N6660414R1120A00003.pdf

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15A. NAME AND TITLE OF SIGNER (Type or print)

30-105-04EXCEPTION TO SF 30

APPROVED BY OIRM 11-84

STANDARD FORM 30 (Rev. 10-83) Prescribed by GSA

FAR (48 CFR) 53.243

SEE CONTINUATION PAGE

1. CONTRACT ID CODE PAGE OF PAGES

U 1 43

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

16C. DATE SIGNED

BY 30-Sep-2014

16B. UNITED STATES OF AMERICA15C. DATE SIGNED15B. CONTRACTOR/OFFEROR

(Signature of Contracting Officer)(Signature of person authorized to sign)

8. NAME AND ADDRESS OF CONTRACTOR (No., Street, County, State and Zip Code) X N66604-14-R-1120

X 9B. DATED (SEE ITEM 11)

14-Aug-2014

10B. DATED (SEE ITEM 13)

9A. AMENDMENT OF SOLICITATION NO.

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

X The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offer is extended, X is not extended.

Offer must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended by one of the following methods:

(a) By completing Items 8 and 15, and returning 1 copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted;

or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN

REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

12. ACCOUNTING AND APPROPRIATION DATA (If required)

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS.

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE

CONTRACT ORDER NO. IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(B).

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority)

E. IMPORTANT: Contractor is not, is required to sign this document and return copies to the issuing office.

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

10A. MOD. OF CONTRACT/ORDER NO.

2. AMENDMENT/MODIFICATION NO. 5. PROJECT NO.(If applicable)

6. ISSUED BY

3. EFFECTIVE DATE

30-Sep-2014

CODE

NAVAL UNDERSEA WARFARE CTR. DIV., NPT.

MELISSA ARDIS, CODE 0223

CONTRACTS DEPARTMENT

1176 HOWELL STREET, BLDG. 1258

NEWPORT RI 02841

N66604 7. ADMINISTERED BY (If other than item 6)

4. REQUISITION/PURCHASE REQ. NO.

CODE

See Item 6

FACILITY CODECODE

EMAIL:TEL:

N66604-14-R-1120

SECTION SF 30 BLOCK 14 CONTINUATION PAGE

SUMMARY OF CHANGES

SECTION SF 30 - BLOCK 14 CONTINUATION PAGE

The following have been added by full text:

AMENDMENT 3

The purpose of this amendment is to:

1. renumber SOW paragraph 3.5.6 to 3.4.8

2. revise Section M Factor 1 “Show evidence that the technology maturity for the proposed RTI project is sufficient to support successful assessment, integration, and production within two years” to “Show evidence that the technology maturity for the proposed RTI project is sufficient to support successful assessment, integration, and production within 27 months”

SECTION C - DESCRIPTIONS AND SPECIFICATIONS

The following have been modified:

C11 STATEMENT OF WORK (JAN 2012)

1.0 Introduction (Applicable to All CLINs)

This Statement of Work (SOW) defines the requirements for the effort necessary to identify, assess, integrate, test, and field a technology or capability under the Rapid Technology Insertion (RTI) process for use on the Littoral Combat Ship. The RTI program overview and context is described further in Addendum 1 to the SOW.

In this procurement, the word “technology” is used to represent the capability being sought, proposed, and procured in response to an RTI Technical Challenge, and may mean a product, system, software application or program, or other capability as defined by the Contractor’s solution and proposed by the Contractor during the solicitation phase of the procurement. In some cases the phrase “product, system, or software” is added for reference, but lack of this term does not change the meaning of the word “technology” as defining the product to be delivered. Solutions being sought may also encompass non-material solutions, such as improved training or new tactics, and proposals that provide cost-effective responses to the technical challenges of this RFP without development of new systems or technology are also considered within the scope of this RFP.

2.0 APPLICABLE DOCUMENTS (Applicable to All CLINs)

The following documents are applicable to the work described herein and are for use by the Contractor as general guidance, depending on the type of technology product, in the fulfillment of those tasks unless referenced by a specific section of the Statement of Work.

2.1 United States Codes (USC) and Executive Orders

USC42, Chapter 55 – National Environmental Policy; Section 4321- 4370d

National Environmental Policy Act (NEPA)

FIPS PUB 140-2 Federal Information Processing Standards Publication (FIPS

PUB)

03 Dec 2002

2.2 Military Standards

MIL-STD-167-1A Mechanical Vibrations of Shipboard Equipment (Type I- Environmental and Type II-Internally Excited)

02 Nov 2005

MIL-STD-461F Department of Defense Interface Standard- Requirements for the Control of Electromagnetic Interference Characteristics of Subsystems and Equipment

10 Dec 2007

MIL-STD-810G Environmental Engineering Considerations and Laboratory Tests 31 Oct 2008 MIL-STD-882E System Safety Program Requirements 11 May 2012 MIL-S-901D Shock Tests, H.I. (High Impact) Shipboard Machinery, Equipment, and Systems, Requirements for 17 Mar 1989

MIL-STD-1310H Shipboard Bonding, Grounding, and Other Techniques for Electromagnetic Compatibility and Safety

17 Sep 2009

MIL-STD-1399C Interface Standard for Shipboard Systems 02 Feb 1988 MIL-STD-46855A Human Engineering Requirements for Military Systems, Equipment, and Facilities 24 May 2011

2.3 Department of Defense (DoD)/Department of the Navy (DoN) Regulations, Directives and

Instructions

DoDD 4140.1 Supply Chain Materiel Management Policy 14 Dec 2011 DoDI 5000.02 Operation of the Defense Acquisition System 08 Dec 2008 DoDD 5000.01

The Defense Acquisition System 20 Nov 2007

DoD 5000.04- M-1

Cost and Software Data Reporting Manual, Cost Analysis Improvement Group (CAIG)

18 Apr 2007

DoDI 5000.61 Modeling and Simulation (M&S) Verification, Validation, and Accreditation (VV&A)

09 Dec 2009

DoDD 5220.22-M

National Industrial Security Program Operating Manual (NISPOM) 28 Feb 2006

DoDD 5230.24

Distribution Statements on Technical Documents 18 Mar 1987

DoDD 5230.25 Change 1

Withholding of Unclassified Technical Data from Public Disclosure 18 Aug 1995

DoDD 8320.02

Data Sharing in a Net-Centric Department of Defense 23 Apr 2007

DoDD 8500.01E

Information Assurance 23 Apr 2007

DoDI 8500.2 Information Assurance Implementation 06 Feb 2003 DoDD 8510.01

DoD Information Assurance Certification and Accreditation Process

(DIACAP)

28 Nov 2007

DoDI 8520.02 Public Key Infrastructure (PKI) and Public Key (PK) Enabling 24 May 2004 DoDD 8570.01

Information Assurance Training, Certification, and Workforce Management

23 Apr 2007

DoN CIO Department of the Navy Chief Information Officer Memorandum, 26 Apr 2010

MEMO 02-10 Information Assurance Policy

ASN (RDA)

MEMO

DoN Policy on Digital Product/Technical Data w/Attachment "Guidance on Acquisition and Conversion of Product / Technical Data to Digital Form" Revision 1

23 Oct 2004

2.4 Chairman of the Joint Chiefs of Staff (CJCS), Joint Requirements Oversight Committee (JROC)

Instructions and Memoranda

CJCSI

3170.01G

Joint Capabilities Integration and Development System 07 Mar 2011

6212.01E

Interoperability and Supportability of Information Technology and National Security Systems

15 Dec 2008

CJCSI

6510.01F (Series)

Information Assurance (IA) and Computer Network Defense (CND) 09 Feb 2011

6510.02B

Communications Security Modernization Plan 27 Nov 2002

CJCS CM

1014-00

Joint Mission Areas to Organize the Joint Operational Architecture 06 Sep 2000

JROCM 236-

Joint Requirements Oversight Committee Memorandum, Policy for Updating Capabilities Documents to Incorporate the Net-Ready Key Performance Parameter (NR-KPP)

19 Dec 2003

CJCSM

3500.04F

Universal Joint Task List (and Supplement CJCSM 3500.04D-01, 17

AUG 2006)

01 Jun 2011

2.5 Secretary of the Navy (SECNAV) and Office of the Chief of Naval Operations (OPNAV) Instructions

SECNAVINST

5200.38A

Department of the Navy (DoN) Modeling and Simulation Program

28 Feb 2002

OPNAVINST

1500.76B

NAVAL TRAINING SYSTEM REQUIREMENTS,

ACQUISITION, and MANAGEMENT

28 Apr 2010

OPNAVINST

5100.19E

Vols. I, II, and III: NAVY SAFETY and OCCUPATIONAL HEALTH (SOH) PROGRAM MANUAL for Forces Afloat

30 May 2007

OPNAVINST

5100.23G CH-1

NAVY SAFETY AND OCCUPATIONAL HEALTH (SOH)

PROGRAM MANUAL

21 Jul 2011

SECNAVINST

5510.34A

DISCLOSURE OF CLASSIFIED MILITARY INFORMATION

and CONTROLLED UNCLASSIFIED INFORMATION to

FOREIGN GOVERNMENTS, INTERNATIONAL

ORGANIZATIONS, and FOREIGN REPRESENTATIVES

08 Oct 2004

SECNAV M-5239.1 Information Assurance Manual Nov 2005 SECNAV M-5510.36 Department of the Navy Information Security Program June 2006

SECNAVINST

5510.36A

DEPARTMENT of the NAVY (DoN) INFORMATION

SECURITY PROGRAM (ISP) INSTRUCTION

06 Oct 2006

OPNAVINST

5513.3C

CNO Documentation Classification guidelines 21 Jul 2008

2.6 Naval Sea Systems Command (NAVSEA) and PEO Littoral Combat Ship and PEO Integrated

Warfare Systems (PEO IWS) Regulations, Directives and Instructions

PEOIWSINST 3058.1 Risk Management 02 Aug 2004 PEOIWSINST 3086.01 Automated Test and Analysis (ATA) Policy 30 Apr 2010 N/A Surface Navy Combat Systems Software Product Line

Architecture, Architecture Description Document (ADD), Version 1.0

31 Jul 2009

NAVSEAINST S9040:

(AA-GTP-010/SSCR,

Revision 4);

Shipboard Systems Certification Requirements for Surface Ship Industrial Periods [Non-Nuclear]

Jun 1998

NAVSEAINST S9095

AD-TRQ-010/TSTP

Total Ship Test Program Manual Mar 1995

NAVSEAINST

4160.3B

Technical Manual Management Program (TMMP) 21 Jun 2011

NAVSEAINST 4855.33 Application of ISO9000 series Quality Standards in NAVSEA Programs

19 Feb 1997

NAVSEAINST

8020.6E

Department of the Navy Weapon System Explosives Safety Review Board (WSESRB)

11 Mar 2008

PEOIWSINST 4730.1A Combat System Certification Policy 05 Jan 2012

NAVSEAINST

9410.2A

Naval Warfare System Certification Policy / Naval Warfare Systems Certification Process

24 Aug 2012

NAVSEAINST 9400.2 Implementation of Naval Sea Systems Command (NAVSEA) Afloat Information Assurance Governance and Guidance

18 Aug 2010

9470-002-A-X-C PEO IWS Enterprise Configuration Control Process User Guide (this is Encl 2 PEO IWS INST 4130.1B)

14 Sep 2011

NAVSEA TE000-AB-

GTP-010

Rev 1 With Change A

Parts Derating Requirements and Application Manual for Navy Electronic Equipment

Mar 1991

PMS420-PLN-11-0003

Littoral Combat Ships Mission Modules Program – ACAT 1C Systems Engineering Plan

10 December

PMS420-DOC-10-0016 PEO LCS MM Software Measurement Handbook 11 Feb 2011 SUW-06-PLN-008 LCS MM Program Surface Warfare System Safety Program

Plan (SSPP) 12 July, 2011

(U) OPNAVINST

5100.19

Navy Occupational Safety and Healthy (NAVOSH) Program Manual for Forces Afloat

TBD Interface Control Document (ICD) For the Littoral Combat Ship (LCS) Flight Zero Reconfigurable Mission Packages, Baseline 1.2

December 04, Jan 22, 2010

MPCE-CD-0040 V1.0 Common Hardware Requirements Specification for the LCS Mission Package Computing Environment (MPCE), 12 September

N/A NAVSEA Systems Engineering Technical Review Manual

(TRM).

Sep. 2009

2.7 Military Handbooks and DoD Guidance

MIL-HDBK-61B Configuration Management Guidance 10 Sep 2002 MIL-HDBK-502 and 502 Notice 1

Acquisition Logistics Handbook 30 May 1997 20 Jan 2005

MIL-STD-881C Work Breakdown Structures For Defense Materiel Items 03 Oct 2011 MIL-HDBK-1785 System Security Engineering Program Management

Requirements 01 Aug 1995

DoDAF v2.0, 2 Vols.

I, II, and III

DoD Architecture Framework: Volumes I, II, and III 30 Sep 2010

9010 Ser IWS/2a·233

Naval Open Architecture Contract Guide Book for Program Managers Version 2.0

30 Jun 2010

N/A Joint Software Systems Safety Handbook 27 Aug 2010 N/A Risk Management Guide for DoD Acquisition, 6th Edition, Version 1.0 Aug 2006

SPAWAR Qualification Standards and Registration Procedures for Navy 18 Mar 2010

Memorandum Ser 5.0/1274

Validators

2.8 Non-Government Documents

ASQC-Q9001-2008 Quality Systems - Model for Quality Assurance In-Depth, Development, Production, Installation, and Servicing

15 Nov 2008

CMMI-DEV v1.3 Carnegie Mellon Software Engineering Institute (SEI) Capability Maturity Model Integration (CMMI) for Development

10 Nov 2010

ANSI EIA-649-B National Consensus Standard for Configuration Management 01 Apr 2011

ANSI EIA-632

(R2003)

Processes for Engineering a System 9 Aug 2002

IEEE 828-2005 Software Configuration Management Plans 12 Aug 2005 IEEE 1012a-1998 Standard for Software Verification and Validation 21 Dec 1998

IEEE/ISO/IEC 16326-

Systems and Software Engineering--Life Cycle Processes-- Project Management

15 Dec 2009

IEEE 1220-2005 Application and Management of The Systems Engineering Process, Standard for

09 Sep 2005

IEEE/ISO/IEC 12207-

Systems and Software Engineering – Software Life Cycle Processes

31 Jan 2008

ISO 9000:2005 Quality Management Systems - Fundamentals and Vocabulary 20 Sep 2005 ISO 9001:2008 Quality Management Systems – Requirements 13 Nov 2008 ISO 9004:2009 Managing for the sustained success of an organization - A quality management approach Nov 2009

ISO 10007:2003 Quality Management - Guidelines for Configuration Management

July 2003

ISO 10013:2001 Guidelines for Quality Management System Documentation 12 Jul 2001 ISO 10015:1999 Quality Management - Guidelines for Training 01 Dec 1999 NIST Publication 500-220

National Institute of Standards and Technology; Special Guide on Open System Environment (OSE) Procurements

Oct 1994

NIST SP 800-53, Rev

Security Controls and Assessment Procedures for Federal Information Systems and Organizations

April 2013

NIST SP 800-53A,

Rev 1

Security Controls and Assessment Procedures for Federal Information Systems and Organizations (Objectives)

June 2010

NIST SP 800-37,

Rev 1

Guide for Applying the Risk Management Framework to Federal Information Systems

Feb 2010

NIST IR 7622 Notional Supply Chain Risk Management Practices for Federal Information Systems

Oct 2012

N/A National Defense Industrial Association Guidebook, Engineering for System Assurance ( http://www.acq.osd.mil/sse/docs/SA-Guidebook-v1- Oct2008.pdf )

Oct. 2008

3.0 GENERAL REQUIREMENTS (Applicable to All CLINs, unless otherwise specified)

The Contractor shall fabricate, build and test the product, system, software application or program, or other capability required by this contract in accordance with the approved specifications and Technical Data Package (TDP) for the equipment, this Statement of Work (SOW), the Contract Data Requirements List (CDRL), DD 1423 form, and other documents provided as Government Furnished Information (GFI). The contracted work scope shall solve the problems, provide a capability, or meet the technology needs of one of the “Challenge Areas” as identified in Attachment 1 to this SOW, “RTI Technology Topics”, as specified in the award document, and using the approach and solution provided by the Contractor in response to this RFP.

3.0.1 Progress, Status and Management Reports. The Contractor shall deliver a Contractor’s Progress, Status and Management Report (CDRL Item) that covers production plans and status as well as all active Design engineering and sustainment tasks in a single volume as a part of the Integrated Program Management Report (IPMR). Data item requirements shall include the following, with numerical tags as noted to indicate the applicability by project phase:

Description of progress made against milestones during the reporting period (All).

Results, positive or negative, related to previously identified problem areas, with conclusions and recommendations (All).

Any significant changes to the contractor’s organization (All).

Any significant changes to the milestone schedule (All).

Problem areas negatively affecting technical, schedule, or cost performance or progress. (All) Status of significant program events (e.g. Post-Award conference, technical interchange meetings, program reviews, milestones); (2,3) Status of significant/major production and/or issue resolution (4);

Status of production hardware items delivered, with an itemized listing of DD-250s signed, and note of any discrepancies on items submitted and not successfully delivered (4);

Itemized listing of any GFE or GFI received during the reporting period (All);

Status information on accountability of all GFM, GFE, and GFI – identify any changes to the status of the items or any accountability issues (All);

Program management metrics (2,3);

Assessment on project risk: For the Pre-production unit requirements and design engineering tasks, identify risks across the tasking. At a minimum, reporting shall identify: what the Contractor management team considers the top five (5) risks at each reporting interval; Contract cost data (or if applicable, Earned Value Management System (EVMS) data) including control accounts that are at risk; Integrated Master Schedule (IMS) events that are at risk of being late or are supporting risk reduction activity; appropriate levels of management reserve being allocated in technical plans so that the contract work meets targeted completion dates and allocated budgets (2);

Environmental Safety and Occupational Health (ESOH) hazard status (2,3);

Schedules for delivery orders and equipment production/deliveries (4);

Configuration Status Accounting (CSA) database activities (4);

Action item status (All);

Invoices submitted to Wide Area Work Flow (WAWF) (All);

Financial status of work being performed under engineering services tasks (3,4).

Associated CDRL Data Items:

“Integrated Program Management Report (IPMR)”

The program management office (PMO) shall continuously track and regularly identify residual data developed under the performance of this contract but not formally delivered to the Navy under other CDRL data items. The Data Accession List (DAL) will be provided as a related report to ensure all data tracking and data relationships are maintained and visible to both the PMO and the Contractor.

CDRL Data Items:

“Data Accession List”

3.0.2 Meetings. The Contractor shall coordinate, schedule, prepare, conduct, facilitate and participate in reviews, meetings and conferences to manage successfully the contract. The Government reserves the right to attend meetings between the prime contractor and sub-contractors. The Contractor shall provide the Government notice of any meeting in writing not less than fourteen (14) days in advance, or as soon as is reasonably possible. The Contractor shall provide Conference Agenda (CDRL Item), presentation materials (CDRL Item), and conference minutes (CDRL Item) for each meeting whenever designated by the Government or whenever the Contractor has reason to believe that a change in contract scope is discussed. The Contractor shall support meetings identified within the following paragraphs, as well as two technical review or exchange meetings per month at the Contractor’s facility and one meeting per quarter at one of the LCS shipyard offices, Marinette Marine, Marinette, WI or Austal, Mobile, AL. Teleconferencing shall be used whenever possible, otherwise meetings shall be held at the Contractor’s facility.

CDRL Data Items:

Data Item Title “Conference Agenda” “Presentation Materials” “Report, Record of Meeting, Minutes”

3.0.3 Quarterly Program Management Reviews (QPMR). Quarterly PMRs shall be conducted in person at the Contractor’s plant or via teleconferencing with the Contractor providing a summary of its current program status to include their Monthly Progress, Status and Management Report (CDRL Item). The current program status report shall contain the following main sections: Summary, Accomplishments, Current Status, Problem Areas, Risks and Mitigation, Cost and Schedule Data, and Future Plans. The reporting period shall be for the duration of the contract.

CDRL Data Items:

Data Item Title “Presentation Materials” (See paragraph 3.0.2)

3.0.4 Integrated Product Teams (IPTs) and Working Groups. The Contractor shall participate in and support quarterly IPTs and working groups (potentially including the Program Management IPT, Supportability IPT, Safety IPT and Production & Test IPT), to ensure integrated and coordinated work across all technical elements of the LCS and LCS Mission Module programs. The participation level in IPTs shall be in Phases II and III (Options 1 and 2), and shall be proposed by the Contractor in their proposal and approved by the Navy prior to contract award.

3.0.5 RTI Phase Kickoff Meeting. The Contractor shall provide a detailed briefing on its management and contract execution strategy at the Post-Award Kickoff Meeting to be held within 30 days after contract award at the Contractor’s facility and after the start of each RTI Phase. The Contractor shall plan for a one-half day Post-Award Kickoff Meeting. The Contractor shall briefly review the approach and methods for Program Management that they had proposed in order to support the successful on-time delivery of the contract requirements. The Contractor shall present and request concurrence on the Exit Criteria for that Phase of the project, as well as the project schedule as defined by the IMS, and all of the “key milestone” events. The Contractor shall include all events on the critical path of that Phase as key milestone events.

“Management Plan (Program Management Plan)”

3.0.6 Schedule Management and Work Breakdown Structure (Phases II and III only). For contract lines larger than $10M and for Phase II and III work scope the Contractor shall develop an Integrated Master Schedule (IMS) by logically networking detailed program activities including but not limited to: fabrication and assembly schedule, testing schedule, planned events and milestones, accomplishments, and activities from contract award to the completion of Production phase. The IMS shall also include the efforts of all activities, including Contractor, suppliers, and sub-contractor and present a current, integrated view of the contract that is consistent with resource plans and other approved documentation. Furthermore, the IMS shall reflect those risks identified and documented in the contractor’s risk management section of the monthly reports. The Contractor shall notify the Government in writing within 24 hours of any expected or projected work stoppages or delays that will impact schedules. The IMS schedule shall be consistent with the Contractor’s Work Breakdown Structure (CWBS) developed in the original cost proposal, and must be detailed sufficiently that critical and high-risk efforts are identified and planned realistically to assure that they can be executed. The Contractor shall present the current IMS data as a part of the Integrated Program Management Report and Quarterly Progress Review.

3.0.7 Data Requirements. The data to be furnished hereunder shall be prepared in accordance with the Contract Data Requirements List (CDRL), DD Form 1423, Exhibit A to G, attached hereto. For all data delivered under this contract, Electronic delivery is acceptable. Letter of transmittals shall be delivered via e-mail with notification of file attributes and directory information for retrieval. Distribution Statements for contract data are provided in paragraph 1 of Attachment 4 to the CDRL DD-1423.

3.0.7.1 Data Management. The Contractor shall post contract data and applicable deliverables to a Government specified website, unless otherwise specified on the applicable CDRL DD Form 1423-1. The Contractor shall provide electronic-mail (e-mail) notification to the Contracting Officer's Representative (COR) and other Government personnel identified on the CDRL Addressee List within 1 day of CDRL delivery (posting new/revised information and CDRL deliverable(s) on the website or delivering as specified on the associated DD Form 1423-1).

The Contractor shall deliver data via Electronic deliveries using the PEO LCS online data system or, if approved, a contractor managed Integrated Development Environment. When the DID indicates that DD-1423 must specify that electronic or paper copy is to be delivered, an electronic delivery is to be provided.

The Contractor shall notify each addressee, for both draft and final data, that the data item has been delivered. The Contractor shall mark all CDRL items with the contract number (and if applicable, the Technical Instruction number that provided funding). The contractor shall e-mail the Letter of Transmittal with notification of file attributes and directory information for retrieval. Unless otherwise noted, Government review comments on draft documents will be provided within 30 days, and subsequent delivery is due within 30 days of comment receipt. Data items are not approved unless explicitly approved by the Government, either electronically or in writing. Data items not specifically approved within the designated timeframe shall be considered disapproved.

The contractor shall mark ALL Data with standard Distribution D marking in accordance with DoDD 5220.22-M, "National Industrial Security Program Operating Manual", (NISPOM). Other U.S. requests shall be referred to PEO

LCS.

Address information and technical contact names for data deliverables may be modified by the PEO LCS Program Office in writing with 30 days’ notice.

3.0.8.1 International Traffic in Arms Regulations (ITAR). The Contractor shall be solely responsible for getting any Department of State approvals, licenses, Technical Assistance Agreements (TAA), etc. required by the International Traffic in Arms Regulations.

3.0.8.2 System Security Program Upon receipt of applicable guidance from the contracting agency and using

MIL-HDBK-1785 (DOD SYSTEM SECURITY ENGINEERING PROGRAM MANAGEMENT

REQUIREMENTS) and DoDD 5220.22-M, "National Industrial Security Program Operating Manual", (NISPOM) the Contractor shall establish a system security-engineering program that identifies, evaluates, and proposes solutions for eliminating or mitigating system vulnerabilities to known or postulated threats.

For Phase II and forward, the Contractor shall develop, execute, and maintain a comprehensive Security Management Plan (SMP), as a part of the Program Management Plan (PMP) per the CDRL Item, using DoD 5220.22M as guidance and subject to Government approval, consistent with the security classification guide, DD 254, and all appropriate security instructions.

The Contractor shall adhere to Government and program regulations, policies and procedures controlling the access of program facilities, information and systems by visitors. All Contractor personnel requiring access to the Government workspaces (GFF) will complete a National Agency Check (NAC). If an emergency situation exists, and the Contractor requires access to the Government workspace in advance of completing the NAC, the Contractor employee may begin work with a waiver from the Contracting Officer Representative (COR). Completion of submission requirement for the NAC is required prior to waiver approval.

The Contractor shall develop and implement an internal Operational Security (OPSEC) plan to reduce security risks on the program. Contractor personnel should be aware at all times of any unusual persons or packages in their work area and immediately report those to the building security staff. If Contractor personnel become aware of any person seeking unauthorized access to information or program materials, they should immediately report this to the

COR.

3.0.8.3 Website Security. The Contractor shall ensure that its publicly accessible web-sites are free of For Official Use Only (FOUO), and/or indicators that could tip-off adversaries about impeding program activity. The Government will provide additional OPSEC guidance as necessary.

3.0.8.4 Contractor’s Internal Network and Data Security. The Contractor shall ensure that its internal networks and data have sufficient protection to prevent intrusion from sources outside its facilities. Because project data and information associated with Mission Module (MM) and Mission Package (MP) architecture, design and interfaces directly affects the Government, and because this data will be stored on Contractor networks as part of program execution, it is imperative that the Contractor take all necessary actions to safeguard the data, information systems and networks that contain, transport, process or store program data.

IA Certification & Accreditation (C&A) requirements apply to all DoD and Contractor's Information Systems (IS)/networks that receive, process, display, store, or transmit DoD information. Contractor IS/networks that are involved in the development or operation of systems shall be configured and operated in accordance with controlling laws, regulations, and DoD policy.

3.0.8.5 General Security Requirements

The Contractor shall establish appropriate administrative, technical, and physical safeguards to protect any and all Government systems and data, to ensure the confidentiality, integrity, availability, authentication, and non-repudiation of Government data. As a minimum, this shall include provisions for personnel security, electronic security and physical security.

3.0.8.6 Contractor Information Assurance (IA) Training and Certification

The Contractor shall ensure that personnel who are categorized as working within the DoD IA workforce meet the appropriate requirements of DoD 8570.01-M.

3.0.8.7 Password Management

“Administrative” accounts, for use by the system administrator for System software upgrades and maintenance, shall be password protected. Administrative passwords shall be a minimum length of 15 characters and consists of a mix of upper case letters, lower case letters, numbers, and special characters, including at least one of each.1

The Contractor shall ensure that all factory-set or default firmware passwords are changed before delivery of the System. Each password shall be a minimum length of 15 characters and consists of a mix of upper case letters, lower case letters, numbers, and special characters, including at least one of each. Each password shall be protected such that they are not embedded in access scripts or stored on function keys.

3.0.9 Government Furnished Information

The Contractor shall submit a GFI Deficiency Report in accordance with the following guidelines:

a. If GFI is not received within fourteen (14) days after the date it is scheduled to be delivered.

b. Within twenty (20) calendar days after contractor receipt of the GFI and inspection for patent defects such as quantity, identification, description, and readability, or if it differs in some other significant respect from that expected to be delivered.

c. Within fourteen (14) calendar days after contractor determination that GFI has latent defects such as technical, engineering, or design deficiencies that existed at the time of GFI delivery, but which were not discovered until actual attempted use of the GFI.

“GFI Deficiency Report”

1 Administrative passwords shall meet FISMA (NIST SP 800-53/IA-5) or follow the DISA STIGs: GEN000580 - Password Length, GEN000600 - Password Character Mix (Mixed case), GEN000620 - Password Character Mix (Digits), GEN000640 - Password Character Mix (Special), GEN000800 - Password Reuse.

3.1 TRANSITION STUDY (RTI Phase I, Base Contract Award, Firm Fixed Price, CLINs 0001 - 0002)

The Contractor shall develop a Transition Study that plans for the integration, test, and operational evaluation of the technology. The Contractor shall develop exit criteria for each Phase of the contract work scope in the Transition Study. The Contractor shall work with the Navy identified applicable Technical Warrant Holders (GFI) in the Transition Study. The Contractor shall conduct system or technology demonstrations or testing as proposed in their work plan. For software applications, the Contractor shall conduct a functionality demonstration or user-interface walk-through with the Navy. The Contractor shall work with the LCS Shipyard and Mission Module Integrator (or Design Engineering, Production, and Sustainment ) contractor to develop a detailed integration plan, including initial technical estimates when possible, for the technology and its integration into the LCS or a Mission Module.

The transition planning shall address:

Interface Control Drawing compliance, Radio Frequency (RF)/Co-site testing if needed, Electromagnetic Environmental Effects (E3) Engineering, Size, Weight, and Power requirements, Human Interface and operator performance impacts, Training requirements, Life-Cycle support requirements, Spares and repair parts planning, Reliability estimation, Reliability Testing, Maintainability planning, Computing environment loading and requirements (including server and network impacts), Storage (on-board and land-based), Launch and recovery requirements or options, Planned testing necessary for each phase of the project, along with responsibilities, costs, and facility/equipment needed.

The Contractor shall hold and document a System Requirements Review (SRR) at the completion of the Transition Study, including action item close-out, addressing all technical elements as described above, and document the project technical and integration requirements in a requirements management data base tool. The requirements data base file shall be delivered as SRR meeting minutes.

CDRL Data Items:

“Technical Report, Study/Services, TRANSITION STUDY”

3.2 ASSESSMENT (RTI Phase II, CPIF, OPTION CLINs 1001 - 1004)

The Contractor shall adapt and modify the new RTI technology (product, system, hardware and/or software), including material procurement, fabrication and integration of Government Furnished Property (GFP), as applicable), test, evaluate, produce and install, deliver, and test it. The Contractor shall present an RTI Design Review, and provide a full detailed design disclosure of the product design. The Contractor shall also provide their approach for integration and testing of the new RTI capability or technology in the design review, and provide an information disclosure package before the review. The detail of the RTI Design Review shall be equivalent to a Critical Design Review for hardware as defined by the NAVSEA SETR Handbook. For Software programs, the Contractor shall provide a Software Increment Review using an iterative design cycle and follow the data disclosure requirements of the NAVSEA SETR manual.

If the RTI project requires software development, then the Contractor shall develop, test, integrate and certify the computer program as necessary to interface the Mission Module Applications and associated software tools to the LCS Sea Frame and in accordance with the LCS ICD for the LCS Reconfigurable Mission Systems. The Contractor shall develop any RTI computer Software (SW) in accordance with Open Architecture Standards (DODI 4630.5, 4630.8, 8100.1, DOD Joint Technical Architecture Vol I & II, CJCS 3170 & 6212.01F, Modular Open Systems Approach (MOSA) version 2.0), and shall meet the LCS Shipbuilder interface requirements. The Contractor shall establish, execute, and maintain a software development process to perform software requirements analysis, design, implementation, integration, and testing. In addition, the Contractor shall establish and maintain a software repository for all associated models, executable code, and software development files. This software shall be delivered as specified in TIs and shall be accessible as part of the electronic repository.

The Contractor shall design, test, manufacture, and support processes and products using established systems engineering practices. The Contractor shall manage system engineering activities across product and functional areas including software, hardware, system safety, and human systems integration.

The Contractor shall adapt and modify the technology and conduct feasibility testing, assess performance, and improve the product as proposed to meet successfully the LCS Ship or MM integration requirements.

The Contractor shall conduct the first three (3) steps of the technology evaluation as outlined below:

• Step 1: The Contractor shall test the system/product in a laboratory environment using appropriate Contractor Testing (CT) processes using Contractor provided simulators, stimulators, or recorded data sets (open, or pre-approved data sets)) and non-Government operators or developer organization operators.

• Step 2: The Contractor shall test the system/product using open data provided by the Navy, normally fully-reconstructed and well-defined data (GFI).

• Step 3: The Contractor shall test the system/product using Government developed or provided data sets or test scenarios (i.e., closed data sets where Government does not provide data sets before testing, and the ground truth is only known to the Government). These data sets will normally be independently generated or controlled recordings used as a neutral and common assessment for the improvements.

After the technology is verified via Contractor testing and developmental testing described in the above steps, the technology will be installed in the Mission Package or on the applicable PEO LCS system, MM, MS, or ship for Step 4 testing, if Option 2 scope is exercised.

CDRL Data Items:

Data Item Title “Technical Report, Study/Services” “Design Review Information Package (DRIP)”

3.2.1 Environmental Qualification Requirements.

The Contractor shall conduct environmental qualification testing of the RTI Technology. The Contractor shall define and document the EQT program for the RTI technology (product, software, or system). The Contractor shall develop the detailed test plans and procedures for the EQT (CDRL Item) with appropriate results reports (CDRL Item). These results shall be directly documented in the initial delivery of the Functional Configuration Audit (FCA, See para 3.2.5). The Contractor shall build and test either one or multiple units, depending on the technology and product, the duration of the test program, unit design, and statistical needs of the test program.

“Test Plans, Test Procedures, RTI Phase II System Test Plan” “Test Plans/Procedures, RTI Phase II Test Plans/Procedures” “ Test/Inspection Report, RTI Phase II Test Report”

3.2.2 Technical Data Package (TDP)

The Contractor shall develop and deliver the Phase II Technical documentation of the technology, which includes the following data and associated CDRL deliverable products:

a. Technical Data Package (TDP) – The Contractor shall develop, update and maintain Developmental Drawings for the RTI equipment procured under this contract. These TDPs shall contain all data sufficient to document the full design as completed in the RTI Phase II engineering effort, and shall include any data previously developed at Government expense. The Contractor shall develop and deliver Product Specifications at the system, subsystem, and module levels as needed to define appropriately the product in a complete manner. The Contractor shall ensure all products are included in the TDP. The TDP shall contain, as a minimum, the following data:

1. All engineering and manufacturing Product Drawings and Associated Lists;

2. Listings of all Contractor Engineering Change Orders (ECOs) or drawing change authorizing documents categorized by Specification Change Notice (SCN)/Engineering Change Proposals (ECPs);

3. Outstanding SCNs/ECPs along with SCN/ECP implementation, or cut-in date;

4. Listings of all TDP documentation, and ECOs or authorizing drawing changes documents that describe in detail changes incorporated into engineering drawings;

5. Detailed definition of interfaces, both functional (i.e. software), electrical and mechanical;

6. Detailed definition of installation requirements via an ICD.

Format shall conform to DoN Policy on Digital Product/Technical Data policy, dated October 23, 2004.

“Developmental Design Drawings/Models and Associated Lists” “Commercial Drawings/Models and Associated Lists” “Source Control Drawing Approval Request” “Program Unique Specification Documents” “Performance Specification Documents” “System/Segment, Interface Control Specifications” “Installation Control Drawings”

3.2.3 Work Instructions (WIs). The Contractor shall develop, update, and deliver WIs based on their internal fabrication processes. The WIs shall contain all data and information sufficient to manufacture the RTI technology (product, system, or equipment) configurations as identified and required under this contract. The WIs (CDRL Item) shall include digital photographic images of assembly procedures and cable dressing techniques. The Contractor shall use Integrated Product Teams (SOW Para. 3.0.5.2) to resolve ambiguities and deficiencies found in the TDPs. The Contractor shall incrementally deliver each completed WI to the Government via the data website.

The Contractor shall identify and implement training of their employees for any critical manufacturing processes as necessary to manufacture successfully the deliverable end items.

“Proposed Critical Manufacturing Process Description”

3.2.4 RISK ASSESSMENT AND MANAGEMENT. The Contractor shall participate in PMS420 risk management process, to include risk identification, risk assessment, risk ranking, risk trends, risk mitigation and risk monitoring. The contractor shall generate risk metrics in accordance with PEO LCS risk management process and reported as part of the Contractor’s Monthly Progress, Status and Management Report (CDRL Item) and during program reviews. The Contractor shall include, as a minimum, the following:

• Identification of the risk areas with both positive and negative slack potential;

• Identification of mitigation steps, and potential reserve/slack impacts;

• Assessment of identified risks, including a relative ranking by program impact;

• Definition of methods or alternatives to mitigate each risk, including the identification of criteria upon which to base programmatic decisions;

• Human, hardware, and software performance;

• Analysis and tradeoffs impacted/considered during risk analysis; and

• Status of resolving/mitigating identified risks.

“Integrated Program Management Reports” (See paragraph 3.0.1)

3.2.5 Functional Configuration Audit (FCA) and As-Built Configuration. The Contractor shall provide technical documentation, equipment, facilities and technical services in support of the Government run FCA conducted on the first systems (HW or SW) submitted for delivery in Phase II. Specifically the contractor shall respond to audit findings, recommend corrective actions, and resolve all deficiencies identified during these audits within 30 calendar days of the FCA. The Contractor shall define the as-built design of the pre-production unit. The FCA shall verify and certify that the new RTI technology or system’s function in accordance with the system performance specifications. The Government representative(s) will conduct the FCA at the Contractor’s facility.

CDRL Data Items:

Data Item Title “Configuration Audit Summary Report (FCA/PCA Report)” “As-Built Configuration List (ABCL)” “Baseline Description Document”

3.2.6 Configuration Management (CM) Program

The Contractor shall implement a CM Program. The Contractor shall tailor a CM Plan (CDRL Item) based on the PMS420 CM Plan, which is provided as GFI. The Contractor’s CM Plan shall demonstrate a structured approach to identifying and documenting functional and physical characteristics of a material item, configuration change control, configuration verification and audits, and reports and records of configuration information. The Contractor’s CM process shall be capable of processing required configuration changes in a timeframe that enables identification, evaluation, and implementation of proposed changes without impact to production schedules. The Contractor shall define and maintain a configuration baseline that defines the developmental configuration. The Contractor shall use the CM process to propose and negotiate changes to the developmental baseline.

“Contractor’s Configuration Management Plan” “Specification Change Notice (SCN)” “Engineering Change Proposal (ECP)”

3.2.7 System Safety. The Contractor shall adhere to the existing LCS MM Program System Safety Program Plan (SSPP), Environmental Health and Safety Plan (EHSP), and System Safety Hazard Analysis (SSHA) Report, which are all provided as GFI. The Contractor shall prepare a System Safety Assessment Report (SSAR) (CDRL Item) in Phase II to show clearly and certify the Contractor's compliance with the Government’s SSPP, EHSP and SSHA, and provides a plan of action and milestones for resolving any safety or health issues associated with equipment production, test and use. The Contractor shall implement the SSPP, EHSP, SSHA and SSAR including providing its employees with necessary safety training.

CDRL Data Items:

“System Safety Assessment Report”

3.2.8 Design for Sustainment and Operational Support

The Contractor shall ensure RTI technology (product, system, or software) is designed for easy maintenance and repair by the appropriate operator, intermediate, or depot level personnel. The Contractor shall develop an initial Contractor Training package and draft technical manuals and maintenance documentation for use in supporting the RTI system during Phase III testing. The Contractor shall ensure that support considerations are an integral part of the system’s design requirements, that the system can be cost effectively supported through its life‐cycle, and that the infrastructure elements necessary to the initial fielding and operational support of the system are identified to the Navy. The Contractor shall conduct one Interim Support Training class at their facility to train and certify up to 6 Government personnel to operate and maintain the systems. Note that the training approach is very dependent upon the technology solution being proposed. The Contractor shall ensure that the RTI product or system is safe and effective. The Contractor shall demonstrate the maintainability of the system using the ICS Technical Manual and ICS Trained personnel, per a Navy approved plan, to show that the technology can be used and maintained by Navy personnel at-sea. The Contractor shall complete a Failure Mode, Effects, and Criticality Analysis (FMECA) as a part of the RTI Phase II design integration efforts.

“Failure Mode Effects and Criticality Analysis Report (FMECA)” “Instructional Media Requirements Document, Training Material, Interim Contractor Support Data” “Planned Maintenance System (PMS) Maintenance Index Page, Interim Conractor Support Data” “Technical Report Study/Services, Interim Contractor Support Data, Maintenance and Repair Manual” “Technical Report Study/Services, Interim Contractor Support Data, Operator’s Manual”

3.2.9 Supply Chain Risk Management

3.2.9.1 In addition to the components the contractor determines are critical for other reasons (e.g. safety critical), the Contractor shall identify the mission-critical functions that may result in Level I or Level II protection failures due to operational, system information, or component integrity aspects.

3.2.9.2 Adapting the MIL-STD 882 System Safety Program definitions of criticality to mission criticality, the contractor shall define the following criticality levels:

Level I (Catastrophic) protection failure – a failure that results in total compromise of mission capability which may cause unintended loss of system

Level II (Critical) protection failure – a failure that results in unacceptable compromise of mission capability or significant mission degradation which may cause significant system damage

Level III (Marginal) protection failure – a failure that results in partial compromise of mission capability or partial mission degradation

Level IV (Negligible) protection failure – a failure that results in little or no compromise of mission capability

3.2.9.3 For each Level I and Level II mission critical function identified by the Contractor in the criticality analysis, the contractor shall identify the associated logic-bearing system components that implement, or introduce vulnerability to these functions (hereafter referred to collectively as the “critical components”).

3.2.9.4 The Contractor shall demonstrate its visibility into its supply chain for critical components, understanding of the risks to that supply chain, and has implemented or plans to implement risk mitigations to counter those risks.

3.2.9.5 The Contractor shall plan for the reduction of foreign intelligence, technology exploitation, supply chain and battlefield threats and system vulnerabilities that result in the catastrophic (Level I) and critical (Level II) protection failures, including but not limited to:

1. The application of supply chain risk management best practices, applied as appropriate to the development of the system. Supply chain risk management key practices may be found in the NIST Interagency Report 7622, Piloting Supply Chain Risk Management for Federal Information Systems, and the National Defense Industrial Association Guidebook, Engineering for System Assurance, both publicly available;

2. The enumeration of potential suppliers of critical…