOCUMENTS. The following documents, of issue in effect on the date of invitation for bids, form a part of this document to the extent specified herein:

DOD STANDARDS AND SPECIFICATIONS Reference Paragraph Herein

MIL-STD-130 Identification Marking of U.S. 3.5.1.2 d.

Military Property MIL-STD-961 Department of Defense, Standard Practices 3.5.5.1 a.

Defense Specifications 3.5.5.2 a.

3.5.5.2 c.

3.5.5.2 d.

MIL-STD-2073-1 Department of Defense, Standard 3.2.15 Practices for Military Packaging MIL-DTL-31000 Technical Data Packages, 3.5.5.1 b.

Detail Specifications 3.5.5.2 e.

3.5.5.2 l.

DEPARTMENT OF NAVY PUBLICATIONS Reference Paragraph Herein

OD 27070 Preparation Instructions for Parameters Document 3.2.11 OD 36919 Fleet Ballistic Missile and Strategic Weapons System 3.5.2 k.

Support Equipment Configuration Control OD 40825 Strategic Weapon System Nonconforming 3.5.2 m.

Material Review and Waiver and Deviation 3.7.6 Requests; Definitions, Classification and Requirements OD 55327 Readiness Review for Production Operations 3.1.6 Planning Guide OD 55512 Volume 1 Program Plan For Operation of the Strategic 1.3 j.

Weapons Facility Atlantic for TRIDENT II (D5) OD 55512 Volume 2 Program Plan for Operation of the Strategic 1.3 j.

Weapons Facility Pacific for TRIDENT II (D5) OD 66768 Program Plan for Operation of the Strategic 1.3j Weapons Facilities OD 62055 Strategic Systems Programs Open Systems 3.2.7 Implementation Guidance OD 62874 Program Plan for SSP Electronic Documentation 3.1.15 3.4.6 OD 63526 Program Plan for Operation of the Naval Ordnance 1.3 j.

Test Unit OD 63913 Metrology Products (METPRO) 3.8.2.5 3.8.3.1

SSP INSTRUCTIONS Reference Paragraph Herein

SSPINST 3100.1 Strategic Weapon System 3.1.10.5 Trouble and Failure Report Program SSPINST 4130.2 Configuration Control of Nonreparable Replacement 3.5.2 l.

Components used in SWS Equipment SSPINST 4130.4 Requirements for Configuration Management Plans 3.5

SSPINST 4295.2 Procedures for Requesting Procurement Action 1.2

Through the Contract Support Group (SPN) SSPINST 4423.39 Procedures for the Repair and Return (R&R) of 3.2.15 Strategic Systems Programs (SSP) Cognizance (COG) Reparable and Recoverable Consumable Material SSPINST 4700.5 TRIDENT Strategic Weapon System (SWS) 3.3.4 Maintenance Policy SSPINST 4720.1 Policies and Procedures for Alteration of 3.5.2 i.

Strategic Weapon System Equipment 3.5.2 j.

SSPINST 5100.1 Strategic Systems Programs System Safety 3.2.16 a.

Program Requirements SSPINST 5200.4 SSP Participation Requirements in the 3.1.13 Government-Industry Data Exchange Program (GIDEP) SSPINST 5600.16 Control and Reporting of Strategic Systems 3.5.5.1 Programs (SSP) Assigned Document Numbers and 3.5.5.2 Documents SSPINST 5600.29 Policy, Responsibilities, Procedures, and Guidelines 3.1.15 for Strategic Weapon System Technical 3.4.6 Documentation SSPINST 8822.7 Policies and Procedures for Strategic 3.1.14 Weapon System Coordination Drawings

COMMERCIAL PUBLICATIONS Reference Paragraph Herein

ASME Y14.24 Lines Conventions and Lettering 3.5.5.1 b.

3.5.5.2 e.

3.5.5.2 f.

3.5.5.2 l.

ASME Y14.34 Parts Lists, Data Lists and Index 3.5.5.1 b.

3.5.5.2 e.

3.5.5.2 g.

3.5.5.2 l.

ASME Y14.35 Revision of Engineering Drawings and Associated 3.5.5.1 b.

Documents 3.5.5.2 e.

3.5.5.2 l.

ASME Y14.100 Engineering Drawing Practices 3.5.1.2 b.

(and its appendices) 3.5.5.1 b.

3.5.5.2 e.

3.5.5.2 l.

IEEE/EIA 12207 Information Technology-Software Life Cycle 3.2.4 Processes

OTHER PUBLICATIONS Reference Paragraph Herein

NAVICPINST 4030.4 Packaging of Fleet Ballistic Missile 3.2.15 Weapons and Strategic Weapons System Reparable Items

(Copies of specifications, standards, drawings and publications required for specific procurement functions should be obtained from the procuring activity or as directed by the contracting officer.)

3. REQUIREMENTS

Line Requirement – Paragraph 3.1

MANAGEMENT

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(Y/N/M) Doc (A/I)

1 3.1 MANAGEMENT

2 3.1.1 Program Management

The contractor shall manage product quality by establishing and maintaining a system to meet the technical program management requirements of this document. Technical program management disciplines shall be established as part of the contractor’s basic management systems. The contractor shall provide planning, allocation of resources, establishment of control systems, continual assessment of program and systems effectiveness, and provisions for improvement. The contractor shall provide leadership and define clear channels for communicating management policy to all levels of the contractor’s organization. The senior management responsible for the program shall meet to review their technical program management system at planned intervals sufficient to ensure its continuing suitability and effectiveness in satisfying both the requirements of this document and the contractor’s internally stated quality policies and objectives. Each review shall include an assessment of the effectiveness of the contractor’s problem and failure reporting system, internal and external auditing systems, and associated corrective action systems. The remaining scope of the reviews shall be consistent with the program phase.

Records of these reviews, including any actions assigned, shall be maintained.

Y

3 3.1.2 Management Policy

A documented policy for fulfilling the requirements of this document shall be established and maintained. Statements of policy shall form the basic guidelines and the contractor’s authority for developing, implementing, and assessing the program. The contractor shall assure the program management policy is communicated and understood at all levels of the organization with accurate reporting of program status and problems to the appropriate level of management. Specific responsibilities shall be assigned and action authorities clearly delineated. Personnel performing these functions shall have sufficient, well defined responsibility, authority, resources, qualifications, and organizational freedom to fulfill the requirements of this document, to identify and evaluate problems, and to accomplish and verify the effectiveness of corrective action.

4 3.1.3 Program Planning and Implementation

Program planning shall establish the controls and systems necessary for fulfilling the requirements of this document. Program planning shall assure that the required controls and systems are developed in advance for implementation and maintained, as necessary, throughout development, production, operational, and disposal support. The program shall use established policies, procedures, and instructions, augmented as necessary, to meet the requirements of this document. These policies, procedures, and instructions shall be complete and concise, of a type appropriate for the functions to be controlled, and shall define the responsibilities and provide the methods and criteria for performance.

Planning and implementation shall:

5 a. Demonstrate an awareness, recognition, and organized approach to the achievement of program requirements.

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6 b. Assure controls are maintained throughout all phases of contract performance.

7 c. Provide for smooth transition of the program throughout all phases of contract performance.

8 d. Provide objective evidence of the effective implementation and operation of the program.

9 3.1.3.1 Program Plan Matrix

The contractor shall prepare a program plan matrix to indicate the means of complying with the requirements of this document. The matrix shall reference, by paragraph of this document, the documents that delineate the methods for satisfying each requirement and the organizations that have primary responsibility for implementation. When documents are not available or are inadequate for satisfying specific requirements, additional documents required shall be identified and an estimated completion date specified. The matrix shall be maintained to reflect current documentation and organizational responsibilities. The program plan matrix and subsequent revisions shall be submitted to SSP for information. The initial program plan matrix shall be submitted within 90 days after contract award.

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10 3.1.4 Documentation Requirements

The contractor shall develop and maintain those documents necessary to fulfill the requirements identified as applicable within this document. The contractor shall submit the documentation specified in Appendix A in accordance with the Contract Data Requirements List. Other documents used to fulfill the requirements of this document shall be made available to the Government upon request. A system for scheduling and monitoring the preparation of documents to be delivered in accordance with the Contract Data Requirements List shall be maintained to assure preparation is timely in relation to program milestones.

11 3.1.4.1 Approval

Documents in this category, and subsequent changes (excluding schedules), require SSP approval prior to use. SSP reserves the right to establish a system of tentative approval, pending formal approval.

12 3.1.4.2 Information

Documents in this category, and subsequent changes, shall be submitted to SSP for information. When SSP review reveals inadequacies relative to contractual requirements, the contractor will be advised.

13 3.1.5 Risk Management

The contractor shall establish and maintain a system for identifying, evaluating, and managing technical and programmatic risks during all phases of the program. The system shall provide for risk planning, assessing risk areas through identification and analysis, developing risk mitigation strategies, M

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Doc (A/I) monitoring risks to determine how risks change, and adjusting risk mitigation options as necessary. A risk management plan shall be prepared and submitted to SSP for approval.

14 3.1.6 Readiness Review for Production Operations

The contractor shall establish and maintain a system of conduct readiness reviews to incrementally assess readiness for production operations prior to the start of manufacture of production hardware software design delivery, using OD 55327 as a guide. A readiness review plan shall be prepared and submitted to SSP for approval. Minutes shall be prepared for each readiness review and problems identified shall be documented and addressed. SSP shall be advised in advance of the review schedule to allow for participation, as desired.

A

15 3.1.7 Audits

16 3.1.7.1 Performance of Audits

The contractor shall audit their program to determine compliance with the requirements of this document. Audits shall be planned to begin at the start of the contract and shall be conducted throughout the life of the contract. Planning shall consider program phase and milestones, known problems, level of activity in the area, and results of previous audits. The criteria for audit scope and frequency shall be defined and documented. Audits shall be performed by an independent audit group or by trained personnel not having responsibilities in the area being audited. Audits shall consist of reviews of program elements and product conformance.

17 Program element audits shall be performed to determine adequacy and implementation of policies and procedures used to satisfy requirements of this document.

18 Product conformance audits shall be performed to review production, software media generation, test, and inspection operations. These audits shall assess the effectiveness of processes used for assuring product conformance to applicable drawings, specifications, and procedures and shall include random assessment of conformance of products to the applicable drawings, specifications, and procedures.

19 3.1.7.2 Audit Reports and Corrective Actions

Results of each audit shall be documented in a report to appropriate managers and supervisors. Action shall be taken to assure timely correction of deficiencies and follow-up shall be performed to verify effectiveness of corrective action.

Summaries of audits and corrective actions taken shall be prepared and distributed to contractor management and shall be made available to the Government upon request.

20 3.1.7.3 Program Reviews and Evaluations

SSP reserves the right to review and evaluate contractor and supplier operations and products to determine compliance with contractual requirements. Contractor and supplier executive management shall support these SSP reviews and

Line Requirement – Paragraph 3.1

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Doc evaluations.

21 3.1.8 Program Education, Training, and Certification of Personnel

22 3.1.8.1 Program Education

The contractor shall establish and maintain an education program to assure that personnel associated with SSP programs are familiar with Technical Program Management requirements and their implementation. The program shall include familiarization with SSP programs, methods of operation, the specifics of products and/or services provided by the contractor to SSP, and flow-down of the contractor’s internal policies and procedures, which fulfill the requirements of this document.

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23 3.1.8.2 Training

The contractor shall establish and maintain a training program for personnel whose work relates to, influences, or has an effect on the quality or reliability of the product. Appropriate on-the-job and other training shall be conducted when necessary to meet specific requirements. Particular emphasis shall be given to new products and new, sensitive, or hazardous manufacturing processes or materials. Training needs shall be periodically assessed to determine requirements for additional training. Training activities, including on-the-job training, shall have a means of verifying proficiency upon completion of the training and shall maintain records of training completed. Training shall include topics relating to manufacturing, test and inspection, quality control, and material protection.

24 3.1.8.3 Certification of Personnel

The contractor shall establish and maintain a program for certification of personnel responsible for operation, test, inspection, or control of processes and equipment that require special skills. Criteria for determination of which processes require personnel certification shall be documented. The contractor shall develop and maintain a list of skills and personnel requiring certification.

Certification shall include a training program and a testing procedure to assure proficiency. Documented evidence of individual certifications shall be readily available to, and used by, the immediate supervisor in assigning personnel for specific tasks. Results of tests on which certification were granted shall be maintained. A period of certification effectivity shall be specified for each skill.

Personnel not exhibiting the required proficiency shall be excluded from the operations involved until properly recertified. Also, the impact to any end items produced by the personnel involved shall be assessed. Results of tests, inspections, and audits shall be used as indicators of the need for recertification regardless of the established period. A recertification decision is required when an individual has not performed work requiring a particular certifiable skill for a period of six months.

25 3.1.9 Information Management System

The contractor shall establish and maintain information management system(s) for the effective collection, control, processing, use, storage, and retention of data generated to support: design, the quality of produced items, the RAM program, test programs, the subsystem safety program, and the corrective action

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26 3.1.10 Corrective Action System

The contractor shall establish and maintain a closed loop corrective action system. The system shall include reporting of problems/failures, investigation, analysis, and performance of actions to correct problems/failures and preclude recurrence. Contractor procedures shall define the level and detail of documentation, dependent on the nature and criticality of the problem/failure. All problems and failures identified shall be recorded.

27 3.1.10.1 Problem/Failure Reporting

Problem/Failure reporting shall include identification of the item and conditions experienced and shall be accomplished for:

28 a. Each failure.

29 b. Problems resulting from incorrect or inadequate documentation.

30 c. Problems that can affect quality, RAM, configuration, or safety.

31 d. Problems discovered during procurement, production, test, inspection, packaging, transportation, handling, shipping, and storage.

32 e. Problems discovered during reviews, audits, surveillance, and assessment activities.

33 3.1.10.2 Problem/Failure Investigation

Problems and failures shall be investigated to determine the need for analysis and corrective action. Investigation shall include:

34 a. Review of the problem/failure to determine the type and extent of analysis to be performed.

35 b. Review of previous data and related externally generated data to detect trends.

36 3.1.10.3 Problem/Failure Analysis

Problem and failure analysis shall include:

37 a. Appropriate failure diagnosis of the item.

38 b. Determination of probable cause of the problem or failure.

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39 c. Recommended corrective action.

Y

40 3.1.10.4 Corrective Action

The following actions shall be taken and documented:

41 a. Corrective action(s) shall be recommended and planned, expected completion date(s) established, and the organization(s) responsible for performing the corrective action identified.

42 b. The corrective actions shall be accomplished.

43 c. Follow-up verification(s) shall be performed to assure completion and effectiveness of corrective action.

44 3.1.10.5 Trouble and Failure Reports

The contractor shall establish and maintain a system for participation in the Navy Strategic Weapon Systems Trouble and Failure Report program in accordance with SSPINST 3100.1.

45 3.1.11 Government-Furnished Material

When materials or items are furnished by the Government, the contractor shall:

46 a. Perform examination upon receipt, consistent with practicability, to detect damage resulting from transit.

47 b. Inspect to verify quantity, completeness, and proper identification.

48 c. Handle and store the material or item in a manner to guard against damage and deterioration.

49 d. Periodically inspect the stored material or item to assure adequate storage conditions and to guard against damage and deterioration during storage.

50 e. Perform functional testing as required and authorized by SSP.

51 f. Perform required maintenance.

N

52 g. Establish controls for proper use or disposition.

N

53 The contractor shall report to the Government representative any Government-furnished material or item that is found damaged, malfunctioning, exposed to conditions which could lead to degradation, or that is otherwise unsuitable for use. In the event of damage or malfunction during or after installation, the contractor shall determine and record probable cause. The initial condition of products returned for repair, refurbishment, or modification shall be verified and recorded in accordance with paragraph 3.1.12.

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54 3.1.12 Repair, Refurbishment, and Modification

The contractor shall develop and document methods, procedures, and standards for the performance of repair, refurbishment, and modification of returned Government owned products. Standards for acceptable and unacceptable conditions shall be prepared and shall define any allowances for wear during the life cycle of the product. Standards and procedures that will be used by second and third level maintenance activities shall be in sufficient detail for use by these activities. Standards and procedures shall be submitted to SSP for approval.

Products shall be:

55 a. Verified as to condition and configuration.

56 b. Controlled to prevent commingling of serviceable and unserviceable items.

57 c. Assessed to determine actions required for restoring the product to an acceptable condition.

58 In addition, the contractor shall establish criteria to be applied when a reported failure cannot be confirmed upon receipt. The criteria shall be used to define the additional actions to be taken, including the: number and nature of tests necessary, test facilities, and personnel required.

59 3.1.13 Government-Industry Data Exchange Program

The contractor shall participate in the Government-Industry Data Exchange Program in accordance with SSPINST 5200.4.

60 3.1.14 Coordination of Subsystem Interface Requirements

The contractor shall establish and maintain a system for development, identification, and control of coordination characteristics in accordance with SSPINST 8822.7. As a minimum, coordination characteristics shall be identified on the design disclosure documentation, including acceptance test and inspection procedures at each assembly level at the highest level at which the coordinated characteristic is verified.

61 3.1.15 Fleet Technical Documentation Control and Verification

The contractor shall establish and maintain a system for developing and controlling deliverable documentation used by the Fleet. These documents shall be verified (proofed) to assure accomplishment of their intended purpose when used by the Fleet. Where applicable, this documentation shall be developed and submitted in compliance with SSPINST 5600.29 and OD 62874.

62 3.1.16 Logistics Support Strategy and Planning

The contractor shall plan and develop a logistics support strategy for life cycle sustainment and product affordability. The support strategy shall assure that system support and life cycle affordability considerations are addressed and documented. The detailed requirements for development of logistics support efforts are included in paragraph 3.2.17.

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63 3.1.17 Contractor Operations in Government Controlled Areas at the

Strategic Weapons and Naval Ordnance Test Unit Facilities

The contractor shall comply with the applicable requirements of the Government’s current Technical Program Manual when contracted to perform functions in Government controlled areas. The contractor’s detailed procedures for use in Government controlled areas shall be consistent with the requirements of the Technical Program Manual. The contractor’s procedures shall be made available for review by the Government upon request.

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1 3.2 DESIGN

2 3.2.1 Integrated Product and Process Development

The contractor shall establish and maintain a system that provides for concurrent and integrated design and development of hardware, software, Fleet documentation, and associated production, test, inspection, and life cycle support processes. Multidisciplinary teams representing all necessary disciplines, SSP, and/or other appropriate Government representatives, shall be involved in the design and development process to simultaneously balance life cycle cost and performance objectives.

3 3.2.2 Systems Engineering

The contractor shall establish and maintain an iterative systems engineering process to translate operational requirements, technical objectives and guidelines, constraints, and other applicable requirements into an integrated system design solution through concurrent consideration of all life cycle needs.

The contractor shall integrate technical and management processes to assure overall system effectiveness. The design solution shall be described by a set of specified requirements, which describes the system, products, and associated production, test, inspection, and life cycle processes to be developed, produced, and supported. The systems engineering process shall be applied during each level of system development (e.g. system, subsystem, assembly, component, unit). System requirements shall be incrementally allocated and documented in specifications that are upgraded as the design solution progresses.

4 3.2.2.1 Requirements Analysis

The contractor shall perform requirements analyses to develop and refine system level functional and performance requirements and external interfaces.

These analyses shall consider mission, operational, and environmental requirements; design constraints; and other applicable requirements. The mission phase and combination of environments that impose the most severe design constraint shall be identified. Iterative requirements analyses shall result in system functional and performance requirements including operational, environmental, interfaces, RAM, survivability, physical characteristics, human factors, packaging, safety, logistics, quality assurance provisions, and other applicable requirements. The results of requirements analyses shall be documented in appropriate specifications. The contractor shall analyze system requirements to: define successively lower level requirements; understand functional behavior of the system under various conditions and environments;

identify functional interfaces; and establish functional architecture from which design solutions shall be determined via design synthesis (3.2.2.2). System requirements shall be allocated down to the appropriate level of development and shall be defined in sufficient detail to provide design and verification criteria to support the integrated system design. The contractor shall analyze the requirements allocated to hardware, software, and Fleet documentation to define detailed requirements for inclusion in the appropriate specifications. The analysis shall also result in the definition of interfaces that are external to each configuration item, and assure identification of coordination characteristics per 3.1.14, including identification of system, hardware, software, and Fleet documentation interfaces.

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5 3.2.2.2 Design Synthesis

The contractor shall perform design synthesis to translate specified requirements into design solutions that include alternative solutions. Systems analysis (3.2.2.3) shall be used to select the design solution that balances functional and performance requirements against design and affordability constraints. The analysis shall include evaluating whether the items shall be developed or acquired as commercial or non-developmental items. Items developed or acquired shall be described by design disclosure documentation (3.5.5) that shall be updated and maintained throughout development as solutions and detailed designs evolve.

6 3.2.2.3 Systems Analysis and Control

The contractor shall perform systems analysis to provide the basis for evaluating alternative requirements, architectures, design approaches, and design solutions. Systems analysis shall include performing trade-off studies among:

operational and performance requirements; design alternatives and their related production, testing, and support processes; and cost to support decision making that balances performance and life cycle cost. The contractor shall perform control activities for the purpose of managing and documenting the activities of systems engineering.

7 3.2.3 Design Practices and Documentation

The contractor shall establish and maintain a system for performing design activities and controlling design practices and documentation to assure effective incorporation of quality, RAM, producibility, safety, human engineering, and other applicable design factors. A project index of standards, guides, manuals, and other applicable documentation shall be prepared, maintained, and used by design personnel.

8 3.2.4 Software Development Planning

The contractor shall establish and maintain a system to control the development and maintenance of computer software configuration items. The system shall be documented in a software development plan, which shall be submitted to SSP for approval. The software development plan shall be prepared early in the development program and updated as development and maintenance planning and efforts evolve. The software development plan shall follow the framework of IEEE/EIA 12207 regarding content, level of detail, and completeness and shall address the following:

9 a. Purpose, scope, goals, and objectives of the software project.

Y

10 b. Expected software life cycle, including defined life cycle phases, inputs to each phase, the software products resulting from each phase, and activities to be accomplished during each phase.

11 c. Software development organization and personnel, including skills and training, necessary to implement the software development program.

This includes definition of organizational interfaces, including Government and suppliers, necessary to develop and maintain the

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12 d. Software quality assurance planning (3.2.4.1), including defined methods of performing quality verifications and validations of software products.

13 e. The system and method for software development (3.2.4.2), including a description of the software design reviews required and phase of development when they are to be performed.

14 f. Details of the methodologies and techniques to be used in implementing the software development program and the controls and risks associated with each method and technique.

15 g. Identification of the software languages to be used and the software standards and conventions that are necessary to implement and control the software design and coding process.

16 h. The process for the assessment, selection, and use of commercial and non-developmental software to assure performance and supportability requirements are met throughout the product life cycle.

17 i. Software maintenance planning (3.2.4.3) necessary to assure supportability of the software and its associated operational documentation throughout the product life cycle.

18 j. Identification of the necessary resources including facilities, hardware, software, software development/maintenance tools, support equipment, and related maintenance requirements necessary to develop and control software. Resources to be provided by the Government shall also be identified and included.

19 k. Level of development and controls for various categories of software, such as: (1) software development/maintenance/test tools (3.2.4.4) and

(2) computer software configuration items for weapon system, test and inspection equipment, or support equipment.

20 l. The methods for assuring the quality, RAM, safety, and security of software products throughout the software life cycle.

21 m. Content and maintenance requirements for software development files for each computer software configuration item, each computer software component, and each computer software unit.

22 n. Software support and user documentation that will need to be produced (3.2.4.5).

23 o. Design traceability and verification requirements.

24 p. Software metrics to be used to control and monitor the development, coding, and testing processes.

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25 3.2.4.1 Software Quality Assurance Planning

The contractor shall establish and maintain a system for assuring the quality of the software products throughout the software life cycle. This system shall provide for scheduled evaluation of contractual requirements, disciplines, processes, and tools used to develop, control, and maintain the software products. These evaluations shall include reviews, audits (3.1.7), tests, inspections, and general monitoring of the software development process.

26 3.2.4.2 Software Development

The contractor shall…