Section_J_Attachment_J-1.pdf

NNJ17584385R SECTION J

Attachment J-1

RESEARCH, ENGINEERING AND MISSION INTEGRATION SERVICES

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SCOPE: All contracts that purchase, lease, network to, or otherwise utilize Government-funded IT (as defined by the Clinger-Cohen Act of 1996 and referenced by OMB Circular A-130) must comply with

NASA IT Security Requirements.

CONTENT:

A. IT SECURITY MANAGEMENT PROGRAM PLAN:

The Contractor shall submit an IT Security Management Program Plan for its unclassified technology information resources. This program plan shall describe the policy, processes, and procedures that will be followed to ensure appropriate security of IT resources that are developed, processed, or used under this contact. The Contractor’s IT Security Management

Program Plan shall be compliant with the IT security requirements in accordance with Federal and NASA policies as referenced in OMB Circular A-130 and NPR 2810.1(series).

B. IT SECURITY PLAN:

The Contractor shall have a responsible individual that meets the intent of the NASA Handbook defined Information Systems Security Officer (ISSO) who is responsible for the contractor’s system(s) in accordance with the definitions set forth in NPR 2810.1(series). The IT security plan shall be kept up to date as changes to the baseline configuration of the system occur and shall be documented in the IT Security Plan. Note: An IT Security Plan is specific to a system or group of systems, while an IT Security Management Program Plan is defined as the elements a contractor has outlined to meet the IT Security requirements for interfacing with other contractors and NASA, training requirements and meeting the requirements, reporting of training accomplished in NPR 2810.1(series).

C. INCIDENT RESPONSE

The Contractor shall support Incident Responses. Incident Responses relates to dealing with the potential for and actual damage and distribution of information systems. An “incident” is any adverse event or situation associated with a system that poses a threat to the system’s integrity, availability, or confidentiality. An incident may result in or stem from any one of the following: a failure of security controls; an attempted or actual compromise of information;

and/or waste, fraud, abuse, loss, or damage of government property or information.

The IT Security Management Plan shall address the company’s response to incidents and timing of reporting incidents to NASA.

Incident response training shall be accomplished for employees using the NASA SATERN

System.

D. IT SECURITY AWARENESS TRAINING:

Employees subject to this contract shall complete the NASA approved IT Security Awareness

Training annually in the NASA SATERN system for both the training content and reporting to

NASA. By utilizing SATERN for training purposes, the Contractor evidence of periodic IT security awareness training is automatically maintained and reports can be generated for all employees subject on this contract. The contractor shall submit periodic SATERN reports (as required by the CO) detailing the overall status of the annual training program. The annual training program is defined by the CO.

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E. IT SECURITY ROLE BASED TRAINING:

Employees subject to this contract shall complete NASA approved IT Security Training annually related to the following Role Based functions:

(Note: Each Offeror is allowed to define the positions that they will utilize based on their corporate best practices to accomplish the functions typically defined by NASA, listed below:)

IT Security Manager

Information System Owner (ISO)

Information Systems Security Officer (ISSO)

Organizational Computer Security Official – Representative (OCSO-R)

The Contractor shall accomplish periodic IT security training in the NASA SATERN system.

The Contractor shall submit SATERN periodic reports (as required by the CO) detailing the overall status of the annual training program. The annual training program is defined by the

CO.

F. INFORMATION ON EMPLOYEES IN SENSITIVE POSITIONS/ASSIGNMENTS REPORT:

The Information on Employees is Sensitive. Provide your corporate best practices for this functions and include your philosophy on background checks.

G. IT POINT OF CONTACT:

The contractor shall identify a point of contact that NASA may reach in its attempt to address IT and

IT Security issues. The point of contact shall have the authority to ensure appropriate actions occur.

FORMAT: As defined in NPR 2810.1A and the applicable NIST, NITR and ITS-HBK documents specified above. Electronic, compatible with the Program authorized repository.

9. OPR: ISS Information Technology Office

10. FIRST SUBMISSION DATE: With individual Task Order proposals.

Frequency of Submission: As defined in NPR 2810.1A

Additional Submissions: As defined in NPR 2810.1A

11. MAINTENANCE: As defined in NPR 2810.1A

12. COPIES/DISTRIBUTION:

1 electronic copy: CO and OCSO

13. REMARKS: None.

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DATA REQUIREMENTS DESCRIPTION

(Based on JSC-STD-123)

1a. DRD Title:

Task Order Plan

1b. Data Type: 3

2. Date of Current

Version

3a. DRD No.

REMIS-MA-01

3b. RFP/Contract No.

NNJ17584385R

4. Use (Define need for, intended use of, and/or anticipated results of data)

This DRD provides an integrated overview of the Contractor approach to accomplish the work defined in the NASA provided Task Order (TO). The Work

Plan provides details on the technical task, proposed resources, and applicable requirements necessary to accomplish the Task Order. It clearly identifies all deliverables and provides a detailed development schedule with associated resource requirements. The work plan shall include the Contractor approach to performance reporting on technical progress, schedule adherence, and budget maintenance and analysis.

5. DRD Category

X __ Technical __ Administrative

__ SR&QA

6. References (SOW, Clause, etc.)

SOW 1.2

7. Interrelationships (e.g., with other DRDs)

8. PREPARATION INFORMATION: The contractor shall prepare the deliverable as follows:

SCOPE: This DRD addresses any technical documentation that may be requested by the specific task orders.

CONTENT: The types of documentation include:

Preparation Information:

The following provides the requirements on the content and organization of the Contractor’s

Task Order Response (TOR). Where separate detailed planning documents are to be prepared

(as defined by the Task Order) on specific management functions, this document should include a summary of their content and a reference to them.

1.0 Technical Approach

1.1 Development Approach – Summary of design and development approach, including proposed design parameters, safety concerns, and key design requirements. Identify your approach to testing and verification, including test standards/margins used. Testing proposed to meet safety and performance requirements. Highlight component, subsystem, and system level testing.

Identify potential options for reducing test costs.

1.2 Requirements Baseline – List or reference the requirements levied on the

Contractor via the Task Order and discuss how these are flowed down to lower levels by summarizing the requirements allocation process.

1.3 Technology/Risks - Indicate any existing feasibility issues or proof-of-concept issues that must be taken into account in the development requiring additional testing along with any requirements that offer significant technical challenge or

J-A1-5 risk of failure. Describe the technology assessment, development, management, and acquisition strategies needed to achieve the Task Order objectives. Describe any opportunities for leveraging on-going technology efforts.

1.4 Logistics - Identify where the major project functions, such as hardware build, testing, integration, etc., will take place and describe the facilities, special services, vehicles, systems, and major equipment necessary to satisfy the identified logistic requirements. The spares philosophy with quantity anticipated should also be identified.

1.5 Mission Operations, Training and Data Management - Describe the operations, training, and data management approaches to the extent they are understood at the time including facility, hardware, and software requirements.

1.6 Safety - Define the ground and mission safety requirements of the project. Safety implications related to implementation of the task should be described with any apparent or implied key flight safety issues.

1.7 Product Assurance - Define the project specific product assurance requirements.

2.0 Management Approach

2.1 Management – Document the plan to monitor and control the Task Order requirements, technical design, schedule, and cost to achieve the objectives defined in the Task Order. Monitor and report on cost status and budget analysis in accordance Task Order Response.

2.2 Organization - Identifies key positions on the project and key external interfaces.

2.3 Work Breakdown Structure - Description reflecting the Contractor Work

Breakdown Structure (CWBS) for organizing the technical elements and essential support for the TOR; it should be based (primarily) on deliverable hardware/software elements and sub-elements; the level of detail shall be adequate to support the allocation of personnel and costs and to define a logical schedule through design, implementation, delivery and operation phases (as appropriate for the TO). The CWBS structure should relate to line items on the master schedule and to the resources section.

2.4 Risk Management –Identify the risk management process that will be utilized to identify, monitor, and mitigate risks in response to the TOR.

2.5 Acquisition Plan – Identify all major proposed acquisitions in the relation to the

CWBS and provide summary information on each. Describe all agreements for collaborative and/or cooperative relationships that support the TO.

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2.6 Review Plan – Summarize the approach to conducting reviews for the delivery order content including peer reviews if appropriate. Describe the reporting requirements for reviews to be conducted along with the names, purposes, content and timing of the critical milestone reviews.

2.7 Documentation - Provide a project documentation tree that includes all governing, hardware development, mission integration, and safety documentation. Provide configuration management in accordance with REMIS-CM-01, Configuration

Management Plan.

2.8 Schedule - The schedule delivered, as part of the TOP, shall be of sufficient detail to ensure that the technical team reviewing the proposals clearly understands the total approach being proposed by the Offerors.

2. 9 Resources - Specify the funding and personnel requirements needed for execution of the TO against the CWBS. The Cost data shall be provided by Fiscal Year

(FY) and linked to the technical approach being proposed with appropriate level of Basis-of-Estimates to substantiate the cost being proposed. Identify any use to be made of other facilities for which another entity will be financially responsible.

2.10 Life-cycle Cost Estimate: For development projects, provide a life-cycle cost estimate at task inception and provide an updated life-cycle cost estimate as updated contractor work plans are developed.

FORMAT: Electronic, compatible with the Program authorized repository.

3. OPR: ISS Configuration Management Office.

4. FIRST SUBMISSION DATE: As specified in the Task Order.

Frequency of Submission: As specified in the Task Order.

Additional Submissions: As specified in the Task Order.

5. MAINTENANCE: Electronic, as required (see additional submissions).

6. COPIES/DISTRIBUTION:

1 electronic copy: Program Authorized Repository

Program Authorized Repository Upload Notification: ISS Data Management

Program Authorized Repository Upload Notification: CO

Program Authorized Repository Upload Notification: CO’s Representative

7. REMARKS: None

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NF533 Monthly/Quarterly Cost

Reporting

2. Date of Current Version

REMIS-PC-01

Provide summary level cost reporting to the International Space Station Program

Office for the evaluation of the contractor’s actual cost and fee for the planning, monitoring, and controlling of project and program resources, and for accruing cost.

5. DRD Category

__ Technical

X Administrative

__ SR&QA

6. References(SOW, Clause, etc.)

I.B.1, I.C.2

SOW 2.0, NPR 9501.2

8. PREPARATION INFORMATION: Overall instructions and guidance are provided in NPR 9501.2D, NASA Contractor Financial Management Reporting.

SCOPE: The monthly/quarterly report shall provide a report for projecting costs and Work Year

Equivalents (WYEs), for evaluating contractors’ actual cost and fee, for the planning, monitoring, and controlling of project and program resources, and for accruing cost.

CONTENT: Instructions for content are in Attachment 1. Content shall also include adding WYEs associated with direct labor and WYEs associated with subcontracts to the list of cost elements in NPR

9501.2D, NASA Contractor Financial Management Reporting. Also added to the cost elements is a separate line for major subcontractor’s costs. Major subcontractors are defined as contracts greater than

$5M annually.

FORMAT: REMIS-PC-01 shall be uploaded into EDMS as an Excel file, with the exception of the signature page, which shall be a .pdf format.

In addition to Attachments 1, the following modifications shall be made to the monthly format. A column shall be added in front of section 7a to provide for “Prior Years Costs” (this column shall remain blank until the beginning of FY17). For section 8 add 4 columns to provide for four months of forecast; also under section 8, a column shall be added to provide for “Balance of Current Year (forecast).” and a column shall be added to provide for “Government Fiscal Year Estimate at Complete (forecast).”

The report shall be in three parts:

REMIS-PC-01A shall be an executive summary narrative with variance explanations at each WBS level.

Variance explanations shall be required when a +/- 5% and +/- $10,000 variance occurs between the monthly forecasted cost and the actual cost for that month. The computation is (Monthly Forecasted Cost –

Monthly Actual Cost/ Monthly Forecasted Cost). The variance explanation shall identify the lowest level

WBS contributing to the variance. In addition, variance explanations need to detail what caused the variance (i.e., ISS Program change in direction, unexpected problems, and discrepancy due to a change order.) Also addressed shall be any impact to delivery and, or schedule and the contractor’s plan for resolving the effect of the variance. The forecast plan shall be adjusted to reflect a change in baseline plan.

The executive summary shall also explain (listing and amount) any contract value changes and any changes between the types of contract.

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REMIS-PC-01B shall be a top level summary listing by contract cost elements (see NPR 9501.2D) including EPs and major subcontractors. The top level summary shall also include a cost rollup at the WBS

1 level.

REMIS-PC-01C shall be by the WBS level in Attachment 2. Detail for rollup and additional contractor requirements also are included in attachment 2. In addition, cost elements reported in REMIS-PC-01A shall be reported in each section of the WBS designated as a rollup.

9. OPR: Resource Analyst

10. FIRST SUBMISSION DATE: NF533M (initial baseline) shall be submitted 30 calendar days after authorization to proceed.

Frequency of Submission: 533M

a. 533M hardcopy due not later than 12 working days following the close of the contractor’s monthly accounting period.

b. 533M EDMS due not later than 10 working days following the close of the contractor’s monthly accounting period.

11. MAINTENANCE: The contractor shall provide a revised NF533M to correct errors when deemed necessary by the Financial Management Division. The revised NF533M shall be delivered prior to closure of the current JSC accounting system for the month. The reports shall be maintained electronically by the contractor

1 electronic copy: Program secure Repository

Program Authorized Repository Upload Notification: ISS Data Management

Program Authorized Repository Upload Notification: ISS Assessment Office

Program Authorized Repository Upload Notification: Resource Analyst

Program Authorized Repository Upload Notification: Financial Management Division

13. REMARKS: None

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NASA Form 533 (NF533) Reports – REMIS-PC-01 Attachment

The NASA Form 533 (NF533) reports provide data necessary for the following:

1. Projecting costs and hours to ensure that dollar and labor resources realistically support project and program schedules.

2. Evaluating contractors' actual cost and fee data in relation to negotiated contract value, estimated costs, and budget forecast data.

3. Planning, monitoring, and controlling project and program resources.

4. Accruing cost in NASA's accounting system, providing program and functional management information, and resulting in liabilities reflected on the financial statements.

Cost is a financial measurement of resources used in accomplishing a specified purpose, such as performing a service, carrying out an activity, acquiring an asset, or completing a unit of work or project. NASA Procedural Requirements (NPR) 9501.2E entitled “NASA Contractor Financial

Management Reporting,” or its most current revision, identifies the cost reporting requirements for a contract. An NF533 format is provided in Appendix A.

NASA is required by law to maintain accrual accounting, which requires cost to be reported in the period in which benefits are received, without regard to time of payment.

The reports (NF533M [Monthly] and NF533Q [Quarterly]) are the official cost documents used at

NASA for cost type, price determination, and Fixed Price Incentive contracts. The data contained in the reports must be auditable using Generally Accepted Accounting Principles (GAAP).

Supplemental cost reports submitted in addition to the NF533 must be reconcilable to both the

NF533M and NF533Q.

Common NF533 Cost Elements

Examples of accrual accounting for common cost elements reported on the NF533 follow:

Cost Elements Definitions

Labor Reported to NASA as hours and cost are incurred.

Equipment and

Materials

(commercial off the shelf)

Generally reported to NASA when received and accepted by the contractor.

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Manufactured

Equipment

Defined as any equipment that is produced to specific requirements that make it useless to anyone else without rework. Cost should be reported to NASA as the equipment is being manufactured. The straight-line method for estimating accrued costs, or the use of supplemental information obtained from the vendor, are acceptable methods used to calculate the cost accrual amount.

Leases Reported to NASA using a proration over the life of the lease.

Travel Reported to NASA as costs are incurred.

Subcontracts and

Other Direct

Costs

Actual and estimated costs reported by prime contractors shall include subcontractors' incurred costs for the same accounting period. Where subcontract costs are material, they should be separately identified on NF533 reports. The prime contractor shall include in the total cost of each subdivision of work the accrued cost (including fee, if any) of related subcontractor effort. Subcontractors should, therefore, be required to report cost to the prime contractor, using the accrual method of accounting. If the G&A and fee reported by a subcontractor are at the total subcontractor level, these costs must be allocated to specific sub- divisions of work. Data submitted by the subcontractor should be structured similar to the prime contractor's NF533 to enable the prime contractor to properly report to NASA.

For Firm Fixed Price subcontracts with a contract value greater than $500,000, the prime contractor is required to document the methodology used to generate the sub-contractor costs reported and provide this information to the NASA CO and Center Deputy Chief Financial

Officer of Finance.

Unfilled Orders Reported as the difference between the cumulative cost incurred to date and amounts obligated to suppliers and subcontractors.

Fee Fee should be reported on the NF533 following the

"Total Cost" line. Award fee must be reported by the following categories: Base Fee, Fee Earned, Interim

Fee, Provisional Fee, Potential Additional Fee, and

Total Fee. If any of the above fee categories do not pertain, they should not be included in the NF533.

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Prompt Payment

Discounts

Cumulative cost reported to NASA should be the full incurred cost. The prompt payment discount amount taken should be reported as a separate line item on the

NF533 below the cumulative cost amounts for the contract.

Common NF533 Data Elements

The following NF533 Data Elements shall be included:

Data Element Name Description

Reporting Category (RC) Task, Delivery Order, Work

Breakdown Structure

Cost Incurred for Month (7a) Prior month actual cost incurred for each RC (column 7a on NF533)

HR/WYE Incurred for Month (7a) Prior month actual HR/WYE incurred for each RC (column 7a on

NF533)

Contract prior month planned cost

(7b)

Planned cost for prior month for each RC (column 7b on NF533)

HR/WYE contract prior month planned hours (7b)

Prior month planned HR/WYE for each RC (column 7b on NF533)

Current FY Cum to Date Actual

(7c1)

Actual cumulative cost and hours incurred for the current Government

Fiscal Year through the prior month for each RC (column 7c1 on NF533)

Current FY Cum to Date Plan (7d1) Planned cumulative cost and hours for the current Government Fiscal

Year through prior month for each

RC (column 7c1 on NF533)

Contract ITD cost (7c2) Contract ITD cost for each RC

(column 7c2 on NF533)

Contract planned ITD cost (7d2) Contract planned ITD cost for each

RC (column 7d2 on NF533)

Current month estimated cost (8a) Cost estimate (not Plan) for the current month for each RC (column

8a on NF533)

Current month estimated HR/WYE

(8a)

HR/WYE estimate (not plan) for the current month for each RC (column

8a on NF533)

Next month estimated cost (8b) Estimated cost for next month for each RC (column 8b on NF533)

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Balance of Contract (8c) Balance of contract for the remaining estimate to complete for each RC (column 8c on NF533)

Government Fiscal Year EAC (8d) Actual cumulative cost and hours incurred plus remaining estimated cost and hours for the current

Government Fiscal Year (column 8d on NF533)

Contractor Estimate (9a) Contractor estimate for the total estimate to complete entire scope of contract for each RC (column 9a on

NF533)

Contract Value (9b) Contract value based upon contract modifications for each RC (column

9b on NF533)

Unfilled orders outstanding (10) Unfilled orders outstanding at the end of the reporting period for each

RC (column 10 on NF533)

Reporting Category level Used by NASA’s accounting system to determine the RC level

Reporting Category Identifier Identifies if the RC is an actual

Reporting Category or a Sub-

Reporting Category

A Reporting Category (RC) correlates to a task order, delivery order, or Work Breakdown

Structure (WBS) and is the level at which cost is reported. Each RC can have Sub-

Reporting Category line items (detailed cost elements) that add up to a RC. The

Contractor is required to coordinate with the NASA Resource Analyst assigned to the contract in order to establish and maintain the Reporting Categories the contractor shall use to comply with this data requirement.

Column 7b (planned cost incurred/hours worked for the month) and 7d (cumulative planned cost incurred/hours worked) of the NF533M represent the negotiated baseline plan for the contract. There may not be a relationship between the estimates provided in columns 8 of the NF533M to columns 7b and 7d. Columns 7b and 7d represent the legally binding contract negotiated baseline plan plus all authorized changes.

Uncompensated overtime hours worked should be reported on NF533 reports as a separate line item or in the footnotes.

Short and long-term cost estimates, which include all data entered in columns 8 and

9a on the NF533M and NF533Q reports, shall be based on the most current and reliable information available.

Prior period cost adjustments shall be reported in column 7a and 7c of NF533M and column

7a of the NF533Q as soon as identified. In a footnote, the cost adjustment shall be

J-A1-13 delineated by government fiscal year, discuss the reasons for, the amounts of, and the time period for which the adjustment(s) relate.

Property, Plant and Equipment (PP&E) Reporting

(A.) For PP&E items the contractor plans to purchase, fabricate, or modify, the contractor shall obtain, from the JSC Finance Property Office, the NASA Capitalization/Expense determination. This determination shall be obtained by the contractor prior to any cost being incurred for the PP&E purchase/fabrication/modification. This will help ensure appropriate 533 reporting for items identified as capital. The capitalization/expense determination governs the contractor’s cost reporting requirements associated with the

PP&E.

The JSC Finance Property Office makes the capitalization/expense determination based on information provided by the NASA Project Manager. The JSC Finance Property

Office acquires the information from the NASA Project Manager using the Form NF1739

Capitalization Determination Form (CDF), which is required for each asset valued at, or greater than $500K. The JSC Finance Property Office may utilize a supplemental questionnaire and/or additional communication with the project manager, or their associates, to ensure adequate information is obtained to make the appropriate accounting treatment determination (i.e., to Capitalize or Expense the asset).

(B) For PP&E purchased, fabricated or modified, and determined by the JSC Finance

Property Office to be Capital, the contractor shall:

1. Report the costs of each capital asset (i.e., each individual end item deliverable) as a separate reporting category on the NF 533 or other required cost reporting format.

2. Maintain a reporting structure that allows for the contractor’s accumulation and reporting of cost separately for each identified capital asset (i.e., each individual end item deliverable).

(C) For PP&E purchased, fabricated or modified, and determined by the JSC Finance

Property Office to be Expensed (Non-Capital), the contractor is not required to report costs at the detail asset level (i.e., as a separate reporting category on the NF 533 or other required cost reporting format).

NF533 Due Dates

The due dates for the NF533M and NF533Q reports are outlined in Chapter 3 of NPR

9501.2E. The following is a summary of the NF533 due date requirements:

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NF533 Report Due Date

NF533M Due no later than the 10th working day following the close of the contractor’s accounting period or the 15th calendar day of the month, whichever is earlier.

NF533Q Due no later than the 15th calendar day of the month preceding the quarter being reported.

The due dates reflect the date the NF533 reports are received by personnel on the distribution list, not the date the reports are generated or mailed by the contractor. It is critical that the NF533 reports are submitted in a timely manner to ensure adequate time for NASA to analyze and record the cost into the NASA accounting system.

An initial NF533 report is required in the NF533Q format to be used as a baseline for the life of the contract. The initial (baseline) NF533Q report shall be submitted by the contractor within 30 days after authorization to proceed has been granted. The initial

NF533 requirement cannot be waived. The initial report shall reflect the original contract value detailed by negotiated reporting categories and shall be the original contract baseline plan. In addition to the initial (baseline) report, monthly NF533 reporting shall begin no later than 30 days after the incurrence of cost.

NF533 Final Submission Upon Contract Completion

Monthly NF533 reporting is no longer required once the contract is physically complete, provided the final cost report includes actual cost only (no estimates or forecasts). The contractor must continue to submit monthly NF533 reports as long as estimates for the following period are included. If the final cost of a contract changes after the submission of the "final" contractor cost report, the contractor must submit a revised NF533 report in the month the cost change is recognized.

Electronic NF533 Flat File Requirement

(will only be submitted if requested during the course of the contract)

If requested by NASA, the contractor shall submit a Flat File NF533M electronically by the same due date. The data shall be submitted via email using the Government prescribed flat file format (if requested, an example of the Agency Defined File Format layout details will be provided by NASA).

NF533 Supplemental Reporting

Supplemental reporting requirements will be submitted during the course of the contract in accordance with direction in Appendix B.

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RESEARCH, ENGINEERING AND MISSION INTEGRATION

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APPENDIX B. Required Supplemental Reporting

Annual Accounting Calendar: The contractor’s accounting calendar for the contract period of performance shall be provided in electronic format to the LC2 resource analyst, and LF3 Cost Accountant within 10 business days after contract award. Updates to the accounting calendar shall be provided in electronic format to the LC2 resource analyst and

LF3 Cost Accountant before the delivery of the subsequent NF533.

Contractor Variance Report: The contractor shall submit variance reports along with the NF533M when NF533M variances meet or exceed +/- 5% for each Reporting Category for the following items:

1. Column 7A current month (actuals) to 8A previous month (estimate)

2. Column 7A current month (actuals) to 7B current month (plan)

Monthly Unfilled Orders: The contractor shall submit a report in conjunction with the delivery of the monthly NF533M if there are Unfilled Orders Outstanding (10). The report shall be broken down by reporting category and include the item description, the originally reported delivery date and costs, updated delivery date and costs, justifications for delays of greater than 30 days, and justifications for changes in costs greater than 5%. The following format shall be used for this report.

A B C D E F G H

Rept.

Categ ory

Ite m

Origin al

Estima ted

Deliver y Date

Adjust ed

Estima ted

Deliver y Date

Justificat ion for delays greater than 30 days

Origin al

Estima ted

Costs

Adjust ed

Estima ted

Costs

Justificat ion for cost changes greater than 5%

Quarterly Estimate Report: If the contractor’s month-end reporting does not align with the last day of the calendar month, the contractor shall provide a supplemental report for each calendar-month ending a government fiscal quarter (December, March, June, and

September). The report shall be broken down by reporting category and include the original and adjusted 533M Current Month Estimated Cost and Hours (8a) that reflects the estimated costs and hours accrued through the last day of the calendar month. All estimated costs shall include unfilled orders expected to be delivered during the adjusted period. The following format shall be used for this report.

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A B C D E F G

Reporti ng

Catego ry

533M

Current

Month

Estimate

(8a) - Costs

533M

Current

Month

Estimate

(8a) -

Hours

Curre nt

Mont h Est.

Adj.

(Costs

Curre nt

Mont h Est.

Adj.

(Hour s)

Total

Adj.

Current

Month

Est.

(Costs)

Total

Adj.

Current

Month

Est.

(Hours)

= B + D = C + E

Annual Economic Impact Assessment: The contractor shall submit answers to the following four questions back to the LC2 resource analyst in conjunction with the delivery of the October NF533M. The answers should be estimates only, as this requirement is not intended to be an extensive exercise. The information provided will be rolled-up to create

Center-level estimates, and will not identify any specific contract. This information will not be shared at the contract-level with anyone outside NASA.

1. What was the on-board total headcount for this contract as of September 30th?

(Please include in-directs and an estimate for your major subcontractors.)

2. For the total workforce indicated in #1 above, approximately how many worked in the local Clear Lake area, including JSC? (JSC includes JSC proper, Sonny

Carter Training Facility, and Ellington Field.)

3. What was the approximate dollar value of goods and services (including labor) purchased in the Houston area under this contract during the prior Government

Fiscal Year?

4. What was the approximate dollar value of goods and services (including labor) purchased outside the Houston area but within the State of Texas?

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Small Business

Subcontracting Plan and

Reports

1b. Data Type: Plan -1 Report

- 2

REMIS-PC-02

To describe the Contracator’s planned approach to Small Business

Subcontracting and their reporting against this plan.

5. DRD Category

PC

a. FAR 19.702, Statutory requirements

b. FAR 52.219-8, Utilization of Small Business

Concerns

c. FAR 52.219-9, Small Business Subcontracting

Plan

d. NFS 1852.219-75, Small Business

Subcontracting Reporting

L.18.4(b)(5)

8. PREPARATION INFORMATION: The contractor shall prepare the data delivery as follows:

SCOPE: The Small Business Subcontracting Plan shall be in compliance with FAR

52.219-9. The Small Business Subcontracting Reporting shall be in compliance with NFS

1852.219-75.

CONTENT: The Subcontracting plan must include the approach that the Contractor intends to use in meeting the subcontracting goals. Subcontractors whose bid is part of this proposal should be identified. For each subcontractor, the percentage of the proposal and any small or small business subcategory classification should be identified. For areas of potential future subcontracting, the Contractor should identify the area of work, the percentage of contract that this is expected to encompass, potential subcontractors and their small business or small business subcategory classification. Describe the management approach to subcontracting with small, small disadvantaged 8(a), Women-owned, HUBZoned, Veteran owned, and Service disabled veteran owned companies and HBCU/MIs.

The Plan submitted with the initial proposal shall be incorporated in Section J as an Attachment in the resulting contract. The requirements in the Plan must flow down to first tier large business subcontracts expected to exceed $700,000. Although these first tier large business subcontractors are encouraged to meet or exceed the stated goals, it is recognized that the subcontracting

RESEARCH, ENGINEERING AND MISSION INTEGRATION

J-A1-20 opportunities available to these subcontractors may differ from those suggested in the solicitation based upon the nature of their respective performance requirements.

(vi) Offerors are advised that a proposal will not be rejected solely because the submitted Plan does not meet the NASA recommended goals that are expressed in paragraph (a) (2) above in terms of percent of TOTAL CONTRACT VALUE (all five years combined). NASA will consider the amount of work being retained for performance by the prime contractor in-house when determining whether a subcontracting plan is acceptable. Offerors shall discuss the rationale for any goal proposed that is less than the CO’s recommended goal in any category. In addition, the Offeror shall describe the efforts made to establish a goal for that category and what ongoing efforts, if any, the Offeror plans during performance to increase participation in that category.

(vii) In addition to submitting a Small Business Subcontracting Plan (Large Businesses only) in accordance with FAR clause 52.219-9, Alternate II, Offerors shall complete Exhibit A, SMALL

BUSINESS SUBCONTRACTING PLAN GOALS, which provides a breakdown of the

Offeror’s proposed goals, by small business category, expressed in terms of both a percent of

TOTAL CONTRACT VALUE and a percent of TOTAL PLANNED SUBCONTRACTS.

Offerors shall modify the exhibit to show the proposed subcontracting goals for the basic contract requirement and each option separately.

Listed below is an example of Subcontracting Goals, expressed in both contract value and subcontract value, for a contract proposed at $100M with estimated subcontracts of $50M:

Table L-4: Small Business Subcontracting Plan Goals

Column A Column B Column C

Business Category Goal as

Percent of

Contract

Value

Dollar Value to be subcontracted per Category

Goal as Percent of

Subcontracting

Value Small Business Concerns 25 percent $25,000,000 50 percent

Large Business Concerns n/a $25,000,000 50 percent

Total Dollars to be Subcontracted n/a $50,000,000 100 percent

The following small business subcategories do not necessarily add up to the percentage and dollar amount in the “Small Business Concerns” category above, since some small businesses do not fall into any of the subcategories below, while others will fall into more than one subcategory below.

Subcategories of Small Business Concerns

Women Owned Small Business Concerns 9 percent $9,000,000 18 percent

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J-A1-21

Small Disadvantaged Business Concerns 5.0 percent $5,000,000 10 percent

Veteran Owned Small Business Concerns 2.5 percent $2,500,000 5 percent

Service-Disabled Veteran-Owned Small

Business Concerns

1.5 percent $1,500,000 3 percent

HUBZone Small Business Concerns 1.5 percent $1,500,000 3 percent

Minority Serving Institutions 1.5 percent $1,500,000 3 percent

It is recommended that Offerors first complete Column B by entering the dollar amount the

Offeror proposes to subcontract to each business category and subcategory.

To complete Column A, divide the dollar amount in Column B by the total offered price of the proposal. In the example above, Column A for Veteran Owned Business Concerns =

$2,500,000 divided by $100,000,000, or 2.5 percent.

To complete column C, divide the corresponding amount in Column B by the amount in the

“Total Dollars to be Subcontracted” cell in Column B. In the example above, Column C for

Women-Owned Small Businesses = $9,000,000 divided by $50,000,000, or 18 percent.

Note: the “Total Dollars to be Subcontracted” amount in Column C will always be that category divided by itself (100 percent if any dollars are subcontracted).

Commitment to the Small Business Program

All Offerors shall briefly describe work that will be performed by small businesses. Proposals should also identify any work to be subcontracted that is considered “high technology.” High

Technology is defined as research and development efforts that are within or advance the state-of-the-art in technology discipline and are performed primarily by engineers, scientists, and highly skilled and trained technicians or specialists.

If the subcontractor(s) is known, Offerors must connect the work to the subcontractor and specify the extent of commitment to use the subcontractor (s) (enforceable vs. non-enforceable commitments). (Small Business Offerors shall provide this information to the extent subcontracting opportunities exist in their approach to performing the requirement.)

All Offerors shall provide information demonstrating the extent of commitment to utilize small business concerns and to support their development. Information provided should include a brief description of established or planned procedures and organizational structure for Small Business outreach, assistance, participation in the Mentor Protégé program, counseling, market research and Small Business identification, and relevant purchasing procedures. For Other than Small

(Large) Business Offerors, this information should conform to applicable portions of the submitted Small Business Subcontracting Plan. Small Business Offerors shall provide this

RESEARCH, ENGINEERING AND MISSION INTEGRATION

J-A1-22 information to the extent subcontracting opportunities exist in their approach to performing the requirement.)

FORMAT: Contractor format is acceptable for the plan; reporting shall be in compliance with NFS 1852.219-75.

9. OPR: BG/CO

10. SUBMISSION:

i. Subcontracting Plan:

1. Initial – Due with proposal.

2. Approval – Prior to contract award.

3. Frequency – Subcontracting Plan to be updated in accordance with FAR 19.702.

ii. Reports:

1. All reports shall be submitted in accordance with FAR 52.219-9 and NFS

1852.219-75.

2. In lieu of submitting a paper copy of the SF 294 and SF 295 Subcontracting

Report for Individual Contracts. The contractor shall submit semi-annually and at contract completion to the NASA/JSC CO electronically version of this data.

3. Contractors are required to submit subcontracting data in the Electronic

Subcontracting Reporting System (eSRS) which has replaced the paper Standard

Form 294 and SF 295 Summary Subcontracting Reports.

4. All contractors are required to register and file both types of subcontracting reports using the eSRS system. The website to register is www.esrs.gov.

11. MAINTENANCE: Revisions shall be incorporated by change page or complete reissue.

12. DISTRIBUTION:

1 electronic copy: Program secure Repository

Program Authorized Repository Upload Notification: ISS Data Management

Program Authorized Repository Upload Notification: CO

Program Authorized Repository Upload Notification: CO’s Representative

: BD/Contractor Industrial Relations Officer

13. REMARKS: N/A

J-A1-23

Commercialization Approach

1b. Data Type: 1

REMIS-PM-01

See “Scope” below

5. DRD Category

X Technical

Administrative

SR&QA

6. References (SOW, Clause, etc.)

SOW 2.0, 2.2.1, 4.0, 5.0

SCOPE

The Commercialization Approach (CA) shall describe the basis for the Contractor’s commercial approach, process and management philosophy that will be used to deliver spaceflight hardware and software, sustaining engineering functions, engineering services, payload facility integration and research mission integration and operations (MI&O) services defined in the Statement of Work (SOW). The CA shall also describe the process and schedule the contractor will follow to assume responsibility for performing traditional government functions (such as safety and requirements verification and/or certification, integration and operations and certification of flight readiness) to enhance the commercial services provided on this contract. The Contractor shall recommend NASA’s audit role as the contractor assumes responsibility for the traditional government functions.

DATA REQUIREMENTS

This DRD covers the end-to-end array of principal functions carried out by the Contractor in the performance of contract responsibilities using their defined commercial process and schedule.

The document shall contain integrated text and graphics, as required, to describe and/or illustrate the various aspects of the products and services provided, including process descriptions, schedule flows, facility and tool illustrations, organizational hierarchies, and any other information deemed necessary to accurately convey to Government the Contractor’s commercial operational processes.

The following information shall be included:

A. The Contractor’s commercial approach, defining how the contractor will use their internal corporate best practices that will be used to deliver spaceflight hardware and software, sustaining engineering functions, engineering services, payload facility integration and research mission integration and operations (MI&O) services defined in the SOW, while assuming responsibility for mission success of the provided products and services.

1. In defining the commercial approach the Contractor is allowed to propose their commercial solutions to the standard set of required documentation and working groups, boards, and interface forums currently utilized by the ISS Program.

2. The commercial approach shall define the specific process for developing their corporate supporting documents, including standards, for all phases of the development and/or operations and their approach for sharing those products with the Government.

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J-A1-24

3. Include the contractor’s plan to create an efficient and effective interface to the Government in the performance, management, communication, and completion of the SOW requirements, contract schedules, and deliverables.

4. Describe interfaces with the ISS Program, including hardware providers, International and

Commercial Partners and Participants, and other contracts (e.g., Cargo Mission Contract, Vehicle

Sustaining Engineering Contract, Safety and Mission Assurance Support Services Contract, Mission and Program Integration Contract).

5. Include a discussion of how processes and procedures to be implemented will increase efficiencies and reduce costs on the contract.

6. As part of their commercial approach - the Contractor shall propose a certification methodology that meets ISS certification of flight readiness requirements (CoFR).

B. The process and schedule the contractor will follow to assume responsibility for performing additional traditionally government functions to enhance the commercial services provided on this contract. Contractors are encouraged to propose their approach to the commercialization of:

1. Some or all of the Payload Safety Review Panel (PSRP) safety certification functions.

2. the flight readiness certification processes to reduce or eliminate the involvement of the government in the certification of their hardware or experiments.

3. Verification of Interface Requirements

4. Payload and Payload Facility Operations on the ISS.

5. The transfer of these responsibilities involves the transfer of risk from the Government to the

Offeror. The CA shall address how the Offeror will accommodate the transfer of this risk up to and including renumeration to the Government costs associated with damaged Government equipment or lost crew time.

C. If a subcontracting or teaming arrangement is proposed, include specific details on how the subcontractor or teaming partner shall be managed, how shall they be incentivized, the business size of each company, the relative amount of work to be performed by each, and if there are discreet tasks to be performed by each or whether there is comingling of personnel and resources, division of tasks and responsibilities relative to the contract SOW and proposed WBS. DRD should also describe how the contractor will on-ramp new teaming arrangements when deemed necessary to compete for task orders under this contract.

D. Describe risk management approach and explain how you shall implement risk management into your day-to-day management of the contract.

FORMAT: MS Word.

9. OPR: CO’s Representative, ISS Research Integration Office, ISS Vehicle Office

10. FIRST SUBMISSION DATE: Plan shall be submitted in draft form with the proposal, updated as a result of the accepted structure and processes defined in the transition plan, and submitted for final approval forty-five (45) calendar days after contract start.

Frequency of Submission: As needed. See below

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J-A1-25

Additional Submissions: Within 45 calendar days after the addition/deletion of significant content to the contractor to describe and justify major changes in the contractor’s commercial approach and/or processes.

11. MAINTENANCE: Electronic changes shall be incorporated as required by change page or complete reissue.

Program Authorized Repository Upload Notification: ISS Data Management

J-A1-26

Organizational Conflict of

Interest (OCI) Avoidance Plan

REMIS-PM-02

To ensure that conflict of interest mitigation exists, and to ensure that the contractor provides unbiased impartial advice and adequately protects sensitive, proprietary data belonging to other contractors.

5. DRD Category

__ Technical

X Administrative

__ SR&QA

6. References (SOW, Clause, etc.)

NFS 1852.237-72 Access to Sensitive Information (JUN 2005); NFS

1852.237-73 Release of Sensitive Information (JUN 2005); NFS

1852.209-71 Limitation of Future Contracting (DEC 1988); NFS

1852.204-76 Security Requirements for Unclassified Information

Technology Resources (MAY 2007), Clause L.17

SCOPE: In accordance with NFS 1852.237-72, Access to Sensitive Information, the contractor shall deliver an Organizational Conflict of Interest (OCI) Avoidance Plan with the proposal. This plan shall become part of the contract after review and approval by NASA.

CONTENT: The OCI Avoidance Plan shall discuss the following:

A. Situations anticipated that may impair the contractor’s objectivity or biased judgment.

B. Company/team conflicts of interest avoidance techniques.

C. Conflicts of interest that cannot be avoided or mitigated.

D. Mitigation of utilization any sensitive information coming into the contractor’s possession only for the purposes of performing the services specified in this contract which may improve the contractor’s competitive position in another procurement.

E. Safeguards for sensitive information coming into its possession from unauthorized use and disclosure.

F. Safeguards for allowing access to sensitive information only to those employees that need it to perform services under this contract.

G. Mitigation precluding access and disclosure of sensitive information to persons and entities outside of the contractor’s organization.

H. Training of employees who may require access to sensitive information about their obligations to utilize it only to perform the services specified in this contract and to safeguard it from unauthorized use and disclosure.

I. Plans to obtain a written affirmation from each employee that he/she has received and shall comply with training on the authorized uses and mandatory protections of sensitive information needed in performing this contract.

J. Strict segregation/firewall of all personnel having access to sensitive information, including identification by name of those individuals who have been segregated for purposes of accessing

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J-A1-27 sensitive information. The contractor shall keep this list current and make this list available to the

Government. Individuals on this list shall be employees with a “need to know.” Disclosure of sensitive information to non-Government individuals not on this list is strictly prohibited.

FORMAT: MS Word

9. OPR: CO

10. FIRST SUBMISSION DATE: Plan shall be submitted with the proposal, in response to a TO.

Frequency of Submission: As required.

Additional Submissions: Only required if there are OCI changes.

11. MAINTENANCE: Electronically.

1 copy (electronic): Program authorized repository

Program Authorized…