SBIRS Low
 

Document No.

P448898

Revision

A

 

Dated:

11 July 97

 

PLAN

FOR

AVOIDANCE OF ORGANIZATIONAL CONFLICT OF INTEREST (OCI) REGARDING

THE SBIRS

LOW COMPONENT PROGRAM COMPETITION

Under

Contract F04701-95-C-0017

 

Prepared by

Lockheed Martin Missiles and Space

 

 

SUBMITTED BY:

 

APPROVED BY:

 

Signature:

/S/

 

 

 

Signature:

/S/

Name:

A. G. Tuffo

 

Name:

Daniel L. Burkett, Colonel, USAF

Title:

Vice President and Program Manager

 

Title:

Program Director

Date:

14 July 97

 

Date:

17 July 97

         

 

Signature:

 

/S/

 

 

Signature:

/S/

Name:

K. M. Henshaw, President

 

Name:

Missy Ann Mitchell

Title:

Lockheed Martin Missiles & Space

 

Title:

Contracting Officer

Date:

14 July 97

 

Date:

18 July 97

CHANGE LOG

Rev.

Rev. Date

Affected Pages

Reasons for Change/ Remarks

Authority

A

 

 

 

 

 

11 July 97

All

Baseline Issue

 

TABLE OF CONTENTS

CHANGE LOG

TABLE OF CONTENTS

1.0 PURPOSE

2.0 APPLICABLE DOCUMENTS

2.1 CONTRACTOR DOCUMENTS

2.2 GOVERNMENT DOCUMENTS

2.3 OTHER DOCUMENTS

3.0 PLAN OBJECTIVES

4.0 RESPONSIBILITIES

4.1 CONTRACTOR RESPONSIBILITIES

4.2 GOVERNMENT RESPONSIBILITIES

4.3 LOW COMPONENT CONTRACTOR RESPONSIBILITIES

5.0 PROCESS ELEMENTS

5.1 Availability of High Component Data

5.2 Organizational Separation

5.2.1 Physical Separation

5.2.2 Designated Personnel

5.3 Control and Use of Low Component Competitors’ Proprietary or Competition Sensitive Information

5.4 External Interface Requirements and Control Documents

5.4.1 High Component Design Reviews

5.4.2 Low Component to High Component Interface Control Working Group

5.4.3 SBIRS Low Component Industry Forum

5.5 Procedure for Communication between High Component System-of-Systems Engineering and the Low Component Contractor Teams

5.6 Training and Education

5.7 Isolation of System-of-Systems Engineering

5.7.1 Designated Personnel

5.7.2 SBIRS Testbed Operators

5.8 Executive Review Ground Rules

5.9 Control, Use, Validation and Verification of SBIRS Testbed

5.9.1 Availability and Supervision of STB for Low Competition

5.9.2 Use of STB by Low Contractor Teams

5.9.3 Independent Review Team

5.10 Self-Governance Process for Monitoring and Problem Resolution

5.10.1 Process Verification

5.10.2 Problem Resolution

5.10.3 System-of-Systems Engineering Independent Experts

6.0 PLAN IMPLEMENTATION

6.1 Subcontracts

7.0 DEFINITIONS

ATTACHMENT A - TRANSFER LIMITATION ON DESIGNATED PERSONNEL A-

ATTACHMENT B - NON-DISCLOSURE STATEMENT B-

ATTACHMENT C SHARED RESOURCES C-

ATTACHMENT D GOVERNMENT OCI PLAN D-

 

1.0 PURPOSE

This plan describes a formal process to avoid an organizational conflict of interest (OCI) regarding the Space Based Infrared System (SBIRS) Low Component Program competition. This Plan implements the intent of the Government’s "Space Based Infrared Systems (SBIRS) Organizational Conflict of Interest (OCI) Mitigation Plan for SBIRS Low Component Program" as defined in SCR H.26. It provides a commitment by Lockheed Martin Missiles and Space that goes beyond the requirements of its ongoing SBIRS High contractual responsibilities and is responsive to the concerns of competitors expressed to SAF/AQ. This Plan will assure both the Air Force and all competitors that Lockheed Martin, as the development contractor for SBIRS High, will not have any unfair competitive advantage in the SBIRS Low EMD competitive source selection as a result of its role as the overall SBIRS System-of-Systems (SoS) engineer and integrator. Integration of the Low Component into the SBIRS architecture will largely occur after the Low EMD contract award date and, therefore, will not be subject to the restrictions of this Plan. This Plan is submitted in fulfillment of the requirements of SCR H.26 entitled: "Avoidance of Organizational Conflict of Interest (OCI) Regarding the SBIRS Low Component Program Competition."

2.0 APPLICABLE DOCUMENTS

The following documents of the exact issue and date stated are applicable to this Plan to the extent specified herein.

2.1 CONTRACTOR DOCUMENTS

Document No.

Rev.

Title

Date

L106239

4

SBIRS Requirements Allocation Document (RAD) (U)

26 Sep 96

L099027

4

SBIRS High System Specification (U)

26 Sep 96

L106220

2

Space Based Infrared Systems (SBIRS) Low Component Cost Analysis Requirements Document (CARD) (U)

12 May 97

TBD

TBD

Space Based Infrared System (SBIRS) High Component Cost Analysis Requirements Document (CARD) (U)

26 Sep 96

TBD

TBD

Low Component to High Component Interface Control Document

TBD

None

Orig. TBR

Associate Contractor Agreement between Lockheed Missiles & Space Company, Inc. and Rockwell International Corporation (U)

7 Nov 95 TBR

P090013

Orig. TBR

Associate Contractor Agreement among Lockheed Missiles & Space Company, Inc., Loral Federal Systems Company, Aerojet General Corporation, Science Applications International Corporation, TRW Inc., and Hughes Aircraft Company (U)

7 Nov 95 TBR

 

2.2 GOVERNMENT DOCUMENTS

Document No.

Rev.

Title

Date

FAR Subpart 9.5

 

Organizational Conflicts of Interest

25 Nov 91

SCR H.26

Orig.

Avoidance of Organizational Conflict of Interest (OCI) Regarding the SBIRS Low Component Program

P00012

L106419

None

SBIRS Operational Requirements Document (ORD) (U)

26 Apr 96

No Reference

None

Space Based Infrared Systems (SBIRS) Organizational Conflict of Interest (OCI) Mitigation Plan for SBIRS Low Component Program

27 Jun 97

2.3 OTHER DOCUMENTS

Document No.

Rev.

Title

Date

NONE

     

 

3.0 PLAN OBJECTIVES

1. Provide SBIRS Low competitors simultaneous and equal access to System-of-Systems Information and products for use in their re-balancing task.

2. Prevent access by the Lockheed Martin SBIRS Low Component Team and the LMMS LADS Team to any advance or additional System-of-Systems Information or products, or to any Low competitor’s Proprietary or Competition Sensitive Information.

3. Provide safeguards to ensure that Lockheed Martin can and will perform objectively and in the best interests of the Government its System-of-Systems TSPR task of ensuring that the entire SBIRS System-of-Systems architecture (High, Low, DSP and Ground) satisfies the ORD.

4. Provide safeguards to ensure that Lockheed Martin can and will perform objectively and in the best interests of the Government its System-of-Systems verification task of assessing each SBIRS Low competitor’s architecture’s fulfillment of the SBIRS ORD.

5. Provide a mechanism for resolution of any OCI issues that may arise during the competition.

4.0 RESPONSIBILITIES

4.1 CONTRACTOR RESPONSIBILITIES

4.1.1 Maintain ORD requirements flowdown to the High and Low components

• Recommend flowdown changes based on externally driven ORD changes

• During the Low Component competition support High-Low mix decision only by performing sufficiency reviews

4.1.2 Verify system-of-systems performance

4.1.3 Prepare external interface control documents (ICD)

4.1.4 Provide equal availability of SBIRS High System-of-Systems data, software, and models to all SBIRS Low competitors

4.1.5 Perform procedures that provide the integrity in the verification and validation of the SBIRS Testbed and reporting of STB results

4.1.6 Implement this Plan

4.2 GOVERNMENT RESPONSIBILITIES

4.2.1 Develop and implement acquisition strategy

4.2.2 Update SBIRS ORD

4.2.3 Establish affordability goals

4.2.4 Perform affordability/ utility trades during the Low Component Pre-EMD Phase

4.2.5 Select "revised" High/Low allocation during the Low Component source selection. This reallocation will affect the High Component only after Block 1.

4.2.6 Evaluate Low Component competitors’ offers

4.2.7 Establish and maintain the SBIRS Low Component Bidders’ Library

4.2.8 Make determinations as required regarding issues of potential or actual organizational conflict of interest

4.2.9 Ensure the integrity of the verification & validation of, the use of, and reporting of results from the SBIRS Testbed

4.2.10 Ensure objectivity of the Sufficiency Reviews of the Low Competitors’ architecture.

4.3 LOW COMPONENT CONTRACTOR RESPONSIBILITIES

4.3.1 Provide information and support to the Contractor as necessary to perform System-of-Systems tasks

4.3.2 Properly mark information provided to the Contractor

4.3.3 Not accept SoS information except from the Low Component Bidders’ Library, STB shoulder-to-shoulder interchange, Low Component to High Component ICWG meetings, industry forums, and design reviews.

5.0 PROCESS ELEMENTS

Lockheed Martin commits to the following actions to ensure that the full, fair, and simultaneous exchange of all necessary and relevant information is implemented and maintained through completion of the Low Component EMD contract award date. With the exception of the facility sharing identified in Table 1 and Attachment D, all LADS personnel will be subject to the same access restrictions as apply to the Lockheed Martin SBIRS Low Component Team.

5.1 Availability of High Component Data

All Low Component competitors will have equal availability to SBIRS High Component System-of-Systems data, models, and software. All SBIRS High Component System-of-Systems Products (Low Component CARD; RAD; High Component Specification; High Component CARD; segment specifications and descriptions, capabilities, limitations, and constraints; and new System-of-Systems Products) shall be placed in the SMC Bidders’ Library and, thus, made equally and simultaneously available to all SBIRS Low competitors. The SMC Library, the Low Component to High Component ICWG, SBIRS Low Industry Forums, and the design reviews described below shall be the only sources of such High Component data for the Lockheed Martin Low Component Team. All SBIRS Low competitors will be invited to all non-proprietary sessions of SBIRS High Component Ground Segment major design reviews and High Component system-level design reviews. As requested by the Government, the Contractor will present the current status, data, and decision rationale on SBIRS High-Low architectures, trades, and requirements, including to the extent appropriate work-in-progress, at the SBIRS Low Industry Forum meetings. The non-proprietary material presented in these reviews, the SBIRS Low Industry Forums, and the Low Component to High Component ICWG meetings will be given, within ten (10) working days after each review or meeting, to the Government for placement in the Library. All Low Component competitors will have equal availability to contract and design documentation (or data that may be included in them), algorithms, and software related to SBIRS High Component Ground Segment requirements, design, CONOPS, interface, mission data processing, mission management processing, transition, and integration and test of those elements into which the Low Component must integrate.

5.2 Organizational Separation

5.2.1 Physical Separation

Except as shown in Table 1, the SBIRS High Component Team shall be completely separated organizationally and physically (different buildings at LMMS, Sunnyvale and separate badge-controlled areas at LMFS, Boulder) from the Lockheed Martin SBIRS Low Component Team and LMMS LADS Team.

5.2.2 Designated Personnel

Designated Personnel are (i) SBIRS High Component personnel performing System-of-Systems contract functions, or (ii) SBIRS High Component personnel who would otherwise be capable of influencing the SBIRS Low win strategy, or (iii) SBIRS High Component personnel involved with defining and implementing the Low Component interface and integration, or (iv) SBIRS High Component personnel involved in the High/Low data fusion. In addition to complete physical separation of work areas, there will be no sharing of Designated Personnel. Designated Personnel assigned to the SBIRS High Team will not be reassigned to the Lockheed Martin SBIRS Low Component Team prior to the SBIRS Low EMD contract award date or participate in any Lockheed Martin Low Component Team activities, except as provided by this Plan. Designated Personnel will have no direct financial interest in the outcome of the SBIRS Low Component competition. Designated Personnel shall be specifically identified. Designated Personnel shall disclose proprietary or competition sensitive information of the Low Component competitors or system-of-systems information only to authorized Government personnel, authorized Government support contractors, and other Designated Personnel with a need-to-know. Subject to approval by the Government, the sharing of facilities or designation of personnel in the following tables will be updated as circumstances and personnel change over the effective period of this plan and as additional positions are found to meet the above criteria.

 

Table 1 - Sharing of Resources between High and Low Component Programs

 

SHARED

 

RESOURCE

YES

NO

COMMENTS

High Component EDAMS

 

4

Low Component Program will establish its own EDAMS

SBIRS High Information (Data) Center

 

4

All Low requests for data to be filled from SMC’s Low Component Bidders’ Library

Bldg. 104 High Bay

4

 

LADS (including BNA Low personnel during payload integration) and High PCA.

Battle Laboratory & simulation facilities

4

 

All simulations on removable media

Spacecraft design tools

4

   

Government-owned property

4

 

As approved by the Contracting Officer

Personnel

     

-- High Component Designated Personnel

 

4

Including consultants, subcontractors, etc.

-- Other High Component personnel, e.g. spacecraft designers

4

   

System-of-Systems Testbed Results

 

4

Only as available through the SMC Low Component Bidders’ Library

Low Competitors’ or Contractors’’ Proprietary or Competition Sensitive Information

 

4

Designated Personnel will execute Non-disclosure statements

System-of-Systems Products

 

4

Only as available through the SMC Low Component Bidders’ Library

LA Marketing Office and Kilroy Center facilities

4

 

Exercise caution with regard to Low vs. High data requests

Marketing Representatives

 

4

 

The arrangements for sharing the above resources are further described in Attachment D to this Plan.

The following tables identify the Designated Personnel within the High Component Space and Ground Segments, the SBIRS High Program Office, and the SEIT.

Table 2 - Designated Personnel within the Space Segment

 

Designated Personnel

 

PERSONNEL TITLE/ POSITION

YES

NO

COMMENTS

HOSV IPT Manager

4

   

HOSV IPT Deputy

4

   

HOSV IAT&C Manager

4

   

Segment Systems Engineering Manager

4

   

Assembly and Test Manager

 

4

 

HEO Payload Integration Manager

 

4

 

Payload IPT Manager

4

   

Payload IPT Deputy

4

   

 

 

Designated Personnel

 

PERSONNEL TITLE/ POSITION

YES

NO

COMMENTS

Payload Systems Engineering Integration Team

4

 

This team is a subset of the Payload IAT&C

Payload IAT&C

 

4

Except those Payload SEIT personnel (see above) supporting SoS activity.

Point and Control System Product Team

 

4

 

Optical Subsystem Product Team

 

4

 

Thermal Subsystem Product Team

 

4

 

Processing Subsystem Product Team

 

4

 

Spacecraft IPT Manager

 

4

 

Spacecraft IAT&C Team

 

4

 

Mechanical Products Team

 

4

 

Avionics Products Team

 

4

 

Communications Products Team

 

4

 

Table 3 - Designated Personnel within the Ground Segment

 

Designated Personnel

 

PERSONNEL TITLE/ POSITION

YES

NO

COMMENTS

Ground Segment IPT Manager

4

   

Ground Segment IAT&C Lead

4

   

Relay Ground Station IPT Manager

 

4

 

RGS IAT&C Integration Team Lead

 

4

 

RGS Equipment Product Team Lead

 

4

 

Antenna Product Team Lead

 

4

 

Mission Control Station IPT Manager

4

   

IAT&C Integration Team Lead

4

   

Equipment Product Team Lead

4

   

Mission Management SI Product Team Lead

4

   

Mission Processing SI Product Team Lead

4

   

TT&C SI Product Team Lead

4

   

Services & I/F SI Product Team Lead

4

   

Relocatable Terminals IPT Manager

 

4

 

IAT&C Integration Team Lead

 

4

 

Equipment Product Team Lead

 

4

 

Shelter/ Transport Product Team Lead

 

4

 

 

Table 4 - Designated Personnel within the SBIRS High Component Program Office

 

Designated Personnel

 

PERSONNEL TITLE/ POSITION

YES

NO

COMMENTS

Program Manager

4

   

Deputy Program Manager

4

   

Assistant Program Manager Technical

4

   

Assistant Program Manager Business Operations

4

   

Table 5 - Designated Personnel within the Systems Engineering Integration Team

 

Designated Personnel

 

PERSONNEL TITLE/ POSITION

YES

NO

COMMENTS

Chief Systems Engineer

4

   

Requirements, Analysis & Verification Manager

4

   

System Integration Manager

4

   

System Test and Evaluation Manager

 

4

 

Data System Architecture Manager

4

   

Logistics and Specialty Engineering Manager

 

4

 

Systems Architect

4

   

ICWG Chairman

 

4

 

Business Operations Manager

 

4

 

User Interface Manager

4

   

Chief Software Engineer

 

4

 

5.3 Control and Use of Low Component Competitors’ Proprietary or Competition Sensitive Information

Proprietary or Competition Sensitive Information provided to the Contractor by the SBIRS Low competitors shall be protected in accordance with the terms of an applicable Associate Contractor Agreement (ACA) or other written agreement between the Contractor and each Low competitor, the applicable SBIRS Program Procedure(s), and the requirements of this Plan. Such information will be placed in and controlled by the SBIRS High Information Center. Such information will not be available on EDAMS. Such information shall be copy controlled and released only to Designated Personnel with a need-to-know. If such information is used in the preparation of System-of-Systems documentation, the appropriate restrictive marking shall be applied to the information in the new documentation. Designated Personnel shall sign non-disclosure statements acknowledging their responsibilities to protect Low competitors’ proprietary and competition sensitive information; agreeing to disclose such information only to Government personnel, specifically designated personnel of the Government’s General Systems Engineering and Integration and Technical Review contractors, and to other Designated Personnel of the Lockheed Martin SBIRS High Component Team having a need-to-know; and not to disclose such information to anyone else including any competitor for SBIRS Low, including LMMS, except as provided in this Government-approved Plan.

5.4 External Interface Requirements and Control Documents

The Contractor shall prepare an Interface Requirements Document (IRD) specifying interface requirements between SBIRS Low and High Components. This IRD shall be replaced by Interface Control Documents (ICDs) after the award of the Low Component EMDcontract and establishment of a single Low Component design and specification. The IRD shall provide the high-level foundation needed for ICD development.

5.4.1 High Component Design Reviews

The Contractor shall present drafts of the required external interface requirements document (IRD) at the High Component Ground Segment major design reviews and at the High Component Preliminary Design Review (PDR). A final IRD will be presented at the High Component Critical Design Review (CDR). It is the responsibility of the Contractor to preserve trade space for the Low Component contractors in this IRD consistent with the configuration-controlled SBIRS baseline. It is the Government’s responsibility to monitor that this has been successfully accomplished.

5.4.2 Low Component to High Component Interface Control Working Group

Beginning in June 1997, the Contractor shall host monthly Low Component to High Component Interface Control Working Group (ICWG) meetings. The purpose of the Low Component to High Component ICWG is to define the interface between the High and Low components, to manage the review and approval of the High-Low Component IRD and subsequent High-Low Component ICDs, and to provide timely exchange of information between the Contractor and qualified potential SBIRS Low Component contractors about the SBIRS Ground Segment design and CONOPS. Low Component to High Component Representatives from Low Component competitors shall be afforded the opportunity to attend and participate in these meetings.

 

5.4.3 SBIRS Low Component Industry Forum

The Contractor shall attend and participate in the Government-sponsored quarterly SBIRS Low Component Industry Forum. The Contractor shall report on the status, progress, and issues concerning the Low Component to High Component IRD.

5.5 Procedure for Communication between High Component System-of-Systems Engineering and the Low Component Competitor Teams

Except as allowed within the Low Component to High Component ICWG and the STB shoulder-to-shoulder operations, all requests for information from either the High Component System-of-Systems engineering to the Low Component competitor teams or from the Low Component competitor teams to the SBIRS High Component System-of-Systems engineering will be coordinated with and transmitted through the Government. Questions addressed from High to Low, except as pertains to clarifications of Proprietary or Competition Sensitive Information, will be addressed to all Low competitor teams. Responses to Low competitor questions will, except as is revealing of that competitor’s Proprietary or Competition Sensitive Information, be made available to all Low competitors. Except as may be specifically approved by the Government, the Contractor will not share the content of shoulder-to-shoulder discussions between the Contractor and any Low competitor with another Low competitor. The Government will make every effort to facilitate the mutual exchange of information.

5.6 Training and Education

Lockheed Martin will require each individual working on the SBIRS High and Low Component programs, including appropriate subcontractor personnel, to participate in a thorough training program on organizational conflicts of interest, protection of Proprietary and Competition Sensitive Information, and the purpose, objectives, elements, and importance of the process described in this Plan. Designated Personnel will be required to sign a statement confirming their commitment to the responsibilities and restrictions they assume under this Plan. A procedure is in place to classify employees new to the SBIRS High Component Program as Designated Personnel if appropriate and, in any event, to provide them with the same thorough training in the intent and implementation of this Plan as that provided to current employees.

5.7 Isolation of System-of-Systems Engineering

5.7.1 Designated Personnel

Designated Personnel, with their simulation tools, will be isolated, by their adherence to the provisions of the Plan, from the Lockheed Martin Low Component Team until the Low Component EMD contract award date. These personnel will sign a non-disclosure statement confirming their commitment to the responsibilities and restrictions they assume under this Plan. Designated personnel will have no direct financial interest in the outcome of the SBIRS Low Component competition.

5.7.2 SBIRS Testbed Operators

Certain of Designated Personnel, termed STB Operators, will be responsible for the operation of the SBIRS Testbed (STB). During the period of the Low Component Pre-EMD Phase that the STB is used to support the Low Component competition, the STB Operators, along with their Government counterparts, will support the SBIRS Low competitors in their use of the Testbed and accurately modeling their approach. The STB Operators will be restricted from interacting with the High Component Program including the Designated Personnel. To the extent possible, physical separation of this use of the STB from the ongoing uses by the High Component Program will be maintained. The purpose of this separation is to provide independent lines of communication between the Government and the competing SBIRS Low Component contractor teams and between the Government and the Contractor regarding the High-Low mix including its effects, if any, on the High Component Block 2 architecture.

5.8 Executive Review Ground Rules

Within Lockheed Martin Missiles & Space only the Vice President of the Space Based Surveillance (SBS) Business Unit will review the System-of-Systems contract status. The SBS Vice President has signed an non-disclosure statement and is subject to the restrictions regarding communications with the Lockheed Martin Low Component Team described in this Plan. The SBS Vice President will have no management responsibility over the SBIRS Low Component Program Team during the effective period of this agreement. Executive review by levels above the SBS Business Unit will only cover the SBIRS High Component Program’s non-SoS status.

 

5.9 Control, Use, Validation and Verification of SBIRS Testbed

5.9.1 Availability and Supervision of STB for Low Competition

The Contractor is responsible for developing, maintaining, and operating a SBIRS System-of-Systems Testbed (STB) with which to verify and assess the performance and compliance with requirements of various design approaches of each component of the SBIRS architecture. As a requirement under SCR H.11 "Total System Performance Responsibility (TSPR)," the Contractor will use the STB to perform a Sufficiency Review to verify that each Low Competitor’s system architecture will meet the applicable threshold requirements in the SBIRS ORD. The Contractor’s responsibility is solely to determine sufficiency as either pass or fail. The non-proprietary models from the STB will be provided to each SBIRS Low contractor team on an equal basis. Users manuals will not be developed for delivery to the SBIRS Low competitors nor will operating support be provided. During the shoulder-to-shoulder discussions at LMMS, the Contractor will provide reasonable support to each Low Competitor with a goal of their being able to understand the total STB and operate the non-proprietary models. Proprietary components or models will not be provided to any Low contractor team, nor will Low Contractor proprietary components or models be provided to other teams or to the High Component Program. Upon execution of mutually agreeable non-disclosure or associate contractor agreements, designated Low Component Contractor personnel will be afforded access to the Lockheed Martin proprietary algorithms and models incorporated into the STB for reference during their use of the STB at the Contractor’s facility. The Contractor will promptly identify to each Low Competitor each portion of the STB which is proprietary to a company other than the Contractor. Access to non-Lockheed Martin proprietary information, if any, will be subject to such mutually acceptable agreements as the Low Contractors’ may chose to put in place with the owner’s of that information. The Contractor will facilitate such agreements to the extent possible. The SPO’s Engineering, Integration and Test Division will be actively involved in an IPT environment and will ensure an objective and thorough assessment and verification of each SBIRS Low competitor’s architecture’s ability to meet the requirements of the SBIRS ORD. The Government’s Independent Review Team (IRT) will, at the direction of SMC/MT, adjudicate disputes regarding the use of the STB by the Low Component contractor teams.

 

5.9.2 Use of STB by Low Contractor Teams

The competing SBIRS Low contractor teams will each be given adequate time and shoulder-to-shoulder support to validate their models using this STB to demonstrate sufficiency of their architecture to meet the requirements of the SBIRS ORD. Each Team will work shoulder-to-shoulder with the STB Operators to understand the STB and to incorporate their unique discrimination, track and other algorithms into the STB. Each Low contractor team shall identify the potential optional models or algorithms to be used in the Sufficiency Review of their architecture. These optional components must be identified and provided during the first phase of STB use. and with sufficient lead-time for, with the diligent efforts of the STB Operators and the Low Competitor, their incorporation and verification and validation These optional models or algorithms must be compatible with the STB. The Contractor shall protect these algorithms as Proprietary Information. The STB Operators will work shoulder-to-shoulder with each Low contractor team to facilitate their understanding of interim STB results. This support will be provided on an equal, as-needed basis. Each Low contractor team will be afforded two periods, and more if necessary, of access to the STB. (1) During Low Pre-EMD, each Low contractor team will work shoulder-to-shoulder with the STB Operators and Government representatives to accurately model their approach, to understand the STB, and to support the operation of their models as part of the STB. (2) At a time to be specified by the Government, each Low Component contractor team will provide the parameters of their High-Low concept. Under the cognizance of the SPO’s System Engineering, Integration and Test Division (SMC/MTE), the STB Operators will run these parameters in the STB to validate the performance and assess the sufficiency of the respective approaches. Results of such sufficiency reviews shall be promptly provided to the concerned Low Component contractor team. Included in this process will be shoulder-to-shoulder discussion among the STB Operators, SPO Systems Engineering personnel, and the designated personnel of each Low Component contractor team regarding the proper interpretation of the results. Such discussions shall continuously take place during the runs, their evaluation and the assessment of the approach’s sufficiency to ensure the concerned Low Component contractor team is fully and promptly informed of all relevant information. All input and output of the SBIRS Low contractor teams shall be considered and treated as the Proprietary Information of that team.

5.9.3 Independent Review Team

The Government will form and operate an Independent Review Team (IRT) of suitably qualified experts with no connection with or interest in any of the competing Low Component contractor teams. Any party to the use of the STB in support of the Low competition may direct an issue regarding the operation of the STB or interpretation of its results to SMC/MT for referral to the IRT. The IRT will be convened by and at the discretion of SMC/MT. Regarding the Low competition, the IRT will render its judgments as advisory opinions to SMC/MT. SMC/MT’s decision will be conveyed to the competing Low contractor teams as direction from the cognizant Contracting Officer. If such a decision affects the Contractor, it will be conveyed by written direction from the High Component Contracting Officer under the terms of the High Component contract.

5.10 Self-Governance Process for Monitoring and Problem Resolution

The list of Designated Personnel will be widely published and kept current. SBIRS High and Low personnel are obligated to know who is on this list. Additionally LMMS shall designate a Company Representative who oversees, verifies, and audits the process to assure internal compliance with this Plan. On a regular basis, or if issues of compliance arise, this representative will conduct audits or other reviews of compliance with this Plan. Alternatively, the Company Representative may request personnel independent of the SBIRS Program or the Government IRT to conduct such a review or to address such questions that may arise.

5.10.1 Process Verification

The SBIRS High Program shall conduct quarterly internal audits of compliance with the requirements of this Plan. Compliance shall be made a responsibility of all SBIRS managers; and the success of their implementation and monitoring of these measures will be included in their performance evaluations.

5.10.2 Problem Resolution

All High Component Program and LMMS Low Component team personnel will be provided with a copy of and shall comply with this Plan. When there is any doubt, personnel will address their concerns to their next level manager. Problems or questions that cannot be resolved within the SBIRS High Component program will be referred to the Company OCI Representative. If successful resolution cannot be obtained within Lockheed Martin, the issue shall be referred to the PCO. Any violations of SCR H.26 or this Plan, whether by LMMS personnel or those of the Government or other contractors, will be reported to the Contracting Officer.

5.10.3 System-of-Systems Engineering Independent Experts

Should a circumstance arise in which this process cannot adequately mitigate an actual or potential organizational conflict of interest, Lockheed Martin is prepared to utilize independent experts drawn from outside of the Lockheed Martin Team. It is the responsibility of both the Government and Lockheed Martin to notify the other in the event such circumstance arises. Upon agreement that such circumstances apply, the Government Contracting Officer shall issue written direction to the Contractor referencing this Plan. These experts, in lieu of using Lockheed Martin Team personnel, will perform a specific task that the Government determines cannot otherwise be performed objectively, fairly, and in the best interests of the Government. Such experts shall execute a non-disclosure statement before performing this role. Such circumstance shall be grounds for an equitable adjustment to the SBIRS High contract.

6.0 PLAN IMPLEMENTATION

Upon Government-approval of this Plan, Lockheed Martin will develop and publish more detailed policies and procedures as appropriate. These will be provided to the SBIRS High Contracting Officer for coordination and approval within the Government. Compliance with the preliminary plan dated 10 Apr 97, including the prohibition of Lockheed Martin Low Component Team access to or possession of Systems-of-systems products, models, or software, has been implemented. The requirements of this Plan will be implemented within two (2) weeks of its approval and incorporation into the contract by the Government.

6.1 Subcontracts

The Contractor shall include a clause that is the same or substantially the same as SCR H.26, including its flow-down provision, in consulting agreements and subcontracts of all tiers where the work includes or may include System-of-Systems tasks or include designated personnel. The terms "Contract", "Contractor", and "Contracting Officer", will be appropriately modified to reflect the change in parties and to preserve the Government’s rights.

7.0 DEFINITIONS

Para.

Term

Definition

7.1

Competition Sensitive Information

Competition Sensitive Information is other information relating to the SBIRS Low Component Program, the disclosure of which to a competing contractor would inform them of the disclosing contractor’s plans, approaches, designs, specifications, intent, etc. to their detriment and the detriment of the integrity of the Government’s procurement. This may include Government Information as defined in below. This refers to information which is to be protected only for the duration of the SBIRS Low Component competition.

7.2

Contractor

Lockheed Martin Missiles & Space (LMMS)

7.3

Designated Personnel

Personnel performing system-of-systems engineering work, having significant access to system-of-systems, Proprietary, and Competition Sensitive Information, management personnel knowledgeable of system-of-systems activities, and SBIRS High personnel who by their positions would otherwise be capable of influencing the Low Component win strategy.

7.4

direct financial interest

Specific individual objectives that determine individual compensation

7.5

Government Information

Government information such as plans, policies, reports, studies, financial plans, or data which have not been released or otherwise made available to the public

7.6

Government Data

Data to which the Government has, or will have upon delivery under a Government contract, unlimited rights.

7.7

Independent Review Team (IRT)

Group of qualified experts without connection to and interest in any Low contractor team who will advise SMC/MT and offer their advice to SMC/MT regarding issues raised.

7.8

Lockheed Martin Team

LMMS, Lockheed Martin Federal Systems, Aerojet-General Corporation, and Grumman Aerospace Corporation

7.97.10

LMMS LADS Team

LMMS personnel working under a subcontract from Boeing North American for LADS, but who are not members of the Lockheed Martin SBIRS Low Component Team.

7.11

Proprietary Information

All information designated as proprietary in accordance with law and regulation, and held in confidence or disclosed under restriction to prevent uncontrolled distribution. Examples include limited or restricted data, trade secrets, sensitive financial information, and computer software; and may appear in cost and pricing data or involve classified information.

7.12

STB Operators

Subset of the SoS Designated Personnel qualified and designated to operate the SBIRS Testbed in support of the Low contractors, to support and assist the modification and use of the STB by the Low contractors, and to assist the Government in producing sufficiency reviews of the Low contractor teams’ approaches.

7.13

System-of-Systems Information

Technical and programmatic products of the SBIRS High Component System-of-Systems engineering that relate to the definition and allocation of requirements to SBIRS Low, the combined SBIRS architecture, or the interfaces between High and Low

7.14

System-of-Systems Products

Government and Contractor baseline documents defining the flowdown of requirements to SBIRS Low and the interface between SBIRS High and Low. This includes the RAD, the Low Component CARD, etc.

 

ATTACHMENT A - TRANSFER LIMITATION ON DESIGNATED PERSONNEL

 

Memo To Personnel File

Dated :

SBIRS Low Component Competition Safeguard

Employee Name:

Employee No.:

Organization No.:

The employee identified above is a member of the SBIRS High Component System of Systems team and has signed a non-disclosure statement stating, in part, that he/ she will not share data with the LMMS SBIRS Low Component Team.

As one of several safeguards, this memo is being placed in the employee’s personnel file to alert LMMS management and HR personnel that any proposed change in the employee’s job duties must be reviewed by SBIRS High Component program management prior to effecting a change. Please contact either Tony Tuffo (2-3732) or Kent Haeger (2-0584). This safeguard remains in effect until the SBIRS Low EMD contract award date.

 

Human Resources Management Legal

Date: Date:

ATTACHMENT B - NON-DISCLOSURE STATEMENT

 

 

Non-Disclosure Statement

Rev. 1

Lockheed Martin Missiles and Space (LMMS) is the System-of-Systems (SoS) architect and integrator for SBIRS High. In that capacity, LMMS is responsible for:

1) maintaining Operational Requirements Document (ORD) requirements flowdown to High/Low components,

2) verification of combined High/Low systems performance, and

3) defining external system interface requirements.

In fulfillment of these responsibilities, LMMS employees and employees of other companies who support LMMS in its SoS role will be exposed to Proprietary, Competition Sensitive, or SoS Information that would be of value to competitors for the SBIRS Low contract. Proprietary, Competition Sensitive, and SoS Information is defined in the Government-approved OCI avoidance plan.:

Such information may originate from several sources including but not limited to the United States government, LMMS, and from SBIRS Low competitors. Because the unauthorized disclosure of such Proprietary, Competition Sensitive, or SoS Information could create a competitive advantage in the competition of the SBIRS Low contract, it is imperative that everyone performing SoS work on SBIRS High protect from disclosure to any competitor for SBIRS Low such Information gained during the course of their SoS work on SBIRS High. This restriction shall continue until the SBIRS Low contract is awarded or as otherwise extended by LMMS or otherwise prohibited in a separate agreement or undertaking.

Accordingly, the undersigned

• acknowledges that in support of LMMS in its role as SoS integrator he/she will be exposed to proprietary information, including Proprietary or Competition Sensitive information of the SBIRS Low Competitors or SoS information; and

• agrees to disclose such information only to Government personnel, specifically designated personnel of the Government’s General Systems Engineering and Integration and Technical Review contractors, and to other Designated Personnel of the Lockheed Martin SBIRS High Component Team having a need to know; and

 

Signature:

Name:

Date:

ATTACHMENT C

SHARED RESOURCES

1.0 Battle Laboratory and Digital Simulation Facility

1.1 Each of these facilities is located in a separate cipher-controlled room included in a closed area adjacent to the SBIRS High Component Program area in LMMS Building 104. Access to the closed area is through a ciphered door opening onto an open hallway.

1.2 Either facility will be used by only one of the following at a time:

• High Component Program

• Low Component Program

• High Component System-of-Systems tasks

1.3 All program unique simulations, software and data will be on removable media. These will be removed by the using group upon completion of their period of use and stored in a separate controlled area.

1.4 All use will be recorded and monitored by the facility custodian.

1.5 Lockheed Martin Low Component Team personnel will be escorted at all times during use of these facilities and will be barred from access to the SBIRS Information Center, the System-of-Systems work area, and the other High Component Program areas.

2.0 Spacecraft Design Tools

2.1 Spacecraft design tools are hardware, software, special test equipment, AGE, MAGE, and other items relating to Lockheed Martin standard spacecraft and standard spacecraft products. These are controlled by the cognizant Product Center.

2.2 Particular design tools will not be used simultaneously for High and Low programs. Individual designers and their Product Center managers will have access to no System-of-systems or non-Lockheed Martin Low Component Competitor’s proprietary data.

3.0 Government-owned Property

Government-owned property accountable to the SBIRS High Component contract will be used on the Low Component Program or LADS only when and to the extent specifically authorized in writing in advance by the SBIRS High Component Contracting Officer.

4.0 High Component Shared Personnel

4.1 No Designated Personnel will be shared.

4.2 All personnel will be trained in the requirements of this Plan.

4.3 Work for the High, Low, or LADS efforts will be performed only in the work area designated for that program. No technical or program management work for one program will be done in the work areas of one of the other two.

4.4 Work assignments will be periodically re-examined by management to ensure that responsibilities have not been changed with regard to the requirements of this Plan.

5.0 DELETED

6.0 Building 104 High Bay

6.1 The Building 104 High Bay will be shared by the High Component PCA IPT and the LADS Program.

6.2 An opaque, contamination control barrier will separate the respective work areas.

6.3 No System-of-systems, Low Component Competitor proprietary or competition sensitive information. or Government information will be allowed in the High Bay.

 

7.0 Los Angeles Area Marketing Office and Kilroy Center Facility

7.1 All personnel in each facility will be trained in the provisions of this Plan and audited for compliance.

7.2 Any meeting involving system-of-systems, Low Competitor proprietary or competition sensitive information, or Government information held in either facility will be conducted in a controlled room. Attendance will be controlled and recorded so that that no Low Component Team or LADS personnel are present and that the other disclosure restrictions of this Plan is adhered to

7.3 Data in any media involving system-of-systems, Low Competitor Proprietary or Competition Sensitive Information, or Government Information will be in the possession of Designated Personnel or an appropriate locked container when in either facility.

ATTACHMENT D

GOVERNMENT OCI PLAN

The Government OCI Plan dated 10 Apr 97 is attached for reference only.

 

 

Space Based Infrared Systems (SBIRS) Organizational Conflict of Interest (OCI)

Mitigation Plan for SBIR Low Component Program

The purpose of the SBIRS OCI Mitigation Plan is to outline the actions the government will establish and implement in the SBIR High Component Program to ensure objectivity and best value for the SBIR Low Component Program. The SBIRS OCI Mitigation Plan identifies procedures and processes to ensure fair competition, protect proprietary data, and mitigate potential SBIR High Component Program Contractor bias or unfair advantages.

Lockheed Martin Missiles & Space (LMMS), the SBIR High Component Contractor, is responsible for two roles under Total System Performance Responsibility (TSPR), 1) SBIR High and 2) SBIRS System-of-Systems (SoS). SBIR High responsibilities include the GEO space segment, HEO sensors and consolidated ground segment. SBIRS SoS responsibilities includes maintaining ORD requirements flowdown to High/Low components, verification of combined High/Low systems performance and defining external system interface requirements. Based on a review of Federal Acquisition Regulation (FAR) Part 9.505-1 "Providing systems engineering and technical direction", Part 9.505-3 "Providing technical evaluation or advisory and assistance services", and FAR 9.505-4 "Obtaining access to proprietary information", potential OCI issues only concern LMMS’s SoS responsibilities. Therefore, the focus of this plan is on LMMS’s role as the SoS Contractor.

FIREWALLS: Firewalls will preclude LMMS from unfairly influencing the SBIR Low competition by separating LMMS SBIRS SoS and designated High team members from all potential SBIR Low competitors, including the LMMS SBIR Low team. Firewalls will be maintained until SBIR Low EMD contract award (see figure below).

Actions associated with the firewalls include:

1) SBIRS SoS and designated High Team members will be restricted from participating on or supporting the LMMS SBIR Low Team.

2) SBIRS SoS and designated High Team members will be physically separated from and share no resources with the LMMS SBIR Low Team, except as identified to the Government.

3) SBIRS SoS and designated High Team members will disclose SoS or SBIR Low competition sensitive or proprietary information only to the Government.

4) SBIRS SoS and designated High Team members, including any consultants and subcontractors supporting SoS activities, will sign personal non-disclosure statements, making them personally liable for disclosure of SoS, competition sensitive, or proprietary information or products to any persons who are not Government personnel, Government support contractors, or SBIRS SoS or designated High Team members with a need to know.

5) SBIRS SoS and High Teams will be trained on protection requirements in accordance with FAR 9.5, Organizational Conflicts of Interest.

PROCEDURES: Additional procedures and processes will mitigate potential LMMS bias or unfair advantages.

These actions include the following:

1) The Government will establish an open access library. The LMMS SBIR Low Team will have access to SoS data, models, and software only through the same processes as all other SBIR Low competitors.

2) SBIR Low qualified competitors will be invited to participate in non-proprietary sessions of the SBIR High system-level design reviews, Ground Segment major design reviews, and Low-Component-to-High-Component Interface Control Working Group meetings. The purpose of the Low-Component-to-High-Component ICWG is to define the interface between the High and Low components and to provide timely exchange of information between the SBIR High contractor and qualified potential SBIR Low contractors about the SBIRS Ground Segment design and CONOPS.

3) In preparation for Pre-EMD and EMD, SBIR Low qualified competitors will be invited to review the Requirements Allocation Document (RAD), the Low Component Cost Analysis Requirements Description (CARD), and Interface Control Documents (ICDs). This process assists the Government in determining affordability and performance goals for pre-EMD. As an example, the figure below depicts the CARD review process.

4) Quarterly SBIR Low Industry Forums will be held to provide potential SBIR Low competitors information about the SBIR Low program. Answers to questions the government chooses to answer will be provided in writing to all potential Low competitors. Forums will include presentations by the SoS contractor on the current status, data, and decision rationale on SBIR High/Low architectures, trades, and requirements. During Industry Forums, SBIR Low competitors may present to the Government proprietary and competition sensitive data on their technical approaches, comments on the EMD acquisition strategy, and comments on the driving requirements and their impacts.

5) An Independent Review Team (IRT) will be established to review perceived or actual OCI as requested by industry and will be convened as needed by SMC/MT. The IRT will assess the merits of the issue and define alternatives when appropriate.

6) The SBIRS Testbed models will be provided to the SBIR Low Pre-EMD contractors on an equal basis. Proprietary models will not be provided. Selected SBIR Low personnel, who have signed non-disclosure agreements, will have access to the proprietary models at LMMS. LMMS will provide reasonable technical support to each Low contractor while in the LMMS facility to facilitate understanding and operation of the models. LMMS will not provide technical support outside their facility nor provide testbed users’ manuals.

7) LMMS SoS involvement in the SBIR Low EMD proposal process will be restricted to operating the SBIRS SoS Testbed for the sufficiency review of Low competitors’ High/Low performance against threshold requirements. During Pre-EMD, the testbed operators will be separated from the remainder of the LMMS SoS/High teams and will interact with all Low competitors to: a) accurately model their approach and b) assist Low competitors in understanding and operating the models. SoS involvement in the EMD proposal process will terminate at Call For Improvements (CFI) proposal receipt. (see figure below)

8) The SBIR High EMD contract will incorporate the "Avoidance of Organizational Conflict of Interest (OCI) Regarding the SBIRS Low Component Program" contract clause, requiring the "Plan for Avoidance of Organizational Conflict of Interest (OCI) Regarding the SBIRS Low Component Program" to be contractually binding.

9) The Government will promptly inform the affected SBIR Low competitor(s) of all violations of this plan, as defined in 8) above.

 

 

Approved by: _________/s/__________________ 27 Jun 97

JEFFERY A. QUIRK, Col, USAF Date

Deputy Program Director

Space Based Infrared Systems