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Matrix_K

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The rationale for the requirements is contained in the NASA Software Engineering Handbook, NASA-HDBK-2203. Programs/Projects may substitute a matrix that documents their compliance with their particular Center's implementation of NPR 7150.2, if applicable. See NASA-HDBK-2203 for compliance matrices organized by class & safety-criticality, tailoring field for each requirement, tailoring rationale, and approval signature lines. The Compliance Matrix documents the program/project's compliance or intent to comply with the requirements of this NPR or justification for tailoring.

Tailoring Guidance

X - Indicates an invoked requirement by this NPR consistent with Software Classification (ref. SWE-139). May be tailored with Technical Authority approval (ref. Chapter 2.2).

Blank - Optional / Not invoked by this NPR for this Software Classification.

X *(SC only) - Project is required to meet the requirement to the extent necessary to satisfy safety critical aspects of the software.

X (not OTS) - Does not apply to Off the Shelf (OTS), Commercial Software.

Center Director - Center Director or the Center Director’s designated Engineering Technical Authority or Center Director's designated Safety and Mission Assurance Technical Authority.

Note 1 - All Safety-critical software has to be classified as Class D or Higher.

Note 2 - Applies to Class B software except for Class B software on NASA Class D payloads, as defined in NPR 8705.4. For Class B software, in lieu of a CMMI rating by a development organization, the project will conduct an evaluation, performed by a qualified evaluator selected by the Center Engineering Technical Authority, of the seven process areas listed in SWE-032 and mitigate any risk, if deficient. This exception is intended to be used in those cases in which NASA wishes to purchase a product from the "best of class provider," but the best of class provider does not have the required CMMI rating. When this exception is exercised, the Center Engineering Technical Authority should be notified.

Note 3 - For tailoring of NASA-STD-8739.8 and NASA-STD-8719.13, the Software Assurance Standard and the Software Safety Standard respectively, use the tailoring provided within those documents. They are both risk based and SW Class based tailoring.

Note 4 - The Technical Authority implementation responsibilities for Class F software is at the NASA Headquarters Chief Information Officer (CIO) level , the Technical Authority implementation responsibilities for Class G and H is at the Center CIO organization level or at the level defined in the Center Technical Authority implementation plan. All Safety-critical software has to be classified as Class D or higher.

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(Note 4)

2.2.4 121 Where approved, the project manager shall document and reflect the tailored requirement in the plans or procedures controlling the development, acquisition, and/or deployment of the affected software. Center Level Project X X X X HQ OCIO X Center CIO X X

2.2.5 125 Each project manager with software components shall maintain a compliance matrix or multiple compliance matrices against requirements in this NPR, including those delegated to other parties or accomplished by contract vehicles or Space Act Agreements. Center Level Project and Contractor X X X X X HQ OCIO X Center CIO X X

2.2.6 139 The projects shall comply with the requirements in this NPR that are marked with a “project” responsibility and an ”X” in Appendix D consistent with their software classification. Center Level Project X X X X X HQ OCIO X Center CIO X X

2.2.10 145 When the compliance matrix is used to waive/deviate from applicable “X” requirement(s), the designated Technical Authorities shall indicate their approval by signature(s) in the compliance matrix itself. Center Level Project X X X X X HQ OCIO X Center CIO X X

3.2.1 15 The project manager shall establish, document, and maintain two cost estimates and associated cost parameters for all software Class A and B projects that have an estimated project cost of $2 million or more

-OR -

one software cost estimate and associated cost parameter(s) for other software projects. Center Level Project X X X X HQ OCIO Center CIO

3.2.2 151 The software cost estimate(s) shall satisfy the following conditions:

a. Covers the entire software life cycle.

b. Is based on selected project attributes (e.g., assessment of the size, functionality, complexity, criticality, reuse code, modified code, and risk of the software processes and products).

c. Is based on the cost implications of the technology to be used and the required maturation of that technology.

d. Incorporates risk and uncertainty.

e. Includes the cost for software assurance support.

f. Includes other direct costs. Center Level Project and Contractor X X X X HQ OCIO Center CIO

3.5.1 20 The project manager shall classify each system and subsystem containing software in accordance with the highest applicable software classification definitions for Classes A, B, C, D, E, F, G, and H software in Appendix D. Center Level Project X X X X X HQ OCIO X Center CIO X X

3.5.2 132 The project’s software assurance manager shall perform an independent classification assessment. Center Level Project X X X X X HQ OCIO X Center CIO X X

3.5.3 133 The project manager, in conjunction with the Safety and Mission Assurance organization, shall determine the software safety criticality in accordance with NASA-STD-8719.13. Project and Center SMA Project and Center S&MA X X X X X HQ OCIO X Center CIO X X

3.5.4 21 If a system or subsystem evolves to a higher or lower software classification as defined in Appendix D, or there is a change in the safety criticality of the software, then the project manager shall update the plan to fulfill the applicable requirements per the Requirements Mapping and Compliance Matrix in Appendix C and any approved tailoring. Center Level Project X X X X X HQ OCIO X Center CIO X X

3.6.2 141 For projects reaching KDP A after the effective date of this directive’s revision, the program manager shall ensure that software IV&V is performed on the following categories of projects:

a. Category 1 projects as defined in NPR 7120.5.

b. Category 2 projects as defined in NPR 7120.5 that have Class A or Class B payload risk classification per NPR 8705.4.

c. Projects specifically selected by the NASA Chief, Safety and Mission Assurance (SMA) to have software IV&V. HQ OCE and HQ OSMA Project and Center S&MA Per selection criteria defined in the SWE-141 requirement HQ OCIO Center CIO

3.6.3 131 If software IV&V is performed on a project, project manager shall ensure that an IV&V Project Execution Plan (IPEP) is developed. Center and the Center SMA organization Project and Center S&MA X X X HQ OCIO X Center CIO X

3.11.3 32 The project manager shall acquire, develop, and maintain software from an organization with a non-expired Capability Maturity Model® Integration for Development (CMMI-DEV) rating as measured by a CMMI Institute authorized or certified lead appraiser as follows:

a. For Class A software: CMMI-DEV Maturity Level 3 Rating or higher for software, or CMMI-DEV Capability Level 3 Rating or higher in all CMMI-DEV Maturity Level 2 and 3 process areas for software.

b. For Class B software on NASA payloads with risk classifications A, B, and C, as defined in NPR 8705.4: CMMI-DEV Maturity Level 2 Rating or higher for software, or CMMI-DEV Capability Level 2 Rating or higher for software in the following process areas:

(1) Requirements Management.

(2) Configuration Management.

(3) Process and Product Quality Assurance.

(4) Measurement and Analysis.

(5) Project Planning.

(6) Project Monitoring and Control.

(7) Supplier Agreement Management (if applicable). HQ OCE and HQ OSMA Project X X (Note 2) HQ OCIO Center CIO

3.12.2 33 The project manager shall assess options for software acquisition versus development. Center Level Project X X X X HQ OCIO X Center CIO X

3.12.3 34 The project manager shall define and document the acceptance criteria and conditions for the software. Center Level Project X X X X HQ OCIO X Center CIO X

3.12.5 36 The project manager shall determine which software processes, software documents, electronic products, software activities, and tasks are required for the project and software suppliers. Center Level Project X X X X HQ OCIO X (not OTS) Center CIO X (not OTS)

3.12.6 37 The project manager shall define the milestones at which the software supplier(s) progress will be reviewed and audited as a part of the acquisition activities. Center Level Project X X X X HQ OCIO X (not OTS) Center CIO X (not OTS)

3.12.7 38 The project manager shall document software acquisition planning decisions. Center Level Project X X X X HQ OCIO X (not OTS) Center CIO X (not OTS)

3.14.2 147 The project manager shall specify reusability requirements that apply to its software development activities to enable future reuse of the software, including models used to generate the software. Center Level Project X X X HQ OCIO X Center CIO X

3.14.3 148 The project manager shall evaluate software for potential reuse by other projects across the Agency and contribute reuse candidates to the Agency Software Catalog. Center Level Project X X X X HQ OCIO X Center CIO X

3.16.2 154 The project manager shall ensure that security risks in space flight software systems are identified and security risk mitigations are planned for these systems in the Project Protection Plan. Center Level Project X X X HQ OCIO Center CIO

3.16.4 156 The project manager shall ensure and record that all systems including space flight software are evaluated for security risks, including risks posed by the use of COTS, GOTS, MOTS, Open Source, and reused software. Center Level Project X X X HQ OCIO Center CIO

3.16.5 157 The project manager shall ensure that software systems with space communications capabilities are protected against un-authorized access. Center Level Project X X X HQ OCIO Center CIO

3.16.6 158 The project manager shall ensure that the space flight software systems are assessed for possible security vulnerabilities and weaknesses. Center Level Project X X X HQ OCIO Center CIO

4.2.4 143 The project manager shall perform a software architecture review on the following categories of projects:

a. Category 1 Projects as defined in NPR 7120.5.

b. Category 2 Projects as defined in NPR 7120.5 that have Class A or Class B payload risk classification per NPR 8705.4. Center Level Project Per selection criteria defined in the SWE-143 requirement HQ OCIO Center CIO

5.1.8 85 The project manager shall establish and implement procedures for the storage, handling, delivery, release, and maintenance of deliverable software products. Center Level Project and Contractor X X X X HQ OCIO X Center CIO X X

5.2.2 86 The project manager shall identify, analyze, plan, track, control, communicate, and record software risks and mitigation plans in accordance with NPR 8000.4. Center Level Project and Contractor X X X HQ OCIO X Center CIO X

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(Note 4)

3.1.2 13 The Contractor shall develop, maintain, and execute software plans that cover the entire software life cycle and, as a minimum, address the requirements of this directive with approved tailoring. Center Level Contractor X X X X X HQ OCIO X Center CIO X

3.1.3 24 The Contractor shall track the actual results and performance of software activities against the software plans. Center Level Contractor X X X X HQ OCIO X Center CIO X

3.2.1 15 The Contractor shall establish, document, and maintain two cost estimates and associated cost parameters for all software Class A and B projects that have an estimated project cost of $2 million or more

- OR -

one software cost estimate and associated cost parameter(s) for other software projects. Center Level Contractor X X X X HQ OCIO Center CIO

3.2.2 151 The software cost estimate(s) shall satisfy the following conditions:

a. Covers the entire software life cycle.

b. Is based on selected project attributes (e.g., assessment of the size, functionality, complexity, criticality, reuse code, modified code, and risk of the software processes and products).

c. Is based on the cost implications of the technology to be used and the required maturation of that technology.

d. Incorporates risk and uncertainty.

e. Includes the cost for software assurance support.

f. Includes other direct costs. Center Level Project and Contractor X X X X HQ OCIO Center CIO

3.3.1 16 The Contractor shall document and maintain a software schedule that satisfies the following conditions:

a. Coordinates with the overall project schedule.

b. Documents the interactions of milestones and deliverables between software, hardware, operations, and the rest of the system.

c. Reflects the critical path for the software development activities.

d. Adhere to the guidance provided in NASA/SP-2010-3403, NASA Scheduling Management Handbook. Center Level Contractor X X X X HQ OCIO X Center CIO X

3.3.2 18 The Contractor shall regularly hold reviews of software activities, status, and results with the project stakeholders and track issues to resolution. Center Level Contractor X X X X HQ OCIO X Center CIO X

3.3.3 19 TheContractor shall select and document a software development life cycle or model that includes phase transition criteria for each life cycle phase. Center Level Contractor X X X X HQ OCIO X (not OTS) Center CIO X (not OTS)

3.6.1 22 The Contractor shall plan and implement software assurance per NASA-STD-8739.8. Center Level Contractor X X X X HQ OCIO Center CIO

3.7.2 134 When a project is determined to have safety-critical software, the Contractor shall implement the following items in the software:

a. Safety-critical software is initialized, at first start and at restarts, to a known safe state.

b. Safety-critical software safely transitions between all predefined known states.

c. Termination performed by software of safety critical functions is performed to a known safe state.

d. Operator overrides of safety-critical software functions require at least two independent actions by an operator.

e. Safety-critical software rejects commands received out of sequence, when execution of those commands out of sequence can cause a hazard.

f. Safety-critical software detects inadvertent memory modification and recovers to a known safe state.

g. Safety-critical software performs integrity checks on inputs and outputs to/from the software system.

h. Safety-critical software performs prerequisite checks prior to the execution of safety-critical software commands.

i. No single software event or action is allowed to initiate an identified hazard. Center and the Center SMA organization Contractor

3.7.2 134 (continued)

j. Safety-critical software responds to an off nominal condition within the time needed to prevent a hazardous event.

k. Software provides error handling of safety-critical functions.

l. Safety-critical software has the capability to place the system into a safe state.

m. Safety-critical elements (requirements, design elements, code components, and interfaces) are uniquely identified as safety-critical.

n. Requirements are incorporated in the coding methods, standards, and/or criteria to clearly identify safety-critical code and data within source code comments.

3.8.1 146 The project manager shall define the approach to the automatic generation of software source code including:

a. Validation and verification of auto-generation tools.

b. Configuration management of the auto-generation tools and associated data.

c. Identification of the allowable scope for the use of auto-generated software.

d. Verification and validation of auto-generated source code.

e. Monitoring the actual use of auto-generated source code compared to the planned use.

f. Policies and procedures for making manual changes to auto-generated source code.

3.9.2 27 The Contractor shall satisfy the following conditions when a COTS, GOTS, MOTS, or reused software component is acquired or used:

a. The requirements to be met by the software component are identified.

b. The software component includes documentation to fulfill its intended purpose (e.g., usage instructions).

c. Proprietary rights, usage rights, ownership, warranty, licensing rights, and transfer rights have been addressed.

d. Future support for the software product is planned and adequate for project needs.

e. The software component is verified and validated to the same level required to accept a similar developed software component for its intended use.

3.10.2 28 The Contractor shall plan software verification activities, methods, environments, and criteria for the project. Center Level Contractor X X X X HQ OCIO X Center CIO X

3.10.3 29 The Contractor shall plan the software validation activities, methods, environments, and criteria for the project. Center Level Contractor X X X X HQ OCIO X Center CIO X

3.10.4 30 The Contractor shall record, address, and track to closure the results of software verification activities. Center Level Contractor X X X X HQ OCIO X Center CIO X

3.10.5 31 The Contractor shall record, address, and track to closure the results of software validation activities. Center Level Contractor X X X X HQ OCIO X Center CIO X

3.12.8 39 The Contractor shall provide insight into software development and test activities; at a minimum, the Contractor shall to allow the project manager designate to:

a. Monitor product integration.

b. Review the verification activities to ensure adequacy.

c. Review trades studies and source data.

d. Audit the software development process.

e. Participate in software reviews and systems and software technical interchange meetings. Center Level Contractor X X X X HQ OCIO X (not OTS) Center CIO X (not OTS)

3.13.3 46 The Contractor shall provide a software schedule for the project's review and schedule updates as requested. Center Level Contractor X X X X HQ OCIO X (not OTS) Center CIO X (not OTS)

3.15.2 149 The Contractor shall ensure that when an open source software component is acquired or used, the following conditions are satisfied:

a. The requirements that are to be met by the software component are identified.

b. The software component includes documentation to fulfill its intended purpose (e.g., usage instructions).

c. Proprietary, usage, ownership, warranty, licensing rights, and transfer rights have been addressed.

d. Future support for the software product is planned and adequate for project needs.

4.1.2.1 50 The Contractor shall establish, capture, record, approve, and maintain software requirements, including the software quality requirements, as part of the technical specification. Center Level Contractor X X X X X HQ OCIO X Center CIO X X

4.1.3.1 53 The Contractor shall track and manage changes to the software requirements. Center Level Contractor X X X X HQ OCIO X Center CIO X

4.2.3 57 The Contractor shall develop and record the software architecture. Center Level Contractor X X X HQ OCIO X (not OTS) Center CIO X(not OTS)

4.3.2 56 The Contractor shall develop, record, and maintain the software design. Center Level Contractor X X X HQ OCIO X (not OTS) Center CIO X(not OTS)

4.3.4 59 The Contractor shall perform, record, and maintain bidirectional traceability between the following:

a. Software requirements and software architecture.

b. Software architecture and software design.

4.4.2 60 The Contractor shall implement the software design into software code. Center Level Contractor X X X X HQ OCIO X (not OTS) Center CIO X(not OTS)

4.4.5 62 The Contractor shall unit test the software code per the plans for software testing. Center Level Contractor X X X X HQ OCIO X (not OTS) Center CIO X(not OTS)

4.4.6 63 The Contractor shall provide a software version description for each software release. Center Level Contractor X X X X HQ OCIO X (not OTS) Center CIO X(not OTS)

4.5.2 65 The Contractor shall establish and maintain:

a. Software test plan(s).

b. Software test procedure(s).

c. Software test report(s). Center Level Contractor X X X X HQ OCIO X Center CIO X

4.5.3 66 The Contractor shall perform software testing. Center Level Contractor X X X X X HQ OCIO X Center CIO X

4.5.5 68 The Contractor shall evaluate test results and record the evaluation. Center Level Contractor X X X X HQ OCIO X Center CIO X

4.5.6 69 The Contractor shall record defects identified during testing and track to closure. Center Level Contractor X X X X HQ OCIO Center CIO X

4.5.7 70 The Contractor shall use validated and accredited software models, simulations, and analysis tools required to perform qualification of flight software or flight equipment. Center Level Contractor X X X HQ OCIO Center CIO

4.5.8 71 The Contractor shall update software test plan(s) and software test procedure(s) to be consistent with software requirements. Center Level Contractor X X X X HQ OCIO X Center CIO X

4.5.9 72 The Contractor shall provide and maintain bidirectional traceability from the software test procedures to the software requirements. Center Level Contractor X X X HQ OCIO X Center CIO X

4.6.2 75 The Contractor shall plan and implement software operations, maintenance, and retirement activities. Center Level Contractor X X X X HQ OCIO X Center CIO X

4.6.3 77 The Contractor shall complete and deliver the software product to the customer with appropriate records, including as-built records, to support the operations and maintenance phase of the software’s life cycle. Center Level Contractor X X X X X HQ OCIO X Center CIO X X

5.1.3 80 The Contractor shall track and evaluate changes to software products. Center Level Contractor X X X X HQ OCIO X Center CIO X

5.1.4 81 The Contractor shall identify the software configuration items (e.g., software records, code, data, tools, models, scripts) and their versions to be controlled for the project. Center Level Contractor X X X X HQ OCIO X Center CIO X

5.1.5 82 The Contractor shall establish and implement procedures to:

a. Designate the levels of control through which each identified software configuration item is required to pass.

b. Identify the persons or groups with authority to authorize changes.

5.1.8 85 The Contractor shall establish and implement procedures for the storage, handling, delivery, release, and maintenance of deliverable software products. Center Level Project and Contractor X X X X HQ OCIO X Center CIO X X

5.2.2 86 The Contractor shall identify, analyze, plan, track, control, communicate, and record software risks and mitigation plans in accordance with NPR 8000.4. Center Level Project and Contractor X X X HQ OCIO X Center CIO X

5.3.2 87 The Contractor shall perform and report the results of software peer reviews or software inspections for:

a. Software requirements.

b. Software plans.

c. Any design items that the project identified for software peer review or software inspections according to the software development plans.

d. Software code as defined in the software and or project plans.

5.3.3 88 The Contractor shall, for each planned software peer review or software inspection:

a. Use a checklist or formal reading technique (e.g., perspective based reading) to evaluate the work products.

b. Use established readiness and completion criteria.

c. Track actions identified in the reviews until they are resolved.

3.16.3 155 The Contractor shall implement the identified software security risk mitigations addressed in the Project Protection Plan. Center Level Contractor X X X HQ OCIO Center CIO

3.16.7 159 The Contractor shall verify and validate the required software security risk mitigations to ensure that security objectives identified in the Project Protection Plan for space flight software are satisfied in their implementation. Center Level Contractor X X X HQ OCIO Center CIO

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EXHIBIT K

EXHIBIT K

AWARD FEE PLAN

Technology, Engineering, and Aerospace Mission Support 3

(TEAMS 3)

Contract Number: TBD

Contractor: TBD

Contractor Approval:

Date

Fee Determination Official Approval:

Date

TABLE OF CONTENTS

1.0 Introduction

2.0 Organizational Structure and Responsibilities for Award Fee Administration

3.0 Evaluation Requirements and Criteria

4.0 Method for Determining Award Fee

5.0 Changing the Award Fee Plan

6.0 Attachments

Attachment A: Award Fee Organization

Attachment B: Evaluation Periods and Maximum Available Award Fee

Attachment C: Award Fee Grading Table

Attachment D: Actions and Schedules for Award Fee Determinations

Attachment E: Special Interest Items

1.0 Introduction

1.1 This Award Fee Plan (AFP) is the basis for evaluation of the Contractor’s performance on the Technology, Engineering, and Aerospace Mission Support 3 (TEAMS 3) contract. The purpose of this plan is to establish a general framework for evaluating the Contractor’s performance. Accordingly, all fee determinations shall be based on the guidelines found herein. The plan is unilaterally established by the Government and may be revised at any time to redirect emphasis in accordance with Section 5.0 of this plan.

1.2 The primary objective of the TEAMS 3 contract is to provide engineering services in support of research and technology development in order to meet evolving NASA mission objectives. The contract requirements consist of Core Mission Support (Core) and Indefinite Delivery/Indefinite Quantity (IDIQ) requirements. The Core consists of discipline oriented work that includes core technical engineering services. Under the IDIQ requirements, task orders (TOs) will be issued to accommodate programmatic uncertainty and potential new work within the scope of the contract.

1.3 This contract contains NASA FAR Supplement (NFS) Clause 1852.216-76, Award Fee for Service Contracts, and the award fee determination each period is final.

1.4 The period of performance is specified in the Period of Performance contract clause. The period of performance for each CLIN/Option CLIN is specified in the Supplies and/or Services to be Provided contract clause.

1.5 The estimated cost and maximum available award fee for performing this contract is specified in the Supplies and/or Services to be Provided contract clause and the Estimated Cost and Award Fee contract clause. Additional information regarding the award fee schedule is specified in the Award Fee Availability Schedule contract clause. The maximum award fee percentage for the total contract value is TBD percent. The estimated cost and award fee are subject to equitable adjustments arising from changes or other contract modifications.

1.6 Provisional award fee payments will be made under this contract pending the determination of the amount of fee earned for an evaluation period. If applicable, a provisional award fee payment may be made to the Contractor not more often than on a monthly basis. The total amount of award fee available in an evaluation period that will be provisionally paid is the lesser of 80 percent of that evaluation period’s available award fee or the prior period’s evaluation.

1.7 The Fee Determination Official (FDO) will determine the award fee payable periodically in accordance with this plan. The determination of the award fee earned is a unilateral decision made solely at the discretion of the Government.

1.8 The unearned award fee in any given period shall not be carried forward or “rolled-over” into subsequent periods in accordance with FAR 16.401(e)(4).

1.9 The Government may unilaterally change this plan, as covered in Section 5.0 and not otherwise requiring mutual agreement under the contract, provided the Contractor receives notice of the changes 30 calendar days (referred to as “days” throughout the AFP) prior to the beginning of the evaluation period to which the changes apply. For Special Interest Items only, the Government may unilaterally change this plan, providing the Contractor receives notice of the changes 15 days prior to the beginning of the evaluation period to which the changes apply. Note: The Award Fee Pool will only be modified when the cumulative changes result in a cost impact exceeding 5% (increase/decrease) of the current estimated cost applicable. This adjustment will not apply to TOs. Each TO will carry a separate award fee.

2.0 Organizational Structure and Responsibilities for Award Fee Administration

Attachment A identifies the award fee evaluation organizational structure for the TEAMS 3 contract. Following are the responsibilities:

2.1 Fee Determination Official (FDO). The FDO may designate an Alternate FDO when appropriate. The primary FDO responsibilities are:

2.1.1 Establish the Award Fee Evaluation Board (AFEB) and appoint the voting members of the AFEB by memorandum.

2.1.2 Review recommendations of the AFEB, consider all other pertinent data, and Contractor self-assessment, if provided.

2.1.3 Determine the amount of award fee earned and payable for each evaluation period as addressed in Section 4.0 and ensure that the amount and percentage of award fee earned is commensurate with and accurately reflects the Contractor's performance. Any variance between the AFEB recommendation and FDO determination must be justified and documented in the official contract file.

2.1.4 Sign the Award Fee Determination Letter for the evaluation period, specifying the amount of award fee determined and the basis for that determination.

2.1.5 Approve the Award Fee Plan (AFP) and changes as addressed in Section 5.0.

2.1.6 Approve Special Interest Items (SIIs) and relative weights up to 10%.

2.2 Award Fee Evaluation Board (AFEB). The primary responsibilities of the AFEB are to:

2.2.1 Conduct on-going evaluations of Contractor performance based upon Discipline Lead (DL), Contracting Officer’s Representative (COR), and Contracting Officer (CO) evaluations and all other information from pertinent sources on the Contractor’s performance for the award fee period. Evaluate the Contractor's performance according to the standards and criteria stated in this AFP.

2.2.2 Determine the recommended rating and award-fee amount to be presented to the FDO for each award fee period.

2.2.3 Recommend changes to the AFP, as addressed in Section 5.0.

2.3 AFEB Chairperson. The AFEB Chairperson is responsible for the overall functioning of the AFEB. The primary responsibilities of the AFEB Chairperson are to:

2.3.1 Appoint non-voting members, if appropriate, to assist the AFEB in performing its functions.

2.3.2 Request and obtain performance information from other organizations or personnel involved in observing Contractor performance, as appropriate.

2.3.3 Meet with the Contractor during the evaluation period to provide preliminary performance feedback.

2.3.4 Conduct briefing to the FDO with regard to the recommendations of the AFEB on the Contractor’s overall performance and recommend the award fee rating and amount. If Contractor requests debrief, provide results of award fee evaluation.

2.3.5 Ensure the timeliness of award fee evaluations.

2.3.6 Recommend AFP changes to the FDO, as addressed in Section 5.0.

2.4 Contracting Officer’s Representative (COR). The primary responsibilities of the COR are to:

2.4.1 Provide Performance Monitors (PMs) with appropriate award fee performance instructions and guidance.

2.4.2 On an on-going basis monitor, evaluate, and assess Contractor performance. Obtain and analyze the DL Evaluation Reports for consistency and completeness.

2.4.3 Prepare the Contract Performance Summary Report for the AFEB.

2.4.4 Attend all AFEB meetings, record the findings of the AFEB, and assist the CO in preparing the Award Fee Determination Letter for the FDO’s review and signature.

2.4.5 Complete the technical portion of the annual Contractor Performance Assessment Reporting System (CPARS).

2.4.6 Recommend changes to the AFP, as addressed in Section 5.0.

2.5 Discipline Leads (DLs). The primary responsibilities of the DLs are to:

2.5.1 Ensure PMs submit consistent and complete semi-annual evaluation forms to the DLs. Use the PM evaluations and other information from pertinent sources on the Contractor’s performance to develop DL evaluations and submit the evaluations semi-annually to the COR, as described in Section 4.0 and Attachment D.

2.5.2 Notify the COR or CO in writing if, at any time, there are problems with the Contractor’s performance.

2.5.3 Recommend changes to the AFP, as addressed in Section 5.0.

2.6 Performance Monitors (PMs). Generally, the TDN/TO owner will be the PM for the TDN/TO. The primary responsibilities of PMs are to:

2.6.1 Monitor, evaluate, and assess Contractor performance on a continuous basis in assigned areas and in accordance with this plan.

2.6.2 Complete an evaluation form on a semi-annual basis and submit to the DL, as described in Section 4.0 and Attachment D.

2.6.3 Notify the COR or CO in writing if, at any time, there are problems with the Contractor’s performance.

2.6.4 Recommend changes to the AFP, as addressed in Section 5.0.

2.7 Contracting Officer/Contract Specialist (CO/CS). The primary responsibilities of the CO/CS are to:

2.7.1 Advise the AFEB on Cost-Plus-Award-Fee rating standards, policies, and procedures and ensure the consistent application of Agency policy in these matters.

2.7.2 Receive the DL Evaluation Reports submitted to the CO by the COR.

2.7.3 Monitor, evaluate, and assess Contractor performance.

2.7.4 With the assistance of the COR, prepare the Business Management and Cost Control reports.

2.7.5 Consider changes to this plan and recommend to the AFEB those determined appropriate for presentation to the FDO.

2.7.6 Attend all AFEB meetings and prepare with the COR’s assistance the Award Fee Determination Letter for the FDO’s review and signature.

2.7.7 Transmit the FDO Award Fee Determination Letter to the Contractor and prepare and distribute the contract modification awarding the fee.

2.7.8 Notify the Contractor in writing of any approved changes to the AFP.

2.7.9 Complete the Award Fee Evaluation System module in the NASA Acquisition Internet Service and the annual Contractor Performance Assessment Reporting System (CPARS).

2.8 AFEB Chairperson or Member Substitution(s). In the event the designated AFEB Chairperson is unable to chair the scheduled AFEB, either the Chairperson or FDO will appoint a designee to assume the AFEB Chair responsibilities. If a member of the AFEB is absent, a person with similar qualifications may be substituted with the approval of the AFEB Chairperson.

3.0 Evaluation Requirements and Criteria

3.1 Performance Areas and Evaluation Criteria

The performance factors to be evaluated are identified below. The Contractor’s performance will be assessed for each factor using the adjective ratings described in Attachment C. The evaluation criteria for each factor are specified in the indicated section below.

Factor

Weight

AFP Section

Technical Performance

(a) Quality of Work (More Important)

(b) Schedule (Important)

(c) Safety and Health & Security (Important)

50%

3.1.1

Business Management Performance

(a) Contract Management and Compliance (More Important)

(b) Reporting (Less Important)

15%

3.1.2

Cost Control

30%

3.1.3

Special Interest Item

5%

3.1.4

The percentage weights indicated above and the grading table in Attachment C are quantifying devices. Their sole purpose is to provide guidance in arriving at a general assessment of the amount of award fee earned. In no way do they imply an arithmetical precision to any judgmental determination of the Contractor's overall performance and amount of award fee earned.

The performance factors will be used in the evaluation of performance under the Core CLINs and individual TOs issued under the IDIQ CLIN. For each award fee period, these factors will be evaluated and receive a single rating for both the Core and individual TOs issued under the IDIQ CLIN. This award fee rating will be used to determine the fee earned for the Core and TOs issued under the IDIQ CLIN.

3.1.1 Technical Performance - Factor Weight 50%

Description of Factor: For each evaluation period, the Contractor's technical performance will be assessed to determine if the work that has been performed meets the Performance Work Statement (PWS) requirements, including a variety of sub-factors related to how the work was accomplished, as indicated below. Quality of Work and Schedule Performance will be assessed using the adjective ratings shown in Attachment C with inputs from the PMs and the DLs. Safety and Health and Security will be assessed on a pass/fail basis using inputs from the PMs and DLs as well as specific input from the Safety & Mission Assurance Office (SMAO) and Security.

3.1.1.1 Sub-factors for Evaluation:

(a) Quality of Work – The Government will assess the Contractor’s overall ability to provide effective and efficient performance-based services to meet technical requirements as described in the PWS, TDNs/TOs and the AWP. This includes:

· Subjective assessment of the quality of performance-based services provided including the accuracy and completeness of technical documentation, plans, and other required deliverables as outlined in the contract, including the PWS, TDNs/TOs and Exhibit B, Contract Documentation and Reporting Requirements; anticipation and resolution of problems; recovery from delays; reaction time; and Contractor’s level of cooperation and communication effectiveness in attempting to resolve technical problems, issues and changes while ensuring quality technical performance.

· Contractor’s ability to provide staffing at appropriate skill levels and expertise to provide effective and efficient performance-based services and ensure the highest standards of quality of work. This includes assessing the extent to which the Contractor has applied and retained competent and experienced personnel to assure successful and cost efficient performance and the extent to which the Contractor has provided proper training to maintain required skill sets.

· Contractor’s ability to identify risks; analyze their impact and prioritize them; develop and carry out plans for risk mitigation, acceptance, or other action; track risks and the implementation of mitigation plans; support informed, timely, and effective decisions to control risks and mitigation plans; and assure that risk information is communicated among all levels of a program/project.

(b) Schedule Performance - The Government will assess the Contractor’s performance in successfully completing work and meeting mission requirements in accordance with the milestones and delivery dates established in the contract and identified in TDNs/TOs. This includes early delivery, attaining or exceeding milestones or meeting rapid-response or urgent requirements which result in notable positive impact on mission requirements. The Government will also assess the Contractor’s ability to identify potential schedule problems early, project the impact of near term schedule adjustments on accomplishment of overall work and effectiveness of the Contractor’s schedule recovery plans.

(c) Safety and Health, and Security – The Government will assess the overall effectiveness of the Contractor’s safety and health, and security programs as follows:

· Safety and Health - The Government will assess the effectiveness of the Contractor’s safety and health program and ability to provide a safe work environment including actions taken to prevent accidents or safety violations; recognition of safety hazards/violations and remedial actions; conducting annual inspections of all facilities; maintaining accident/incident files; timely reporting of mishaps and required safety documentation; analysis of lost-time and other accidents, including reasons for the accidents and assessment to determine if accidents represent isolated instances or are symptomatic of a Contractor safety program deficiency; and providing safety training for all personnel.

If there is a major breach of safety directly related to the work on contract in an evaluation period, the Contractor shall be assessed as a fail and earn an overall fee rating of unsatisfactory. A major breach of safety is an act or omission of the Contractor that results in an accident, incident, or exposure resulting in a fatality or mission failure; or in damage to equipment or property equal to or greater than $1 million; or in any "willful" or "repeat" violation cited by the Occupational Health and Safety Administration (OSHA) or by a state agency operating under an OSHA approved plan.

· Security - The Government will evaluate the effectiveness of the Contractor’s security program including: maintenance of Top Secret facility clearance capability; maintenance of sufficient number of appropriately cleared staff; and compliance with applicable security regulations.