integrating se acquisition contracts guide 121106

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Guide

forIntegrating Systems Engineering

into

DoD Acquisition Contracts

Version 1.0

December11, 2006DepartmentofDefense


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CONTENTS

PREFACE ..............................................................................................................................iii 1 ACQUISITION PROCESS.............................................................................................1

1.1 Contracting Process.......................................................................................................21.2 ImportantContract ConsiderationsAffecting SystemsEngineering...............................4

2 SYSTEMS ENGINEERING IN ACQUISITION PLANNING......................................62.1 TechnicalApproachand the SystemsEngineering Plan(SEP).......................................72.2 SystemRequirements....................................................................................................82.3 SystemsEngineering inthe StatementofObjectives(SOO)..........................................92.4 TechnicalIncentive Strategies.....................................................................................112.5 Governmentand IndustryInteraction..........................................................................11

2.5.1 MarketResearch................................................................................................122.5.2 IndustryDays.....................................................................................................122.5.3 DraftRequestforProposal(RFP).......................................................................13

2.6 TechnicalPlanning inthe SourceSelectionPlan(SSP)................................................143 REQUEST FOR PROPOSAL AND SOURCESELECTION.....................................16

3.1 SectionsCand Jofthe RFP ........................................................................................163.2 SectionsMand Lofthe RFP.......................................................................................16

3.2.1 TechnicalFactorEvaluation...............................................................................183.2.2 ManagementFactorEvaluation..........................................................................213.2.3 PastPerformanceFactorEvaluation...................................................................263.2.4 ProposalEvaluation...........................................................................................273.2.5 Cost FactorEvaluation.......................................................................................273.2.6 ProposalRisk AssessmentEvaluation................................................................28

4 CONTRACTEXECUTION..........................................................................................29APPENDIX A. DEVELOPMENTOFSE INPUTTO SECTIONS M,L,ANDPROPOSALEVALUATION.......................................................................................................................32APPENDIX B. APPLICABLEREFERENCES....................................................................36APPENDIX C. ABBREVIATIONS AND ACRONYMS......................................................38ListofFiguresFigure 1-1 Simplified GovernmentAcquisitionProcess.............................................................1Figure 2-1 Relating AcquisitionProgramElementsto RFP and TechnicalAttributes.................7Figure 2-2 KeyTechnicalRelationships.....................................................................................9Figure 2-3 TypicalSourceSelectionOrganizationand Factors.................................................15Figure 4-1 Establishing anIntegrated ProgramSEP.................................................................30

ODUSD(A&T) Systemsand SoftwareEngineering/[email protected] i
mailto:[email protected]:[email protected]


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ListofTablesTable 1-1 SummaryofContracting Activitiesand SEand PM Roles..........................................2Table 2-1 Sample SEItemsfora SOO during the SDD Phase..................................................10Table 2-2 Example TechnicalTopicsforIndustryDays...........................................................13Table 3-1 Sample Questions

for

Developing Specific SE

-Related Criteria and Instructions

for

SectionsMand L..................................................................................................................17

Table 3-2 Sample EvaluationCriteria forTechnicalSolutionand TechnicalSupporting Data.19Table 3-3 Sample ProposalContentRequirementforTechnicalSolutionand Technical

Supporting Data....................................................................................................................19Table 3-4 Sample EvaluationCriteria forSystemPerformanceSpecification...........................20Table 3-5 Sample ProposalContentforSystemPerformanceSpecification..............................20Table 3-6 Sample Integrated EvaluationFactorsforTechnicalManagement............................22Table 3-7 Sample TechnicalProposalContentforSOW...........................................................23Table 3-8 Sample TechnicalProposalContentforSEP............................................................24Table 3-9 Sample TechnicalProposalContentforIMP/IMS....................................................25Table 3-10 Sample Proposal

Content

for

IMP Narratives

.........................................................25

Table 3-11 Sample TechnicalProposalContentforOther ManagementCriteria.......................26Table 4-1 SystemsEngineering Tasksduring Post Award Conference......................................29Table 4-2 TechnicalTasksduring the IBR................................................................................29Table 4-3 Establishing the IntegratedProgramSEP..................................................................30

ODUSD(A&T) Systemsand SoftwareEngineering/[email protected] ii


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PREFACEThisGuide forIntegrating SystemsEngineering into DoD AcquisitionContractssupports

the implementationofsystemsengineering (SE)policyinitiativesbythe Under SecretaryofDefense forAcquisition,Technologyand Logistics(USD(AT&L))stating that the applicationofrigoroussystemengineering discipline isparamounttothe Departmentsabilitytomeetthechallenge ofdeveloping and maintaining needed warfighting capability. Primaryreferencesinclude the following USD(AT&L)memoranda:

PolicyforSystemsEngineering inDoD,USD(AT&L),20 February2004, PolicyAddendumforSystemsEngineering,USD(AT&L),22 October 2004 Implementing SystemsEngineering PlansinDoD InterimGuidance,USD(AT&L),

30 March2004).The targetaudienceforthisguide isthe Government programteamresponsible for(1)

incorporating programtechnicalstrategyand technicalplanning intothe RequestforProposal(RFP)and (2)performing pre-award functions,including sourceselection,aswellaspost-awardcontractorexecutionactivities. The guide isofmostuse to the ProgramManager (PM),the Lead(orChief)SystemsEngineer(LSE),the Contracting Officer(CO),and the solicitationteam.

The primarypurpose ofthisguide isto aid the PM and LSEto effectivelyintegrate SErequirementsintoappropriate contracting elementsinsupportofsystemacquisitionhowever,allGovernment and industrypersonnelinvolved ina programcanbenefitfromthisguide. Theauthorspresume the reader isfamiliar withDepartmentofDefense (DoD) governing acquisitiondirective and instruction(DoDD 5000.1,USD(AT&L),May12,2003,and DoDI5000.2,USD(AT&L),May12,2003)andtheDefense Acquisition Guidebook(DAG). Forexample, seeDAG Chapter 2,Defense AcquisitionProgramGoalsand Strategy. The guide also aidsthe COinunderstanding a programsneed forgood SErequirementsaspartofanysystemsacquisitioneffort.

The guide focusesonthe commoncompetitive-type contract,bothfixed-priceand cost-reimbursable (seeFederalAcquisitionRegulations(FARPart16)),applying the RFP (FAR 15.203)approachhowever,usersmaybe able totailorthe technicalaspectstosupport otheracquisitionapproaches,suchassole sourcepurchase ofcommercial-off-the-shelf(COTS)

products(e.g.,software) informationtechnology(IT)businesssystemsorservicesand others.The CO isresponsible forallcontracting aspects,including determining whichtype ofcontract ismostappropriate. Nothing inthisguide should be construed to change oradd to therequirementsofexisting regulations,directives,instructions,and policymemos.

Thisguide appliesto allphasesofthe acquisitionlife cycle (seeDoDLife CycleAcquisition Framework). Forsimplicity,however,itfocusesonpreparing forthe importantSystemDevelopmentand Demonstration(SDD)life cycle phase (i.e.,post Milestone B). Thecontentofthe guide canbe adapted and tailored forprogramsentering other acquisitionlifecycle phases(seeDAG Chapter 4,SystemsEngineeringand DoDI5000.2formore details).

Furthermore, althoughthisguide doesnot reiteratetechnicalSEinformationfound intheDAG orinthe SystemsEngineering Plan(SEP)PreparationGuide,it usesthe DAG (and SEPguidance)asa basisforguidancenotedhere asparticularlyimportant. Thisguide doesnotelaborate onspecialtyengineering requirements(e.g.,Logistics/Sustainment (including Material

ODUSD(A&T) Systemsand SoftwareEngineering/[email protected] iii
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protected]://www.acq.osd.mil/se/publications/pig/sep_prepguide_v1_2.pdfhttp://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/Guidebook/IG_c4.0.asphttp://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://farsite.hill.af.mil/vffara.htmhttp://farsite.hill.af.mil/vffara.htmhttp://akss.dau.mil/dag/DoD5000.asp?view=document&doc=1http://akss.dau.mil/dag/Guidebook/Common_InterimGuidebook.asphttp://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=1http://www.acq.osd.mil/ds/se/publications/pig/Implementing%20SE%20Plans%20In%20DoD%20-%20Interim%20Guidance%20-%2030%20Mar%2004.pdfhttp://www.acq.osd.mil/ds/se/publications/pig/Policy%20Addendum%20for%20Systems%20Engineering%20-%2022%20Oct%2004.pdfhttp://www.acq.osd.mil/ds/se/publications/pig/Policy%20for%20Systems%20Engineering%20in%20DoD%20-%2020%20Feb%2004.pdfmailto:[email protected]


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Readiness(MR)see DAG Chapter 5,Life Cycle Logistics)Testand Evaluation(T&E)(seeDAG Chapter 9,Integrated Test and Evaluation) Modeling and Simulation(M&S)InformationAssurance(IA)and Architecture (seeDAG Chapter 7,Acquiring InformationAssuranceand

NationalSecurity). Eachprogramisunique and needstoconsider whichtechnicalrequirementsand solicitationevaluationcriteria are important to include inthe RFP.

Thisguide (1)includesbriefinformationonthe acquisitionand contracting processfocused ontechnicalplanning and subsequent execution,(2)providesexamplesoftechnicalinputsneeded forthe solicitationand sourceselection,and (3)suggestsactivitiesimmediatelyfollowing contract award to assist transitioninto the SDD phase. The examplesand suggestionsinthisguide should be considered subjecttothe directionofthe CO,SourceSelectionAuthority,orother higher management.

Akeytechnicalobjective forthe programduring thispre-Milestone Bactivityistoprovide the potentialofferorsinformationdescribing the Governmentsprogramtechnicalapproachasreflected inthe Government-developed SEP(DAG 4.5.1). Also provided,asavailable,would be the IntegratedMaster Plan(IMPDAG 4.5.2)and IntegratedMasterSchedule (IMSDAG 4.5.3)to forma baseline forthe offerorstorespond tothe RFP.Althoughthe DoDI5000.2doesnotrequire approvalofthe SEP untilMilestone B,thisguidestressesthe importanceofearlytechnicalplanning (and associated documentationinthe SEP)sothat the Governmentstechnicalstrategycanbe reflected inthe RFP. Other keyartifactswithtechnicalcontent (e.g.,InitialCapabilitiesDocument(ICD),AnalysisofAlternatives(AoA)results,CapabilitiesDevelopmentDocument(CDD),Test EvaluationStrategy(TES)and/orTestand EvaluationMaster Plan(TEMP),preliminary SystemPerformanceSpecifications(SPS))mayalso be provided toofferors,ifavailable and considered appropriate.

The guide includeslinksand referencestoprocurement regulationsand generalacquisitionguidanceto assistthe reader insecuring more detailed information. The guide isnotall-inclusive butismeanttogive programofficesastarting point forensuring thatcontractsincorporate SEasa criticalelement inanysystemacquisition. The authorshave tried to avoidreferencesto specific service oragencypolicies,directives,and guidance,aseachorganizationwillneed to consider the approach.

The Officeofthe SecretaryofDefense (OSD)office ofprimaryresponsibility(OPR) forthisguide isDUSD(A&T),Systemsand Software Engineering / Enterprise Development(SSE/ED). Thisofficewilldevelop and coordinate updatesto the guide asrequired,based on

policychangesand customer feedback. To provide feedback tothe OPR,please e-mailtheoffice at [email protected].

ODUSD(A&T) Systemsand SoftwareEngineering/[email protected] iv
http://akss.dau.mil/dag/Guidebook/IG_c5.0.asphttp://akss.dau.mil/dag/Guidebook/IG_c5.0.asphttp://akss.dau.mil/dag/Guidebook/IG_c5.0.asphttp://iase.disa.mil/index2.htmlhttp://iase.disa.mil/index2.htmlhttp://iase.disa.mil/index2.htmlhttp://iase.disa.mil/index2.htmlhttp://iase.disa.mil/index2.htmlhttp://iase.disa.mil/index2.htmlhttp://iase.disa.mil/index2.htmlhttp://iase.disa.mil/index2.htmlhttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://iase.disa.mil/index2.htmlhttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://akss.dau.mil/dag/DoD5000.asp?view=document&doc=1http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=1http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=1mailto:[email protected]:[email protected]:[email protected]://akss.dau.mil/dag/DoD5000.asp?view=document&doc=1http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=1http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=1http://akss.dau.mil/dag/Guidebook/IG_c7.3.6.asphttp://iase.disa.mil/index2.htmlhttp://akss.dau.mil/dag/Guidebook/IG_c9.0.asphttp://akss.dau.mil/dag/Guidebook/IG_c5.0.aspmailto:[email protected]


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Warfighter

Contractor

Acquisition ActivityProgram Manager

Systems Engineer

Contracting Officer

1 ACQUISITION PROCESSThisguide focusesonthe majortechnicalelementsofthe Government acquisition

processasdefined in DoDD 5000.1,The Defense AcquisitionSystemand DoDI 5000.2,Operationofthe Defense AcquisitionSystem. Figure 1-1isa simplified illustrationofDoDsacquisitionprocesswiththe criticalcomponentofcontracting. It beginswhenthe warfighteridentifiesthe need (seeJointCapabilitiesIntegrationand DevelopmentSystem(JCIDS)3170.01E)tothe acquisitionactivitywho thentranslatesthat need into anactionable requirementand purchase request. The contracting officer (CO) solicitsoffersfromindustryand awardsacontract. Inthe finalstep, the contractorclosesthe loop bydelivering productsand servicesthatsatisfythe Government need. During acquisitionplanning,primaryresponsibilityrestswiththeacquisitionactivity.

l

Prod t ervic

Ac d

Nee

dsStep

1

Acquisition

Plan

ning

li

Cap

abilitie

s

Warfighter

Contractor

Acquisition ActivityProgramManagerSystems Engineer

ContractingOfficer So icitation and Contract

uc andS es

cepte

Step2Contract Formation

De

Step 4ver to Warfighter

Step3Contract Performance

Figure 1-1 Simplified GovernmentAcquisitionProcessAcquisitionplanning isthe processofidentifying and describing needs/capabilities/

requirementsand determining the bestmethod formeeting those requirements(e.g.,business,programAcquisitionStrategy),including solicitations/contracting. Acquisitionplanning focusesonthe businessand technicalmanagementapproachesdesigned toachieve the programsobjectiveswithinspecified resourceconstraints. The AcquisitionStrategy,usuallydeveloped inthe TechnologyDevelopmentphase ofacquisition,isapproved bythe Milestone DecisionAuthorityand providesthe integratedstrategyforallaspectsofthe acquisitionprogramthroughout the program

life cycle. The Systems

Engineering Plan

(SEP)

(SEP Preparation

Guide)documentsthe programssystemengineering strategyand isthe blueprintforthe conduct,

management,and controlofthe technicalaspectsofthe acquisitionprogram. The AcquisitionPlanprovidesmore specific plansforconducting the acquisitionand isapproved inaccordancewithagencyprocedures(FARPart 7). ASourceSelectionPlanspecifiesthe sourceselectionorganization,evaluationcriteria, and procedures,and isapproved bythe Contracting Officer(CO)orother SourceSelectionAuthority(SSA). Allofthese documentsguide the developmentofthe RequestforProposal(RFP).

ODUSD(A&T) Systemsand SoftwareEngineering/EnterpriseDevelopment [email protected]
http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://www.acq.osd.mil/se/publications/pig/sep_prepguide_v1_2.pdfhttp://www.acq.osd.mil/se/publications/pig/sep_prepguide_v1_2.pdfhttp://www.acq.osd.mil/se/publications/pig/sep_prepguide_v1_2.pdfhttp://farsite.hill.af.mil/vffara.htmhttp://farsite.hill.af.mil/vffara.htmhttp://farsite.hill.af.mil/vffara.htmmailto:[email protected]://farsite.hill.af.mil/vffara.htmhttp://www.acq.osd.mil/se/publications/pig/sep_prepguide_v1_2.pdfhttp://akss.dau.mil/docs/CJCSI%203170-01E-Final.pdfhttp://akss.dau.mil/dag/DoD5000.asp?view=document&doc=2http://akss.dau.mil/dag/DoD5000.asp?view=document&doc=1mailto:[email protected]


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It isimportantthat the programteamhave strong technicaland contracting leadership asthe programmovesthroughitsstepsincontractformulationand execution.It isimperative tohavethe CO involved in the program acquisition planning processasearly aspossible. TheAcquisitionCommunityConnection(ACC)PracticeCenterWebsite isa keysourceforpolicyand guidance.

Other companion

program

artifacts

include, for

example, the Capabilities

DevelopmentDocument(CDD),TechnologyReadinessAssessment (TRA),InformationSupportPlan(ISP),Test and EvaluationMaster Plan(TEMP),Product Support Strategy(PSS),Supportand MaintenanceRequirements.1.1 Contracting Process

The programmanager (PM),chieforlead systemsengineer(LSE),and a CO mustworktogether to translatethe programsAcquisitionStrategyand AcquisitionPlanand associatedtechnicalapproach(asdefined inthe Government SEP)intoacohesive, executable contract(s),asappropriate. Table 1-1 showssome keycontracting-related taskswithindicatorsofrolesofthe PMand LSE.

Table 1-1 Summary ofContracting ActivitiesandSE and PM RolesTypicalContract-Related Activities SystemEngineerandPM Roles

1. Identifyoverallprocurementrequirementsandassociated budget. Describe the Governmentsneedsand anyconstraintsonthe procurement.

Lead SE(LSE)providesprogramtechnicalrequirements. PM providesany

programmatic related requirements.2. Identifytechnicalactionsrequiredto successfully

completetechnicalandprocurement milestones.TheprogramsSEPisthekeysourceforcapturingthistechnicalplanning.

LSEdefinesthe technicalstrategy/approachand required technicalefforts. Thiswillbe consistentwiththe

programsAcquisitionStrategyandAcquisitionPlanwithinthe DoDI 5000.2requirements.

3. Documentmarketresearchresultsand identifypotentialindustrysources. See FARPart10forsourcesofmarketresearchand procedures.SmallBusinessmust be considered.

PM and LSEidentifyprogrammatic andtechnicalinformationneeded and assistsinevaluating the results.

4. PrepareaPurchaseRequest,includingproductdescriptionsPriorities,Allocations,andAllotmentsarchitectureGovernment-furnished

propertyorequipment(orGovernment-off-the-shelf(GOTS)Government-furnishedinformationinformationassuranceandsecurityconsiderationsandrequireddeliveryschedules.

PM and LSEensure the specificprogrammatic and technicalneedsaredefined clearly(e.g.,commercial-off-the-shelf(COTS)products).

5. Identifyacquisitionstreamlining approachandrequirements,budgeting and funding,contractorvs.Governmentperformance,managementinformationrequirements,environmentalconsiderations,offerorexpectedskillsets,and milestones. These are addressed

The procurementteamwork together,butthe CO hasprime responsibilityforFARand the Defense FARSupplement(DFARS)requirements. The PM isownerofthe programAcquisitionStrategy. TheLSEdevelopsand reviews(and PM

ODUSD(A&T) Systemsand SoftwareEngineering/[email protected] 2
https://acc.dau.mil/CommunityBrowser.aspx?id=32566https://acc.dau.mil/CommunityBrowser.aspx?id=32566https://acc.dau.mil/CommunityBrowser.aspx?id=32566https://acc.dau.mil/CommunityBrowser.aspx?id=32566https://acc.dau.mil/CommunityBrowser.aspx?id=32566https://acc.dau.mil/CommunityBrowser.aspx?id=32566https://acc.dau.mil/CommunityBrowser.aspx?id=32566https://acc.dau.mil/CommunityBrowser.aspx?id=32566https://acc.dau.mil/CommunityBrowser.aspx?id=32566https://acc.dau.mil/CommunityBrowser.aspx?id=32566https://acc.dau.mil/CommunityBrowser.aspx?id=32566mailto:[email protected]://acc.dau.mil/CommunityBrowser.aspx?id=32566mailto:[email protected]


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TypicalContract-Related Activities SystemEngineerandPM Rolesinthe AcquisitionStrategyorAcquisitionPlan. approves)the technicalstrategy.

6. Planthe requirementsforthe contract LSEisresponsible forthe developmentofStatement ofObjectives(SOO)/ Statement of the technicalaspectsofthe SOO/SOW.Work (SOW)/ specification,projecttechnical See FARPart 11.reviews,acceptance requirements,andschedule.

7. Planand conductIndustryDaysasappropriate. PM and LSEsupportsthe CO inplanningthe meeting agenda toensure technicalneedsare discussed.

8. Establishcontract cost,schedule, andperformance reporting requirements.Determine anincentive strategyand appropriatemechanism(e.g.,Award FeePlanand criteria).

LSEprovidestechnicalresourceestimates.LSEsupportsdevelopmentofthe WorkBreakdownStructure (WBS)structure

based onpreliminarysystemspecificationsdeterminesevent-drivencriteria for

key

technical

reviews

anddetermineswhat technicalartifactsare

baselined. The PM and LSEadvise the COindeveloping the metrics/criteria foranincentive mechanism.

9. Identifydata requirements LSEidentifiesalltechnicalContractorData RequirementsList(CDRL)andtechnicalperformanceexpectations.

10.Establishwarrantyrequirements,ifapplicable. LSEworkswiththe CO ondeterminingcost-effective warrantyrequirements.

11.Prepare a SourceSelectionPlan(SSP)and PM and LSEprovide inputtothe SSPperRFP (forcompetitive contracts). the SOO/SOW,SectionsL(Instructionsfor

Offeror)and M(EvaluationFactors)oftheRFP.

12.Conductsourceselectionand award the PM and LSEparticipate onevaluationcontract tothe successfulofferor. teams.

13.Implementrequirementsforcontract PM and LSEprovide inputregarding theadministrationoffice memorandumof programmatic and technicalsupporteffortsagreement(MOA)and/orletter ofdelegation. to be included inthe MOAand/orletterofThe MOAshould define performance delegation. [PM mayseek DCMArequirements/attributes. support].

14.Monitorand control(M&C)contract executionforcompliancewithallrequirements. PM, LSEand programteamperformprogrammatic and technicalM&C

functionsasdefined inthe contract. Theyalso assistthe Earned Value Management(EVM)implementationbydefining thecriteria forcompletionoftechnicalactivity/delivered products.



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TypicalContract-Related Activities SystemEngineerandPM Roles15.ContractClose-out Thisismostlyaccounting/administration,

butCO providesstatustoPM.1.2 ImportantContract Considerations Affecting SystemsEngineering

The following contracting aspectsmayaffect the programsSEeffortsand productsandshould be considered insolicitations:

OrganizationalConflict ofInterest The Governmentacquisitioncontracting teamneedstoavoid anyorganizationalconflictofinterest(OCI)inSEand technicaldirectionworktobe performed bya potentialcontractor. ApotentialOCIexistswhen,because ofa contractorsother activities,the contractormayenjoyanunfaircompetitive advantage,orwhenaward ofthe subjectcontract could putthe contractorinthe positionofperforming conflicting rolesthatmightbiasthe contractors

judgment (seeFAR 9.5). The CO isresponsible forusing the generalrules,procedures,and examplesinthe FARto identifyand evaluate potentialOCIsasearlyinthe acquisitionprocessaspossible and toavoid,neutralize,ormitigate significantpotentialconflictsbefore contractaward. Fromthe programspointofview, theymustbe aware thatanycurrentorpreviousinvolvementofcontractorsorconsultantsinaspectsofthis,orarelated,programmaypreclude theopportunityofresponding tothe RFP being prepared. Highstandardsofethicsand professionalismare expectedofeveryparticipantinthe sourceselectionprocess. Anyquestionsorconcernsabout

procurementintegrityorstandardsofconductshould be broughtto the agencyethicsofficialorthe CO.

CommercialItemAcquisition Marketresearchwilldetermine ifcommercialitems(e.g., COTS)ornon-developmentalitemsare available and maymeetcertaintechnicalrequirementsofthe program. The SE(i.e.,includesLSEand othertechnicalstaff logistics,T&E,IA,etc.)teamplaysa keyrole insupporting themarketresearchefforts,analyzing technicalattributesand associated costsrelated to

benefitsand risksofvarioussuchoptions. Generally,however,the Governmentsrequirementsshould be described intermsofperformancerequirements. Thisisusuallypartofthe AcquisitionStrategy. Itshould be leftto the offerors(intheir

proposals)and contractor,indesigndocumentsdelivered tothe Governmentforapproval,to describe the planned useofcommercialitems.

Incentive Contracts There are severaltypesofincentives,suchasaward fees,tomotivate contractorsto excelin performance,and reduce risksto the Government.The CO hasultimate responsibilityfordetermining contracttype and incentives(seeIncentive StrategiesforDefense AcquisitionsGuide). Ifanaward feetype contractwillbe used,the PMand LSEwillassistthe CO to develop anAward Fee Plan. Theaward fee generallyshould be associated withsuccessfulcompletionofdiscreteevents,suchastechnicalreviews,thatdemonstrateprogresstoward successfullycompleting contractrequirements. Other award fee criteria mayinclude keysystem

performance parametersand the contractorscost and/orschedule performance.Considerationshould be givento using existing performancemetrics,suchasthe

http://farsite.hill.af.mil/vffara.htmhttp://www.dau.mil/pubs/misc/incentive.asphttp://www.dau.mil/pubs/misc/incentive.asphttp://www.dau.mil/pubs/misc/incentive.asphttp://www.dau.mil/pubs/misc/incentive.asphttp://www.dau.mil/pubs/misc/incentive.asphttp://www.dau.mil/pubs/misc/incentive.asphttp://www.dau.mil/pubs/misc/incentive.aspmailto:[email protected]://www.dau.mil/pubs/misc/incentive.asphttp://farsite.hill.af.mil/vffara.htmmailto:[email protected]


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contractorsEarned Value Management System(EVMS)and other SEand PM tools(seeSection2.4 formore discussion).



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2 SYSTEMS ENGINEERING IN ACQUISITION PLANNINGSystemsengineering (SE)isanoverarching processthat the programteamappliesto

transitionfroma stated capabilityneed toanaffordable,operationallyeffective and suitablesystem(DAG Chapter 4,SystemsEngineering). Abriefoverview ofSEisprovided here tosetthe stageforshowing how itbecomesa criticalaspectofacquisitioncontracts. SEencompassesthe applicationofSEprocessesacrossthe acquisitionlife cycle and isintended to be anintegrating mechanismforbalanced solutionsaddressing capabilityneeds,designconsiderationsand constraints,aswellaslimitationsimposed bytechnology,budget,and schedule. SEisaninterdisciplinaryapproachora structured, disciplined,and documented technicaleffort tosimultaneouslydesignand develop systemproductsand processesto satisfythe needsofthecustomer (DAG 4.1).

During the programacquisition life cycle itiscriticalthatanearlyand consistentapplicationofSEbeginatthe onsetofa program(ConceptRefinementand TechnologyDevelopment (CR/TD) phases). It isrecommended thata programSEIntegratedProduct Team(SEIPT)be formed earlyinthe acquisitionplanning activityto undertakethe technicalplanningactivities. ALead orChiefSystemsEngineer should chairthe SEIPT,andother SE/technicalSubjectMatterExperts(SMEs)are active members,e.g., T&E,M&S,Logistics/ Sustainment,Software (SW),IA,security,and safetyengineering.

Forthose programsentering directlyintoSDD phase,thetechnicaleffortbeginslongbefore the associated Milestone B and development ofthe RFP. The programAcquisitionStrategy,including the technicalapproach,should be documented inanintegrated setofGovernment plansthatincludesthe AcquisitionStrategy(DAG Chapter 2,Defense AcquisitionProgramGoalsand Strategy),SEP(DAG 4.5.1and SEP PreparationGuide),Test andEvaluationStrategy(TES)/TEMP (DAG Chapter 9,Integrated Testand Evaluation),ISP(DAG 7.3.6),Risk ManagementPlan(Risk ManagementGuide forDoD Acquisition),PreliminarySystemPerformanceSpecification(orequivalent),ProgramBudget,GovernmentRoadmapand/orTopLevelProgramSchedule (Integrated Master Planand Integrated MasterSchedulePreparation(IMP/IMS)and Use Guide). These activitieswillsupport the developmentoftheAcquisitionPlanand SSP. Building onthissolid foundation,the RFP should reflecttheGovernmentspolicydirectives,programAcquisitionStrategy,user requirementstomeetcapabilityneeds,and,the programsprocesses,lessonslearned,and sound practicesofbothGovernment and industry(seeFigure 2-1).

Regardlessofthe scope and type ofprogramoratwhatpoint itentersthe programacquisitionlife cycle, the technicalapproachto the programneedsto be integrated withtheAcquisitionStrategyto obtainthe bestprogramsolution.

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_ ontract Clauses

i

i i

i

Pl

i

ingPlan ( )

ion)

iPlan ( )

i lan

i lan

lan

Mil i

ii i

iar)

l lle

limiifi

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iptiing

ii

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SectionsL & MM - Evaluat on Factors for

Award

L- Instructions to Offerors

* Sect on K sby reference

Acquis tion StrategyTop-Level Program

an / ProgramSchedule

Prel minary SystemPerformanceSpecification

WBSSystems Engineer

SEP

Test and EvaluatStrategy (TES / Testand Evaluat on Master

TEMP

ISP/TRA

CONOPS / CDD /AoAICEProgram Budget

Acquis tion P

Incent ve P

Source Selection P

estone Rev ew

Acquis tion Strategy Rev ews (Serv ce andprogram pecul

ProgramDocuments

Reviews andApprovals

Solicitation Planning

Typical RFP*

Contract Schedule

Section J- Attachments- TopLeve Program P an &

Schedu

- Pr e n ar ySystemPerformance Spec cation

- Program WBS

- SOOor SOWasappropriate

- CDRLs

(SectionsA-JB - CLINS andPr cesC - Descr on/SOWD - Packaging/MarkE - Inspection/Accept.F - Del veryScheduleG - Adm n DataH - Special Prov

KeyProgram TechnicalAttributes Technical Enterprise Processes

Integratedapproach to engineering, test, and logistics/sustainment

Technical approach addressing the programs life cycle

Event-based technical reviews with independent SMEs Single Technical Authority IPT-based organization derived fromWBS

Contractors Capability Domain expertise coupled with Enterprise processes

using experienced personnel Proven past performance (domain and process areas)

Technical Planning

Technical approach integrated with IMP/IMS and EVMS Viable system solution employing mature technology Special design considerations (MOSA, IA, security,

safety, etc.)

Technical Baseline

Technical baseline management Requirements management and traceability Product measures linked to technical baseline maturity,

financial, and schedule measures/metrics Incentives

SE excellence that results in superior productperformance balanced with cost and schedule SBIR

Cost and Schedule Realism

Realistic program budgets - optimized program cost,schedule, and performance

Realistic task and achievable schedules in the IMP/IMS Managementof the critical path and near critical paths

Data Access Ownership, control, and delivery of technical baseline

data that support the technical and support strategy Timely access to program technical data

Figure 2-1 Relating AcquisitionProgramElementsto RFPandTechnicalAttributes2.1 Technical

Approach and

the

Systems

Engineering Plan (SEP)

The technicalapproachforthe programbeginsatthe veryonsetofa programand is

documented inthe SEPand related plans(e.g.,Risk ManagementPlan). Before sourceselection,the SEPreflectsthe Governmentstechnicalapproachto the programasit movesthroughtheCR/TD,SDD,Productionand Deployment(P&D),Operationsand Support (O&S)programacquisition life cycle phases. Asdefined inthe SEP PreparationGuide,the SEP isthe blueprintforthe conduct,management,and controlofthe technicalaspectsofanacquisitionprogramfromconceptionto disposal,i.e.,how the SEprocessisapplied and tailored tomeeteachacquisition

phase objective. The processofplanning,developing,and coordinating SEand technicalmanagementforcesthoughtfulconsideration,debate,and decisionstoproducea sound SEstrategyfora programcommensurate withthe programstechnicalissues,life cycle phase,andoverallobjectives

The SEP isthe one documentthatdefinesthe methodsbywhichallsystemrequirementshaving technicalcontent,technicalstaffing and technicalmanagementare to be implemented ona program,addressing the governmentand allcontractortechnicalefforts. [Note:Untilacontractorisselected, thispartwillrepresenthighlevelexpectations,withinthe definedAcquisitionStrategyand Plan,ofwhatthe contractorwillperformto be consistentand integrated

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withthe GovernmentsSEP]. Afewkeycontract relevant itemsare extractedfromthe SEPPreparationGuide and reiteratedhere:

The SEP isaboutoverallorganizationofthe technicaleffort,including delineationofauthorities,responsibilities,and integrationacrossthe governmentand contractor

boundaries. The SEP showshow the SEstructure isorganized to provide technicalmanagement

guidanceacrossthe government,prime contractor,subcontractors,and suppliers. The SEP providesanoverviewofgovernmentand contractordata rightsforthe systemto

include whatkeytechnicalinformationand data willbe developed during the phase beingplanned.

The SEP summarizeshow the programsselected AcquisitionStrategyisbased onthetechnicalunderstanding ofthe problemathand and the identified programriskstoinclude the listofprogramrisks.

The SEP describeshow the contract (and subcontractand suppliers,ifapplicable)technicaleffortsaretobe managed fromthe Governmentperspective.Akeyrequirementofofferorsresponsesto the RFPisthe submissionofa fully

integratedtechnicalmanagementapproachthat isexpanded fromthe GovernmentSEPto afullyintegrated SEP[Note:traditionallythiswasdocumented ina SEManagementPlan(SEMP)]which includesthe offerorstechnicalapproach,processes,procedures,tools,etc.). Alsoincluded inthe response willbe a ContractorSOW(CSOW),anupdated,expanded,andintegrated ContractorWBS (CWBS),whichiscorrelated withthe offerorsEVMS (EVMSImplementationGuide),asappropriate, andthe IMP/IMS.

Following the sourceselectionand contractaward,the SEPs evolve intoa ProgramSEP(seeSection4 ofthisguide),documenting the Government and industryshared viewofthetechnicalapproachand planning forthe program. Forcontractualand managementefficiency,the revised GovernmentSEPand contractorsintegratedSEPmayremainastwoseparatedocumentswithappropriate linksinanIntegrated DevelopmentEnvironment(IDE)toensurecommunicationand configurationcontrolacrossthe Governmentand contractorsactivitiesand

productsasworkprogressesand changesare authorized. Asa programprogressesthroughitslife cycle,the leveloffidelityand areasofemphasisinthe SEP willchange. Itisimportantthatthe programteamhave a single visionofthe technicalplanning (therefore the individualSEPswillbe inalignment)and executionwhenmaking a commitmentforthe design,development,test,and transitionofa system/product(s) to satisfy usersoperational,logistics,and sustainmentneeds.2.2 System

Requirements

Sound systemrequirements(including performance) are the backbone ofa goodtechnical

strategyand resultantplan(asdocumented inthe SEP and related plans). The performancerequirements,asa minimum,mustbe commensurate withsatisfying the threshold forthe criticaloperational(including sustainment and support)requirements(e.g.,KeyPerformance Parameters(KPPs))and balanced withprogramcost,schedule,and risk constraints. Ifthese elementsarenot balanced atthe start ofthe SDD phase, the programhasa highprobabilityofincurring costincreases,suffering schedule delays,and/ordeficientperformanceofthe end product. An

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important elementofthe programstechnicalplan should be focused onmaturing the technicalbaseline via event-based technicalreviewsand completenessofT&E(SEP PreparationGuideand DAG Chapter 9,Testand Evaluation)while managing the systematic decompositionandallocationofthe requirementsdownthe specificationhierarchy(DAG 4.3.3). Figure 2-2illustratesthe relationshipsamong requirements,technicalreviewsand technicalbaseline.

Requirements Management Maturing Technical Baseline

All

i lSRRSFR

PDR

ifi i

ifi

Ti ifi

i

i

l

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PRR

PCA

ASR

ISR

Product

ocated

Funct ona

CDR

TRR

SystemS ec cat on

Product Spec cations

Sub- er Spec cations

RequrementsDecompostio

n,

Alocation,

andTraceab

FCA /SVR

OTRR

ITR

* See definitionsinAppendix C - Ac ronyms

Figure 2-2 KeyTechnicalRelationships2.3 SystemsEngineering inthe StatementofObjectives(SOO)

Whenthe Government developsa SOO,asopposed toa SOW,inthe RFP (and inattachmentJ),the SOO isa clearand concise document thatdelineatesthe programobjectivesand the overallapproach,particularlycritical(orhighrisk)requirementsthatbecome partofthetradespace. The TRAwillsupport thisidentification. Table 2-1 containssuggestedtechnical/SEitemsto consider including ina SOO.

The SOO doesnot become part ofthe subsequent contract. [Note: ASOW,oraPWS,isalwaysincluded].

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Table 2-1 Sample SE Itemsfora SOOduring the SDD PhaseTheprograms technicalapproachwillcapitalizeonGovernment andindustrystandards,

policies,anddirectives whileleveragingthecontractors domainexperienceandenterpriseprocesses. Thetechnicalobjectives fortheprogramareto:1. Design,develop,test,anddeliverasystemwhichmeets theperformance

requirementsoftheuserwhenoperatedwithintheXXX System-of-Systems (SoS)(orwithinYYYFamily-of-Systems (FoS)).

2. Usecontractorenterpriseprocessestoexecutetheprogram. Flowdownpoliciesandprocesses tothelowestlevelofthecontractor(subcontractors, teammates,orvendors) teamas appropriate. Employcontinuous process improvement activitiesintegratingbothGovernment andcontractorpractices andprocesses. EnsureGovernment technicalprocesses,as definedintheirSEP,areintegratedandconsistent withthecontractortechnicalprocesses.

3. Document theprograms technicalapproachinaProgramSEP(includingbothGovernment SEPandthecontractorintegratedandexpandedSEP)that is updatedthroughout thelifeoftheprogram.

4. Implement event-basedtechnicalreviews that areincludedintheIMPandIMSwithspecificentryandexit criteria. Technicalreviews includetheparticipationofindependent (oftheprogram)subject matterexperts.

5. Establishinterfacemanagement processes whichdefinetheinter-system(SoS,FoS)interfaces andintra-system[subsystems,Commercial-off-the-Shelf (COTS),Government-off-theShelf(GOTS),etc.] interfaces tosupport systemdevelopment.

6. Usecontractorconfigurationmanagement (CM) processes tocontroltheconfigurationoftechnicalbaselinedataandproduct configurations. Providereal-timeaccess totechnicalproduct dataforprogramparticipants. EnsurecompatibilitywiththeGovernment CM processes.

7. Enhanceopportunities forincorporationofadvancedtechnologyforimprovedperformanceandsustainment usingModularOpenSystems Approach(MOSA)principles. Encourageuseofcommercialproductsandindustry-widestandardsrecognizedforhighquality.

8. Usemodeling,simulation,prototypes,orothermeans toallowearlyGovernmentassessment ofproduct maturityandfunctionalcapabilities insupport oftechnicalreviews alongwithoptimizingsystem-leveltesting.

9. IncludeGovernment participationonIPTs togaininsight intoprogramprogress andstreamlinethecoordinationanddecisionprocesses. EnsurecompatibilityandintegrationwiththeGovernment definedIPTs (seeGovernment SEP).

10. Implement acomprehensiveriskmanagement process that is focusedonprogramriskareas andtheprograms criticalpath(s) tosystematicallyidentifyandmitigatecost,schedule,andtechnicalrisks. EnsureContractorriskmanagement processes arecompatiblewiththeGovernment risk management process.

The guidance forthe SOO isgenerallyapplicable to a SOWalso.



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2.4 TechnicalIncentive StrategiesThe determinationand developmentofan incentive strategybeginsearlyinthe program.

The incentive criteria should reflectareasofperformanceforwhichthe Governmentwantstoencourageperformanceexcellenceasa risk reductionactivity. Acontractualincentive, suchasanaward fee(refer back tosection1.2),should focusonthe mostcriticalSEissuesand/or

practices(DAG 4.2.3and 4.2.4). Twoaward feeexamplesare presented forillustration:RiskManagement Incentive- Acontractorsrisk managementprocessisone example

ofanaward feeelementthat could recognizeand reward a contractorthatstrategicallyfocusesonefficientand effective managementpractices. Award fee criteria mayinclude the extenttowhichthe risk managementprocessemployed onthe acquisitionprogramisintegrated acrossthegovernmentand contractorteam. Sample indicatorsofanintegrated processinclude:

Arisk managementprocessinwhichshared metricsand risk management systemicanalysisare routinelyaccomplished

Use ofa single risk managementdatabase withestablished linksbetweenRiskManagement/TechnicalReviews/TPMs/EVM/WBS/IMS

Documented traceabilityofmitigationefforts Arisk managementprocesscoupled tochange controlactivities Anenterprise-levelviewofrisk managementtopreventthe acquisitionprogramfrom

being adverselyaffected byother enterprise acquisitionprogramsorenterprise-widechallenges.The risk managementinformationinthe DAG Chapter4and inthe Risk Management

Guide forDoDAcquisition are sourcesofother indicatorsofanintegrated risk managementprocess.

TechnicalReviewsIncentive- Acontractorstechnicalreview processisconsideredextremelyimportant to programsuccess. Award feecriteria should include timely,orearly,completionofdesignreviews,and award feeshould be reduced oreliminated ifdesignreviewsare criticallylate. .

The DAGChapter 4elaboratesfurther onkeytechnicalreviews.Animportant elementofanyaward fee planistoensure thatkeycriteria are measurable

to minimizepotentialforsubjective evaluationsand therefore have a clearunderstandingbetweenGovernmentand contractorregarding performanceincentives.2.5 GovernmentandIndustry Interaction

There should be anenvironment ofopencommunicationpriortothe formalsourceselectionprocess(1)toensure industryunderstandsthe Governmentrequirements,and thattheGovernmentunderstandsindustrycapabilitiesand limitationsand (2)to enhanceindustryinvolvementinthe Governmentsdevelopmentofa programAcquisitionStrategy. During the

pre-solicitationphase, the Government developsthe solicitationand mayask industryto provideimportantinsightsinto the technicalchallenges,programtechnicalapproach,and keybusinessmotivations. [Note: The CO isthe Governmentsprincipalpointofcontact withindustry]. For

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example,potentialindustrybidderscould be askedfortheirassessmentofproposed systemperformance thatisachievable based onthe maturitylevelofnewtechnologyaswellasexistingtechnology. The Government takesthe leadership role inthisstage. Lessonslearned frompast

programssuggestthat contractformationcanbe veryproductive whena highlycollaborativeenvironmentiscreated involving user,acquisition,sustainment,and industrypersonneltounderstand and capture the technical

challenge and

technical

and programmatic approaches

needed to successfullyexecute a program. Ascanbe seenfromthe IntegratedDefense AT&LLife Cycle Management Framework,MarketResearchbeginsearlyinthe life cycle (i.e.,CR/TD

phases)aspartofinitialrisk analysesactivities. The CO maydevelop and provide to industryadraftRFP toenhanceanunderstanding ofthe customer needsand the industryscapabilitiestocost-effectivelymeetthese needs.2.5.1 Market Research

FARParts7,10,and 11require the Government to conduct acquisitionplanning,toinclude marketresearch(DAG 2.3.16.1.4.1and 10 USC 2377),asa waytoestablishtheavailabilityofproductsand vendorswhichcanmeet potentialneeds. Market researchsupportsthe acquisitionplanning and decisionprocessbysupplying technicaland businessinformationabout industrystechnology,products,and capabilities. Marketresearchcanbe used toobtainadditionalinformationona companystechnicaland management processescapabilitiesalongwiththeirdomainexpertise (DAG 4.2.5). These factorscanbe assessed during sourceselection,rather thanbymarketresearch. Marketresearchshould alsobe used to identifyanyrequired sourcesofsuppliesorservices(FAR Part 8)and restrictionsorother issuesregardingforeignsourcesofsupplies(FAR Part 25).2.5.2 Industry Days

Before release ofa formalRFP,the Government mayhold IndustryDaystoinformindustryofthe technicalrequirementsand acquisitionplanning plusto solicitindustryinputsforthe pending program. Bothlarge and smallbusinessesshould be encouraged toattend. The COwillestablishthe agenda forIndustryDayand the ground rulesforinterchange withindustryrepresentatives. Table 2-2 providessome example technical-related topicsforIndustryDays.

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Table 2-2 Example TechnicalTopicsforIndustry Days1. The Government should describe itscommitmentto the programand how itfitsintothe

ServicesorAgencysportfolioofprogramsitsrelationship withother programs.2. The Government should emphasizeand describe itsoveralltechnicalapproachto the

programand the interdependencies

with

cost

and schedule.

The Government SEPshould be madeavailable toindustryasa starting pointfortheirtechnicalplanning.

3. The Government and industryshould discusstradesand analysesthathave beenconducted during the requirements-generationprocess. While solutionalternativesmay

be discussed, the emphasisshould remain onthe resulting performance(includingsupportability)requirements,not onthe specificsofthe alternatives. [Note: Some

potentialofferorsmaychoose not todiscussspecificsoftheirpotentialalternative inthepresence ofpotentialcompetitors.] The resultsofGovernment tradesand analysesshould be madeavailable toindustryasappropriate JCIDS documents: AoA,ICD,draftCDD, ConceptofOperations(CONOPS),etc. These discussionsare intended tounderstand the specific operationaland sustainment requirementscriticaltothe program.

4. While itisnecessarytoinvestigate potentialdesignsolutionsthatare responsive to therequirements,the Government teamshould avoid becoming fixatedwiththe solutions.The user sometimesbecomesenamored withwhathe likes the programteamfocusesonthe one that works and industryhasone itwantsto sell. The focusisonestablishing the cost-effective systemperformancerequirementsthat deliver thenecessarywarfighter capabilitynotpicking the designsolution. IndustryDaysshouldinformthe solicitationdevelopment,not define a solution.

5. The Government presentationsand discussionsshould addressthe programAcquisitionStrategy,the SEapproachasbeing developed inthe GovernmentSEP,and howtheywere established. The discussionsshould alsoemphasizethe importanceofTotalLifeCycle System

Management

(TLCSM) (DAG Chapter

5,

Life Cycle Logistics).

2.5.3 DraftRequestforProposal(RFP)

The CO mayrelease a draftRFP priorto a formalRFP tosecure industryinputs,comments,and suggestions. The Government teamshould makethe draftascomplete as

possible. The Government should allow sufficienttime (atthe COsdiscretion)forindustrytorespond and should seriouslyconsider allindustrysuggestionsand commentsand modifythesolicitation,asappropriate toreflectneeded changes. After the formalrelease ofanRFP,theexchange ofcomments,questions,and answers,etc.,regarding the RFP become strictlycontrolled and are conducted onlythroughthe CO. It ismuchbetter to makechangesbefore therelease ofthe RFP thanto amend itafterward,whichmayrequire anextensionofproposal

preparationtime.AlthoughMarketResearch,IndustryDaysand draftRFPs are important,theyare just

threeofmanytoolsavailable forexchanging informationwithindustry. Other exchangesofinformationinclude Industryorsmallbusinessconferencespublic meetingsone-on-onemeetingswithpotentialofferors(withthe approvalofthe CO)Pre-solicitationnoticesRequestforInformation(RFI)Pre-solicitationorpre-proposalconferencesand Site visits. The readersare referred totheFARand the DFARSformore details.

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2.6 TechnicalPlanning intheSourceSelectionPlan (SSP)The SSP describesthe organizationofthe sourceselectionteamalong withthe factors

and subfactorsincluded inSectionM,Evaluation Factors(DFARS Part 215). The programstechnicalapproach,including keyperformanceparametersand risk,should be reflected intheevaluation factors. [Note:Factors isthe FAR/DFARS termmostSE/technicalpersonnelusethe termcriteria interchangeably]. Figure 2-3 illustratesa typicalSourceSelectionOrganization. The SourceSelectionEvaluationBoard(SSEB)overseesthe evaluationteamsactivitiesand briefsthe findingsto the SourceSelection Authority,which makesthe decision.

The Governmentstechnicalauthorityorthe programsLSE(DAG 4.1.6,SystemsEngineering Leadership)should lead the technicalevaluationteam. Technicalpersonnel(toinclude Government SMEs,e.g.,systemsafety,security,IA)should participate oneachpanel(orcommittee)ofthe sourceselectionorganization(see Figure 2-3),asnecessaryto assesseachfactorand subfactorthat formsthe basisofthe sourceselection. The evaluation factorsand thesubsequent evaluationrelyuponpersonnelwho are qualified inthe functionalarea and have the

pastexperienceand qualificationsnecessaryto make anassessment onproposalcredibility.The technicalteamsupporting the evaluationshould include representativesfromtheacquisitionorganization,including the Defense Contract ManagementAgency(DCMA),

logistics/ sustainment,other appropriate SMEs,and userorganizations. To ensure continuityandpromote a smoothtransitionintocontractexecution,personnelwhowillbe involved intheprogramshould alsobe involved indeveloping the SSPand evaluation factors. It isstronglyrecommended thata qualified (e.g.,to include familiaritywiththe Government SEP)technical/SEprogramrepresentative alsobe involved inthe Managementand PastPerformanceevaluationteamssince these teamswillevaluate technicalorganizationstructure,skills,abilities,experience,and technical/SEmanagement bestpracticesto be employed bythe offeror.

Sourceselectionproceduresshould minimizethe complexityofthe solicitationbyonlyrequiring the informationnecessaryto makea decisionand limiting evaluation factors/subfactorsto those that arekeydiscriminators- thusenabling the sourceselectiondecisionwhilefostering animpartialand comprehensive evaluationofofferorsproposalsand selectionofthe

proposalrepresenting the bestvalue tothe Government.

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Systems EngineeringShould be Integrated in AllSource SelectionFactors

*

) )

)

(

EVALUATION F ACTORSCost*Qualityof Product*Past Performance*Technical

e.g., ILS, excellence

Management Capabilitye.g., Personnel qualifications

Small BusinessMandatoryFactors (FAR Part 15)

Past PerformanceSection (3.2.3*

TechnicalSection (3.2.1*) CostSection (3.2.5*

Source Selection Evaluation

Board (SSEB)

Source SelectionAdvisoryCouncil

Contracting

Officer (COAdvisor

Source

SelectionAuthority

ManagementSection 3.2.2*)

SOW Technical/ Past Performance Systems Engineering CostsTechnicalSolution Management Integration Criteria WBSSEPTechnical Supporting

SOWSEP

Past PerformanceQuestionnaire

Data IMP / IMSSystemPerformance

Specification *Referenced sections expandthe topics

Figure 2-3 TypicalSourceSelection Organization andFactorsAnofferorsproposalmustrespond to allofthe requirementsofthe RFP. [Note:

Proposalmaystillnotbe successful,i.e.,winthe award]. However,the qualityofthe proposalhasa directcorrelationtothe clarityand completenessofthe GovernmentsrequirementsintheRFP. [Note: Anyambiguitiesinthe solicitationwillbe held againstthe Governmentinthe eventofa dispute]. The Government should assignitsbestpersonnelto the pre-solicitationteamandthe sourceselectionteam. The sourceselectionteamwillbe exercising theirjudgmentandcriticalthinking whenmaking a selection,and thisisbestserved using experienced personnelthat have domain experience,technicalexpertise, specificallySEand other specialtyareasnotedabove,and programknowledge. Itmaybe necessarytotrainsome ofthe teaminthe sourceselectionprocessinmore detailthanprovided herein.



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3 REQUEST FOR PROPOSAL AND SOURCESELECTIONThe RFP includesthe termsand conditionsthatwillbe inthe finalcontract. The FAR

subpart 15.204.1specifiesthe formatand contentofRFP solicitationsand contracts. The RFPtypicallyincludestwo categoriesofdocumentation:

ProgramDocuments: Government

Roadmap Schedule, Incentive Plan,

Government SEP,

ISP,TRA,TES/TEMP, and preliminarySPS are examplesofprogramdocumentswhich may

be attached to the RFP oravailable in a BiddersLibrary. Other documentation,suchasICD,CDD,other JCIDS documents,COTS/GOTSdata,FoS/SoSinterface data,and reportsfrompreviousphasesofthe programare alsotypicallyincluded inthe OfferorsLibrary.These documentsprovide background onthe programand describe the Governmentsmanagementand technicalapproachtothe systemacquisition. [Note: Severalofthesedocumentsare required forMilestone B and are described inthe DAG Chapter 4].

RFP Documents: AtypicalRFP includesa modelcontract withanyspecialclauses(e.g.,CLINs,SOO orSOW,CDRL),PreliminaryWBS,EvaluationFactors(SectionM),andInstructionstoOfferors(SectionL). The RFP (withthe programdocumentsreferenced inthe RFP)definesthe programand setsthe basisforthe contract.

The following subsectionsaddressguidancethatcould be considered to include inSectionsCand Jand SectionsLand MofanRFP.3.1 SectionsC andJ ofthe RFP

SectionC(includesDescription/Specification/SOO orSOW)ofthe RFP containsthedescriptionofthe productsto be delivered orthe worktobe performed under the contract. Thissectiontypicallyincludesthe GovernmentsSOO (orSOW)and preliminarysystem

performance specification. SectionJ,ListofAttachments,liststhe attachmentssuchasinitialIMP,Top LevelProgramSchedule, Government SEP,CDRLs,and Contract SecurityClassification

Specification

(DD Form

254).

3.2 SectionsM andLoftheRFP

Please note that wehave selected todiscussthe specificsofSectionMbefore Lsincethatisthe orderinwhichthe effortisneeded. EvaluationFactorsare defined before one cancomplete the Instructionsto Offerors. Inorderto accommodate variationsamong the Servicessourceselectionprocesses,RFP formatnuances,and differencesamong programs,the discussionofSectionsMand Lissegmented into fourgeneraltopics: i.e.,Technical,Management,PastPerformance,and Cost (seeFigure 2-3). Thetechnicaldevelopersofthese sectionsmust workcloselywiththe contracting officertoensure compliancewithappropriate regulations. Thefollowing subsectionsinclude briefdiscussionsofeachtopic and example language(inshadedTables)that canbe tailored forprogramRFPs(orother type ofsolicitation). [Note:It isimportantto remember thatthe focusofthisguide isonthe technicalelementsofthe RFP,andthe sample itemsmustbe integratedwiththe restofthe RFP tofitthe overallprogramstrategyand programimplementationapproach].

SectionMofthe RFP statesthe evaluation factorsthat are used forselecting thecontractor. SectionMshould be carefullystructured to addressonlythose elementsdeterminedto be discriminatorsinthe sourceselectionto select the bestproposalwithacceptable programrisk. The most effective SectionMevaluation factorsare measurable,relevanttothe program,

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traceable,withexpected differentiationamong the offers,and under the offerorscontrol.SectionMshould notcontainanyevaluationfactorsorsubfactorsforwhichthere isnot acorresponding requestforproposalinformationinSectionL.Appendix Ahasadditionaltipsfor

programteamswhendeveloping SectionM.SectionLofthe RFP instructstheofferorsonhow to structure theirproposaland what

should be included ineachproposalsection. It needsto clearly identifythe structure andcompositionofeachvolume and sectionofthe proposaland should track to the evaluationfactorsinSectionM.

Inpreparing SectionsLand M,be aware ofthe proposalpreparationtime and pagelimitations. Ask onlyforinformationthatshould be readilyavailable toofferorsand that isnecessaryto accomplishthe sourceselectionevaluation.

Table 3-1 containsa listofSErelated questionsto help the teamdevelop the technicalaspectsofSectionMand SectionL.

Table 3-1 Sample QuestionsforDeveloping Specific SE -Related Criteria andInstructionsforSectionsM andL1. How willthe evaluationteamestablishanunderstanding ofthe offerorstechnical

approach?2. How canthe evaluationteamdevelop confidence thatthe offerorsproposed technical

designsolutionswillmeet alltechnicalrequirements,including operationalperformance and logistics/sustainmentrequirements?

3. Isthe technicalapproachimplemented within performance,cost,and schedulerequirements?

4. How willthe evaluationteamevaluate the SoSorFoS interfacesand integrationissuesonthe program?

5. How willthe evaluationteamestablishwhether the specific plansforimplementingand managing the technical(i.e.,SE)and technical management processesare basedoncompanyenterprise processes?Isthere objective evidenceofthe