SOW Tailoring Guide - Department of Defence
SOW Tailoring Guide - Department of Defence
SOW Tailoring Guide - Department of Defence
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ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
ASDEFCON (SUPPORT)<br />
STATEMENT OF WORK (<strong>SOW</strong>) TAILORING GUIDE<br />
Guidance on draft clauses in the<br />
ASDEFCON (SUPPORT) <strong>SOW</strong><br />
ASDEFCON (Support) V3.0 i
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
ASDEFCON (Support) V3.0 ii
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
TABLE OF CONTENTS<br />
ASDEFCON (SUPPORT) .......................................................................................................................... I<br />
STATEMENT OF WORK (<strong>SOW</strong>) TAILORING GUIDE ............................................................................. I<br />
GUIDANCE ON DRAFT CLAUSES IN THE ASDEFCON (SUPPORT) <strong>SOW</strong> ......................................... I<br />
USING THE <strong>SOW</strong> AND <strong>SOW</strong> TAILORING GUIDE.............................................................................. VII<br />
Purpose and Scope ........................................................................................................................ vii<br />
Referenced Documents .................................................................................................................. vii<br />
Acronyms and Abbreviations .......................................................................................................... ix<br />
Application <strong>of</strong> ASDEFCON (Support) ............................................................................................ xiv<br />
Advice to Tenderers ...................................................................................................................... xiv<br />
About the <strong>SOW</strong> .............................................................................................................................. xv<br />
Detailed Service Descriptions ...................................................................................................... xvii<br />
Data Item Descriptions .................................................................................................................xviii<br />
Performance Measurement, Assessment and Management ......................................................... xx<br />
Acquisition Linkages Module ......................................................................................................... xxi<br />
Offer Definition Activities ............................................................................................................... xxi<br />
Operative Date ............................................................................................................................. xxii<br />
<strong>Tailoring</strong> the Draft Statement <strong>of</strong> Work .......................................................................................... xxii<br />
Recommended Approach to <strong>Tailoring</strong> ......................................................................................... xxiv<br />
Template and <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> User Tips ........................................................................... xxix<br />
Word Processing Tips .................................................................................................................. xxx<br />
ASDEFCON (SUPPORT) STATEMENT OF WORK TAILORING GUIDE ......................................... 1-1<br />
1. SCOPE ......................................................................................................................................... 1-1<br />
1.1 Purpose ............................................................................................................................ 1-1<br />
1.2 Background ...................................................................................................................... 1-1<br />
2. GENERAL REQUIREMENTS ...................................................................................................... 2-1<br />
2.1 Scope <strong>of</strong> Work.................................................................................................................. 2-1<br />
2.2 Rate <strong>of</strong> Effort .................................................................................................................... 2-2<br />
2.3 Data Management System .............................................................................................. 2-4<br />
2.4 Deliverable Data Items ..................................................................................................... 2-8<br />
2.5 Draft Data Items Included as Contract Annexes ............................................................ 2-12<br />
2.6 Ozone Depleting Substances, Synthetic Greenhouse Gases, Dangerous Goods and<br />
Hazardous Substances .................................................................................................. 2-12<br />
2.7 Phase In ......................................................................................................................... 2-15<br />
2.8 Phase Out ...................................................................................................................... 2-21<br />
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3. SUPPORT SERVICES MANAGEMENT ..................................................................................... 3-1<br />
3.1 Support Services Program Objectives ............................................................................. 3-2<br />
3.2 Support Services Planning ............................................................................................... 3-2<br />
3.3 Quoting for Survey and Quote Services .......................................................................... 3-9<br />
3.4 Support Services Communication Strategy ................................................................... 3-12<br />
3.5 Subcontractor Management ........................................................................................... 3-21<br />
3.6 Co-ordination and Co-operation..................................................................................... 3-21<br />
3.7 Risk and Issue Management ......................................................................................... 3-23<br />
3.8 Maintenance <strong>of</strong> Contractual Documents ........................................................................ 3-24<br />
3.9 Independent Verification and Validation ........................................................................ 3-25<br />
3.10 Life Cycle Cost (LCC) .................................................................................................... 3-26<br />
3.11 Government Furnished Material and Government Titled Items Management .............. 3-28<br />
3.12 Australian Industry Capability (AIC) Management ......................................................... 3-31<br />
3.13 Intellectual Property Management ................................................................................. 3-32<br />
3.14 <strong>Defence</strong> Security Compliance ........................................................................................ 3-34<br />
3.15 Maintenance <strong>of</strong> Support Agreements ............................................................................ 3-37<br />
3.16 Resident Personnel ........................................................................................................ 3-37<br />
3.17 Environmental Management .......................................................................................... 3-38<br />
3.18 Occupational Health and Safety .................................................................................... 3-44<br />
3.19 Training in <strong>Defence</strong> Information Systems ...................................................................... 3-46<br />
3.20 Access to Foreign Military Sales .................................................................................... 3-47<br />
3.21 Business Resource Planning ......................................................................................... 3-47<br />
3.22 Assurance and Stocktaking <strong>of</strong> Contractor Managed Commonwealth Assets ............... 3-48<br />
4. OPERATING SUPPORT .............................................................................................................. 4-1<br />
4.1 Operating Support Management Planning ...................................................................... 4-2<br />
4.2 Operating Support Reporting ........................................................................................... 4-3<br />
4.3 Operating Support Reviews ............................................................................................. 4-3<br />
4.4 Operating Support Services ............................................................................................. 4-4<br />
5. ENGINEERING SUPPORT .......................................................................................................... 5-1<br />
5.1 Engineering Support Management Planning ................................................................... 5-2<br />
5.2 Engineering Support Reporting ........................................................................................ 5-4<br />
5.3 Engineering Support Reviews .......................................................................................... 5-5<br />
5.4 Technical Regulation <strong>of</strong> Engineering Support ................................................................. 5-5<br />
5.5 Engineering Services ....................................................................................................... 5-8<br />
6. MAINTENANCE SUPPORT ........................................................................................................ 6-1<br />
6.1 Maintenance Support Management Planning .................................................................. 6-2<br />
6.2 Maintenance Support Reporting ...................................................................................... 6-3<br />
6.3 Maintenance Support Reviews ........................................................................................ 6-5<br />
6.4 Technical Regulation <strong>of</strong> Maintenance Support ................................................................ 6-6<br />
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6.5 Maintenance Services ...................................................................................................... 6-9<br />
7. SUPPLY SUPPORT ..................................................................................................................... 7-1<br />
7.1 Supply Support Management Planning ........................................................................... 7-2<br />
7.2 Supply Support Reporting ................................................................................................ 7-3<br />
7.3 Supply Support Reviews .................................................................................................. 7-3<br />
7.4 Supply Services ............................................................................................................... 7-4<br />
8. TRAINING SUPPORT .................................................................................................................. 8-1<br />
8.1 Training Support Management Planning ......................................................................... 8-2<br />
8.2 Training Support Reporting .............................................................................................. 8-3<br />
8.3 Training Support Reviews ................................................................................................ 8-3<br />
8.4 Training Services ............................................................................................................. 8-4<br />
9. SUPPORT RESOURCES ............................................................................................................ 9-1<br />
9.1 Personnel ......................................................................................................................... 9-1<br />
9.2 Technical Data ................................................................................................................. 9-3<br />
9.3 Support and Test Equipment ......................................................................................... 9-10<br />
9.4 Training Equipment ........................................................................................................ 9-11<br />
9.5 Packaging ...................................................................................................................... 9-12<br />
9.6 Facilities ......................................................................................................................... 9-13<br />
9.7 Computer Support .......................................................................................................... 9-14<br />
10. VERIFICATION AND VALIDATION .......................................................................................... 10-1<br />
10.1 Verification and Validation Objectives ........................................................................... 10-3<br />
10.2 Verification and Validation Planning .............................................................................. 10-4<br />
10.3 Support Services Verification and Validation Activities.................................................. 10-4<br />
10.4 Performance Implementation Period ............................................................................. 10-5<br />
10.5 Adjustment ..................................................................................................................... 10-6<br />
11. QUALITY MANAGEMENT ........................................................................................................ 11-1<br />
Annexes:<br />
11.1 Contractor Quality Responsibilities ................................................................................ 11-1<br />
11.2 Quality Management Planning ....................................................................................... 11-1<br />
11.3 Quality Systems, Process and Product Non-Conformances ......................................... 11-2<br />
11.4 Commonwealth Representative Approval <strong>of</strong> Non-Conforming Services ....................... 11-2<br />
A. Support Concepts and Contract Requirements<br />
B. Use <strong>of</strong> ASDEFCON (Support) either Standalone or in Conjunction with a Contract<br />
(Acquisition)<br />
ASDEFCON (Support) V3.0 v
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ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Purpose and Scope<br />
USING THE <strong>SOW</strong> AND <strong>SOW</strong> TAILORING GUIDE<br />
The Australian Standard for <strong>Defence</strong> Contracting (ASDEFCON) template for the support <strong>of</strong> <strong>Defence</strong><br />
materiel systems (ASDEFCON (Support)) is a very flexible template, which allows for a broad scope <strong>of</strong><br />
application. This flexibility and broad application means that drafters must adapt the various template<br />
documents to the needs <strong>of</strong> each contract application. Accordingly, the purpose <strong>of</strong> this Statement <strong>of</strong><br />
Work (<strong>SOW</strong>) <strong>Tailoring</strong> <strong>Guide</strong> is to provide drafters with guidance when selecting optional components<br />
and amending clauses within the ASDEFCON (Support) <strong>SOW</strong> to suit each individual program’s needs.<br />
The scope <strong>of</strong> the <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> covers the main body <strong>of</strong> the <strong>SOW</strong>, with reference to other<br />
elements <strong>of</strong> the template (eg, the modular parts <strong>of</strong> the <strong>SOW</strong>, known as Detailed Service Descriptions<br />
(DSDs)) where necessary. A number <strong>of</strong> these other elements have additional guidance embedded<br />
within them, and drafters should refer to this additional guidance when using those other elements.<br />
The ASDEFCON (Support) <strong>SOW</strong> and the <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> should be read and used together.<br />
Capitalised terms, acronyms, abbreviations and referenced documents used throughout the <strong>SOW</strong><br />
<strong>Tailoring</strong> <strong>Guide</strong> take on the meanings specified in Attachment M to the ASDEFCON (Support)<br />
template. References, acronyms and abbreviations that are used frequently in the <strong>SOW</strong> <strong>Tailoring</strong><br />
<strong>Guide</strong> are listed below.<br />
Referenced Documents<br />
The following table lists the documents referenced in this <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong>:<br />
Reference Description<br />
ASDEFCON (Support) template Conditions <strong>of</strong> Contract (COC) Attachment<br />
M, Glossary.<br />
ASDEFCON Asset Library (hosted on the <strong>Defence</strong> intranet)<br />
ASDEFCON Handbook – Supplementary Information – Philosophy behind<br />
the ASDEFCON Templates (herein referred to as the ‘ASDEFCON<br />
Handbook Philosophy Volume’).<br />
ASDEFCON (Complex Materiel) Volume 2<br />
ASDEFCON Linkages Module<br />
ASDEFCON (Standing Offer for Goods and Maintenance Services)<br />
ASDEFCON (Strategic Materiel)<br />
ASDEFCON (Support Short)<br />
ASDEFCON Template Selection <strong>Guide</strong><br />
Australian Government Information Security Manual<br />
AAP 5030.001CD <strong>Defence</strong> Aviation and Australian Air Publication Systems and<br />
Specifications Manual<br />
AAP 7001.048(AM1) ADF Airworthiness Manual<br />
AAP 7001.053(AM1) Technical Airworthiness Management Manual (TAMM)<br />
AAP 7001.055(AM1) Support and Test Equipment Through Life Support Manual<br />
AAP 7001.059(AM1)B1<br />
to B2<br />
ADF Aviation Maintenance Management Manual<br />
AAP 8000.010(AM1) ADF Operational Airworthiness Manual<br />
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Reference Description<br />
ABR 6492 Navy Technical Regulations Manual<br />
ADFP 101 Glossary<br />
ADFP 7.0.2 The <strong>Defence</strong> Training Model<br />
AS/NZS ISO 9000:2006 Quality Management Systems – Fundamentals and Vocabulary<br />
AS/NZS ISO 9001:2000 Quality Management Systems – Requirements<br />
AS/NZS ISO 14001:2004 Environmental Management Systems – Requirements with Guidance for<br />
Use<br />
AS/NZS ISO 14031:2000 Environmental Management – Environment Performance Evaluation –<br />
<strong>Guide</strong>lines<br />
DEF(AUST) 1000C ADF Packaging<br />
DEF(AUST) 5085B Engineering Drawings<br />
Contract Safety Management – A framework for safety in the <strong>Defence</strong><br />
contract process<br />
DEF(AUST) 5664A Work Breakdown Structures for <strong>Defence</strong> Materiel Projects<br />
DEFLOGMAN <strong>Defence</strong> Logistics Manual<br />
DEIs <strong>Department</strong>al Environment Instructions<br />
DI(A) LOG 12-1 Regulation <strong>of</strong> the Technical Integrity <strong>of</strong> Land Materiel<br />
DI(G) ADMIN 35-1 Procedures for the Use <strong>of</strong> <strong>Defence</strong> Estate Assets by Non <strong>Defence</strong><br />
Organisations or Individuals including Commercial Contractors<br />
DI(G) ADMIN 40-2 Environment and Heritage Management In <strong>Defence</strong><br />
DI(G) LOG 4–1–003 Assignment <strong>of</strong> Australian <strong>Defence</strong> Force Logistics Managers and Their<br />
Associated High Level Roles and Responsibilities<br />
DI(G) LOG 4-1-003 <strong>Defence</strong> Inventory and Assets Manual<br />
DI(G) LOG 4–3–003 Australian <strong>Defence</strong> Force Requirements Determination and Management<br />
<strong>of</strong> Reserve Stocks<br />
DI(G) LOG 4–3–004 <strong>Defence</strong> Stock Location Policy<br />
DI(G) LOG 4–3–005 <strong>Defence</strong> Procurement Routing Rules<br />
DI(G) LOG 4-3-008 Disposal <strong>of</strong> <strong>Defence</strong> Assets<br />
DI(G) LOG 4-3-017 Supply Aspects <strong>of</strong> Contractor Owned Spares<br />
DI(G) LOG 4-3-018 <strong>Defence</strong> Policy on Obsolescence Management<br />
DI(G) LOG 4-3-019 Item Identification and Recording <strong>of</strong> <strong>Defence</strong> Assets<br />
DI(G) LOG 4-3-020 <strong>Defence</strong> Materiel Entitlements<br />
DI(G) LOG 4-5-001 <strong>Defence</strong> Policy on Quality Assurance<br />
DI(G) LOG 4-5-003 <strong>Defence</strong> policy on acquisition and management <strong>of</strong> Technical Data<br />
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Reference Description<br />
DI(G) LOG 4-5-004 <strong>Defence</strong> Policy on Life Cycle Costing Analysis<br />
DI(G) LOG 4-5-005 <strong>Defence</strong> Policy on Integrated Logistic Support<br />
DI(G) LOG 4-5-009 Maintenance Policy<br />
DI(G) LOG 4-5-010 Contingency Maintenance<br />
DI(G) OPS 02-2 Australian <strong>Defence</strong> Force Airworthiness Management<br />
DI(G) OPS 05-3 Civilians in Support <strong>of</strong> Australian <strong>Defence</strong> Force Operations<br />
DI(G) OPS 16-2 The Management <strong>of</strong> Electromagnetic Environmental Effects<br />
DI(G) OPS 16-4 Management <strong>of</strong> Electromagnetic Environmental Effects in Airborne<br />
Systems<br />
DI(G) PERS 05-34 Policy Framework for <strong>Defence</strong> Training Support to Contractors<br />
DI(N) ADMIN 37-15 Assuring the Safety, Fitness for Service and Environmental Compliance <strong>of</strong><br />
Naval Capability<br />
DI(N) ADMIN 37-16 Navy Regulatory System<br />
DI(N) LOG 47-3 Technical Regulation <strong>of</strong> Navy Materiel<br />
DPPI 9/2002 Providing Purchasing Authority and Financial Delegations to Contractors<br />
DPPI 3/2008 Occupational Health and Safety and Hazardous Substances In <strong>Defence</strong><br />
Procurement<br />
<strong>Defence</strong> Environment Policy<br />
<strong>Defence</strong> Intellectual Property Policy 2008<br />
DPPM <strong>Defence</strong> Procurement Policy Manual<br />
DSM <strong>Defence</strong> Security Manual<br />
ESCM Electronic Supply Chain Manual<br />
Environment Protection and Biodiversity Conservation Act 1999 (EPBC<br />
Act)<br />
Hazardous Wastes Act<br />
MIL-STD-974 Contractor Integrated Technical Information Service (CITIS)<br />
NOHSC:1008 (2004) Approved Criteria for Classifying Hazardous Substances<br />
SAFETYMAN <strong>Defence</strong> Safety Manual<br />
Occupational Health and Safety (Safety Standards) Regulations 1994<br />
(Cth)<br />
Ozone Protection and Synthetic Greenhouse Gas Management Act 1989<br />
Productivity and Performance Based Contracting Handbook<br />
TRAMM-L Technical Regulation <strong>of</strong> ADF Materiel Manual – Land<br />
Acronyms and Abbreviations<br />
The following table lists the acronyms and abbreviations used in this <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong>:<br />
ASDEFCON (Support) V3.0 ix
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Abbreviation Description<br />
ADO Australian <strong>Defence</strong> Organisation<br />
AEO Accredited Engineering Organisation (Land TRF) or Authorised<br />
Engineering Organisation (Aerospace and Maritime TRFs)<br />
AIC Australian Industry Capability<br />
AMO Approved Maintenance Organisation (Aerospace TRF) or Accredited<br />
Engineering Organisation (Land TRF)<br />
ASD Aerospace Systems Division<br />
ASDEFCON Australian Standard for <strong>Defence</strong> Contracting<br />
CCP Contract Change Proposal<br />
CDG Capability Development Group<br />
CDRL Contract Data Requirements List<br />
CEMP Contractor Engineering Management Plan<br />
CFE Contractor Furnished Equipment<br />
CITIS Contractor Integrated Technical Information Service<br />
CM Configuration Management<br />
CMP Configuration Management Plan<br />
CMS Contract Master Schedule<br />
COC Conditions Of Contract<br />
COT Conditions Of Tender<br />
CPGs Commonwealth Procurement <strong>Guide</strong>lines<br />
CSMS Contractor Supply Management System<br />
CSR Contract Status Report<br />
CSRL Contract Services Requirements List<br />
CSSR Combined Services Summary Report<br />
CSWBS Contract Summary Work Breakdown Structure<br />
CTXP Contractor Transition Plan<br />
CWBS Contract Work Breakdown Structure<br />
DCDH <strong>Defence</strong> Capability Development Handbook<br />
DID Data Item Description<br />
DMO <strong>Defence</strong> Materiel Organisation<br />
DMS Data Management System<br />
DPPI <strong>Defence</strong> Procurement Policy Instruction<br />
DPPM <strong>Defence</strong> Procurement Policy Manual<br />
DSCM <strong>Defence</strong> Supply Chain Manual<br />
ASDEFCON (Support) V3.0 x
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Abbreviation Description<br />
DSD Detailed Service Description<br />
DSG <strong>Defence</strong> Support Group<br />
EA Evolutionary Acquisition<br />
ECP Engineering Change Proposal<br />
ED Effective Date<br />
FEG Force Element Group<br />
FMECA Failure Mode, Effects and Criticality Analysis<br />
FMS Foreign Military Sales<br />
FPS Function and Performance Specification<br />
GFD Government Furnished Data<br />
GFE Government Furnished Equipment<br />
GFF Government Furnished Facilities<br />
GFI Government Furnished Information<br />
GFM Government Furnished Material<br />
GFS Government Furnished Services<br />
GTI Government Titled Items<br />
ILS Integrated Logistics Support<br />
IOC Initial Operational Capability<br />
IP Intellectual Property<br />
IPB Illustrated Parts Breakdown<br />
ISP Integrated Support Plan<br />
IV&V Independent Verification and Validation<br />
KPI Key Performance Indicator<br />
LCC Life Cycle Cost<br />
LCCA Life Cycle Costing Analysis<br />
LOT Life Of Type<br />
LSA Logistic Support Analysis<br />
LSC Logistic Support Concept<br />
MILIS Military Integrated Logistics Information System<br />
MMP Maintenance Management Plan<br />
MSA Materiel Sustainment Agreement<br />
OCD Operational Concept Document<br />
OD Operative Date<br />
ODA Offer Definition Activities<br />
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Abbreviation Description<br />
OHS Occupational Health and Safety<br />
OSP Operating Support Plan<br />
OSSR Operating Support Summary Report<br />
PAR Performance Assessment Review<br />
PBC Performance Based Contract<br />
PHIP Phase In Plan<br />
PHOP Phase Out Plan<br />
PIP Performance Implementation Period<br />
PPBC Productivity and Performance Based Contract<br />
PWD Planned Withdrawal Date<br />
QEMS Quality and Environmental Management System<br />
RCM Reliability Centred Maintenance<br />
RFT Request For Tender<br />
RMP Risk Management Plan<br />
ROE Rate Of Effort<br />
S&Q Survey and Quote<br />
S&TE Support and Test Equipment<br />
SE Systems Engineering<br />
SEMP Systems Engineering Management Plan<br />
SWMP S<strong>of</strong>tware Management Plan<br />
SOE Standard Operating Environment<br />
<strong>SOW</strong> Statement Of Work<br />
SSCC Support System Constituent Capability<br />
SSMP Support Services Management Plan<br />
SSMS Support Services Master Schedule<br />
SSP Supply Support Plan<br />
SSSPEC Support System Specification<br />
SSVM Support System Verification Matrix<br />
SWSP S<strong>of</strong>tware Support Plan<br />
TDL Technical Data List<br />
TDP Technical Data Plan<br />
TDR Tender Data Requirement<br />
TRA Technical Regulatory Authority<br />
TRF Technical Regulatory Framework<br />
ASDEFCON (Support) V3.0 xii
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Abbreviation Description<br />
TSP Training Support Plan<br />
V&V Verification and Validation<br />
V&VP Verification and Validation Plan<br />
WBS Work Breakdown Structure<br />
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Application <strong>of</strong> ASDEFCON (Support)<br />
The ASDEFCON (Support) <strong>SOW</strong> template is designed to help drafters produce a draft <strong>SOW</strong>, for<br />
inclusion in a Request For Tender (RFT), and a final <strong>SOW</strong> for inclusion in a Contract (Support), in<br />
order to obtain Services for the support <strong>of</strong> <strong>Defence</strong> materiel.<br />
Use <strong>of</strong> the ASDEFCON (Support) <strong>SOW</strong> assumes that the drafter has already used the ASDEFCON<br />
Template Selection <strong>Guide</strong> and selected ASDEFCON (Support) as the most appropriate template to<br />
suit their needs. ASDEFCON (Support) is most suited for medium and large scale support contracts as<br />
described by scenarios #1 to #3 at Annex A. ASDEFCON (Support Short) and ASDEFCON (Standing<br />
Offer for Goods and Maintenance Services) may be used for a Contract (Support) that is less complex<br />
than those requiring the use <strong>of</strong> ASDEFCON (Support). Drafters should refer to Annex A, for a range<br />
<strong>of</strong> support scenarios and template application, and the ASDEFCON Template Selection <strong>Guide</strong> for<br />
further information regarding initial template selection.<br />
The ASDEFCON (Support) template is intended for Performance Based Contracts (PBCs) with<br />
additional mechanisms for seeking Efficiencies, making the template one for Productivity and<br />
Performance Based Contracts (PPBCs). In PPBCs, the contract is primarily managed by the<br />
performance <strong>of</strong> Services as a whole, rather than individual transactions, and emphasis is placed on<br />
the implementation <strong>of</strong> measures to harvest savings created by Efficiencies in improved productivity.<br />
For further information on PPBCs refer to the guidance for clause 3.2.4 Continuous Improvements and<br />
Efficiencies, clause 10 Verification and Validation, guidance for Attachments P and Q and Annex C to<br />
Attachment B, and the PPBC Handbook (on the <strong>Defence</strong> Restricted Network (DRN)).<br />
A Contract (Support) can arise under a number <strong>of</strong> different circumstances, including if:<br />
a. the acquisition and support RFTs are issued to the same tenderer(s) (ie. the successful<br />
tenderer would become both the acquisition and support contractor), which would include if<br />
the Contract (Acquisition) utilised an ASDEFCON (Strategic Materiel) or an ASDEFCON<br />
(Complex Materiel) Volume 2 template;<br />
b. subsequent to the Contract (Acquisition) being signed, the support requirement is sole<br />
sourced to the contractor from whom the Commonwealth procured the capability (ie. the<br />
acquisition contractor would later become the support contractor);<br />
c. the Commonwealth decides to seek tenders for a new Contract (Support) following an<br />
existing Contract (Support) period, or where <strong>Defence</strong> was providing support in-house and<br />
subsequently decided to test the market for the provision <strong>of</strong> support; and<br />
d. the Commonwealth decides to seek tenders for a new support contract, having acquired<br />
equipment through a separate contract or other arrangement (eg, US Foreign Military Sales<br />
(FMS)) that did not include support or only included limited follow-on support.<br />
As an extension to sub-paragraph a. above, ASDEFCON (Support) may also be used in conjunction<br />
with an Evolutionary Acquisition (EA) contracting framework. This specific application, which requires<br />
the coordination <strong>of</strong> acquisition phases and the staged increase in Contractor (Support) capability, goes<br />
beyond the general advice provided in the <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> and specialist advice should be<br />
sought.<br />
Further information on the application <strong>of</strong> the template under each <strong>of</strong> these situations is provided at<br />
Annex B.<br />
Advice to Tenderers<br />
Drafters should provide information that will assist tenderers to lodge viable and competitive bids.<br />
Insufficient information will most likely result in misunderstandings as to the nature and exact scope <strong>of</strong><br />
the work to be undertaken, increased risk, and likely changes to the defined scope <strong>of</strong> the Contract<br />
(Support), and associated cost increases, after contract award. Inadequate definition <strong>of</strong> scope can<br />
also lead to an uncompetitive tendering situation (ie. only an incumbent contractor would have<br />
sufficient knowledge <strong>of</strong> the scope in order to respond with accuracy).<br />
Drafters should include relevant information on the objectives <strong>of</strong> the proposed Contract (Support), the<br />
status <strong>of</strong> the Mission System and/or other Products to be supported, and information that will give<br />
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tenderers a comprehensive understanding <strong>of</strong> the support and Services required. Drafters should also<br />
describe the elements <strong>of</strong> the existing Support System that are to be covered by the Contract (Support)<br />
or where the Contractor (Support) needs to interact with the Commonwealth and other Commonwealth<br />
contractors. This information is <strong>of</strong> prime importance to tenderers who will <strong>of</strong>ten not be able to gather<br />
this information themselves from sources outside <strong>of</strong> <strong>Defence</strong>.<br />
The support philosophy should be based on higher level documents such as the Operational Concept<br />
Document (OCD), a Support Concept (if an OCD including the Support Concept is not provided), Use<br />
Study Report (also if not included as an OCD Annex), Function and Performance Specification (FPS),<br />
Support System Specification (SSSPEC), and/or in-service planning documents. If these documents<br />
do not exist or are not suitable, drafters should consider developing a Use Study Report. Guidance on<br />
this activity can be found in the Australian <strong>Defence</strong> Organisation (ADO) Logistic Support Analysis<br />
(LSA) Manual.<br />
Information may be included in both notes to tenderers or background documents made available to<br />
the tenderers. Importantly, drafters should be aware that all notes to tenderers are deleted from the<br />
Contract (Support) when preparing the final version for signature; thus, any notes that give context to<br />
the required Services will be lost.<br />
About the <strong>SOW</strong><br />
In <strong>Defence</strong> contracts, the <strong>SOW</strong> is the part <strong>of</strong> a contract that defines the scope <strong>of</strong> work that a contractor<br />
is required to undertake, and may include one or more specifications that the products-to-be-delivered<br />
are required to meet (but this is unlikely for a Contract (Support)). In ASDEFCON (Support), the <strong>SOW</strong><br />
has been modularised to provide the degree <strong>of</strong> flexibility in tailoring that is necessary to suit the<br />
different scope and needs <strong>of</strong> the various support contracting requirements. The <strong>SOW</strong> has been<br />
divided into a main body (clauses 1 – 11, for which the guidance is provided in this <strong>SOW</strong> <strong>Tailoring</strong><br />
<strong>Guide</strong>) and a number <strong>of</strong> standard <strong>SOW</strong> modules, which are known as Detailed Service Descriptions<br />
(DSDs). These DSDs are referenced from the main body <strong>of</strong> the <strong>SOW</strong> and form a part <strong>of</strong> the <strong>SOW</strong>.<br />
Accordingly, under ASDEFCON (Support), work may be defined through:<br />
a. clauses in the main body <strong>of</strong> the <strong>SOW</strong>;<br />
b. DSDs; and<br />
c. Approved 1 plans, which are required by the <strong>SOW</strong>.<br />
When drafting ASDEFCON (Support) contracts, drafters must consider the most appropriate<br />
document for defining work requirements. Additionally, if a Service function appears to be ‘missing’<br />
from the main body <strong>of</strong> the <strong>SOW</strong>, the drafter needs to check if the requirement has actually been<br />
captured through a DSD or plan that is required by the <strong>SOW</strong>.<br />
Any <strong>of</strong> the three options above may also refer to recognised standards, technical manuals, or quality<br />
management systems to define process and procedural level instructions.<br />
ASDEFCON (Support) <strong>SOW</strong> clauses task the Contractor (Support) to do something and/or to do<br />
something in a particular way (eg, 'The Contractor shall develop, deliver and update a Support<br />
Services Management Plan (SSMP) in accordance with CDRL Line Number MGT-100’). Details <strong>of</strong> the<br />
main Services required (eg, Engineering and Maintenance) are contained in the DSDs, which are<br />
discussed in detail in the next section. Approved plans are developed in accordance with their<br />
respective Data Item Descriptions (DIDs), which specify the content and, if applicable, the format <strong>of</strong><br />
the required data items, and do not specify work per se. In Approved plans, for example, the<br />
Contractor (Support) details the processes to be followed and the high-level strategy and associated<br />
work (eg, risk management strategies and activities are described in the Approved Risk Management<br />
Plan (RMP)).<br />
If possible, the <strong>SOW</strong> and DSD clauses should define the Service outcomes required and allow the<br />
Contractor (Support) to achieve those outcomes with as much flexibility as possible using its own<br />
established processes and standards. This approach accords with ASDEFCON guiding principles 5<br />
and 6 2 , and allows the Contractor (Support) to tailor its processes and adopt standards best suited to<br />
1 The term ‘Approved’ is defined in the Glossary at Attachment M.<br />
2 Refer to Principles 5 and 6 in section 1.5 <strong>of</strong> the ASDEFCON Handbook Philosophy Volume. Principle 5 is ‘Focus on<br />
Outcomes (not Process)’, while Principle 6 is ‘Work in Contractor Process Domain where Suitable’.<br />
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the Contract (Support). In some circumstances, however, it may be necessary for the <strong>SOW</strong> or DSD<br />
clauses to task the Contractor (Support) to do something in a particular way (eg, as defined by a<br />
particular Technical Regulatory Authority (TRA)). Drafters should ensure that these processes are<br />
mandatory before including them in the <strong>SOW</strong> or DSDs.<br />
There could be significant interaction between the Contractor (Support), the support agency (ie. the<br />
DMO SPO), and the Force Element Group (FEG) / end-user, and the <strong>SOW</strong> needs to recognise and<br />
accommodate this interaction. However, the contractual relationship between the Contractor and the<br />
Commonwealth Representative (or Authorised Persons), who is usually from the support agency, must<br />
be preserved.<br />
In accordance with ASDEFCON guiding principles 3 , all work to be performed by those in the<br />
Contractor's organisation directly involved in providing the Services should be defined in the <strong>SOW</strong>;<br />
however, some <strong>of</strong> the work that the Contractor is required to undertake will also be for compliance with<br />
the provisions <strong>of</strong> the Contract, as detailed in the COC. Activities that are more in the nature <strong>of</strong><br />
overhead functions are defined by the COC. For example, the Contractor might be required to take<br />
out insurance and provide evidence <strong>of</strong> this to the Commonwealth. This type <strong>of</strong> activity would not<br />
normally be included in the <strong>SOW</strong>.<br />
In accordance with good contract drafting practices, each separate requirement in the <strong>SOW</strong> should be<br />
specified in its own clause or subclause for clarity and both ease and traceability <strong>of</strong> costing. The draft<br />
<strong>SOW</strong> is used at the tendering stage to define the work to be undertaken by the Contractor (Support),<br />
under the resultant Contract (Support), and used by the tenderers as a basis for developing their<br />
tender responses. Following successful negotiation, the agreed <strong>SOW</strong> becomes part <strong>of</strong> the Contract.<br />
The drafter should appreciate how the <strong>SOW</strong> fits into the RFT package as a whole, and understand the<br />
full scope <strong>of</strong> requirements. The drafter should discuss the Contract requirements with relevant<br />
personnel, such as the following, at the outset:<br />
a. Integrated Logistic Support (ILS) Manager or acquisition logistics manager (and should<br />
preferably attend a number <strong>of</strong> ILS team meetings);<br />
contracting advisers (eg, from Commercial Policy and Practice Branch);<br />
b. personnel from the lead and related support agencies, such as the Contracts Manager,<br />
Engineering Manager and Finance Officer for the Contract and related contracts; and<br />
c. FEG Coordinator and/or Capability Development Group (CDG) <strong>of</strong>ficer.<br />
Drafters should identify who the most relevant personnel would be.<br />
Drafters may wish to use the following questions as a guide to the completion <strong>of</strong> the draft <strong>SOW</strong> and<br />
DSD clauses:<br />
a. what has already been done (may be acquisition or in-service action);<br />
b. what remains to be done;<br />
c. why does it have to be done (either the reason or to comply with an instruction, such as a<br />
<strong>Defence</strong> policy);<br />
d. where are the details specified (eg, DIDs, DSDs, payment schedules, references);<br />
e. where does it have to be done;<br />
f. when does it have to be done;<br />
g. who will do it (include an organisational chart if appropriate);<br />
h. how will it be done (eg, in accordance with technical manuals, etc); and<br />
i. who will fund it?<br />
3 Refer to Principle 3 in section 1.5 <strong>of</strong> the ASDEFCON Handbook Philosophy Volume, which is ‘Essential Supply Terms should<br />
be Certain and Reflect the Entire Scope <strong>of</strong> the Agreement’.<br />
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Detailed Service Descriptions<br />
DSDs and Services<br />
DSDs appear as separate documents in the ASDEFCON (Support) templates but they are integral<br />
components <strong>of</strong> the <strong>SOW</strong>. They describe selected Services, required from the Contractor (Support), by<br />
grouping together clauses related to the provision <strong>of</strong> particular Services. DSDs have been developed<br />
primarily to simplify the tailoring <strong>of</strong> the draft <strong>SOW</strong>, enabling many clauses for whole sections <strong>of</strong> work<br />
description to be added or removed from the <strong>SOW</strong>, but requiring only a small number <strong>of</strong> changes by<br />
the drafter to do so.<br />
Some DSDs will be Core to sets <strong>of</strong> Services covered by a number <strong>of</strong> DSDs. These DSDs are said to<br />
be ‘head’ DSDs as they head up a group <strong>of</strong> Services. For example, DSD-ENG-SERV establishes<br />
general requirements for Engineering Support (such as engineering information management systems<br />
and the responsibilities <strong>of</strong> various engineering personnel), which provide a framework for more specific<br />
work to be conducted, such as s<strong>of</strong>tware support in DSD-ENG-SW. DSD-ENG-SW can be tailored in<br />
and out <strong>of</strong> an Engineering Support <strong>SOW</strong> as required; however, if any Engineering Support is required,<br />
then the head DSD, DSD-ENG-SERV, must be included. Similarly, DSD-MNT-MGT is a head DSD<br />
that defines the management requirements for the Maintenance <strong>of</strong> military and non-commercial IT<br />
type systems. Other DSDs, such as DSD-MNT-SERV, or new DSDs created by the drafter for more<br />
specific requirements, may be added or deleted from the <strong>SOW</strong> as required, but all must work within<br />
the framework set by DSD-MNT-MGT (except for commercial-grade IT systems). This concept is<br />
illustrated in the <strong>SOW</strong> structure diagrams in later parts <strong>of</strong> this <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong>.<br />
DSDs required by the <strong>SOW</strong> are listed in the Contract Services Requirements List (CSRL). The CSRL<br />
appears as a table similar to the Contract Data Requirements List (CDRL). If a Service needs to be<br />
defined in detail, the draft <strong>SOW</strong> clause should state the requirement for the Service in broad terms<br />
and that the Service is to be provided in accordance with a particular line item in the CSRL (eg, ‘The<br />
Contractor shall provide routine Operating Support Services in accordance with CSRL Line Number<br />
OPS-100’). The CSRL line item should then refer to the relevant DSD.<br />
Use <strong>of</strong> DSDs also assists in tender evaluation by making it easier to divide up the responses in<br />
accordance with the groups <strong>of</strong> Services that each DSD represents, and to allocate evaluation to<br />
members <strong>of</strong> the respective Tender Evaluation Working Group(s).<br />
A DSD should be used when the amount <strong>of</strong> detail to define a particular Service requirement would be<br />
excessive, such that its inclusion in the main body <strong>of</strong> the draft <strong>SOW</strong> would result in the main body<br />
becoming unbalanced. In general, the main body <strong>of</strong> the <strong>SOW</strong> contains contract-management work<br />
(eg, planning, reporting and reviews), while the DSDs describe the technical work effort required.<br />
Further details for individual tasks, which are too detailed even for the DSDs, will be listed in the<br />
referenced documents contained in either <strong>SOW</strong> Annex A, ‘List <strong>of</strong> Products to be Supported’ or <strong>SOW</strong><br />
Annex D, ‘List <strong>of</strong> Referenced Manuals’ (as referenced against the applicable Products in <strong>SOW</strong> Annex<br />
A).<br />
Not all Services require a separate DSD. For example, if the Contractor is required to deliver a plan<br />
for the performance <strong>of</strong> work, then it may be sufficient to rely on the applicable clause in the body <strong>of</strong> the<br />
draft <strong>SOW</strong> that requires the Contractor to perform the work in accordance with the Approved plan. For<br />
example, if the Approved RMP describes detailed risk management activities then only activities that<br />
involve the Commonwealth, such as providing access to the Risk Register, need to be included in the<br />
<strong>SOW</strong>.<br />
The DSD should refer to other documents, as applicable. For example, the Contractor might be<br />
required to perform a Maintenance servicing in accordance with service manuals and other<br />
documents. The DSD might also refer to a plan or report, if the provision <strong>of</strong> the Service requires the<br />
production <strong>of</strong> such a data item. Like the body <strong>of</strong> the <strong>SOW</strong>, DSDs may refer to plans to further define<br />
the Services to be provided (eg, the Configuration Management Plan (CMP) which is required by<br />
DSD-ENG-CM). In this instance, the clauses are ‘paired’, with the first clause requiring delivery <strong>of</strong> the<br />
plan and a following clause that requiring the work to be implemented in accordance with the<br />
Approved plan (refer to the <strong>SOW</strong> or existing draft DSDs). Drafters should continue to use this pattern<br />
<strong>of</strong> paired clauses when developing new DSDs or adding plans to the example DSDs. All data items<br />
requested via DSDs must also be entered in the CDRL.<br />
Drafters should tailor existing draft DSDs as part <strong>of</strong> the development <strong>of</strong> the draft <strong>SOW</strong>. It is usually<br />
more efficient to tailor the DSDs before the related contract management clauses in the <strong>SOW</strong>. Some<br />
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aspects <strong>of</strong> the development <strong>of</strong> a DSD (eg, specialised areas, such as Obsolescence management)<br />
should be developed in conjunction with specialist agencies.<br />
Drafters may also find that, due to different Services being required at different locations, the DSDs<br />
need to refer to specific locations. One way to address this is to use the same DSD twice, tailored for<br />
the differences at each location and with DSD clause 6.1 identifying which location and the Products<br />
at that location (note: adding a ‘location’ column into the tables in <strong>SOW</strong> Annex A can make this easier<br />
to manage). An alternative is to amend the clauses in the DSDs, sometimes duplicating and<br />
amending them for each location. The method chosen (ie. two similar DSDs or modified clauses), will<br />
generally depend on the extent <strong>of</strong> the differences – more extensive differences can be better managed<br />
through separate DSDs..<br />
DSD Structure<br />
If drafters find it necessary to create a new DSD, the following structure applies:<br />
DSD Number (DSD-XXX-XXX)<br />
DSD Title<br />
Data Item Descriptions<br />
Role and Scope<br />
Description and Intended Use - a brief summary <strong>of</strong> the purpose and content <strong>of</strong> the<br />
DSD.<br />
Interrelationships - a list <strong>of</strong> other DSDs that are related to the subject DSD. The<br />
DSDs called up in a particular contract may be developed as a hierarchy <strong>of</strong> DSDs,<br />
with a head DSD having one or more subordinate DSDs. Subordinate DSDs are<br />
dependent to some extent on the head DSD (ie, the subordinate DSD relies on<br />
Services that are specified in the head DSD). Drafters should take care that<br />
subordinate DSDs are not called up without the head DSD.<br />
Applicable Documents - a list <strong>of</strong> documents (other than those generated under the<br />
Contract) that should be referred to in performing the specified Services.<br />
Service Description - a description covering all the Services required under the<br />
high-level Service specified in the body <strong>of</strong> the <strong>SOW</strong>. This usually includes a clause<br />
6.1 to identify the applicable Products to be supported, by reference to <strong>SOW</strong><br />
Annex A. Clause 6.2 and subsequent clauses then details the actual Services.<br />
The description <strong>of</strong> each individual Service should specify the standard <strong>of</strong> required,<br />
such as when the Service is required, rate <strong>of</strong> delivery, and applicable standards<br />
and technical specifications – this can be within the DSD or referred documents or<br />
covered through <strong>SOW</strong> Annex A or performance measures, but the DSD is at the<br />
centre <strong>of</strong> this description. The Service description will also refer to any plans used<br />
to manage the Services or possibly describe additional Services, as discussed<br />
above.<br />
DIDs are the means by which the Commonwealth specifies requirements for the data items that are to<br />
be delivered under the Contract. Data items include management plans, reports, schedules, lists <strong>of</strong><br />
Technical Data, Configuration Management (CM) data, and any other items <strong>of</strong> required data. The<br />
CDRL is a consolidated list <strong>of</strong> all required data items 4 , and also identifies the DID, the delivery<br />
requirements for the data items, Commonwealth actions (such as Review and Approval in accordance<br />
with <strong>SOW</strong> clause 2.4), timeframes for Commonwealth actions, and the update or maintenance<br />
requirements for data items. The meaning <strong>of</strong> columns in the CDRL table is explained in the<br />
introductory clauses <strong>of</strong> the CDRL, <strong>SOW</strong> Annex C.<br />
Drafters need to be conscious that the set <strong>of</strong> data items (and, therefore, DIDs) required for the <strong>SOW</strong> is<br />
dependent on the scope <strong>of</strong> work under the Contract and that the data items need to be selected (and,<br />
where required, tailored) as such. All data items applicable to the Contract are specifically invoked by<br />
the relevant <strong>SOW</strong> and DSD clauses, and drafters must ensure that the CDRL and the <strong>SOW</strong> and DSD<br />
4 Refer to principle 9 in section 1.5 <strong>of</strong> the ASDEFCON Handbook Philosophy Volume, which is ‘Contract Data Requirements List<br />
(CDRL) includes all Data Deliverables’.<br />
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clauses invoking data items match identically (ie, there should be no data items called up that are not<br />
invoked by the CDRL and <strong>SOW</strong> or DSD clauses). DIDs should not duplicate information contained in<br />
the CDRL or <strong>SOW</strong> and, similarly, <strong>SOW</strong> clauses should not call up information that is in the CDRL or<br />
DIDs.<br />
Scheduling<br />
An important consideration in the CDRL is the ’Delivery Schedule’ for a data item. This is <strong>of</strong>ten<br />
expressed with respect to a Contract Milestone; for example, 20 Working Days after the Effective Date<br />
(ie. ‘ED+20’) or 10 Working Days before each Contract Performance Review (ie. CPR-10).<br />
There are certain data items that need to be provided as a requirement for commencing the provision<br />
<strong>of</strong> Services under the Contract (Support), such as the Maintenance Management Plan. For these data<br />
items, the delivery requirement should be stated with reference to the Operative Date (OD) <strong>of</strong> the<br />
Contract (eg, OD – (x) days). If such constraints are placed on the Contract becoming operational,<br />
they must also be enunciated in COC clause 1.4 (Operative Date), although clause 1.4 can also refer<br />
generically to “all data items scheduled for delivery and Commonwealth action prior to the Operative<br />
Date”.<br />
Standard Assets<br />
DIDs are treated as ‘standard assets’ for ASDEFCON (Support), and are located in the ASDEFCON<br />
Asset Library on the <strong>Defence</strong> Restricted Network and DMO Internet site. If an ASDEFCON (Support)<br />
DID is common across more than one contracting template (eg, used by both ASDEFCON (Strategic<br />
Materiel) and ASDEFCON (Support)), then the standard asset for that template is invoked rather than<br />
the DID being duplicated under the ‘Asset Library’ for ASDEFCON (Support). For example, DIDs for<br />
meeting agenda and minutes are contained within the standard assets for ASDEFCON (Strategic<br />
Materiel) and used by all templates.<br />
All DIDs, whether modified or not, must be provided as part <strong>of</strong> the RFT package. Some standard<br />
assets for ASDEFCON (Support) include tailoring guidance in the initial section <strong>of</strong> the DID, and this<br />
guidance should be deleted before the RFT package is issued.<br />
Management Plans<br />
For DIDs that define the requirements for management plans, drafters are given the option <strong>of</strong> either<br />
calling up those specific plans individually or electing to roll up certain plans into higher-level plans<br />
within the hierarchy <strong>of</strong> plans under the SSMP (refer to guidance regarding clause 3.4). This might<br />
occur if the scale <strong>of</strong> the Contract, and the work to be managed by the lower-level plan, is limited in<br />
scope and, therefore, a stand-alone plan to describe these lower-level management arrangements is<br />
not required. For example, all subordinate engineering plans could be rolled-up into the Contractor<br />
Engineering Management Plan (CEMP), while in a simpler contract, many plans could be rolled-up<br />
into the SSMP.<br />
This approach provides flexibility to the drafter in deciding how management plans are to be<br />
packaged, thereby reducing the need for individual plans to be developed by the Contractor while<br />
preserving adequate visibility <strong>of</strong> the Contractor’s processes. There is little point in rolling up plans,<br />
however, unless the lower-level plans are expected to be small and would not stand on their own;<br />
otherwise, the result is a large, unmanageable document, containing a number <strong>of</strong> full sized plans.<br />
Where plans are rolled-up, the DIDs for the higher-level management plans must be reviewed. Where<br />
possible, DIDs have been drafted to be ‘self-tailoring’, whereby the inclusion <strong>of</strong> lower level ‘rolled-up’<br />
plans is based on tailoring <strong>of</strong> the <strong>SOW</strong> and ‘if-then’ clauses. For example, DID-SSM-SSMP has<br />
clauses such as “subject to clause 6.1.5 [which refers to referencing out to other plans], the SSMP<br />
shall describe the risk management processes... [as per a simplified Risk Management Plan]”. The<br />
self-tailoring mechanisms may not capture requirements specific to each individual contract, and some<br />
DIDs may need to be amended to accurately define the requirements for the rolled-up plan.<br />
Certain plans (and their DIDs), such as the Phase In Plan and Phase Out Plan, should not be rolled up<br />
into a higher-level plan because they are distinct activities that only have a limited life. Similarly, data<br />
items that will change regularly over the life <strong>of</strong> the Contract (eg, schedules, issues and risk registers,<br />
and lists <strong>of</strong> technical data) should be requested as separate data items as this reduces the need to<br />
update and re-Approve much larger plans that would otherwise have infrequent changes. For<br />
example, it can be beneficial to keep the Support Services Master Schedule (SSMS) separate from<br />
the SSMP if the schedule is expected to require frequent updates, and it is always beneficial to keep<br />
the RMP separate from the Risk Register.<br />
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Reports<br />
Some DIDs define reports, such as the Contract Status Report (CSR) and Combined Services<br />
Summary Report (CSSR). For PPBCs, the Support Services Verification Matrix (SSVM) also acts as a<br />
regular report. By default, many reports have been rolled-up into the higher-level CSR and CSSR.<br />
The CSSR was created for this purpose, allowing reports for the management <strong>of</strong> activities under each<br />
<strong>of</strong> clauses 4 to 8 <strong>of</strong> the main body <strong>of</strong> the <strong>SOW</strong> to be included in one report; however, component<br />
reports for each <strong>of</strong> the key Service areas (SSCCs) can be scheduled for individual delivery through the<br />
CDRL. The CSR also includes a number <strong>of</strong> commercially oriented sub-reports and delivery <strong>of</strong> the<br />
Performance Measurement Report, which can also be scheduled for separate delivery through the<br />
CDRL.<br />
Reports are almost always required to be delivered a number <strong>of</strong> times during the period <strong>of</strong> the<br />
Contract. Reports will <strong>of</strong>ten be scheduled for delivery in preparation for a related review (eg, a CSR<br />
would be delivered in preparation for the Contract Performance Review (CPR), although not every<br />
CSR must be followed by a CPR).<br />
Where reviews for different Services (ie, for clauses 4 to 8) are to be held separately, different portions<br />
<strong>of</strong> the CSSR can be delivered at different times, in accordance with the CDRL, in order to support<br />
each review. If the review <strong>of</strong> one or more <strong>of</strong> the Services will be combined, (ie, a Combined Services<br />
Performance Review (CSPR) will be held) then some or all <strong>of</strong> the CSSR portions may be delivered<br />
together to inform the combined review. Note that the CSSR, or a relevant portion <strong>of</strong> the CSSR, can<br />
still be delivered without the need to hold a review on every occasion (eg, reports could be delivered<br />
quarterly with reviews only held 6-monthly).<br />
Developing new DIDs<br />
If drafters need to develop new DIDs for additional data items, the ASDEFCON guiding principles 5<br />
should be referred to for direction, as well as staff with appropriate specialist expertise.<br />
New DIDs should be considered for addition to the pool <strong>of</strong> ‘standard assets’.<br />
Performance Measurement, Assessment and Management<br />
Performance measurement under ASDEFCON (Support) seeks to determine the suitability <strong>of</strong> the<br />
Services being provided under the Contract. High-level performance measures called Key<br />
Performance Indicators (KPIs) are linked to Performance Payments in order to align the Contractor’s<br />
motivations for pr<strong>of</strong>it with the required levels <strong>of</strong> performance that enable <strong>Defence</strong> capability outcomes,<br />
Other Performance Measures (OPMs) may be used to validate KPIs, as health indicators to provide<br />
early indications <strong>of</strong> system / equipment deterioration (eg, increasing failure rates), to measure<br />
processes and changes in user demand patterns or environment, or as compliance indicators.<br />
KPIs and OPMs are to be defined by drafters in Attachments P and Q respectively. Attachment P<br />
defines how <strong>of</strong>ten KPIs are measured, evaluated and assessed. For KPIs, details include the<br />
calculations for using Achieved Performance to determine an Adjusted Performance Score. The<br />
Adjusted Performance Score represents performance as a percentage <strong>of</strong> the required performance<br />
level sought by <strong>Defence</strong> and <strong>of</strong> the relative value <strong>of</strong> those Services. That is, if the Contractor achieves<br />
80% for a KPI, and this is the level required by <strong>Defence</strong>, then the result is an Adjusted Performance<br />
Score <strong>of</strong> 100%. Performance below this level may be <strong>of</strong> disproportionate value to <strong>Defence</strong> (eg, 50%<br />
<strong>of</strong> the required performance may <strong>of</strong>fer no value (ie, 0%) to the <strong>Defence</strong> capability) and Attachment P<br />
defines this relationship by the Adjusted Performance Score. Adjusted Performance Scores are used<br />
to calculate Performance Payments in accordance with Annex C to Attachment B.<br />
Clause 10 <strong>of</strong> the <strong>SOW</strong> includes the Verification and Validation (V&V) program applied to plan for and<br />
to measure KPIs and OPMs. The V&V clause requires the delivery <strong>of</strong> the SSVM, for regular reporting<br />
<strong>of</strong> performance results. Clause 3 <strong>of</strong> the <strong>SOW</strong> also requires the delivery <strong>of</strong> the Performance<br />
Measurement Report, a part <strong>of</strong> the CSR (clause 3.4.1), for reporting results and payment-related<br />
calculations. These are discussed by the parties at the Performance Assessment Review, held at the<br />
end <strong>of</strong> each Review Period (clause 3.4.5).<br />
5 Refer to principles, particularly 8 and 10, in section 1.5 <strong>of</strong> the ASDEFCON Handbook Philosophy Volume. Principle 8 is<br />
‘Products and Processes Linked but Distinct’, while Principle 10 is ‘Process Definition Documents’.<br />
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Performance measurement, assessment, evaluation and review require considerable planning in order<br />
to implement an effective performance management framework. Further guidance is provided for<br />
each <strong>of</strong> the applicable clauses, including for:<br />
a. COC clause 1.8, Expiry and Commonwealth’s Option to Extend;<br />
b. COC clause 6, Performance, Acceptance and Ownership;<br />
c. COC clause 7.1, Price and Price Basis;<br />
d. COC clause 7.11, Restrictions on Certain Payments;<br />
e. Attachment B, Annex H, Performance Payments;<br />
f. Attachment P, Performance Assessment;<br />
g. Attachment Q, Other Performance Measures<br />
h. <strong>SOW</strong> clause 3.4, Support Services Communication Strategy;<br />
i. <strong>SOW</strong> clause 10, Verification and Validation;<br />
j. DID-SSM-CSR, which specifies requirements for the Performance Management Report<br />
within the CSR;<br />
k. DID-V&V-V&VP, which specifies requirements for the V&VP; and<br />
l. DID-V&V-SSVM, which specifies requirements for the SSVM.<br />
For further advice on performance measures, refer to the Productivity and Performance Based<br />
Contracting Handbook and section 3.2 <strong>of</strong> the ASDEFCON Handbook Philosophy Volume.<br />
Acquisition Linkages Module<br />
In many acquisition projects, there can be a requirement to have a combined RFT that involves both a<br />
draft Contract (Acquisition) and an accompanying draft Contract (Support). In these situations, the<br />
two contracts must be linked to ensure that required information flows between contracts and that the<br />
two contracts work together effectively when required to do so (eg, to ensure that the provision <strong>of</strong><br />
support Services only begins when there are Products delivered that need to be supported).<br />
The ‘ASDEFCON Linkages Module’ links together a Contract (Acquisition) based on ASDEFCON<br />
(Strategic Materiel) with a Contract (Support) based on ASDEFCON (Support). The module includes a<br />
number <strong>of</strong> changes to the ASDEFCON (Strategic Materiel) Conditions <strong>of</strong> Tender and both Conditions<br />
<strong>of</strong> Contract, and Statements <strong>of</strong> Work. The ASDEFCON Linkages Module has been developed, but is<br />
not for general distribution as it should not be used without seeking advice.<br />
Further information on linking together these two contracts is provided at Annex B. Use <strong>of</strong> the<br />
ASDEFCON Linkages Module, which provides related clauses and further explanation, requires<br />
guidance from DMO Commercial Policy and Practice Branch and this guidance must be sought by the<br />
individual drafter.<br />
Offer Definition Activities<br />
Under a number <strong>of</strong> the acquisition templates (ie. under ASDEFCON (Strategic Materiel) and as an<br />
option under ASDEFCON (Complex Materiel) Volume 2), an Offer Definition Activities (ODA) phase<br />
may be used as a risk-mitigation phase in the period between the conclusion <strong>of</strong> the evaluation <strong>of</strong><br />
tenders and the commencement <strong>of</strong> Contract negotiations. Further information on the use <strong>of</strong> an ODA<br />
phase is provided in Part 2 <strong>of</strong> the ASDEFCON Handbook Philosophy Volume.<br />
The ASDEFCON (Support) <strong>SOW</strong> and <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> have been developed on the basis that<br />
there would not be an ODA phase for support contracts. However, for strategic-level, complex support<br />
contracts, and in cases where support services are to be outsourced from <strong>Defence</strong>, the DMO support<br />
agency involved might see advantages in including an ODA phase in the tendering process. One <strong>of</strong><br />
the primary advantages <strong>of</strong> an ODA phase in this situation would be the use <strong>of</strong> workshops to obtain as<br />
much clarity as possible into the tenderers’ proposed support system solution in the context <strong>of</strong><br />
<strong>Defence</strong>’s requirements defined in the draft Contract (Support).<br />
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If a tender for support Services is sought in parallel to a Strategic Materiel or large Complex Materiel<br />
acquisition, then the ODA phase for the acquisition should also address the draft Contract (Support).<br />
Typical objectives <strong>of</strong> this ODA phase, in relation to the draft Contract (Support), would be:<br />
a. to ensure that as much clarity as possible is provided to the Contract (Support) DSDs and<br />
draft plans;<br />
b. to ensure coordination between acquisition ILS processes that define the Support System<br />
and the further refinement <strong>of</strong> the Contract (Support) scope (eg, full definition <strong>of</strong> Products to<br />
be supported); and<br />
c. to address issues associated with coordinating the schedule for the Contract (Acquisition)<br />
Transition activities with the Phase In and ramp up activities <strong>of</strong> the Contract (Support).<br />
Operative Date<br />
The OD is the date by which the Contractor must be able to demonstrate their achievement <strong>of</strong> a level<br />
<strong>of</strong> capability sufficient to commence the provision <strong>of</strong> Services required by the Contract. This does not<br />
assume that the full scope <strong>of</strong> Services will be required immediately after OD, but will requires sufficient<br />
evidence <strong>of</strong> the Contractor being able to meet the critical aspects <strong>of</strong> Service provision. Having an OD<br />
acknowledges that, in many cases, the capability to provide Services cannot be simply switched-on at<br />
the ED. Accordingly, there must be a list <strong>of</strong> accomplishments that indicate that the required capability<br />
to provide support has been reached, including, for example:<br />
a. having drafted robust plans for managing Services,<br />
b. attaining any required licences or permits (eg, for managing Hazardous Substances that<br />
require such licences or permits);<br />
c. attaining the requisite TRA authorisation (eg, Authorised or Accredited Engineering<br />
Organisation (AEO) status) or presentation <strong>of</strong> information relating to regulatory compliance;<br />
d. having acquired and installed all critical Contractor-furnished elements;<br />
e. having received, accepted and installed critical Government Furnished Material (GFM);<br />
f. having undertaken sufficient staff training; and<br />
g. having required subcontracts signed, particularly with Approved Subcontractors.<br />
When the Contract (Support) is linked to a Contract (Acquisition), via the ASDEFCON Linkages<br />
Module, OD will also be dependent upon the delivery and initial System Acceptance <strong>of</strong> Mission<br />
Systems. This coordinates the use <strong>of</strong> the system(s) by <strong>Defence</strong> with the commencement <strong>of</strong> support.<br />
Although the OD requirements are contained in the COC (at clause 1.4), the list <strong>of</strong> requirements refers<br />
to work activities in the <strong>SOW</strong>; hence, drafting <strong>of</strong> the two parts <strong>of</strong> the Contract (Support) must be<br />
coordinated. The tailoring effort for the <strong>SOW</strong> relates primarily to Phase In activities (which are mainly<br />
defined in <strong>SOW</strong> clause 2.7), the Phase In Plan (PHIP), and the schedule <strong>of</strong> data item deliveries in the<br />
CDRL.<br />
Importantly, the OD clause places work obligations on both the Contractor and the Commonwealth.<br />
The Commonwealth may need to provide GFM (eg, data, information and equipment), access to<br />
facilities and training in <strong>Defence</strong> information systems, in order to achieve OD.<br />
<strong>Tailoring</strong> the Draft Statement <strong>of</strong> Work<br />
An approach has been adopted in the ASDEFCON (Support) <strong>SOW</strong> and DSD templates, which<br />
involves beginning with a broad selection <strong>of</strong> commonly used clauses and then adding DSDs and<br />
optional clauses in order to expand the scope <strong>of</strong> the template to suit the specific Contract (Support)<br />
being drafted (a number <strong>of</strong> common clauses may also need removing). This has been done to:<br />
a. make the <strong>SOW</strong> easy to use for drafters who have relatively standard support services<br />
requirements; and<br />
b. make the <strong>SOW</strong> easy to digest without having to read too many unnecessary clauses.<br />
To achieve this, clauses have been classified as:<br />
a. ‘Core’;<br />
b. ‘Core Options’; or<br />
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c. ‘Optional’.<br />
Core clauses are those that must be included in all draft <strong>SOW</strong>s (for PPBCs <strong>of</strong> the scale covered by<br />
the template). Many core clauses contain internal options, which become ‘Core Options’. If a core<br />
clause contains alphabetised internal options (eg, ‘Option A’ and ‘Option B’), only one <strong>of</strong> the options<br />
must be chosen. For example, clause 6.1 requires a Maintenance Management Plan (MMP), but that<br />
plan could be either stand-alone (Option A) or rolled-up into the SSMP (Option B) – either way,<br />
planning for maintenance activities remains core.<br />
If a core clause contains options that are not alphabetised, drafters may choose as many <strong>of</strong> the<br />
options as required. For example, clause 5.5 is core and requires one or more DSDs for Engineering<br />
Services to be included in the <strong>SOW</strong> through the selection <strong>of</strong> optional clauses. Each <strong>of</strong> the options<br />
within a core clause is accompanied by a note to drafters, and further advice in this <strong>SOW</strong> <strong>Tailoring</strong><br />
<strong>Guide</strong>, to assist drafters in<br />
choosing an appropriate option.<br />
Optional clauses are those that<br />
may or may not be used,<br />
depending on the requirements<br />
<strong>of</strong> a particular Contract<br />
(Support). An optional clause<br />
means that it is optional with<br />
respect to the range <strong>of</strong><br />
contracts that may use this<br />
template, but many optional<br />
clauses must be used in<br />
contract-specific circumstances,<br />
such as to meet technical<br />
regulatory requirements.<br />
Advice on when optional<br />
clauses may be required is<br />
provided through notes to<br />
drafters and this <strong>SOW</strong> <strong>Tailoring</strong><br />
<strong>Guide</strong>.<br />
The system <strong>of</strong> Core and<br />
Optional clauses within the template is hierarchical. A Core clause may be a sub-clause to a higherlevel<br />
Optional clause. This means that inclusion <strong>of</strong> the Core clause is required only if the higher level<br />
Optional clause has been included. If the higher level Optional clause is not included, then none <strong>of</strong><br />
the subclauses are required. For example, the inclusion <strong>of</strong> <strong>SOW</strong> clause 5, Engineering Support, is<br />
Optional because Engineering Services may not be required for every contract that uses the template.<br />
However, if Engineering Services are required then having an appropriate plan, either stand-alone or<br />
rolled-up into the SSMP, is Core and therefore must be included.<br />
Within the different documents that comprise the ASDEFCON (Support) <strong>SOW</strong> template, core clauses<br />
may be located in the ASDEFCON (Support) <strong>SOW</strong>, <strong>SOW</strong> Annexes and the body <strong>of</strong> DSDs and DIDs.<br />
Optional clauses also appear in these documents, with additional clauses appearing in this <strong>SOW</strong><br />
<strong>Tailoring</strong> <strong>Guide</strong> and the guidance sections <strong>of</strong> the DSDs and DIDs, from where drafters can transfer<br />
them into the draft <strong>SOW</strong>, DSDs and DIDs.<br />
Clauses may also be tailorable or non-tailorable. For guidance on whether a clause is tailorable or<br />
non-tailorable, see the <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> or the guidance within the relevant DID or DSD.<br />
Note that many clauses (requirements) within DIDs are ‘self-tailoring’. This means that they create<br />
conditional requirements for specific information to be either included or excluded in the resulting data<br />
item, depending upon the tailoring <strong>of</strong> the <strong>SOW</strong> or related DSD. ‘Self-tailoring’ requirements are<br />
generally worded as “if the Contract requires [X] then the [data item’] shall describe …” and minimise<br />
the need for drafters to modify DIDs.<br />
The wording <strong>of</strong> tailorable clauses may be changed by the drafter to suit the requirements <strong>of</strong> the<br />
Contract, whereas the wording <strong>of</strong> non-tailorable clauses cannot. A clause may be non-tailorable<br />
because the wording has been established by an authority external to the drafter's organisation, such<br />
as having already been negotiated between the DMO and industry. For example, with the exception<br />
<strong>of</strong> the optional Data Management System clause, clause 2.4 for deliverable data items has been<br />
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agreed by the Contracting Consultative Forum and was authorised by the Director General<br />
Contracting Policy and Operations (an organisation preceding CSB) and, therefore, cannot be<br />
changed. The classification <strong>of</strong> a clause as non-tailorable does not preclude minor changes such as<br />
updating references to clause numbers or annexes, provided the meaning <strong>of</strong> the clause is preserved.<br />
The flowchart at Figure 1 (below) shows the procedure a drafter should follow in deciding:<br />
a. whether a clause should be included or omitted;<br />
b. when a new clause is required; and<br />
c. whether a clause may be tailored or not.<br />
Core and Optional clauses are annotated as such in the heading clauses <strong>of</strong> the <strong>SOW</strong>, the <strong>SOW</strong><br />
<strong>Tailoring</strong> <strong>Guide</strong>, the DIDs, and DSDs, if necessary. Drafters should remove any annotations (eg,<br />
‘Option A’, Core etc) before the documents are released to tenderers.<br />
Recommended Approach to <strong>Tailoring</strong><br />
<strong>Tailoring</strong> the ASDEFCON (Support) templates requires broader consideration <strong>of</strong> the requirements for<br />
support Services, not only the clauses themselves. The following table outlines a recommended<br />
approach, identifying each <strong>of</strong> the major steps in the process.<br />
Step Activity Notes<br />
1 Define Support Concept and Support<br />
Procurement Strategy<br />
When tendered with an acquisition contract, the Support Concept is<br />
included in the Operational Concept Document (or Description <strong>of</strong><br />
Requirement). The support procurement strategy should be outlined in<br />
the Acquisition and Support Implementation Strategy (ASIS).<br />
2 Select major optional <strong>SOW</strong> clauses Primarily the clauses for the major Services from the SSCCs (clauses 4<br />
to 8).<br />
3 Select DSDs and identify any new<br />
DSDs needed<br />
These will be as groups <strong>of</strong> services supporting the major clauses<br />
selected in Step 2. These are tailored and/or developed in Step 5.<br />
4 Define ‘Products to be Supported’ These are included in <strong>SOW</strong> Annex A. This may need to be revisited if<br />
there is limited detail available (eg, if waiting on the outcomes <strong>of</strong><br />
acquisition contract).<br />
5 Tailor existing DSDs and develop new<br />
DSDs<br />
6 Develop management regime for each<br />
SSCC<br />
7 Tailor other clauses to ‘Wrap Around’<br />
SSCCs<br />
8 Develop performance-management<br />
framework<br />
9 Finalise <strong>SOW</strong> and <strong>SOW</strong> annexes and<br />
review for consistency<br />
10 Tailor COC and Attachments to align<br />
with <strong>SOW</strong> requirements and Contract<br />
risk assessment<br />
Identify the types <strong>of</strong> Services required.<br />
Confirm the suitability <strong>of</strong> and tailor existing DSDs, and develop new<br />
DSDs as needed.<br />
Confirm the suitability <strong>of</strong> existing DIDs and develop new DIDs as<br />
needed. Not that conducting “X” Services in accordance with an<br />
Approved plan is a common way for acquiring management type<br />
services for the contract.<br />
Develop the initial CDRL and CSRL.<br />
Includes roll-up <strong>of</strong> plans, reports, and review activities for clauses 4 to 8.<br />
Clause 9 for resources (revisit <strong>SOW</strong> Annex A, Products to be<br />
Supported).<br />
Clause 10, Verification and Validation (V&V), if applicable.<br />
Descriptions within Scope and General Requirements, clauses 1 and 2.<br />
<strong>Tailoring</strong> within Support Services Management and Quality<br />
Management, clauses 3 and 11.<br />
Includes applicable entries in V&V clause for planning and reporting data<br />
collection (Support Services Verification Matrix, if<br />
applicable),Attachments for performance assessments and payments,<br />
KPI reporting and reviews.<br />
Update Products to be Supported, CSRL, CDRL, etc.<br />
In relation to <strong>SOW</strong> requirements, focus on Operative Date clause, Price<br />
and Payment Schedule (Attachment B, through COT Annex D),<br />
performance assessment aspects (ie, KPIs and OPMs), Government<br />
Furnished Materiel, glossary, etc.<br />
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Step Activity Notes<br />
11 Tailor COT and COT Annexes to align<br />
with <strong>SOW</strong> and COC requirements<br />
In relation to <strong>SOW</strong> requirements, develop the ‘technical areas’ <strong>of</strong><br />
Annexes E, F, and G, including the draft data items to be tendered.<br />
Also, coordinate with drafting the payment structure for types <strong>of</strong> Services<br />
in Annex D.<br />
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<strong>SOW</strong> TEMPLATE FLOW CHART FOR SELECTION OF CLAUSES, DIDS AND DSDS<br />
Before starting preparation <strong>of</strong> the draft <strong>SOW</strong>, the drafter should have a set <strong>of</strong> requirements for the support <strong>of</strong> the Products to be supported (eg, Mission System(s), parts <strong>of</strong> the<br />
Mission System(s), and the parts <strong>of</strong> the Support System) under the contract. The drafter will be alerted to some requirements, such as the need to meet Technical Regulatory<br />
Authority requirements, by clauses in the <strong>SOW</strong> and the <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong>. The flowchart below is designed to assist the drafter in deciding which clauses should be<br />
included in the draft <strong>SOW</strong> and which clauses in the <strong>SOW</strong> Template can be omitted from the draft <strong>SOW</strong>.<br />
Start<br />
Is the clause a<br />
Core or Core<br />
Option clause?<br />
Y<br />
Does it contain Core/<br />
Core option clauses?<br />
ASDEFCON (Support) V3.0 xxvi<br />
N<br />
Core clauses are those that must be included in all <strong>SOW</strong>s.<br />
Core Option clauses are those that are among a range <strong>of</strong><br />
optional clauses, one <strong>of</strong> which must be used. Clauses that are<br />
not Core or Core Option clauses are Optional clauses.<br />
Optional clauses can contain Core and Core Option subclauses.<br />
Core/Core Option clauses/ sub-clauses, eg,, dealing<br />
with technical regulation, must be included if a particular<br />
Optional clause is chosen.<br />
Is the Optional<br />
clause to be<br />
included?<br />
Some clauses in the <strong>SOW</strong> Template<br />
will not be applicable to the particular<br />
support requirements, and therefore<br />
should not be used<br />
N<br />
Omit Optional<br />
clause<br />
Include if applicable to particular<br />
work/concerns and timing<br />
N
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Is the clause<br />
tailorable?<br />
Y<br />
Does the clause<br />
need tailoring?<br />
Y<br />
Tailor clauses as permitted<br />
N<br />
N<br />
Include clause in draft <strong>SOW</strong><br />
Are the clause and<br />
its sub-clauses<br />
tailorable?<br />
Does the clause need<br />
tailoring?<br />
Tailor clause<br />
ASDEFCON (Support) V3.0 xxvii<br />
Y<br />
Y<br />
N<br />
N
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
May exist in ASDEFCON<br />
(SM) if not in Support<br />
DIDs will be listed in<br />
the CDRL and<br />
included in an Annex.<br />
ASDEFCON (Support) V3.0<br />
Does the clause/ subclauses<br />
call up CDRL<br />
line item/ DID?<br />
Y<br />
Does the DID<br />
exist?<br />
Y<br />
Does the DID need<br />
tailoring?<br />
Y<br />
Tailor DID<br />
Include as part <strong>of</strong> draft<br />
<strong>SOW</strong><br />
N<br />
N<br />
N<br />
No further action<br />
required<br />
Draft new DID<br />
Finish<br />
Figure 1 - Flowchart for Inclusion <strong>of</strong> Clauses in Draft <strong>SOW</strong>, DIDs and DSDs<br />
xxviii<br />
Does the clause/ subclause<br />
call up CSRL<br />
line item/ DSD?<br />
Y<br />
Does the DSD<br />
exist?<br />
Y<br />
Does the DSD<br />
need tailoring?<br />
Y<br />
Tailor DSD<br />
Include as part <strong>of</strong> draft<br />
<strong>SOW</strong><br />
N<br />
N<br />
N<br />
No further action<br />
required<br />
Draft new DSD<br />
DSDs will be listed in<br />
the CSRL and included<br />
in an Annex.
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Template and <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> User Tips<br />
The guidance, 'notes to drafters' and 'notes to tenderers' in the ASDEFCON (Support) template, <strong>SOW</strong><br />
<strong>Tailoring</strong> <strong>Guide</strong>, DIDs, and DSDs are intended to guide the drafter (and in some cases the tenderer)<br />
on which clauses should be used in various circumstances. They may also advise the drafter on<br />
whom to consult for further information, and relevant reference documents. This <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
does not contain detailed explanations or background information behind the development <strong>of</strong> clauses<br />
(such as in the ASDEFCON Handbook Philosophy Volume).<br />
Drafters should read the draft <strong>SOW</strong> and <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> well before the date the <strong>SOW</strong> is<br />
required, because some <strong>of</strong> the reference documents and necessary advice may take some time to<br />
obtain and collate. On an initial read <strong>of</strong> the templates, a drafter will <strong>of</strong>ten query which clauses will be<br />
needed and which will not. In many cases the templates and tailoring guidance will not be able to<br />
assist; these can only explain the options available and the drafter has to decide which option suits the<br />
needs <strong>of</strong> the individual contract. The answer frequently lies with the ASIS, and drafters may need to<br />
revisit this strategy to ensure that the scope <strong>of</strong> the required contract is accurately described before<br />
beginning to tailor the templates.<br />
Drafters may also need to seek out referenced documents in order to undertake tailoring. In some<br />
cases, documents containing information is also required by the tenderers and will need to be included<br />
in the RFT.<br />
If possible, the <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> identifies sponsors for each <strong>of</strong> the clauses to heading level 3.<br />
Drafters should refer to the nominated sponsor for expert guidance if required.<br />
When drafting the <strong>SOW</strong>, drafters should have both the <strong>SOW</strong> and <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> open together.<br />
The following steps are suggested when addressing a relevant section or clause within the <strong>SOW</strong>:<br />
a. determine what Services are required and the Products to be supported;<br />
b. read the relevant clause, then refer to the <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> or DSD tailoring guidance,<br />
as applicable, for any additional information and suggested clauses;<br />
c. understand what the clause requires <strong>of</strong> the Contractor and determine its relevance;<br />
d. refer to any inter-related DIDs and/or DSDs to ascertain any flow-on effects <strong>of</strong> the relevant<br />
clause or if work requirements are actually defined in data items, such as Approved plans<br />
prepared in accordance with DIDs, and undertaken in accordance with those plans;<br />
e. select the relevant clause that best describes what is required <strong>of</strong> the Contractor; and<br />
f. cross-reference any inter-related DIDs and/or DSDs that the newly selected clause may<br />
require and insert these references into the DID/DSD.<br />
The drafter will be confronted with the problem <strong>of</strong> whether a particular clause in the ASDEFCON<br />
(Support) <strong>SOW</strong> or <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong> is applicable to their particular support requirements. The<br />
guidance cannot provide hard-and-fast rules because <strong>of</strong> the wide range <strong>of</strong> variables and every support<br />
contract is different. However, some <strong>of</strong> the factors that influence the decision (from the ASIS or<br />
support procurement strategy), and should be considered, are:<br />
a. size <strong>of</strong> the proposed contract, for example, whether the contract is for the support <strong>of</strong> a<br />
complete platform such as a ship or a fleet <strong>of</strong> aircraft, a medium-sized mission sub-system<br />
(eg, the combat system for a class <strong>of</strong> ship), or for a smaller system such as a fleet <strong>of</strong> radios<br />
or generator sets;<br />
b. expected dollar value <strong>of</strong> the contract and if the amount triggers a need for additional insight<br />
and governance;<br />
c. life <strong>of</strong> the contract (many years or relatively short-term, and options to extend);<br />
d. range and complexity <strong>of</strong> Services required;<br />
e. range <strong>of</strong> technologies involved in performing the work;<br />
f. whether the technologies are new and pose a higher risk or relatively mature and low risk;<br />
g. geographical locations and the distribution <strong>of</strong> Products and required Services;<br />
h. reliance on subcontractors for critical and high-value functions;<br />
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i. critical nature <strong>of</strong> the Services;<br />
j. experience and track record <strong>of</strong> the potential tenderers; and<br />
k. whether the potential tenderers are new or have provided the required support beforehand.<br />
This list is not exhaustive and drafters should take into account other factors relevant to their particular<br />
contract requirements.<br />
Although development <strong>of</strong> the draft <strong>SOW</strong> will be an iterative process, generally, drafters should attempt<br />
to define the Services required before they specify requirements for other items such as plans, reports<br />
and meetings. The nature and extent <strong>of</strong> the Services will drive requirements for plans, reports, and<br />
meetings. Drafters should address:<br />
a. the specific Services required;<br />
b. the need for management <strong>of</strong> those Services (eg, will a separate Supply Support Plan be<br />
needed for Supply Services); and finally<br />
c. the management requirements for the whole <strong>SOW</strong> (as defined under clause 3).<br />
The DIDs and DSDs that form part <strong>of</strong> the ASDEFCON (Support) documents may be tailored to meet<br />
particular contract requirements. Drafters should review these documents and omit or amend clauses<br />
so that the DID or DSD accurately states the requirements, and does not ask tenderers or the<br />
contractor to perform unnecessary work.<br />
Word Processing Tips<br />
All <strong>of</strong> the ASDEFCON <strong>SOW</strong> templates are based on a common Micros<strong>of</strong>t Word® document template.<br />
The addition <strong>of</strong> new clauses, notes, etc, must be done with care to avoid inadvertent changes to the<br />
styles within the template and to ensure that the automatic numbering functions correctly.<br />
The general tips that follow will assist drafters in working with the documents:<br />
a. Download the ASDEFCON style templates (DMO Toolbar) from the intranet and install the<br />
files as directed in the accompanying guide. These templates contain the underlying styles<br />
used by all parts <strong>of</strong> the template.<br />
b. Do not delete clauses (headings) at heading level 1 or 2 in the <strong>SOW</strong> template. If a clause is<br />
not required, retain the heading and mark it, 'Not Used'. Any additional clauses at heading<br />
level 3 should be inserted after the clauses already included in the template. This preserves<br />
the clause numbering, the cross-references between clauses within the template and the<br />
correlation between the clauses in the <strong>SOW</strong> and the guidance in the tailoring guide.<br />
c. Do not use the 'Format Painter' tool to format numbered clauses as this is likely to corrupt<br />
the numbering system. Instead, use the DMO Toolbar to apply styles – the <strong>SOW</strong> has its<br />
own style set, most <strong>of</strong> which can be applied from the <strong>SOW</strong> toolbar that can be shown or<br />
hidden by clicking on the button. If additional styles are required (eg, for even lower level<br />
clauses), open the ‘Styles and Formatting’ task pane (click the button or select from the<br />
menu: Format>Styles and Formatting…) and show ‘Available styles’. Highlight the<br />
applicable clause and then select the required style from the ‘Pick formatting to apply’ list.<br />
<strong>SOW</strong> specific styles all begin with the words “DMO – NumList <strong>SOW</strong>”.<br />
d. When pasting text into the <strong>SOW</strong> template, use 'Paste Special' and paste as 'Unformatted<br />
text' (Edit>Paste Special>Unformatted Text). This will ensure that unwanted styles are not<br />
introduced into the document. Apply the required style manually (as described in paragraph<br />
b.).<br />
e. Page numbering is by document section and shows the level 1 clause number as well as the<br />
sequential page number for that clause. The level 1 clause number is selected by using the<br />
menu: Insert>Page Numbers>Format, checking the ‘Include chapter number’ box, and<br />
selecting ‘Chapter starts with style Heading 1’. As the DMO template does not use the builtin<br />
‘Heading 1” style, a blank Heading 1 paragraph is included at the start <strong>of</strong> each level 1<br />
clause in order to set the page numbering. This Heading 1 clause should be formatted<br />
(menu: Format>Font) as ‘hidden text’.<br />
f. If the clause numbering associated with a style in the document appears corrupted or lost,<br />
there are a few options to try:<br />
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(i) Reapply the style as described in paragraph c. above, which should correct any<br />
formatting inadvertently applied to the style.<br />
(ii) Use the Templates and Add-Ins Organizer (Tools>Templates and Add-Ins><br />
Organizer) to close the default template if not the ASDEFCON styles template<br />
(right-hand list) and open the ASDEFCON styles template, and then copy styles<br />
from the clean template to the current document.<br />
(iii) Alternatively, if changes were saved to the ASDEFCON template (a dialog box<br />
would have prompted the user to save the changes) a clean copy <strong>of</strong> the<br />
template can be downloaded and used to replace the existing template<br />
(Micros<strong>of</strong>t Word® will need to be closed to do this). When the document is reopened<br />
the styles should update, otherwise use the Templates and Add-Ins<br />
Organiser, as per option (ii).<br />
Optional clauses in the <strong>SOW</strong> appear as either a selection <strong>of</strong> ‘option’ styles or within a table, in order to<br />
display a box around the applicable clauses. The selected option can be reverted to normal-looking<br />
clauses using the appropriate methods, which are:<br />
a. for ‘option’ styles (ie, the ‘DMO - Option’ style the explanatory note (bold italics) and an<br />
applicable option style for the clause level (eg, ‘DMO – NumList <strong>SOW</strong> LV3 OPT’ for a level<br />
three clause)), delete the explanatory note and apply the ASDEFCON style to the clause<br />
(eg, ‘DMO – NumList <strong>SOW</strong> LV3 OPT’ is changed to ‘DMO – NumList <strong>SOW</strong> LV3’) using the<br />
<strong>SOW</strong> toolbar.<br />
b. for tables (used to place a single border around clauses and subclauses within the same<br />
option), place the cursor in the table and select the menu “Table>Convert>Table to Text” and<br />
allow the rows to be separated by paragraph marks – the result should be correctly styles<br />
clauses.<br />
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1. SCOPE<br />
1.1 Purpose<br />
ASDEFCON (SUPPORT) STATEMENT OF WORK<br />
TAILORING GUIDE<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To state the prime purpose <strong>of</strong> the Contract.<br />
Policy: Nil<br />
Guidance: This clause should be a concise statement <strong>of</strong> the purpose or aim <strong>of</strong> the Contract by<br />
the addition <strong>of</strong> the name(s) <strong>of</strong> the Mission System(s) or the subsystems /<br />
equipments that will be supported. Drafters need to ensure that the Glossary<br />
(Attachment M) definition for the Mission System(s) and this clause are consistent.<br />
The Mission System(s) and other Products to be supported are detailed in <strong>SOW</strong><br />
Annex A; hence the names <strong>of</strong> the Mission System(s) in clause 1.1 must also be<br />
consistent with Annex A.<br />
If there is no Mission System associated with the Contract (Support), then drafters<br />
should insert a brief summary description <strong>of</strong> the Products to be supported, as listed<br />
in <strong>SOW</strong> Annex A (eg, electronic Support and Test Equipment (S&TE)).<br />
Drafters must review the generic words in <strong>SOW</strong> Template clause 1.1.1 to check<br />
that they are applicable to the Contract. If they are not, the clause must be<br />
amended as necessary.<br />
Related Clauses: <strong>SOW</strong> Annex A, List <strong>of</strong> Products to be Supported.<br />
Optional Clauses: Nil<br />
1.2 Background<br />
Attachment M, Glossary.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To provide the Contractor with relevant background information to enable it to<br />
propose and sustain an optimal Support System, and to optimise provision <strong>of</strong> the<br />
required Services.<br />
Policy: Nil<br />
Guidance: This section <strong>of</strong> the <strong>SOW</strong> provides a brief overview <strong>of</strong> the background to the<br />
Contract, including its genesis and broad objectives. For example, precursor<br />
support contracts could be summarised, as well as related support contracts, other<br />
support arrangements, and/or acquisition contracts with which this Contract<br />
(Support) must integrate.<br />
As this section is not intended to be contractual in nature, ‘shall’ statements should<br />
not be used. Care must also be taken to ensure that statements made in this<br />
section do not conflict with other elements <strong>of</strong> the Contract.<br />
As a guide, this section should be reasonably short, with sufficient information to<br />
establish the background and ‘set the scene’ for the Contract, but should not<br />
provide excessive information that could compromise other parts <strong>of</strong> the Contract.<br />
Where this background information can be included in a separate support concept<br />
document or report, it can be referenced from clause 1.2.<br />
Drafters should develop clauses tailored to the particular needs <strong>of</strong> the required<br />
Services. Subjects that might be addressed include:<br />
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Related Clauses: Nil<br />
Optional Clauses: Nil<br />
a. description <strong>of</strong> the Mission System(s) and its/their function(s);<br />
b. <strong>Defence</strong> objectives to be achieved that will be enabled by the provision <strong>of</strong><br />
these Services (if included, this description should be consistent with required<br />
Outcomes that are related to KPIs);<br />
c. related projects/phases, related support contract or other systems in-service<br />
if interfaces are required;<br />
d. the applicable support concept;<br />
e. intentions and factors affecting future support including major upgrades<br />
and/or the Planned Withdrawal Date (PWD);<br />
f. relationship to industry sector studies and capability maturity (if this is not<br />
addressed elsewhere in the <strong>SOW</strong>);<br />
g. description <strong>of</strong> existing or related Support System(s);<br />
h. existing support arrangements; and<br />
i. roles and functions <strong>of</strong> the main authorities and organisations involved with<br />
the Contract.<br />
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2. GENERAL REQUIREMENTS<br />
2.1 Scope <strong>of</strong> Work<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To define the scope <strong>of</strong> the work that the Contractor is required to perform for the<br />
provision <strong>of</strong> Services.<br />
Policy: Nil<br />
Guidance: This clause should define the overall scope <strong>of</strong> work to be performed by the<br />
Contractor under the Contract, including the major Services. The scope <strong>of</strong> work<br />
would normally include support <strong>of</strong> all or part <strong>of</strong> the Mission System(s), plus<br />
components <strong>of</strong> the Support System, as described in <strong>SOW</strong> Annex A, ‘List <strong>of</strong><br />
Products to be Supported’.<br />
In addition to the principal items (Mission System(s) or equipment) to be supported,<br />
<strong>SOW</strong> Annex A may also include Government Furnished Equipment (GFE), such as<br />
S&TE. Contractor-furnished items would not normally be included in <strong>SOW</strong> Annex<br />
A, as these items are captured in the scope <strong>of</strong> support <strong>of</strong> Support Resources in<br />
clause 9. In the case <strong>of</strong> Contractor-owned spares, however, some <strong>of</strong> these<br />
Contractor-furnished items may be included in <strong>SOW</strong> Annex A because these items<br />
are physically delivered to <strong>Defence</strong>.<br />
Clause 2.1.1 should be tailored to indicate the Services to be provided under the<br />
Contract. The default template clause lists the major services as they relate to the<br />
level-1 clauses <strong>of</strong> the template and level-2 clauses for Support Resources.<br />
Accordingly, the drafter should have already determined the scope <strong>of</strong> the Contract<br />
and this may be one <strong>of</strong> the last clauses to be edited.<br />
Within the scope listed in the default clause, the two elements ‘Management <strong>of</strong><br />
Services’ and ‘Quality Management’ (which refer to Core clauses 3 and 11,<br />
respectively) should be retained in all cases. The Services to be provided under<br />
the five SSCCs (specified in clauses 4-8 <strong>of</strong> the <strong>SOW</strong>) should be tailored to align<br />
with the required Services to be obtained through the Contract (Support):<br />
a. Operating Support, clause 4 providing Operating Support Services;<br />
b. Engineering Support, clause 5 providing Engineering Services;<br />
c. Maintenance Support, clause 6 providing Maintenance Services;<br />
d. Supply Support, clause 7 providing Supply Services; and<br />
e. Training Support, clause 8 providing Training Services.<br />
The scope includes a sub-list <strong>of</strong> Services for Support Resources (specified in<br />
clause 9 <strong>of</strong> the <strong>SOW</strong>). Support Resources can include both GFM and Contractorfurnished<br />
items; hence, for example, support <strong>of</strong> S&TE may still be ‘in scope’, even<br />
if the Contractor is not required to support Government-owned S&TE.<br />
The retention <strong>of</strong> V&V within clause 2.1.1 is dependent upon clause 10 being<br />
included in the draft <strong>SOW</strong> (as opposed to being ‘Not used’). Note: V&V is required<br />
for all PPBCs and therefore a default for use <strong>of</strong> this template.<br />
Default clause 2.1.2 includes the DSDs, as listed in the CSRL, within the scope <strong>of</strong><br />
the Contract. Accordingly, drafters do not need to expand or explain the meaning<br />
<strong>of</strong> the listed Services (eg, different types <strong>of</strong> ‘Supply’ activities) in order to capture<br />
the full scope <strong>of</strong> work.<br />
Drafters may insert additional clauses that cover the complete range <strong>of</strong> Services<br />
required. For example, drafters should indicate the location(s) where Services are<br />
to be provided and where equipment to be supported is located, if these are not<br />
specified elsewhere in the <strong>SOW</strong>. There must be a clear statement in general<br />
terms <strong>of</strong> all the work the Contractor is required to perform. Care should be taken in<br />
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generating these scope clauses; however, to avoid creating conflicts with other<br />
clauses in the draft Contract (Support).<br />
If the Services are required to meet Technical Regulatory Framework (TRF)<br />
requirements, this should be indicated in the description <strong>of</strong> the scope <strong>of</strong> work to be<br />
performed, including the applicable TRF requirements documents, namely:<br />
a. ABR 6492 - Navy Technical Regulations Manual (NTRM);<br />
b. Technical Regulation <strong>of</strong> ADF Materiel Manual – Land (TRAMM-L); and<br />
c. AAP 7001.053 – Technical Airworthiness Management Manual (TAMM).<br />
Do not include the production <strong>of</strong> data items in this clause because these<br />
requirements are spelt out elsewhere.<br />
Clause 2.1.3 explicitly states that all Services are Recurring Services, unless<br />
indicated otherwise in the <strong>SOW</strong> (including DSDs). This clause links to the Price<br />
and Payment schedules in Attachment B to ensure that all Services are priced in a<br />
consistent way by all tenderers. Drafters need to ensure that, in developing the<br />
draft <strong>SOW</strong>, they have a good understanding <strong>of</strong> the commercial arrangements that<br />
are appropriate for the different types <strong>of</strong> Services required. As such, drafters<br />
should consider developing a Support Procurement Strategy 6 , in advance <strong>of</strong><br />
developing the draft Contract (Support), to assist in this regard.<br />
Related Clauses: All other clauses in the <strong>SOW</strong> and <strong>SOW</strong> Annexes.<br />
Optional Clauses: Nil<br />
2.2 Rate <strong>of</strong> Effort<br />
For clause 2.1.3, Attachment B, Price and Payments.<br />
Sponsor: DMO Standardisation Office.<br />
Status: Core<br />
Purpose: To:<br />
Policy: Nil<br />
a. describe the baseline ROE, including routine variations in the ROE, for the<br />
key Products to be supported (eg, Mission System(s)); and<br />
b. provide the tenderers/Contractor with information to assist in planning the<br />
work effort and any subsequent changes to the work effort.<br />
Guidance: This clause should describe the baseline ROE, and possible changes in the ROE,<br />
that are likely to have an impact on the rate <strong>of</strong> work required to provide the<br />
necessary Services under the Contract. The aim is to set parameters for the<br />
Services that form a basis for both the tenderers’ plans and, subsequently, for the<br />
Contractor (Support)’s plans. The arising rate and associated effort for many<br />
support tasks can be calculated from the ROE; hence, this information assists the<br />
tenderers and the eventual Contractor to estimate resource requirements, develop<br />
plans and schedules, scale proposed activities, and forecast costs for the required<br />
Services.<br />
Drafters should refer to the applicable Materiel Sustainment Agreement (MSA)<br />
schedule for the required ROE and system availability for the Mission Systems<br />
and / or other major Products to be supported. In a performance-based<br />
agreements framework, the contracted Services should be based on MSA<br />
requirements (the high-level agreement) and the level <strong>of</strong> responsibility and control<br />
delegated to the Contractor (Support). If the ROE in the MSA is unclear, the ROE<br />
may be available from measures established for a previous contract or support<br />
6 A Support Procurement Strategy may be developed as the in service portion <strong>of</strong> an Acquisition and Support Implementation<br />
Strategy (ASIS). Refer to guidance for developing an ASIS..<br />
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period. If the Contract (Support) is being released with a Contract (Acquisition),<br />
and an MSA schedule has not yet been drafted, then documents such as the Force<br />
Element Group’s Preparedness Directive, the OCD, or a Use Study Report may be<br />
used to determine the baseline ROE and the variations in ROE that are applicable<br />
to the Contract (Support).<br />
In a number <strong>of</strong> support contracts and for a number <strong>of</strong> Services, the Mission System<br />
ROE may not be relevant, including (for example):<br />
a. Maintenance Support contracts, if the majority <strong>of</strong> Maintenance is calendar<br />
based;<br />
b. Training Support contracts, when student throughput is not affected by shortterm<br />
changes to the Mission System ROE; and<br />
c. Engineering Support contracts, where the majority <strong>of</strong> work is for OEM advice<br />
that is primarily <strong>of</strong> an ad hoc nature.<br />
In these instances, an arising rate for the event (eg, calendar-based scheduled<br />
Maintenance, training courses, or estimated enquiries per year) may be more<br />
appropriate than the ROE <strong>of</strong> the Mission System(s). Arising rates may be defined<br />
in the Price and Payment Schedules (Attachment B), and reference to these<br />
schedules could be appropriate for contracts not based on Mission System ROE.<br />
Any description <strong>of</strong> arising rate occurring in both the ROE clause and the Price and<br />
Payment Schedule must be consistent.<br />
Drafters need to determine how ROE (and likely changes to the ROE) will be<br />
expressed in a way that is meaningful to the contracted Services and phrased in<br />
terms <strong>of</strong> required outcomes wherever possible, rather than related workload. The<br />
specification <strong>of</strong> a meaningful ROE can be quite complex. Some example ROE<br />
measures are:<br />
a. actual system use (eg, aircraft flying hours and number <strong>of</strong> sorties, ‘at sea’<br />
days and ‘steaming hours’ for ships, vehicle distance travelled, and<br />
operating hours for electronic equipment such as a radar);<br />
b. user demand (eg, an IT or communications system, with X number <strong>of</strong> users<br />
during core work hours and Y number <strong>of</strong> users out <strong>of</strong> core hours);<br />
c. set number <strong>of</strong> events over a given time period (eg, perform quantity X<br />
routine Maintenance servicings every month, or Y number <strong>of</strong> training courses<br />
per year for Z trainees);<br />
d. type <strong>of</strong> usage (eg, the power-time spectrum for an engine or engine fatigue<br />
life per period); and<br />
e. predicted occurrences (eg, the likely number <strong>of</strong> vehicle accidents or lightning<br />
strikes on communication systems antennae, or over a period <strong>of</strong> time).<br />
For some systems, it will be necessary to identify both an ROE and an availability<br />
requirement for when the system is not in use but still available to the user and not<br />
available to undertake support activities (ie, to allow for stand-by time). These<br />
types <strong>of</strong> constraints can change the Contractor (Support)’s work effort from a<br />
steady low volume to short periods <strong>of</strong> high activity. In addition, ROE may be<br />
influenced by other factors such as, for ships, the Fleet Availability Schedule and<br />
the Usage Upkeep Cycle.<br />
The specification <strong>of</strong> ROE should not include detailed arising rates for component<br />
failures that result in Maintenance activities, unless the Contract (Support) is based<br />
around that component (eg, a Maintenance contract for electrical generators may<br />
have an ROE that is based on the forecast failure rate <strong>of</strong> the generators and the<br />
fleet size). For Mission System support contracts, the tenderers should determine<br />
the lower-level work effort requirements from a Mission System ROE and historical<br />
data (eg, from failure rates that may be available as GFI or from manufacturer’s<br />
reliability data).<br />
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ROE and Surge are interrelated (refer also to the guidance for <strong>SOW</strong> clause 3.2.5).<br />
ROE is considered to apply over the term <strong>of</strong> the Contract, although <strong>of</strong>ten stipulated<br />
on a shorter basis (eg, annually). Surge, on the other hand, is considered to apply<br />
for short or unknown periods during that term. Following effort to meet a Surge<br />
requirement, the ROE would be expected to return to the previous, or baseline,<br />
ROE.<br />
Surge has two components, Exigency and Contingency, which are defined in the<br />
Glossary for each Contract (Support), when applicable. As Exigency is a forecast<br />
increase in effort or ‘rate <strong>of</strong> urgency’ (such as a military exercise or a period <strong>of</strong><br />
increased operational effort). This type <strong>of</strong> Surge may be expressed relative to the<br />
baseline ROE (eg, a 40% increase in Mission System ROE for up to six weeks).<br />
The baseline ROE does not include but may be expressed with reference to<br />
Exigencies (eg, An ROE <strong>of</strong> 2000 fleet operating days per year, with an additional<br />
400 days possible for Exigencies). Accordingly, the ROE clause and the Glossary<br />
definitions need to be consistent.<br />
If the specification <strong>of</strong> the ROE is relatively lengthy, drafters should consider<br />
including it in a standalone document that is referenced from this clause.<br />
Alternatively, if applicable to performance measurement, the ROE could be defined<br />
by a performance-measurement plan drafted by the Commonwealth and included<br />
as an annex to the <strong>SOW</strong> or an attachment to the COC. If the ROE is classified,<br />
drafters should prepare a separate document that defines the ROE, with the<br />
appropriate security grading, and include a reference to this document in the draft<br />
<strong>SOW</strong>.<br />
Changes to the ROE during the period <strong>of</strong> the Contract (Support) may occur<br />
because the Capability Manager requires a change (and this change would be<br />
documented in a revised MSA schedule). These changes are likely to result in<br />
changes to the Services provided by the Contractor (Support), and the cost <strong>of</strong> the<br />
Services to the Commonwealth, and may lead to changes in the Support System<br />
itself. Changes to the ROE are incorporated into the Contract through the Contract<br />
Change Proposal (CCP) process. The template includes clauses to scope the<br />
Contractor (Support)’s submission <strong>of</strong> a CCP for a change in ROE; however, this<br />
clause may need to be tailored based on the Products being supported.<br />
If the ROE is expected to vary either through an increase or decrease for the<br />
longer term (ie, a year or more, not a temporary Surge requirement), the<br />
Commonwealth and Contractor should review the related arising rates for Services<br />
and their impact on Price and Payment Schedules.<br />
Related Clauses: <strong>SOW</strong> clause 3.2.5, Surge, also addresses the management <strong>of</strong> variations from the<br />
baseline ROE due to the Surge requirements <strong>of</strong> the Contract (Support).<br />
Optional Clauses:<br />
ROE can be linked to performance measures such as availability, with consequent<br />
implications for V&V, performance-measurement clauses, and payments.<br />
The Contractor shall provide Services that are capable <strong>of</strong> supporting the Mission<br />
System(s) operating at the maximum ROE for […INSERT PERIOD OF TIME OR<br />
OTHER WORKLOAD METRIC…].<br />
2.3 Data Management System<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To provide an efficient means, on larger Contracts (Support), to exchange data and<br />
share information between the Contractor and Commonwealth.<br />
Policy: DI(G) LOG 4-5-003, <strong>Defence</strong> policy on acquisition and management <strong>of</strong> Technical<br />
Data<br />
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Guidance: DI(G) LOG 4-5-003 establishes the policy framework for the acquisition and<br />
management <strong>of</strong> Technical Data, with the central thrust <strong>of</strong> the policy being the<br />
increased utilisation <strong>of</strong> data in approved electronic formats.<br />
A Data Management System (DMS) is used to provide electronic access to, and<br />
delivery <strong>of</strong>, Contract-related data, which is managed by the Contractor. The DMS<br />
clauses also define support and ancillary functions and training necessary to<br />
efficiently utilise a DMS.<br />
Due to the cost <strong>of</strong> establishing and maintaining a DMS, it is unlikely to be costeffective<br />
for smaller Contracts (Support). However, a DMS should create<br />
efficiencies on larger contracts by reducing the delays and cost associated with the<br />
transfer <strong>of</strong> hard copy documents and individual s<strong>of</strong>t copies, and the duplicated<br />
effort <strong>of</strong> managing data and maintaining data configuration by both parties.<br />
The inclusion <strong>of</strong> exclusion <strong>of</strong> this clause 2.3 also results in the requirement for<br />
changes to the CDRL at <strong>SOW</strong> Annex C, including:<br />
a. CDRL clause 3.4, which defines the meaning <strong>of</strong> ‘delivery’ when using a<br />
DMS;<br />
b. CDRL clauses 4.1f, g, & h, which clarify particular aspects <strong>of</strong> the CDRL<br />
when using a DMS;<br />
c. the CDRL table must be modified in the ‘quantity’ column if a DMS is not<br />
being employed, as explained in the Note to drafters above the CDRL table;<br />
and<br />
d. the CDRL entry for the DMS Concept <strong>of</strong> Operation Document must be<br />
amended, as required.<br />
In some cases, a data item may only be partially submitted via DMS (eg,<br />
performance data may be available, but planning for the next reporting period may<br />
not be). In this case, the normal delivery would apply, but the applicable DMS data<br />
for the delivery date would be considered part <strong>of</strong> the delivered data item. Where<br />
the drafter wishes to specify what portions can be delivered via the DMS and which<br />
can’t, the drafter should annotate the individual CDRL line item accordingly and<br />
ensure that this issue is discussed with, and understood and agreed by, the<br />
preferred tenderer during contract negotiations, when their DMS capability is fully<br />
understood by the Commonwealth team.<br />
MIL-STD-974, ‘Contractor Integrated Technical Information Service (CITIS)’, may<br />
provide additional background information on the scope and requirements for<br />
implementing a DMS.<br />
Related Clauses: Relationships with the following clauses are dependent on the approach taken:<br />
Optional Clauses: Nil<br />
2.3.1 DMS Objectives<br />
<strong>SOW</strong> Annex C, CDRL, requires modification depending upon whether or not a<br />
DMS is to be included in the draft Contract (Support).<br />
<strong>SOW</strong> clause 2.4, Deliverable Data Items.<br />
Attachment L, Resident Personnel, requires inclusion <strong>of</strong> DMS access<br />
requirements.<br />
Attachment O, Members Required in Uniform, may include DMS access<br />
requirements if not adequately covered by <strong>SOW</strong> clause 2.3.<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if a DMS is used)<br />
Purpose: To establish the objectives for implementing a DMS.<br />
Policy: DI(G) LOG 4-5-003, <strong>Defence</strong> policy on acquisition and management <strong>of</strong> Technical<br />
Data<br />
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Guidance: The DMS has the objectives identified in <strong>SOW</strong> clause 2.3.1, which establishes the<br />
purpose <strong>of</strong> the DMS, against which ‘fitness for purpose’ can be judged. Drafters<br />
should not modify these clauses.<br />
Related Clauses: All other sub-clauses within clause 2.3.<br />
Optional Clauses: Nil<br />
2.3.2 DMS General Requirements<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if a DMS is used)<br />
Purpose: To establish the requirements for the Contractor’s DMS.<br />
Policy: DI(G) LOG 4-5-003, <strong>Defence</strong> policy on acquisition and management <strong>of</strong> Technical<br />
Data<br />
Guidance: Clause 2.3.2 establishes the requirements for the DMS and, essentially, provides a<br />
specification for the DMS to be implemented by the Contractor<br />
The DMS may be used for both management information and Technical Data,<br />
depending on the scope defined in <strong>SOW</strong> clause 2.3.2.1 for DMS Contract Data.<br />
Drafters must tailor this clause to identify the scope <strong>of</strong> DMS Contract Data.<br />
The draft clause 2.3.2 includes examples <strong>of</strong> various types <strong>of</strong> information that may<br />
be hosted on a DMS – these may be deleted and added to, by the drafter, as<br />
required to suit the needs <strong>of</strong> the Contract. Some additional types <strong>of</strong> information, to<br />
support the management <strong>of</strong> the Contract, are for the DMS to provide access to:<br />
a. performance-measurement data;<br />
b. report data, reducing the need for frequent report submissions and reducing<br />
the size and detail <strong>of</strong> submitted reports; and<br />
c. a current copy <strong>of</strong> the contract and all Approved CCPs.<br />
From a more technical or functional level, the DMS may also be able to provide<br />
access to:<br />
a. Engineering Change Proposal (ECP) documents, decision records, and<br />
design data;<br />
b. Configuration Management (CM) records;<br />
c. engineering and Maintenance investigation reports;<br />
d. Maintenance Management System data;<br />
e. the Contractor Supply Management System data;<br />
f. training system data; and<br />
g. data for Supportability Analysis / Logistic Support Analysis (LSA), Life Cycle<br />
Costing Analysis (LCCA), Failure Mode Effects and Criticality Analysis<br />
(FMECA), Reliability Centred Maintenance (RCM), spares optimisation, and<br />
any other required analyses required by the <strong>SOW</strong> (including DSDs).<br />
Drafters must also tailor the clauses to identify the Commonwealth Authorised<br />
Users <strong>of</strong> the DMS, which will need to take into consideration the proposed support<br />
arrangements and locations <strong>of</strong> support staff. If Resident Personnel are applicable<br />
to the Contract and are expected to have access to the DMS, then the applicable<br />
DMS requirements need to be included in the terms <strong>of</strong> reference for the Resident<br />
Personnel at Attachment L. Additional access requirements may be needed if the<br />
DMS is to interface with, or be available as a stand-alone system to, other <strong>Defence</strong><br />
units (eg, a <strong>Defence</strong> operational, Maintenance and/or Supply unit that requires to<br />
view or exchange data with the Contractor (Support) regarding Deliverables and<br />
Services).<br />
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Establishing a DMS will <strong>of</strong>ten involve trade-<strong>of</strong>fs between what is easily available<br />
and the cost <strong>of</strong> establishing additional interfaces versus the benefits to be gained<br />
over the period <strong>of</strong> the Contract (Support). Accordingly, while the drafter may add<br />
many <strong>of</strong> the functions listed above when tailoring clause 2.3, the final DMS scope<br />
may not be determined until contract negotiations. In which case, the drafter may<br />
include a note to tenderers that the final scope <strong>of</strong> DMS Contract Data will be<br />
determined on a cost-benefit basis.<br />
Related Clauses: All other sub-clauses within clause 2.3.<br />
Optional Clauses: Nil<br />
2.3.3 DMS Implementation, Operation and Management<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if a DMS is used)<br />
Purpose: To set out the requirements for the implementation, operation and management by<br />
the Contractor <strong>of</strong> the DMS.<br />
Policy: DI(G) LOG 4-5-003, <strong>Defence</strong> policy on acquisition and management <strong>of</strong> Technical<br />
Data<br />
Guidance: While clause 2.3.2 provides the specification for the DMS, clause 2.3.3 provides<br />
the necessary provisions associated with its implementation and operation.<br />
2.3.4 DMS Training<br />
In clause 2.3.3, drafters only need to modify clause 2.3.3.2 to identify the delivery<br />
locations to be used during the interim period between the Effective Date and when<br />
the DMS is fully available for operational use by the Commonwealth Authorised<br />
Users.<br />
Attention is drawn to the provisions <strong>of</strong> clause 2.3.3.5, which states that the<br />
Contractor (Support) is not required to provide any computing hardware to the<br />
Commonwealth Authorised Users (except where otherwise specified (eg, for<br />
Resident Personnel)) or any cryptographic equipment to enable the exchange <strong>of</strong><br />
classified data. If a DMS is being proposed, the Commonwealth team will need to<br />
ensure that:<br />
a. appropriate Commonwealth computing hardware is available when the DMS<br />
is required to become operational (eg, the Commonwealth side <strong>of</strong> the DMS<br />
may not be able to be operated on the Standard Operating Environment<br />
(SOE) and standalone arrangements may need to be implemented); and<br />
b. if exchange <strong>of</strong> classified data is required, appropriate cryptographic<br />
equipment, security processes and security approvals are in place before the<br />
DMS is required to exchange classified data (noting that the Commonwealth<br />
may have to provide certain equipment and approvals to the Contractor<br />
(Support)).<br />
If the Contract (Support) is to be tendered and commenced in parallel with a<br />
Contract (Acquisition), the implementation date for the DMS in the <strong>SOW</strong> template<br />
will need to be amended to refer to the OD (eg, OD-60). The CDRL should also be<br />
amended for the DMS Concept <strong>of</strong> Operations Document, defined by DID-PM-DEF-<br />
DCOD, to be delivered prior to the OD (‘schedule’ field).<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if a DMS is used)<br />
Purpose: To set out the requirements for the Contractor to provide training to<br />
Commonwealth personnel in the use <strong>of</strong> the DMS.<br />
Policy: DI(G) LOG 4-5-003, <strong>Defence</strong> policy on acquisition and management <strong>of</strong> Technical<br />
Data<br />
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Guidance: Clause 2.3.4 identifies the Commonwealth training requirements for the DMS,<br />
including the scope <strong>of</strong> the training, the numbers <strong>of</strong> personnel to be trained, and the<br />
training locations. Drafters must tailor the numbers <strong>of</strong> personnel identified in<br />
clause 2.3.4.2 and the locations in clause 2.3.4.4, as identified by the Notes to<br />
drafters for those clauses. No other tailoring is required.<br />
Related Clauses: All other sub-clauses within clause 2.3.<br />
Optional Clauses: Nil<br />
2.4 Deliverable Data Items<br />
2.4.1 Development and Submission <strong>of</strong> Data Items<br />
Sponsor: DMO Standardisation Office<br />
Status: Core, non-tailorable<br />
Purpose: To impose a contractual obligation on the Contractor to produce, deliver and<br />
update all data items in accordance with the CDRL.<br />
Policy: Nil<br />
Guidance: The explanation <strong>of</strong> the CDRL columns is provided in the covering clauses to the<br />
CDRL table at Annex C to the <strong>SOW</strong>. Guidance on the CDRL is also provided in<br />
the guidance material in the front <strong>of</strong> Annex C to the <strong>SOW</strong>, which explains the use<br />
<strong>of</strong> the CDRL and the data fields contained within the CDRL.<br />
Drafters should also be aware that this clause and subsequent clauses for data<br />
item Review, Approval, Acceptance and delivery under a CCP were negotiated<br />
between the DMO and <strong>Defence</strong> Industry and are not to be changed.<br />
<strong>SOW</strong> clause 2.4.1 is to be included in the RFT without amendment, except for the<br />
inclusion <strong>of</strong> the optional reference to clause 2.3, depending upon whether or not a<br />
DMS requirement has been included in the draft <strong>SOW</strong>.<br />
Related Clauses: <strong>SOW</strong> Annex C, CDRL.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 2.3, Data Management System.<br />
2.4.2 Review, Approval or Non-Approval, and Acceptance <strong>of</strong> Data Items<br />
Sponsor: DMO Standardisation Office<br />
Status: Core, non-tailorable.<br />
Purpose: To advise the Contractor <strong>of</strong> the Commonwealth’s actions with respect to data<br />
items.<br />
Policy: Nil<br />
Guidance: Drafters should be aware that the terms Review, Approve, Accept and CCP<br />
approval have specific meanings defined in the Attachment M, Glossary.<br />
<strong>SOW</strong> clause 2.4.2 informs the Contractor <strong>of</strong> the range <strong>of</strong> possible actions that will<br />
be taken appropriate to each data item, as defined in the CDRL.<br />
<strong>SOW</strong> clause 2.4.2 is to be included in the RFT without amendment.<br />
Related Clauses: <strong>SOW</strong> Annex C, CDRL.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 2.4.3, Data Item Review.<br />
<strong>SOW</strong> clause 2.4.4, Data Item Approval.<br />
<strong>SOW</strong> clause 2.4.5, Data Item Acceptance.<br />
<strong>SOW</strong> clause 2.4.6, Data Items Delivered Under Contract Change Proposals.<br />
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2.4.3 Data Item Review<br />
Sponsor: DMO Standardisation Office<br />
Status: Core, non-tailorable<br />
Purpose: To advise the Contractor <strong>of</strong> the meaning <strong>of</strong> data item Review, and to impose an<br />
obligation on the Contractor to respond to any review comments provided by the<br />
Commonwealth Representative (without transferring any responsibility or<br />
obligations for correctness to the Commonwealth).<br />
Policy: Nil<br />
Guidance: Drafters should consider which the actual period required to review each data item<br />
before inserting periods in the CDRL.<br />
<strong>SOW</strong> clause 2.4.3 is to be included in the RFT without amendment.<br />
Related Clauses: <strong>SOW</strong> Annex C, CDRL.<br />
Optional Clauses: Nil<br />
2.4.4 Data Item Approval<br />
<strong>SOW</strong> clause 2.4.4, Data Item Approval.<br />
<strong>SOW</strong> clause 2.4.5, Data Item Acceptance.<br />
<strong>SOW</strong> clause 2.4.6, Data Items Delivered Under Contract Change Proposals.<br />
Sponsor: DMO Standardisation Office<br />
Status: Core, non-tailorable<br />
Purpose: To advise the Contractor <strong>of</strong>:<br />
Policy: Nil<br />
a. the meaning <strong>of</strong> data item Approval;<br />
b. the Commonwealth’s obligations with respect to data items that are subject<br />
to Approval by the Commonwealth;<br />
c. the scope <strong>of</strong> the Commonwealth’s rights with respect to non-Approval <strong>of</strong><br />
data items.<br />
To impose an obligation on the Contractor to respond to any notification <strong>of</strong> non-<br />
Approval <strong>of</strong> a data item.<br />
Guidance: Drafters should consider the actual period required to review each data item for<br />
Approval before inserting periods in the CDRL. Factors to be considered include:<br />
a. the size and complexity <strong>of</strong> the document;<br />
b. whether a preliminary or draft version would already have been reviewed;<br />
c. how frequently updates or new versions <strong>of</strong> the data item will need to be<br />
reviewed;<br />
d. the need to involve external agencies or Approval authorities; and<br />
e. conflicting requirements (eg, the need to review more than one data item<br />
concurrently).<br />
<strong>SOW</strong> clause 2.4.4 is to be included in the RFT without amendment.<br />
Related Clauses: <strong>SOW</strong> Annex C, CDRL.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 2.4.3, Data Item Review.<br />
<strong>SOW</strong> clause 2.4.5, Data Item Acceptance.<br />
<strong>SOW</strong> clause 2.4.6, Data Items Delivered Under Contract Change Proposals.<br />
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2.4.5 Data Item Acceptance<br />
Sponsor: DMO Standardisation Office<br />
Status: Core, non-tailorable<br />
Purpose: To place a contractual obligation on the Contractor to process data items, which<br />
are subject to Acceptance, in accordance with the provisions <strong>of</strong> this clause.<br />
Policy: Nil<br />
Guidance: <strong>SOW</strong> clause 2.4.5 is to be included in the RFT without amendment.<br />
Related Clauses: <strong>SOW</strong> Annex C, CDRL.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 2.4.3, Data Item Review.<br />
<strong>SOW</strong> clause 2.4.4, Data Item Approval.<br />
<strong>SOW</strong> clause 2.4.6, Data Items Delivered Under Contract Change Proposals.<br />
COC clause 6.6, Acceptance.<br />
2.4.6 Data Items Delivered Under Contract Change Proposals<br />
Sponsor: DMO Standardisation Office<br />
Status: Core, non-tailorable<br />
Purpose: To ensure that the Contractor complies with the CCP procedure, contained in<br />
clause 10.1 <strong>of</strong> the COC, when required to do so under the CDRL.<br />
Policy: Nil<br />
Guidance: Data items will only be recorded in the CDRL with ‘CCP approval’ as the required<br />
action when the data item will form part <strong>of</strong> the contract as an Attachment (eg, the<br />
IP Plan and the Australian Industry Capability (AIC) Plan).<br />
<strong>SOW</strong> clause 2.4.6 is to be included in the RFT without amendment.<br />
Related Clauses: <strong>SOW</strong> Annex C, CDRL.<br />
Optional Clauses: Nil<br />
2.4.7 Data Item Updates<br />
COC clause 10.1, Change to the Contract.<br />
Sponsor: DMO Standardisation Office<br />
Status: Core, non-tailorable<br />
Purpose: To impose a contractual obligation on the Contractor to maintain the accuracy,<br />
completeness and currency <strong>of</strong> all data items delivered under the Contract in<br />
accordance with the CDRL.<br />
Policy: Nil<br />
Guidance: The Contractor is responsible for maintaining data items. Maintenance <strong>of</strong> a data<br />
item involves amending and updating the item to incorporate current information<br />
and data so that the data item is suitable for its intended purpose. Some updates<br />
will need to be Approved to authorise the Contractor to undertake activities that are<br />
different to those currently authorised. For example, the Contractor might identify<br />
the need to change the Training Support Plan to enable changes to training.<br />
Drafters should consider the timeframe in which the Commonwealth can respond<br />
to proposals for changes to data items, and insert the appropriate time in the<br />
‘Delivery Schedule’ column in the CDRL at Annex C to the <strong>SOW</strong>.<br />
Drafters should consider the need for the Commonwealth to keep the Contractor<br />
informed <strong>of</strong> changes that will affect the Contractor’s maintenance <strong>of</strong> data items (eg,<br />
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for the development <strong>of</strong> training courses), and make appropriate arrangements to<br />
ensure that the Contractor receives relevant information in the required timeframe.<br />
<strong>SOW</strong> clause 2.4.7 is to be included in the RFT without amendment.<br />
Related Clauses: <strong>SOW</strong> Annex C, CDRL.<br />
Optional Clauses: Nil<br />
2.4.8 Actioning <strong>of</strong> Data Items<br />
Sponsor: Commercial Policy and Practice Branch and DMO Standardisation Office<br />
Status: Core, non-tailorable<br />
Purpose: To advise the Contractor that any delay in actioning a data item caused by a delay<br />
<strong>of</strong> the Contractor is not a cause for a postponement claim.<br />
Policy: Nil<br />
Guidance: The Commonwealth determines its resourcing requirements based upon its<br />
obligations under the Contract. If a Milestone or Service involves the Review,<br />
Approval or Acceptance <strong>of</strong> a large package <strong>of</strong> data items, the Commonwealth will<br />
increase its personnel and resources to deal with the additional work requirement.<br />
In the past, contractors have been late in delivering data items and then on time for<br />
delivering subsequent data items. If the Commonwealth had not planned for this<br />
eventuality, it would have been consequently late in actioning the data items by the<br />
time required <strong>of</strong> it under the CDRL. Contractors would <strong>of</strong>ten claim, in these<br />
circumstances, that they were absolved from further compliance with their<br />
obligations under the Contract, which were contingent on the Commonwealth’s<br />
actions, until the Commonwealth had performed its obligation, or that they were<br />
entitled to postponement and postponement costs.<br />
Clause 2.4.8 indicates that, where the Contractor is responsible for a delay in the<br />
schedule effecting or delaying the data item process, the Commonwealth may not<br />
be able to action the data items. The Commonwealth’s only responsibility, in<br />
circumstances due to delay caused by the Contractor, would be to use reasonable<br />
endeavours to action the data items under the original timeframes, or where that<br />
fails, to action the data items when sufficient resources become available to do so.<br />
Clause 2.4.8.3 specifically precludes the Contractor from claiming that the<br />
Commonwealth’s inability to action the data item constitutes circumstances beyond<br />
its reasonable control for the purposes <strong>of</strong> COC clause 6.2.4b.<br />
Users should note that this clause is not applicable if the Commonwealth has<br />
accepted a change to the delivery baseline through the Acceptance <strong>of</strong> a CCP that<br />
affects the schedule. In these circumstances, despite the Contractor being in delay<br />
based upon the original requirement to deliver a data item, the Contractor may still<br />
be compliant with the new requirement for delivery. The Commonwealth should<br />
consider carefully how CCPs affecting schedule will impact on its capacity to action<br />
data items within the timeframes required <strong>of</strong> it by the CDRL and, where the<br />
Commonwealth is unable to do so, the consequences for postponement claims,<br />
postponement cost claims and schedule recovery.<br />
Related Clauses: <strong>SOW</strong> Annex C, CDRL.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 2.4.3, Data Item Review.<br />
<strong>SOW</strong> clause 2.4.4, Data Item Approval.<br />
<strong>SOW</strong> clause 2.4.5, Data Item Acceptance.<br />
<strong>SOW</strong> clause 2.4.6, Data Items Delivered Under Contract Change Proposals.<br />
COC clause 6.2, Postponement.<br />
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2.5 Draft Data Items Included as Contract Annexes<br />
Sponsor: Commercial Policy and Practice Branch and DMO Standardisation Office<br />
Status: Optional. To be included if the Commonwealth requires certain draft data items to<br />
be included in the Contract and warranted by the Contractor.<br />
Purpose: To identify the specific draft data items that are warranted by the Contractor under<br />
clause 1.4.2 <strong>of</strong> the COC, and to identify the actions that will occur on Approval <strong>of</strong><br />
any subsequent deliveries <strong>of</strong> these draft data items under the Contract.<br />
Policy: Nil<br />
Guidance: Each tenderer will deliver a number <strong>of</strong> draft data items as part <strong>of</strong> its tender<br />
response (eg, draft plans that define the strategies, systems and processes to be<br />
followed under the Contract). COC clause 1.5, Entire Agreement, provides<br />
authority to the contract as the full extent <strong>of</strong> the agreement between parties; thus<br />
any communication between parties that is not captured in the Contract by ED,<br />
including draft data items, is excluded from scope. Attaching these draft data items<br />
provides a mechanism for capturing the tenderer’s <strong>of</strong>fer in the resultant Contract.<br />
As such, drafters should only attach those draft data items for which there is<br />
benefit to the Commonwealth in having them attached to the Contract.<br />
If, during contract negotiations (or during an ODA phase), certain draft data items<br />
are updated by the tenderer and Approval <strong>of</strong> these data items is provided by the<br />
Commonwealth, then these Approved data items should not be attached to the<br />
resultant Contract (refer to the Note to drafters in this clause). Only data items that<br />
are not Approved should be attached to the Contract through this clause.<br />
Following Approval <strong>of</strong> any <strong>of</strong> the data items that have been attached to the<br />
Contract, clause 2.5.3 specifies that the relevant data item shall be considered<br />
superseded and shall be withdrawn from Attachment K through an amendment to<br />
the Contract. This approach is required to avoid confusion as to which version <strong>of</strong> a<br />
data item applies to the Contract. Until the further versions <strong>of</strong> the data items are<br />
Approved by the Commonwealth Representative, the draft data items at<br />
Attachment K have applicability under the Contract, in accordance with the specific<br />
warranty provided by the Contractor under clause 1.4.2 <strong>of</strong> the COC. Drafters<br />
should note that data items for which prior Approval has been obtained do not<br />
require a warranty because a Contract-ready version <strong>of</strong> the data item has already<br />
been obtained.<br />
Clause 1.4.2 <strong>of</strong> the COC provides additional guidance on the issues associated<br />
with clause 2.5, and the two sets <strong>of</strong> guidance should be read together.<br />
Drafters are to amend clause 2.5.1 to identify the specific data items that are<br />
subject to the Contractor’s warranty. Drafters also need to attach the draft data<br />
items in an annex (or multiple annexes) to Attachment K. Drafters should take<br />
particular notice <strong>of</strong> the Note to drafters in this clause.<br />
Drafters are to update the CDRL to ensure that those data items for which<br />
Approval was provided prior to the Effective Date are correctly annotated as such,<br />
in accordance with the Note to drafters.<br />
Related Clauses: COC clause 1.4.2 addresses the warranty requirements for draft data items that<br />
are attached to the Contract.<br />
Optional Clauses: Nil<br />
COC clause 1.5, Entire Agreement, specifies that the Contract represents the<br />
“parties’ entire agreement in relation to the subject matter”.<br />
Attachment K provides the repository for draft data items included as Contract<br />
annexes.<br />
2.6 Ozone Depleting Substances, Synthetic Greenhouse Gases, Dangerous Goods and<br />
Hazardous Substances<br />
Sponsor: Commercial Policy and Practice Branch and <strong>Defence</strong> Safety Management Agency<br />
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Status: Core<br />
Purpose: To detail the Ozone Depleting Substances, Synthetic Greenhouse Gases,<br />
Dangerous Goods and Hazardous Substances that may be included in deliverable<br />
items.<br />
Policy: DI(G) LOG 4-3-022, Ozone Depleting Substances and Synthetic Greenhouse<br />
Gases Manual<br />
DEFLOGMAN, Part 2, Volume 3 – Ozone Depleting Substances and Synthetic<br />
Greenhouse Gases Manual<br />
DPPM, Section 3, Chapter 3.16<br />
DPPI 3/2008, Occupational Health and Safety and Hazardous Substances In<br />
<strong>Defence</strong> Procurement<br />
<strong>Defence</strong> Safety Manual, Volume 1, Part 5, Chapter 1<br />
<strong>Defence</strong> Occupational Health, Safety and Compensation website at<br />
http://www.defence.gov.au/dpe/ohsc/<br />
Ozone Protection and Synthetic Greenhouse Gas Management Act 1989<br />
Occupational Health and Safety (Safety Standards) Regulations 1994<br />
National Occupational Health and Safety Commission website at<br />
http://www.nohsc.gov.au<br />
Guidance: The Commonwealth has a legislative obligation as an employer to take all<br />
reasonably practicable steps to protect the health and safety <strong>of</strong> its employees,<br />
Contractors and their staff, and other persons at or near <strong>Defence</strong> workplaces.<br />
Commonwealth policy also requires <strong>Defence</strong> to protect the environment wherever<br />
possible. Therefore, <strong>Defence</strong> policy states that Services (including the delivery <strong>of</strong><br />
hardware items) should be free from Ozone Depleting Substances, Synthetic<br />
Greenhouse Gases, Dangerous Goods and Hazardous Substances, to the<br />
maximum extent possible.<br />
The intent <strong>of</strong> the clause, as drafted, is that the Contractor will not supply<br />
Deliverables to the Commonwealth that contains Ozone Depleting Substances,<br />
Synthetic Greenhouse Gases, Dangerous Goods or Hazardous Substances,<br />
unless authorised to do so by the Commonwealth. Authorised substances must be<br />
listed in <strong>SOW</strong> Annex E, Register <strong>of</strong> Approved Ozone Depleting Substances,<br />
Synthetic Greenhouse Gases, Dangerous Goods and Hazardous Substances, and<br />
all protective measures, as detailed in Material Safety Data Sheet, must be<br />
followed.<br />
Ozone Depleting Substances and Synthetic Greenhouse Gases. Substances<br />
classed as Ozone Depleting Substances are listed in Schedules 1 and 3 <strong>of</strong> the<br />
Ozone Protection and Synthetic Greenhouse Gas Management Act 1989 (the Act).<br />
Ozone Depleting Substances destroy the ozone layer in the atmosphere, which<br />
protects the Earth from higher levels <strong>of</strong> solar radiation. Synthetic Greenhouse<br />
Gases were introduced as replacements for Ozone Depleting Substances but<br />
where found to be strong greenhouse gases and where subsequently placed under<br />
a similar management and replacement regime, like the Ozone Depleting<br />
Substances they replaced.<br />
Quotas are imposed on individual companies and Government organisations in<br />
relation to the importation and manufacture <strong>of</strong> Ozone Depleting Substances.<br />
Organisations handling Ozone Depleting Substances and Synthetic Greenhouse<br />
Gases are to be licensed in accordance with the Act. DI(G) LOG 4-3-022<br />
implements the Act in <strong>Defence</strong> for the Ozone Depleting Substances already held<br />
and for new purchases. The policy also places an obligation on contract managers<br />
to ensure that contractors apply DPPM Section 3 Chapter 3:16, which is achieved<br />
by <strong>SOW</strong> clause 2.6, and to ensure that the Contractor’s produce the relevant<br />
licences for Ozone Depleting Substances and Synthetic Greenhouse Gases before<br />
work commences. This is applicable to those contractors maintaining the items<br />
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that contain these substances rather than contractors that maintain items that may<br />
host these substances. For example, this applies to a company that maintains fire<br />
extinguishers, not the company maintaining the gas-turbine engine that the<br />
extinguisher is fitted to – these could be the same company, but <strong>of</strong>ten they are<br />
different companies or one may be a Subcontractor <strong>of</strong> the other.<br />
The Act and policy also requires <strong>Defence</strong> to account for stocks <strong>of</strong> Ozone Depleting<br />
Substances and Synthetic Greenhouse Gases that it controls. Hence discharge <strong>of</strong><br />
<strong>Defence</strong>-controlled substances must be reported back to the <strong>Defence</strong> manager.<br />
<strong>SOW</strong> clause 2.6.9 covers those occasions when a contractor discharges or<br />
suspects discharge <strong>of</strong> and Ozone Depleting Substance or Synthetic Greenhouse<br />
Gas (eg, unintended de-gassing <strong>of</strong> an air-conditioner or setting <strong>of</strong>f an engine fire<br />
bottle) that <strong>Defence</strong> accounts for. This is primarily intended for non-licensed<br />
Contractors maintaining related equipment as licensed contractors will already be<br />
aware <strong>of</strong> the reporting requirement.<br />
Dangerous Goods. Dangerous Goods are defined through regulation 8.04(3) <strong>of</strong><br />
the Occupational Health and Safety (Safety Standards) Regulations 1994.<br />
Hazardous Substances. The criteria for determining whether a substance is<br />
hazardous are detailed in National Occupational Health and Safety Commission<br />
(NOHSC):1008 (2004) ‘Approved Criteria for Classifying Hazardous Substances’.<br />
Drafters should consult the Sponsor on the development <strong>of</strong> the list attached at<br />
<strong>SOW</strong> Annex E. Note that, although details are required with tender responses, if a<br />
Contract (Support) is tendered with a Contract (Acquisition) for a Materiel System<br />
still to be developed, then the Commonwealth may not become aware for the full<br />
extent <strong>of</strong> the use <strong>of</strong> Ozone Depleting Substances, Synthetic Greenhouse Gases,<br />
Dangerous Goods and Hazardous Substances until well into the period <strong>of</strong> the<br />
Contract (Acquisition).<br />
Drafters should note that <strong>Defence</strong> policy on Ozone Depleting Substances,<br />
Synthetic Greenhouse Gases, Dangerous Goods and Hazardous Substances does<br />
not extend to requiring that Contractors must not use these substances. However,<br />
Contractors are required to comply with local government regulations, and state<br />
and federal legislation that govern the use <strong>of</strong> Ozone Depleting Substances<br />
Synthetic Greenhouse Gases, Dangerous Goods and Hazardous Substances. In<br />
addition, the Contractor may be governed in the use <strong>of</strong> these substances by<br />
<strong>Defence</strong> Environmental Management requirements.<br />
Related Clauses: Paragraph 7 <strong>of</strong> Annex E to Attachment A <strong>of</strong> the Conditions <strong>of</strong> Tender requests<br />
tenderers to provide details <strong>of</strong> any Hazardous Substances or Ozone Depleting<br />
Substances that are proposed for inclusion in the Services.<br />
'Ozone Depleting Substances', ‘Synthetic Greenhouse Gases’, ‘Dangerous Good’<br />
and 'Hazardous Substances' are defined in the Glossary at Attachment M.<br />
COC clause 11.2 places a general obligation on the Contractor to comply with<br />
applicable laws, which includes (as applicable) laws relating to the environment,<br />
hazardous substances and occupational health and safety.<br />
COC clause 11.4 places an obligation on the Contractor to provide Services that<br />
do not render the Commonwealth in breach <strong>of</strong> its Occupational Health and Safety<br />
obligations.<br />
COC clause 11.5 places an obligation on the Contractor to perform the Contract in<br />
such a way that the Commonwealth is not placed in breach <strong>of</strong> the Environment<br />
Protection and Biodiversity Conservation Act 1999.<br />
<strong>SOW</strong> clause 3.18 sets out the work requirements associated with Occupational<br />
Health and Safety (OHS).<br />
<strong>SOW</strong> clause 3.17 sets out the work requirements associated with environmental<br />
management.<br />
<strong>SOW</strong> Annex E, Ozone Depleting Substances, Synthetic Greenhouse Gases,<br />
Dangerous Goods and Hazardous Substances.<br />
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Optional Clauses: Nil<br />
2.7 Phase In<br />
2.7.1 Phase In Plan<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To:<br />
Policy: Nil<br />
a. define the plans, methodologies, processes and activities that will be<br />
performed by the Contractor to ensure a coordinated Phase In <strong>of</strong> the<br />
required Services, including, where applicable, a smooth transition from the<br />
Commonwealth or the outgoing contractor; and<br />
b. where applicable, establish the ground rules for the Phase In <strong>of</strong><br />
management responsibilities from the outgoing support organisations (ie,<br />
Commonwealth, contractor and subcontractors) to the Contractor.<br />
Guidance: With the exception <strong>of</strong> smaller-scale Contracts (Support), where establishing a<br />
support capability should be a straight-forward task, the incoming Contractor will<br />
generally not be able to provide a full support capability for the Products to be<br />
supported at the time <strong>of</strong> contract award. This occurs because the incoming<br />
Contractor (Support) must set up its elements <strong>of</strong> the Support System and adapt<br />
other elements <strong>of</strong> the existing Support System to meet its requirements<br />
(particularly in relation to interactions with the Commonwealth). This could involve<br />
activities such as:<br />
a. acquiring additional personnel with the required expertise;<br />
b. training personnel;<br />
c. setting up its own Engineering Support capabilities for those Products for<br />
which it has engineering authority;<br />
d. acquiring spares, S&TE, etc;<br />
e. building new facilities and/or adaptation <strong>of</strong> existing facilities<br />
f. completing the negotiations and establishment <strong>of</strong> new subcontracts;<br />
g. setting up administration and management systems, including computer<br />
support; and<br />
h. transferring Technical Data (eg, from the Contractor (Acquisition) or the<br />
outgoing support agency).<br />
A Phase In Plan (PHIP) is used to define how the new Contractor (Support) will<br />
establish the capability and capacity, to provide the required Services, in the period<br />
leading up to the OD. A PHIP may be used where the incoming Contractor<br />
(Support) will take over from:<br />
a. an outgoing Contractor (Support),<br />
b. a Contractor (Acquisition) that has provided initial support services,<br />
c. a Contractor (Acquisition) as the Materiel System is delivered (ie, initial<br />
support services were not provided under the Contract (Acquisition)), or<br />
d. from a <strong>Defence</strong> organisation supporting a system already in service.<br />
A draft PHIP may be requested in the RFT (refer to clause 2 <strong>of</strong> Annex G to COT<br />
Attachment A). If the outgoing Contractor (Support) is also the preferred tenderer,<br />
then a final PHIP would not be required, unless there has been a significant<br />
change in the scope from one Contract (Support) to the next.<br />
Tenderers will need to obtain or be provided with information on how the<br />
Commonwealth or the outgoing contractor will wind down the provision <strong>of</strong> Services<br />
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under the existing arrangement/contract. This information should be contained in<br />
the outgoing contractor’s Phase Out Plan (PHOP), a Commonwealth Transition<br />
Plan for transition from Commonwealth-provided support, or the Contractor<br />
(Acquisition)’s Contractor Transition Plan (CTXP). The type <strong>of</strong> information<br />
contained in a PHOP is defined in DID-SSM-PHOP, while the requirements for a<br />
CTXP are contained in DID-PM-TRANS-CTXP (ASDEFCON (Strategic Materiel)).<br />
If one were to be available, the Support Services Master Schedule (SSMS) for the<br />
current Contract (Support) would also be useful for tenderers when planning<br />
Phase In activities, as may a Contract Master Schedule (CMS) if the Contract<br />
(Support) were to follow a Contract (Acquisition). These schedules may contain<br />
useful information for planning the handover <strong>of</strong> Services.<br />
Drafters should seek a draft PHOP from the outgoing contractor to meet the timing<br />
<strong>of</strong> the RFT for the new Contract (Support) (refer to guidance for clause 2.8.1).<br />
Where the Contract (Support) and Contract (Acquisition) are tendered together, it<br />
would be expected that the draft / outline CTXP and PHIP provided in the tender<br />
responses (if both were requested) would be consistent with each other, even if<br />
two different contractors responded in a joint bid (ie, one acquisition and one<br />
support contractor).<br />
If a PHOP from the outgoing contractor is not available, the Commonwealth should<br />
provide tenderers with information on what parts <strong>of</strong> the existing Support System<br />
will be made available to the incoming Contractor (Support), and how the outgoing<br />
contractor proposes to Phase Out their support activities.<br />
Drafters should also consider the inclusion <strong>of</strong> lists <strong>of</strong> GFM, GFF, GFS and,<br />
possibly, Government Titled Items (GTI) that will be provided to the incoming<br />
Contractor because the availability <strong>of</strong> this information will affect the PHIP. Lists <strong>of</strong><br />
GFM, GFF, GFS and GTI are at Annexes A, B, C and D, respectively, to<br />
Attachment E. If applicable, GTI will be included as Annex D. Obligations with<br />
respect to GFF are also included in the Contract and the attached facilities licence.<br />
Contracting advice should be sought before starting the development <strong>of</strong> these lists.<br />
Note that, for a new Contractor (Support), which is taking over support<br />
responsibilities from an outgoing support agency (eg, Commonwealth), Phase In<br />
can be seen as a type <strong>of</strong> due diligence process to be performed by the incoming<br />
Contractor prior to the Operative Date.<br />
For a Contract (Support) linked to a Contract (Acquisition), there will typically be a<br />
period where the Contractor (Acquisition) is providing increasing quantities <strong>of</strong><br />
Products requiring support (eg, a new Mission System being delivered each<br />
month), as illustrated in the following diagram.<br />
Scope Scope <strong>of</strong><br />
<strong>of</strong><br />
Services<br />
Services<br />
Provided<br />
Provided<br />
(Capability<br />
(Capability<br />
and and Capacity)<br />
Capacity)<br />
Support<br />
Services<br />
Provided<br />
Phase-In<br />
Services<br />
Provided<br />
Ramp Ramp Up<br />
Up<br />
(increasing<br />
(increasing<br />
numbers numbers <strong>of</strong><br />
<strong>of</strong><br />
elements elements elements requiring<br />
requiring<br />
support support services)<br />
services)<br />
Phase Phase In<br />
In<br />
Eff Eff Date Date Date<br />
Op Op Date<br />
Date<br />
Required capability to provide support services has<br />
been established and, if applicable, warranty period<br />
for the first Mission System has expired.<br />
Relationship between ED, OD, Phase In, Ramp Up<br />
Mature<br />
Mature<br />
Period<br />
Period<br />
(full (full (full scope<br />
scope<br />
<strong>of</strong> <strong>of</strong> support<br />
support<br />
services<br />
services<br />
provided)<br />
provided)<br />
Time<br />
Time<br />
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The period following OD, which requires the Contractor (Support) to increase its<br />
capacity (and, in all likelihood, capability), is typically known as ‘ramp up’.<br />
Drafters should refer to the diagram on the following page to gain a better<br />
appreciation <strong>of</strong> how Transition, Phase In, Phase Out and ramp up are related.<br />
Note that the period <strong>of</strong> ramp up may be lengthy for contracts with a staggered<br />
production program, but could equally be very short, or even non-existent, for<br />
smaller contracts, especially those which only include one or two <strong>of</strong> the SSCCs.<br />
The following diagram also refers to the example situation where Phase In<br />
concludes at the OD, but this is not always the case.<br />
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Period prior to Operative Date o f<br />
Contract (Su pport)<br />
C ontract (Acquisition) Services provided by outgoing C ontractor<br />
(Acquisition) working to a Contractor Transition<br />
Plan<br />
Outgoing Contract<br />
(Sup port) #<br />
Incomin g C ontract<br />
(Sup port)<br />
called Transition * period<br />
OR<br />
Services provided by outgoing C ontractor<br />
(Support) work ing to a Phase-out Plan<br />
Services diminish regarding that particular<br />
acquisition Product now transitioned * to the<br />
C ontractor (Support)<br />
Services rem ain for Products still being<br />
acquired and for selected acquisition Products<br />
already transitioned * , working to a Contrator<br />
T ransition Plan<br />
Services diminish regarding those Products<br />
now transitioned * to the incom ing Contractor<br />
(Support)<br />
called Phase-out period Services rem ain for selected Products, working<br />
to a Phase-out Plan<br />
AN D<br />
N o Services (other than those defined in the<br />
Operative Date clause) provided by incom ing<br />
C ontractor (Support) but a Phase-in Plan<br />
written and implem ented<br />
Service provision across all elem ents <strong>of</strong> the<br />
C ontract (Support) by inc om ing C ontractor<br />
(Support) com mences and ramps up as<br />
Products and/ or Services are transitioned * ,<br />
w ork ing to the SSMP<br />
Transition, Phase In, Phase Out and Ramp-up<br />
Services cease regarding all acquisition<br />
Products transitioned * to the C ontractor<br />
(Support)<br />
No Services provided by Contractor<br />
(Acquisition)<br />
Services cease regarding all Products<br />
transitioned * to the incoming Contractor<br />
(Support)<br />
No Services provided by outgoing Contractor<br />
(Support)<br />
Full services provided by incom ing Contractor<br />
(Support) working to the SSM P<br />
called Phase-in period called Ramp-up period called Full Service period<br />
Operative Date (<strong>of</strong> incom ing<br />
Contract (Support))<br />
Period subsequent to Operative Date <strong>of</strong> Contract (Suppo rt)<br />
Expiration Date (<strong>of</strong> Contract<br />
(Acquis ition) or outgoing Contract<br />
(Support))<br />
* in this context, "transition" includes the acts <strong>of</strong> delivery and Acceptance, Services may have been provided to support V&V<br />
# use this selection for Services being handed over from the Comm onwealth, in which case a Transition Plan would be used<br />
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Related Clauses: COC clause 1.4, Operative Date<br />
Optional Clauses: Nil<br />
2.7.2 Phase In Activities<br />
COC clause 1.10, Phase In.<br />
Other <strong>SOW</strong> clauses under clause 2.7.<br />
<strong>SOW</strong> clause 2.8, Phase Out (<strong>of</strong> other Contract (Support) that is expiring).<br />
CDRL Line Number MGT-600 (PHIP).<br />
DID-SSM-PHIP, which defines requirements for a Phase In Plan.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To obligate the Contractor (Support) and the Commonwealth to act on the<br />
Approved PHIP, in the context <strong>of</strong> the applicable COC clauses.<br />
Policy: Nil<br />
Guidance: If clause 2.7.1 for the PHIP is included, then this clause must also be included in<br />
order to implement the Approved PHIP, under the applicable and specific clause(s)<br />
<strong>of</strong> the COC.<br />
The Phase In period is generally established to conclude with the OD, when all the<br />
essential elements <strong>of</strong> the Contract (Support)’s support capability have been met,<br />
as defined for the OD milestone in COC clause 1.4. Alternatively, the Phase In<br />
period can extend beyond the OD milestone, as the Contractor (Support) continues<br />
to build its support capability. If Phase In activities are to be conducted up until the<br />
OD, then clause 2.7.2 should be amended to refer only to COC clause 1.4,<br />
Operative Date. If the Phase In activities are to extend beyond the OD, then<br />
clause 2.7.2 should refer to both COC clauses 1.4 and 1.10. Logically, OD<br />
conditions terminate at OD; hence if Phase In extends beyond OD, then the<br />
optional COC clause 1.10 is also required to apply contractual conditions to post-<br />
OD Phase In (or ‘ramp up’) activities.<br />
The fundamental characteristic <strong>of</strong> the OD is that it is the Milestone by which the<br />
Contractor (Support) must achieve the items listed clause 1.4 <strong>of</strong> the COC, which<br />
would normally include the Contractor (Support) having to prove that is has an<br />
adequate support capability or the Commonwealth may, in accordance with the<br />
provisions <strong>of</strong> clause 1.4, provide for a delay to the OD, accept minor shortfalls, or<br />
terminate the Contract (Support) and claim liquidated damages. The drafter’s<br />
determination <strong>of</strong> the OD requirements in clause 1.4 <strong>of</strong> the COC, therefore, is<br />
critical.<br />
Phase In may extend beyond OD in a number <strong>of</strong> instances, as follows:<br />
a. The Contract (Support) may need Services to be provided at several similar<br />
locations; however, the OD is only based on successful support at the first<br />
location, with the assumption that the Phase In <strong>of</strong> Services to the<br />
subsequent sites will be equally successful. In this first instance, the PHIP<br />
will also be guiding ramp-up activities post-OD.<br />
b. The Contractor (Support) may establish an initial capability to provide<br />
operational and/or intermediate levels <strong>of</strong> Maintenance, but because the first<br />
depot Maintenance activity, after the delivery from the Contract (Acquisition),<br />
doesn’t occur for some years, the Phase In activities continue until a depot<br />
capability is established.<br />
c. The Contractor (Support) may be supporting elements <strong>of</strong> the Materiel<br />
System delivered into service from an EA project, with the OD clause only<br />
being relevant to the first set <strong>of</strong> delivered elements, and subsequent stages <strong>of</strong><br />
Phase In would support subsequent deliveries <strong>of</strong> additional capability<br />
(alternatively, this could be thought <strong>of</strong> as a different form <strong>of</strong> ramp-up). The EA<br />
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case can be quite complex because there may be multiple ODs and Phase In<br />
stages, although emphasis on the capability <strong>of</strong> the Contractor (Support) would<br />
be based on the first OD.<br />
Related Clauses: COC clause 1.4, Operative Date.<br />
Optional Clauses: Nil<br />
2.7.3 Phase In Register<br />
COC clause 1.10, Phase In.<br />
<strong>SOW</strong> clause 2.7.1, Phase In Plan.<br />
<strong>SOW</strong> clause 2.7.3, Phase In Register<br />
<strong>SOW</strong> clause 2.7.4, Phase In Progress Reports.<br />
<strong>SOW</strong> clause 2.8, Phase Out.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To define the implementation <strong>of</strong> and procedures for using the Phase In Register to<br />
capture the dynamic elements <strong>of</strong> the Phase In process, and to obligate the<br />
Contractor (Support) to implement and use this register.<br />
Policy: Nil<br />
Guidance: The Phase In Register is intended to provide dynamic insight to the<br />
Commonwealth during this challenging phase. As such, while the clause is<br />
optional, it would be expected to be included in the majority <strong>of</strong> support contracts<br />
(except, perhaps, the smaller contracts).<br />
The requirements for the Phase In Register are provided in the Approved Phase In<br />
Plan.<br />
No tailoring <strong>of</strong> this clause is required.<br />
Related Clauses: COC clause 1.01, Phase In.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 2.7.1, Phase In Plan.<br />
<strong>SOW</strong> clause 2.7.2, Phase In Activities.<br />
DID-SSM-PHIP, which specifies minimum requirements for a Phase In Register to<br />
be defined in accordance with the PHIP.<br />
2.7.4 Phase In Progress Reports<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To obligate the Contractor to submit Phase In Progress Reports to the<br />
Commonwealth.<br />
Policy: Nil<br />
Guidance: The submission <strong>of</strong> Phase In Progress Reports (PIPRs) allows the Commonwealth<br />
insight into the performance <strong>of</strong> the requirements in the Approved PHIP. This<br />
assures the Commonwealth that, should the Phase In activities not progress in<br />
accordance with the schedule, the Contractor is obligated to inform the<br />
Commonwealth <strong>of</strong> how the Contractor will recover the schedule slippage and will<br />
proceed with the remaining Phase In activities on time.<br />
The requirements for Phase In Progress Reports are provided in the Approved<br />
Phase In Plan.<br />
Related Clauses: <strong>SOW</strong> clause 2.7.1, Phase In Plan.<br />
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Optional Clauses: Nil<br />
2.8 Phase Out<br />
2.8.1 Phase Out Plan<br />
<strong>SOW</strong> clause 2.7.2, Phase In Activities.<br />
CDRL Line Number MGT-610 (PIPRs).<br />
DID-SSM-PHIP, which specifies minimum requirements for Phase In Progress<br />
Reports to be defined in accordance with the PHIP.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To define the plans, methodologies, processes and activities that will be performed<br />
by the Contractor to ensure a coordinated Phase Out <strong>of</strong> the provided Services, and<br />
a smooth transition to an incoming contractor or withdrawal from service <strong>of</strong> the<br />
Materiel System.<br />
Policy: Nil<br />
Guidance: The Phase Out Plan (PHOP) is the principal document used to define the<br />
Contractor’s methodologies, processes and activities for meeting the Phase Out<br />
requirements <strong>of</strong> the Contract. It is used by the Commonwealth to develop its<br />
transition program to ensure a coordinated and smooth transition from the current<br />
Contractor (Support) to the new (incoming) contractor or for the withdrawal from<br />
Service <strong>of</strong> the Materiel System. The PHOP may also be used by tenderers for the<br />
new support contract to provide guidance on how the Contractor (Support) will<br />
Phase Out <strong>of</strong> the existing Contract (Support) and to assist them to develop their<br />
proposed PHIPs.<br />
Phase Out activities can occur over a relatively long period. For example, prior to<br />
the withdrawal from service <strong>of</strong> a system, Maintenance Services can scale down<br />
years in advance while operations continue to use serviceable stock (ie, there may<br />
be no point in paying for Maintenance only to have a warehouse <strong>of</strong> serviceable RIs<br />
and nothing to use them on). By contrast, hand-over from one contract to another<br />
would want to have all RIs serviceable, and as short a period <strong>of</strong> disruption as<br />
possible, By default the PHOP is required before the ‘Off Ramp Date’ as specified<br />
in the Contract (eg, two years before Contract end). This allows for the preparation<br />
and receipt <strong>of</strong> the PHOP to ensure that Phase Out information can be provided, as<br />
part <strong>of</strong> the RFT, to tenderers for a follow-on support contract. Timing for the<br />
delivery <strong>of</strong> the draft and final PHOPs should be considered when planning and<br />
tailoring the Contract, and the CDRL amended accordingly.<br />
Drafters should include clause 2.8 in the draft <strong>SOW</strong>, with appropriate timing for<br />
delivery <strong>of</strong> draft and final PHOP entered in the CDRL.<br />
Related Clauses: COC clause 13, Off Ramp Provisions.<br />
Optional Clauses: Nil<br />
COC clause 13.2, Phase Out Plan.<br />
COC clause 13.5, Phase Out.<br />
2.8.2 Phase Out Activities<br />
<strong>SOW</strong> clause 2.7, Phase In (<strong>of</strong> new / incoming Contract (Support)).<br />
<strong>SOW</strong> clause 2.8.2, Phase Out Activities.<br />
CDRL Line Number MGT-1300 (PHOP).<br />
DID-SSM-PHOP, which specifies requirements for a Phase Out Plan.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
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Purpose: To obligate the Contractor (Support) to act on the Approved PHOP, in the context<br />
<strong>of</strong> the applicable COC clauses.<br />
Policy: Nil<br />
Guidance: If clause 2.8.1 for the PHOP is included, then this clause must also be included in<br />
order to implement the Approved PHOP under the specific conditions <strong>of</strong> COC<br />
clause 13.2.<br />
Drafters may include additional sub-clauses within this clause to specify any<br />
unique Phase Out requirements for the Products to be supported.<br />
Related Clauses: COC clause 13.2, Phase Out Plan.<br />
Optional Clauses: Nil<br />
2.8.3 Phase Out Register<br />
COC clause 13.5, Phase Out.<br />
<strong>SOW</strong> clause 2.8.1, Phase Out Plan.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To define the implementation <strong>of</strong> and procedures for using the Phase Out Register<br />
to capture the dynamic elements <strong>of</strong> the Phase Out process, and to obligate the<br />
Contractor (Support) to implement and use this register.<br />
Policy: Nil<br />
Guidance: There are no specific requirements for reporting during the Phase Out period,<br />
except as covered by reports elsewhere in the Contract (eg, Contract Status<br />
Reports). The Phase Out Register is intended to provide dynamic insight to the<br />
Commonwealth during this challenging phase, and the information included in the<br />
register would depend on the nature <strong>of</strong> the Services and the activities within the<br />
Approved PHOP. For example, the register would record the ending <strong>of</strong> individual<br />
support functions (no longer available to the Commonwealth) and the return <strong>of</strong><br />
GFE or the departure from GFF as related support processes were wound down.<br />
As such, while the clause is optional, it would be expected to be included in the<br />
majority <strong>of</strong> support contracts (except, perhaps, the smaller contracts).<br />
The requirements for the Phase Out Register are provided in the Phase Out Plan.<br />
No tailoring <strong>of</strong> this clause is required.<br />
Related Clauses: COC clause 13.2, Phase Out Plan.<br />
Optional Clauses: Nil<br />
COC clause 13.5, Phase Out.<br />
<strong>SOW</strong> clause 2.8.1, Phase Out Plan.<br />
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3. SUPPORT SERVICES MANAGEMENT<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To define the management requirements for the Contract (Support).<br />
Policy: Nil<br />
Guidance: The Support Services Management clause is required in every Contract (Support).<br />
Drafters should tailor the other <strong>SOW</strong> clauses to establish the particular Service<br />
requirements in clauses 4 to 8 and the DSDs, and then assess the appropriate<br />
level <strong>of</strong> management required through clause 3.<br />
Related Clauses: All other clauses within the <strong>SOW</strong>, DSDs and <strong>SOW</strong> Annexes.<br />
Optional Clauses: Nil<br />
The following diagram shows the data items defined under <strong>SOW</strong> clause 3 and the<br />
associated DIDs. Note that the AIC Plan and the IP Plan form part <strong>of</strong> the planning<br />
suite, but must remain separate from the SSMP because these two plans become<br />
attached to the Contract at Attachments F and G, respectively.<br />
Support Services Management <strong>SOW</strong> Structure<br />
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3.1 Support Services Program Objectives<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To set out the overall objectives <strong>of</strong> the Contract (Support) to establish a reference<br />
point underpinning the activities conducted under the Contract (Support).<br />
Policy: Nil<br />
Guidance: The Support Services Program Objectives listed in the draft <strong>SOW</strong> are generic and<br />
are expected to apply to a wide range <strong>of</strong> contracts. Drafters should add objectives<br />
that are applicable to the specific Contract (Support). The aim is to give readers,<br />
especially the tenderers and Contractor (Support), a clear statement <strong>of</strong> what<br />
outcomes the Contract (Support) is trying to achieve.<br />
Drafters should be aware <strong>of</strong> the global objectives for the Contract (Support) that<br />
are specified in clause 1.2.2 <strong>of</strong> the COC. Drafters should ensure that the<br />
objectives identified under this clause 3.1 are consistent with the global objectives<br />
identified in the COC. Where the Contract also includes KPIs, which should be<br />
linked to <strong>Defence</strong>-required Outcomes, this clause should also be consistent with<br />
those Outcomes.<br />
Drafters need to consult with relevant stakeholders to ensure that all relevant<br />
objectives are reflected in the statement <strong>of</strong> objectives so that ‘fitness for purpose’ is<br />
clear without being overly detailed.<br />
Related Clauses: COC clause 1.2.2 sets out the objectives <strong>of</strong> the parties in entering into the Contract<br />
(Support).<br />
Optional Clauses: Nil<br />
3.2 Support Services Planning<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To obtain the over-arching planning documents from the Contractor that describes<br />
how the Contractor intends to manage the provision <strong>of</strong> Services and other work<br />
required under the Contract.<br />
Policy: Nil<br />
Guidance: This clause defines the over-arching plans and other documents that are required<br />
to demonstrate that the Contractor has the management processes and<br />
capabilities necessary to manage the Contract successfully.<br />
Support contracts cover a wide range <strong>of</strong> work and contract values, which<br />
complicates the specification <strong>of</strong> an optimal set <strong>of</strong> plans for the management <strong>of</strong> the<br />
required Services because the same set <strong>of</strong> plans will not suit all contracts. The<br />
Services that may be provided under a support contract could cover:<br />
a. a range <strong>of</strong> environments (maritime, land, aerospace and electronic);<br />
b. the different levels <strong>of</strong> support (eg, for Navy, Operational, Intermediate and<br />
Depot), or combinations <strong>of</strong> these;<br />
c. different types <strong>of</strong> Services, including management, Operating Support,<br />
Engineering, Maintenance, Supply and Training;<br />
d. a wide range <strong>of</strong> technical complexities, from s<strong>of</strong>tware support, support <strong>of</strong><br />
combat systems, and complete platforms, such as aircraft, to warehousing<br />
Services, and relatively simple routine Maintenance; and<br />
e. a range <strong>of</strong> regulatory requirements.<br />
In addition to these, support contracts can vary widely in size, the use <strong>of</strong><br />
subcontractors, and in the locations where work is performed. All <strong>of</strong> these have an<br />
impact on the arrangements for planning and management <strong>of</strong> the work.<br />
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For each Contract, the Commonwealth will be willing to accept a particular level <strong>of</strong><br />
risk, and will have specific corporate governance requirements. These are<br />
reflected in the requirement for a particular level <strong>of</strong> visibility into the Contractor’s<br />
management processes through reporting and reviews.<br />
The level <strong>of</strong> visibility required is achieved by having the Contractor describe in<br />
various plans specified in the RFT and subsequent Contract, how it proposes to<br />
manage the various aspects <strong>of</strong> the work. Drafts <strong>of</strong> key plans are provided to the<br />
Commonwealth with the tender responses. Plans are then further developed by<br />
the Contractor during the early stages <strong>of</strong> the Contract and submitted for Approval.<br />
Following Approval, the Contractor is then required to work in accordance with the<br />
Approved Plans. This is the approach used in all <strong>of</strong> the ASDEFCON materiel<br />
acquisition and support templates, including ASDEFCON (Support).<br />
Consistent with the ASDEFCON objectives (refer ASDEFCON Handbook<br />
Philosophy Volume), drafters should not ask for plans that will not be used during<br />
the Contract period (ie, ‘shelfware’) and should only ask for plans that are<br />
necessary to achieve the required level <strong>of</strong> visibility <strong>of</strong> the Contractor’s processes.<br />
This will depend on factors such as the complexity and critical nature <strong>of</strong> the work,<br />
the level <strong>of</strong> acceptable risk, and on corporate governance requirements.<br />
At the tendering stage, tenderers might be asked to provide only a limited number<br />
<strong>of</strong> draft plans. These should be detailed enough to enable the tendered plans to<br />
be evaluated and competing tenders compared. Following source selection, these<br />
plans may need to be further developed by the preferred tenderer (eg, under an<br />
ODA phase or during contract negotiations), with the SSMP and the other plans<br />
deemed as most important being finalised for Approval at the ED.<br />
If, however, the RFT is a combined RFT for both acquisition and support, the<br />
number <strong>of</strong> support plans obtained as part <strong>of</strong> the tender response will be<br />
significantly reduced and the finalisation <strong>of</strong> the plans will not occur until OD (refer<br />
to Annex B for information on the implications associated with a combined RFT).<br />
A full set <strong>of</strong> plans (excluding the Efficiencies Implementation Plan (EIP), AIC and<br />
IP) required for a ‘complex’ Contract could be as shown in the following diagram,<br />
which illustrates a hierarchy <strong>of</strong> plans:<br />
Roll-up <strong>of</strong> Support Services Planning Documents<br />
High-level plans may refer to sub-plans, which, in effect, form parts <strong>of</strong> those higherlevel<br />
plans. Lower-level plans may be ‘rolled-up’ or incorporated into higher-level<br />
plans where a stand-alone plan is not warranted. This might occur because, for<br />
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Related Clauses: Nil<br />
Optional Clauses: Nil<br />
example, the work required in the area covered by the lower-level plan is limited in<br />
scope or is a relatively small amount and therefore does not require a stand-alone<br />
plan to describe the relevant management arrangements.<br />
The approach in ASDEFCON (Support) is to allow drafters to roll-up plans into the<br />
next higher-level plan wherever this will enable the number <strong>of</strong> plans to be reduced<br />
while preserving adequate visibility <strong>of</strong> the Contractor’s processes. As a minimum,<br />
tenderers would be required to propose a SSMP. This is the top-level<br />
management plan for the contract and all other plans are subordinate to it.<br />
In some cases, plans must remain as stand-alone documents. For example, some<br />
<strong>of</strong> the key plans that govern particular Services (eg, Engineering and Maintenance)<br />
may be required by the TRAs to be stand-alone plans. Therefore, such plans<br />
should be rolled-up. Drafters will need to determine and specify which plans must<br />
remain stand-alone, including those that are mandatory.<br />
The Phase In Plan and the Phase Out Plan, for example, should always be<br />
retained as stand-alone plans because they only apply for a relatively short period<br />
<strong>of</strong> the Contract (Support). The Quality Plan may preferably be provided standalone<br />
to simplify accreditation. The AIC Plan and IP Plan, also submitted with the<br />
tender responses and finalised by ED, are stand-alone from the SSMP and<br />
attached to the COC.<br />
Drafters have some flexibility, within the context <strong>of</strong> the use <strong>of</strong> Asset Library, to<br />
decide what is to be covered in the plans. To ensure that tenderers address issues<br />
important to <strong>Defence</strong>, drafters should specify in the RFT those issues that the<br />
tenderer and, subsequently, the Contractor must address. This should be done in<br />
the draft <strong>SOW</strong> and in relevant DIDs called up by the CDRL. Drafters may need to<br />
tailor the draft <strong>SOW</strong> clauses and the clauses in the DIDs to cover the particular<br />
Contract requirements.<br />
Drafters need to:<br />
a. determine what plans are required, and what plans must be stand-alone<br />
documents;<br />
b. determine what draft plans are required at the tender stage, and the extent<br />
and timeframe for their further development following selection <strong>of</strong> the<br />
preferred tenderer;<br />
c. consider how the proposed plans submitted as part <strong>of</strong> the tenders will be<br />
evaluated; and<br />
d. tailor relevant DIDs and <strong>SOW</strong> clauses to reflect these requirements.<br />
3.2.1 Support Services Management Plan<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To define the Commonwealth requirements for management <strong>of</strong> the Services by the<br />
Contractor and to produce a plan for efficient management <strong>of</strong> the required Services<br />
at an acceptable level <strong>of</strong> risk.<br />
Policy: Nil<br />
Guidance: The Support Services Management Plan (SSMP) is the top-level plan that<br />
describes the individual plans and processes and how they fit together to form a<br />
totally integrated management system for all aspects <strong>of</strong> the Services. Tenderers<br />
must prepare and deliver a draft SSMP as part <strong>of</strong> their tenders. The draft SSMP<br />
would then be negotiated with the preferred tenderer. Plans may be developed to<br />
the stage that they would be Approved immediately following Contract award (and<br />
these plans are identified in the CDRL as requiring Approval <strong>of</strong> the final version at<br />
ED).<br />
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Drafters may wish to include a requirement for the Contractor to flow down the<br />
requirements <strong>of</strong> the Approved SSMP to Approved Subcontractors. This would<br />
depend on factors such as the likely size or proportion <strong>of</strong> work that will be<br />
performed by Approved Subcontractors, how critical this work would be to the<br />
provision <strong>of</strong> Services, and the complexity <strong>of</strong> the work.<br />
DID-SSM-SSMP is structured to allow some <strong>of</strong> the subordinate plans to be rolledup<br />
into the SSMP without modification to the DID. Conditional clauses identify that<br />
if the <strong>SOW</strong> states a particular planning function is to be addressed through the<br />
SSMP, instead <strong>of</strong> specifying a stand-alone plan, then the SSMP shall address that<br />
function. The SSMP description <strong>of</strong> the requirements for rolled-up subordinate plans<br />
will <strong>of</strong>ten be reduced from the DIDs describing each <strong>of</strong> these plans, as there is little<br />
point to rolling up full-sized plans to create one large unmanageable plan.<br />
Accordingly, the SSMP may need to be amended if more specific information is<br />
needed for a rolled-up plan within the SSMP.<br />
Related Clauses: All clauses referring to the SSMP, including those clauses relating to other<br />
management plans that can be potentially rolled-up into the SSMP.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 0, Subcontractor Management.<br />
CDRL Line Number MGT-100 (for SSMP).<br />
CDRL Line Numbers for plans rolled-up into the SSMP, which must be deleted.<br />
TDR G-1 <strong>of</strong> the COT, Support Services Management.<br />
3.2.2 Support Services Master Schedule<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To:<br />
Policy: Nil<br />
a. describe the Contractor’s planned sequence <strong>of</strong> activities, milestones and<br />
decision points to enable the objectives <strong>of</strong> the Contract to be met; and<br />
b. define the status <strong>of</strong> scheduled Service events, comparing the current<br />
delivery plan for these events with the contracted schedule.<br />
Guidance: A Support Services Master Schedule (SSMS) is likely to be required for most<br />
medium and larger sized contracts, even if the SSMS will be a fairly simple<br />
schedule. The SSMS can provide assistance with resource allocation and<br />
availability, scheduling <strong>of</strong> activities, and financial planning. The SSMS may be<br />
referred to in various DIDs for management plans (eg, if a Contractor Engineering<br />
Management Plan (CEMP) requires a schedule, it must be consistent with the<br />
SSMS).<br />
The SSMS should be a stand-alone document because it is likely to change<br />
regularly with schedule updates over time.<br />
The Contract may require sub-schedules for separate parts <strong>of</strong> the work. These<br />
may be stand-alone schedules (which must be consistent with the SSMS). The<br />
SSMS should show Milestones and major activities that are scheduled in more<br />
detail in sub-schedules. Requirements for sub-schedules dealing with specific<br />
Services should be specified as part <strong>of</strong> the <strong>SOW</strong> clauses dealing with that<br />
requirement. In general, this would be included in a DSD.<br />
The SSMS is a dynamic document, which must be updated by the Contractor at<br />
regular intervals to show the current status <strong>of</strong> scheduled events. The frequency <strong>of</strong><br />
updates will depend on factors such as whether the work is performed on a regular<br />
basis or relatively intermittent and whether or not the provision <strong>of</strong> the Services is<br />
time-critical.<br />
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The SSMS and other sub-schedules may be developed easily and effectively using<br />
proprietary s<strong>of</strong>tware tools such as Open Plan Pr<strong>of</strong>essional or Micros<strong>of</strong>t Project.<br />
<strong>Defence</strong> does not have a preference for a particular s<strong>of</strong>tware package. If drafters<br />
express preference for a particular s<strong>of</strong>tware package, drafters should take care<br />
that this does not unfairly discriminate against some tenderers.<br />
If the preferred tenderer proposes a scheduling s<strong>of</strong>tware package in its tender<br />
response that is not used by the Commonwealth, the DMO support agency should<br />
assess this alternative and discuss the issue with the preferred tenderer during<br />
Contract negotiations. Depending upon the outcomes <strong>of</strong> those discussions, clause<br />
3.2.2.4 may need to be amended to accord with the agreed outcomes. The<br />
tendered price may also need to be amended accordingly.<br />
Related Clauses: Individual management plan DIDs may refer to an SSMS.<br />
Optional Clauses: Nil<br />
CDRL Line Number MGT-110 (for the SSMS).<br />
DID-SSM-CWBS, which specifies requirements for a CWBS which is <strong>of</strong>ten used as<br />
a basis for scheduling.<br />
DID-SSM-SSMS, which specifies the requirements for the SSMS.<br />
TDR E-3 <strong>of</strong> the COT, Draft Support Services Master Schedule.<br />
3.2.3 Contract Work Breakdown Structure<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To obtain a structured breakdown <strong>of</strong> the activities that the Contractor proposes to<br />
perform, including work defined by the <strong>SOW</strong>, to meet the requirements <strong>of</strong> the<br />
Contract.<br />
Policy: Nil for use <strong>of</strong> a CWBS for support.<br />
Guidance: The Contract Work Breakdown Structure (CWBS) provides the mechanism for<br />
decomposing the scope <strong>of</strong> work that the Contractor is required to perform under<br />
the Contract. The CWBS assists with understanding the methodology being<br />
employed by the Contractor to meet the requirements <strong>of</strong> the Contract because it<br />
shows the planned decomposition <strong>of</strong> the work, resource allocations, responsible<br />
entities, etc. Where a CWBS is used, the Price and Payment Schedule should be<br />
derived from this<br />
Drafters should be familiar with DEF (AUST) 5664A, Work Breakdown Structures<br />
for <strong>Defence</strong> Materiel Projects. DEF (AUST) 5664A provides useful guidance for<br />
the development and use <strong>of</strong> WBSs for <strong>Defence</strong> Materiel projects; however, the<br />
standard is not well suited for defining the requirements <strong>of</strong> a CWBS for support.<br />
There is no equivalent to DEF (AUST) 5664A for use in a support context or a<br />
standard CWBS DID for use under a support contract. Instead, the DID for the<br />
CWBS links to the breakdown <strong>of</strong> the Recurring Services identified in the Price and<br />
Payment Schedules in Attachment B to the Contract.<br />
The standard approach used in the ASDEFCON suite is based on <strong>Defence</strong><br />
producing a draft Contract Summary Work Breakdown Structure (CSWBS) that<br />
forms part <strong>of</strong> the RFT. TDR E-2 <strong>of</strong> the COT provides a default CSWBS, which is<br />
based around the structure <strong>of</strong> the draft <strong>SOW</strong>; however, it does not provide the<br />
associated dictionary definitions for the individual WBS elements. In developing<br />
their own CSWBS, drafters must ensure that the draft CSWBS and the draft <strong>SOW</strong><br />
are consistent, and must also provide the applicable dictionary definitions for each<br />
<strong>of</strong> the WBS elements.<br />
Drafters may choose to not include a separate CWBS in the draft <strong>SOW</strong> and to<br />
simply include their CSWBS directly into the Price and Payments Schedules in<br />
Annex D to the COT to provide the framework for each tenderer to provide its price<br />
breakdown. This has the advantage <strong>of</strong> eliminating the need for a separate<br />
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document; however, it removes one <strong>of</strong> the key insight documents that can be used<br />
by the Commonwealth over the life <strong>of</strong> the Contract to assist with assessing price<br />
changes (eg, in response to changes <strong>of</strong> scope). As such, it is recommended that a<br />
CWBS be included in all but the smallest support contracts.<br />
Related Clauses: CDRL Line Number MGT-120.<br />
Optional Clauses: Nil<br />
DID-SSM-CWBS, which specifies requirements for a CWBS.<br />
TDR E-2 <strong>of</strong> the COT, Draft Contract Work Breakdown Structure and Contract Work<br />
Breakdown Structure Dictionary.<br />
3.2.4 Continuous Improvement and Efficiencies<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To impose a contractual obligation on the Contractor to provide a plan for seeking<br />
continuous improvement through the implementation <strong>of</strong> agreed Efficiencies, in the<br />
interests <strong>of</strong> reducing Life cycle Cost while ensuring <strong>Defence</strong>’s capability outcomes<br />
are achieved.<br />
Policy: Nil<br />
Guidance: The ‘Continuous Improvement and Efficiencies’ program is an important part <strong>of</strong><br />
<strong>Defence</strong>’s long-term strategy to reduce the Total Cost <strong>of</strong> Ownership (TCO) <strong>of</strong><br />
Materiel Systems (TCO focuses on the Life Cycle Costs for the remaining life <strong>of</strong> the<br />
system). Inclusion <strong>of</strong> clause 3.2.4 is the default method for drafting the Contract<br />
(Support) to address productivity within a PPBC.<br />
Efficiencies may be found by improving Contractor and / or Commonwealth<br />
processes, which may involve the transfer <strong>of</strong> responsibilities from one to the other,<br />
enhancement <strong>of</strong> the Products being supported, scheduling improvements or other<br />
change. Savings are made by reducing Commonwealth costs or the Contract price<br />
(some savings may increase the Contract price in exchange for a greater reduction<br />
in Commonwealth costs). Where an identified Efficiency reduces the Contractor’s<br />
costs, the savings are shared with <strong>Defence</strong> through a price reduction which is<br />
implemented in subsequent Contract terms. Efficiencies may be tied to the granting<br />
<strong>of</strong> Award Terms for contracts in a competitive environment, or Renewal Terms in<br />
an environment <strong>of</strong> limited competition.<br />
A Periodic Cost Review (involving cost investigation) is required for Renewal<br />
Terms to demonstrate that Efficiencies have been shared; these are optional for<br />
Award Term contracts.<br />
The Continuous Improvement and Efficiencies clause includes three sub-clauses<br />
for an Efficiencies Implementation Plan (EIP), execution <strong>of</strong> the Approved EIP, and<br />
reporting <strong>of</strong> Efficiencies implementation via the CSR. In general, there should be<br />
no need to tailor these clauses or the DID-SSM-EIP.<br />
Related Clauses: COC clause 1.8, Expiry and Commonwealth’s Option to Extend, if a criterion for<br />
contract extension is the implementation <strong>of</strong> Efficiencies (default).<br />
Optional Clauses: Nil<br />
COC clause 3.20, Continuous Improvement and Efficiencies.<br />
<strong>SOW</strong> clause 3.10 for Life Cycle Cost (LCC) baseline calculations.<br />
<strong>SOW</strong> clause 11 for Quality Management (quality processes).<br />
DSD-ENG-SERV for the evaluation <strong>of</strong> proposed Materiel System changes on LCC.<br />
DID-SSM-CSR, which includes a Continuous Improvement and Efficiencies report.<br />
DID-SSM-EIP, which specifies the requirements for an EIP.<br />
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3.2.5 Surge<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To impose an obligation on the Contractor to plan for managing a Surge in the<br />
requirements <strong>of</strong> / demand on the Contract and to manage the Surge requirements<br />
in accordance with that plan.<br />
Policy: Nil<br />
Guidance: Surge is defined as a short to medium-term change to the ROE, and is categorised<br />
into two types: Exigency and Contingency. Exigency is the urgent demands <strong>of</strong> a<br />
particular occasion. An Exigency, under ASDEFCON (Support), is considered to<br />
have a definable increase in ROE for a forecast duration, such as a significantly<br />
increased ROE for a military exercise. A Contingency is a chance event that is<br />
conditional on something uncertain. A Contingency, under ASDEFCON (Support),<br />
is considered to have a significant but undefinable increase in ROE for an unknown<br />
duration, such as a conflict, peacekeeping operation, or civil emergency.<br />
Drafters should refer to Attachment M for the definitions <strong>of</strong> Surge, Exigency and<br />
Contingency, which need to be tailored to suit the requirements <strong>of</strong> the particular<br />
contract. Drafters should be aware that, in adjusting these definitions, <strong>Defence</strong> is<br />
providing the baseline against which the Contractor determines the type, size and<br />
cost <strong>of</strong> the Surge capacity required.<br />
The definition for Exigency should be consistent with the ROE description. For<br />
example, if the ROE includes a defined minor exercise every year, then the defined<br />
exercise should not be repeated in the definition <strong>of</strong> Exigency (the required capacity<br />
is already paid for within the baseline ROE). Exigency requirements might also be<br />
expressed as increased availability <strong>of</strong> the Mission System (eg, for a Patrol Boat<br />
fleet, the Exigency requirement may be an additional 50 ‘at sea’ days/month).<br />
If possible and useful, natural limits within the system should also be used to<br />
identify limits to Contingency. For example, there is no need to pay a Contractor to<br />
have spare systems available if <strong>Defence</strong> would run out <strong>of</strong> trained operators before<br />
that spare capacity could be used.<br />
Drafters should consider Surge as both an increase in normal workload (both<br />
routine and ad hoc) to support an increase in operations and a broadening <strong>of</strong><br />
skills/work performed to cover unforeseen (ad hoc) work, such as battle damage or<br />
accidental damage repairs. Possible solutions to meet Surge requirements might<br />
be for the Contractor to:<br />
a. have reserve capacity standing and available (not particularly efficient);<br />
b. be able to switch capacity from other activities such as civil work or other<br />
<strong>Defence</strong> work;<br />
c. call on Subcontractors;<br />
d. implement alternative DSDs or procedures (eg, changed procedures for<br />
Contingency Maintenance);<br />
e. expand facilities or relocate; and/or<br />
f. expand operations by changing to shift work or, in the longer-term through<br />
additional recruitment.<br />
Where the Surge requirements are significant enough or critical to the operational<br />
need, the Contractor should be required to provide a Surge Management Plan<br />
(SMP) to describe how the Surge requirements will be met.<br />
In tendering for the Contract Services, Exigency requirements will <strong>of</strong>ten need to be<br />
included in the tendered pricing to ensure that military exercises and other<br />
predictable increases in ROE can be met. Being foreseeable, Exigencies may be<br />
provided as a Task-Priced Service, if requested and included into the Task-Priced<br />
Services table <strong>of</strong> Attachment B. Alternatively, they may be conducted as an S&Q<br />
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Service if their occurrence is too infrequent to determine a firm price. Note that,<br />
against the current definition <strong>of</strong> Exigency, the Contractor will be required to<br />
maintain ‘spare capacity’, which would be included in the Contract price.<br />
Contingency requirements, being related to an unknown ROE, are less easy to<br />
evaluate, and the SMP will provide more or less <strong>of</strong> an assessment <strong>of</strong> the<br />
Contractor’s capability to increase its work capacity. Being <strong>of</strong> unknown scope, the<br />
Contingency element <strong>of</strong> Surge must be undertaken as an S&Q Service.<br />
Drafters should ensure that both foreseeable Surge events (ie, Exigency) and<br />
unforeseeable Surge events (ie, Contingency) are covered, where appropriate, in<br />
specifying the Surge requirements. The parameters <strong>of</strong> Contractor-provided<br />
support during a Contingency are reasonably unknowable in advance (but<br />
essential when a Contingency occurs); hence, broad provisions need to be<br />
included in this area to provide a basis for tenderers and, subsequently, the<br />
Contractor to develop their responses.<br />
For Contracts that are not directly affected by a Surge, this clause may not be<br />
required and the drafter can replace the sub-clauses with a single clause <strong>of</strong> ‘Not<br />
used’.<br />
If Surge, or at least the preparation for it, is a requirement <strong>of</strong> the Contract then<br />
planning is a core requirement. The drafter is to decide on the type <strong>of</strong> Surge<br />
Management Plan, either stand-alone or embedded in the SSMP, and select from<br />
the core options in the draft <strong>SOW</strong> clauses accordingly.<br />
Related Clauses: Attachment M, Glossary, contains definitions <strong>of</strong> Surge, Exigency and Contingency.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 2.2, Rate <strong>of</strong> Effort.<br />
DID-SSM-SMP, which defines the requirements for an SMP.<br />
DID-SSM-SSMP, for the SSMP which allows for the inclusion <strong>of</strong> Surge planning if a<br />
stand-alone SMP is not required<br />
CDRL Line Number MGT-1600.<br />
TDR G-3 <strong>of</strong> the COT, Surge.<br />
3.3 Quoting for Survey and Quote Services<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To:<br />
Policy: Nil<br />
a. coordinate the management <strong>of</strong> the S&Q Services required for multiple <strong>SOW</strong><br />
and DSD clauses;<br />
b. require the Contractor to deliver a justified account <strong>of</strong> the proposed work,<br />
costs and the impact <strong>of</strong> undertaking S&Q Services, for evaluation by the<br />
Commonwealth Representative; and<br />
c. isolate the management costs <strong>of</strong> preparing quotes, prior to approval, from<br />
the actual performance <strong>of</strong> the S&Q Services.<br />
Guidance: <strong>SOW</strong> clause 2.1.3 states that, “Unless otherwise expressly stated in this <strong>SOW</strong><br />
(including Detailed Service Descriptions), all Services are Recurring Services and<br />
are included within the firm-priced portion <strong>of</strong> the Contract Price. Services to be<br />
provided as either S&Q Services or Task-Priced Services are indicated as such<br />
within each clause.”<br />
This clause 3.3 is required for those work activities under the <strong>SOW</strong> that will require<br />
the use <strong>of</strong> S&Q Services, in accordance with COC clauses 3.14 and 3.16, and the<br />
rates defined in Annex E <strong>of</strong> the Price and Payment Schedule at Attachment B. All<br />
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ASDEFCON (Support) contracts will require these provisions; if a contract is simple<br />
enough so that all <strong>of</strong> the required work can be fully defined prior to contract<br />
signature, then ASDEFCON (Support Short) may be a more suitable template.<br />
Even if a contract is well defined, this clause and other S&Q provisions are<br />
included for risk mitigation, just in case an unexpected need for S&Q Services<br />
arises later in the Contract.<br />
Clause 3.3 operates in conjunction with the COC clauses and DID-SSM-S&Q to<br />
define specific requirements associated with the provision <strong>of</strong> requests and<br />
quotations for S&Q Services.<br />
ASDEFCON guiding principles 7 recognise that a firm-priced contract requires a firm<br />
(or bounded) scope to enable the Contractor to calculate expected work effort with<br />
minimal risk (which would be passed back to the Commonwealth as increased<br />
cost). However, the ASDEFCON (Support) templates recognise that in many<br />
cases it is not possible to scope all activities that will be required in advance <strong>of</strong><br />
signing the contract, thus provisions for S&Q Services, within the defined terms <strong>of</strong><br />
the Contract, will almost always be required.<br />
Related Clauses: <strong>SOW</strong> clause 2.1.3 (Services are recurring unless stated otherwise).<br />
Optional Clauses: Nil<br />
COC clause 3.14, Ad Hoc Services.<br />
COC clause 3.15, Task Priced Services.<br />
COC clause 3.16, Survey and Quote Services.<br />
COC clause 3.17, Pre-Authorised Ad Hoc Services.<br />
Annex E to Attachment B, Price and Payments Schedule.<br />
TDR D-1 <strong>of</strong> the COT, Price and Delivery Schedule, Tables D1-4 and D1-5.<br />
DID-SSM-S&Q, which specifies requirements for S&Q requests and quotations.<br />
3.3.1 Survey and Quote Process<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if clause 3.3 is included)<br />
Purpose: To:<br />
Policy: Nil<br />
a. identify the Commonwealth Representative as the authority for seeking and<br />
approving S&Q Services, and<br />
b. set out the process for the Contractor to follow when seeking to initiate S&Q<br />
Services.<br />
Guidance: Drafters must include the first subclause if clause 3.3 is selected. The second<br />
subclause is required if either Task Priced Services or Pre-Authorised Ad Hoc<br />
Services will be permitted. In the unlikely event that a contract will not include<br />
Task Priced Services or Pre-Authorised Ad Hoc Service, the second clause may<br />
be deleted.<br />
The first subclause identifies the Commonwealth Representative as the only<br />
Commonwealth person authorised to Approve S&Q Services. This is essential as<br />
Approval will partially extend the work and cost <strong>of</strong> the Contract.<br />
The need for S&Q Services can occur when the Contractor is conducting<br />
scheduled Maintenance inspections and discovers the need for repairs. The<br />
purpose <strong>of</strong> inspections is usually to find what additional repairs are required, but<br />
the repair itself remains beyond the scope <strong>of</strong> the inspection. With complex<br />
7 Refer ASDEFCON Handbook Philosophy Volume.<br />
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systems, it is common for many minor repairs to be required. These repairs can be<br />
included as part <strong>of</strong> Recurring Services (with commensurate risk premiums) or can<br />
be handled as either Task Priced Services or Pre-Authorised Ad Hoc Services.<br />
In many instances, Task Priced Services will not have been foreseen in advance;<br />
hence, drafters should consider the inclusion <strong>of</strong> Pre-Authorised Ad Hoc Services,<br />
COC clause 3.17, such that the Contractor can apply these provisions to avoid<br />
unnecessary delays in obtaining the Commonwealth Representative’s Approval for<br />
many minor tasks.<br />
In this light, the second subclause identifies the conditions that the Contractor must<br />
follow before seeking the Commonwealth Representative to Approve additional<br />
S&Q Services.<br />
Related Clauses: Attachment B, Price and Payments Schedule.<br />
Optional Clauses: Nil<br />
COC clause 3.14, Ad Hoc Services.<br />
COC clause 3.15, Task Priced Services.<br />
COC clause 3.16, Survey and Quote Services.<br />
COC clause 3.17, Pre-Authorised Ad Hoc Services.<br />
Other sub-clauses within <strong>SOW</strong> clause 3.3.<br />
DID-SSM-S&Q, which specifies requirements for S&Q requests and quotations.<br />
3.3.2 Survey and Quote Work Plans<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if clause 3.3 is included)<br />
Purpose: To:<br />
a. set out the requirements for scoping Survey and Quote (S&Q) Services;<br />
b. set out the Commonwealth’s minimum requirements for a work plan for<br />
undertaking S&Q Services; and<br />
c. provide a mechanism to ensure that sufficient appraisal <strong>of</strong> surveyed work<br />
requirements can be undertaken to determine if value for money will be<br />
achieved if the quote is Approved.<br />
Policy: DPPM (in relation to value for money)<br />
Guidance: Drafters must include this clause if clause 3.3 is selected.<br />
Drafters should not amend this clause, as it lays out the Commonwealth’s minimum<br />
requirements for a work plan associated with an S&Q Service.<br />
Related Clauses: COC clause 3.15, Survey and Quote Services.<br />
Optional Clauses: Nil<br />
Other sub-clauses within <strong>SOW</strong> clause 3.3.<br />
DSD-ENG-SERV, which includes additional requirements for work plans supporting<br />
Major Changes.<br />
DID-SSM-S&Q, which specifies requirements for S&Q quotations that include work<br />
plans.<br />
3.3.3 Adverse Impact <strong>of</strong> Survey and Quote Work<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if clause 3.3 is included)<br />
Purpose: To set out the mechanism by which any adverse impacts <strong>of</strong> S&Q Services can be<br />
identified, so that the Commonwealth Representative can take appropriate action.<br />
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Policy: Nil<br />
Guidance: Drafters must include this clause if clause 3.3 is selected.<br />
The Contractor is required to advise the Commonwealth Representative <strong>of</strong> any<br />
expected or potential adverse impact <strong>of</strong> undertaking the S&Q Services. For<br />
Scenario #4 type contracts (refer Annex A to this <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong>), this may<br />
be as simple as a delay in the usual turnaround <strong>of</strong> RIs (and the ASDEFCON<br />
(Support Short) template may be more appropriate at this level). For Scenario #1<br />
type contracts, this may include a reduction in capability and a reduction in the<br />
achievement <strong>of</strong> performance measures (with some relief or adjustment to required<br />
performance necessary, and carefully planned).<br />
Related Clauses: COC clause 3.16, Survey and Quote Services.<br />
Optional Clauses: Nil<br />
Other sub-clauses within <strong>SOW</strong> clause 3.3.<br />
3.4 Support Services Communication Strategy<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To define formal communications between the Commonwealth and the Contractor,<br />
and to provide the Commonwealth with adequate visibility <strong>of</strong> the Contractor’s<br />
management processes and procedures, and performance in the provision <strong>of</strong><br />
Services against the requirements <strong>of</strong> the Contract.<br />
Policy: Refer to subclauses.<br />
Guidance: Although different contracts will select from and use common reports and reviews,<br />
the communications strategy can be very different from one contract to the next.<br />
The communication strategy clauses were developed to give drafters maximum<br />
flexibility for determining how <strong>of</strong>ten and how much information is needed from a<br />
Contractor through reports and reviews. This clause is not independent <strong>of</strong> other<br />
clauses, as the communication strategy also considers the reviews and reports<br />
required for clauses 4 to 8. The following diagram illustrates the key concepts and<br />
tailoring options for reports and reviews.<br />
ASDEFCON (Support) uses a single Combined Services Summary Report (CSSR)<br />
for general reporting in regard to the provision <strong>of</strong> Services – components <strong>of</strong> the<br />
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CSSR cover each <strong>of</strong> the key Service areas (ie, the SSCCs) and these can be<br />
requested and delivered separately (via the CDRL).<br />
The Contract Status Report (CSR) provides the avenue for more commercial<br />
reporting. The Support Services Verification Matrix (SSVM) and Performance<br />
Measurement Report (a portion <strong>of</strong> the CSR), provide reporting for performance<br />
against Performance Measures and the resulting commercial considerations (eg,<br />
payments made against KPI performance), respectively.<br />
In general, a report may be delivered without the need for a formal review meeting<br />
to discuss its contents. However, a report would generally precede and provide<br />
necessary information for discussion at a formal review when one is held. For<br />
example, the Maintenance Support component <strong>of</strong> the CSSR could be delivered<br />
monthly, but a Maintenance Support Performance Review (MSPR) meeting may<br />
only need to be held every three months.<br />
When two or more reviews are to be held at approximately the same time they<br />
should be combined for efficiency, if it is practical to do so. The Combined<br />
Services Performance Review (CSPR) encourages this and some or all <strong>of</strong> the key<br />
Service areas may only ever be discussed as part <strong>of</strong> a CSPR. For example, a 6monthly<br />
CSPR could include every second 3-monthly MSPR and the review <strong>of</strong><br />
three other SSCCs, while the last SSCC may only need to be addressed annually,<br />
at every second CSPR.<br />
Reports and reviews are generally divided along commercial and Service-oriented<br />
lines. The separation <strong>of</strong> commercial discussions (eg, relating to financial payments<br />
and compliance with the COC) from discussions regarding the technical aspects to<br />
the provision <strong>of</strong> Services, is generally considered to be good practice. For ease <strong>of</strong><br />
management and for attendees going to both meetings, it may be possible to<br />
schedule Service-related discussions (eg, a CSPR) in the morning and commercial<br />
discussions (eg, a Contract Performance Review (CPR) and/or a Performance<br />
Assessment Review (PAR)) in the afternoon.<br />
Clauses requiring the delivery <strong>of</strong> individual components <strong>of</strong> the CSSR are included<br />
in the <strong>SOW</strong> for each <strong>of</strong> the key Service areas (ie, clauses 4.2, 5.2, 6.2, 7.2 and<br />
8.2). These are Core if the applicable Service is required (ie, some level <strong>of</strong><br />
reporting is required for governance purposes). Related reviews (ie, clauses 4.3,<br />
5.3, 6.3, 7.3 and 8.3) are also Core, and tailoring allows some or all <strong>of</strong> these<br />
reviews be rolled-up into the CSPR, held in accordance with <strong>SOW</strong> clause 3.4.2.<br />
For high-activity Services, lower level progress reports and progress reviews may<br />
be added to the draft Contract. There is no template DID for progress reports as<br />
these will be contract-specific and must be developed by the drafter or in the<br />
Contractor’s plans. Engineering Services for Major changes will also include<br />
system reviews to manage Engineering Change Proposals (ECPs) – these reviews<br />
are requested through the Engineering DSDs and informed by the ‘review package’<br />
(eg, specifications and design documents).<br />
Drafters should note that the Commonwealth Asset Assurance and Stocktaking<br />
Report (CAASR) is a separate part <strong>of</strong> the CSSR that can be scheduled separately<br />
from the rest <strong>of</strong> the CSSR. This allows the CSSR to report on Services at a<br />
frequency tailored by the drafter, while the CAASR must be delivered 3-monthly, as<br />
required by policy.<br />
To accommodate expedient processing <strong>of</strong> Performance Payments under the<br />
performance management framework <strong>of</strong> a PPBC, the Performance Measurement<br />
Report portion <strong>of</strong> the CSR is delivered after each Review Period (for KPIs) and<br />
discussed at a PAR – it is not delayed by the preparation <strong>of</strong> the rest <strong>of</strong> the CSR. In<br />
keeping the separation <strong>of</strong> commercial and technical discussions, the CSPR and<br />
other Services-related reviews may discuss the actual cause <strong>of</strong> shortfalls in<br />
performance and options for rectification, but the technical reviews must not<br />
discuss the commercially sensitive issues such as performance relief or<br />
Performance Payments.<br />
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Drafters must tailor the subclauses <strong>of</strong> 3.4 and the reporting and review clauses for<br />
the individual Service areas (ie, clauses 4 to 8) in a consistent manner that reflects<br />
the overall communications strategy. Planning a contract-wide communications<br />
strategy, before tailoring these clauses, is highly recommended.<br />
The type, content, and frequency <strong>of</strong> reports and reviews may be negotiated with<br />
the preferred tenderer(s), if necessary, to ensure that the Contract includes<br />
requirements that are satisfactory to the Commonwealth and efficient in terms <strong>of</strong><br />
the Contractor’s reporting processes.<br />
Related Clauses: All sub-clauses within clause 3.4.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> report clauses for SSCCS: clauses 4.2, 5.2, 6.2, 7.2 and 8.2.<br />
<strong>SOW</strong> review clauses for SSCCS: clauses 4.3, 5.3, 6.3, 7.3 and 8.3.<br />
<strong>SOW</strong> clause 10.3, Support Services Verification and Validation Activities.<br />
Draft report and review clauses in DSDs subordinate to clauses 4 to 8.<br />
DID-SSM-CSR defines the requirements for the Contract Status Report.<br />
DID-SSM-CSSR defines the requirements for the Combined Services Summary<br />
Report.<br />
3.4.1 Status Review and Reporting<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To obtain from the Contractor regular reports on, and to discuss the issues<br />
regarding, the status <strong>of</strong> the Contract by covering subjects, such as:<br />
Policy: Nil<br />
a. performance against Required Performance Levels and Milestones;<br />
b. condition <strong>of</strong> the system / fleet;<br />
c. activities planned for the next reporting period;<br />
d. problem areas and risks;<br />
e. financial issues;<br />
f. workload issues over the past and future reporting periods;<br />
g. long-term forecasts <strong>of</strong> workload and activities;<br />
h. Subcontractor issues;<br />
i. configuration status;<br />
j. quality;<br />
k. IP; and<br />
l. AIC.<br />
Guidance: This clause outlines the requirements for all reports (CSR, CSSR, etc.) and<br />
Periodic Performance Reviews (including the CSPR, CPR, and reviews held<br />
individually for Services from each SSCC, if required). This clause 3.4.1 also<br />
requires delivery <strong>of</strong> the CSR, which is Core to all contracts.<br />
Drafters should be aware that the CSR is the Contractor’s principal statement and<br />
explanation <strong>of</strong> the status <strong>of</strong> the Services at the end <strong>of</strong> each reporting period,<br />
including reporting performance against IP obligations. The CSR also includes the<br />
Performance Measurement Report as a portion <strong>of</strong> the CSR that can be delivered<br />
separately at the end <strong>of</strong> each Review Period for reporting on performance against<br />
KPIs and to process claims for Performance Payments. The rest <strong>of</strong> the CSR may<br />
be delivered less frequently than the Performance Measurement Report or at the<br />
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same frequency but slightly later, to allow additional time to prepare the more<br />
narrative and forward-looking aspects <strong>of</strong> the CSR. The CSR also includes a<br />
number <strong>of</strong> other sub-reports, such as the Continuous Improvement and<br />
Efficiencies, Finance, IP progress, Opportunities and Risk reports. If a revised<br />
budget forecast is to be included in the CSR, drafters should ensure that the CDRL<br />
shows that the CSR is delivered at least six-monthly so that forecasts are aligned<br />
to the <strong>Defence</strong> budget cycle.<br />
The core subclause for the CSSR requires the Contractor to report on the provision<br />
<strong>of</strong> Services, including the level <strong>of</strong> activity during the reporting period, major events<br />
and milestones, the progress <strong>of</strong> S&Q Services and schedules relevant to future<br />
planning. Individual portion <strong>of</strong> the CSSR (for each <strong>of</strong> the SSCCs) can be<br />
requested at different times through the CDRL, as per the communications strategy<br />
discussed with reference to clause 3.4 (above). The CAASR is also included in the<br />
CSSR and must be delivered 3-monthly in accordance with <strong>Defence</strong> policy – the<br />
CAASR is referred to separately in <strong>SOW</strong> clause 3.22 and within the CDRL.<br />
The Contractor is required to describe the formal communications activities (ie,<br />
reporting and reviews) in accordance with the SSMP. Accordingly the reports,<br />
reviews, and when they are to be scheduled throughout the year, including which<br />
reviews the Contractor proposes to combine, will be documented in the Approved<br />
SSMP.<br />
Drafters should also bear in mind the likely informal communications that may<br />
occur through working-level planning and coordination meetings, telephone<br />
conversations, reports from Resident Personnel, and visits, when determining the<br />
need and frequency for formal communications such as reviews and reports.<br />
Drafters should:<br />
a. determine the subject matter that is to be reported on, including the content<br />
required in the reports and components <strong>of</strong> the CSR and CSSR that can be<br />
delivered individually;<br />
b. tailor/draft the <strong>SOW</strong> clauses to reflect these requirements, including the<br />
optional clause for the Performance Measurement Report;<br />
c. if necessary, tailor the DIDs; and<br />
d. nominate the requirement for, and frequency <strong>of</strong> delivery <strong>of</strong>, reports in the<br />
CDRL, including the components that may be delivered separately such as<br />
the Performance Measurement Report, Services summary reports, and the<br />
CAASR.<br />
Related Clauses: All other sub-clauses within clause 3.4.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> report clauses for SSCCS: clauses 4.2, 5.2, 6.2, 7.2 and 8.2.<br />
<strong>SOW</strong> review clauses for SSCCS: clauses 4.3, 5.3, 6.3, 7.3 and 8.3.<br />
<strong>SOW</strong> clause 3.22, which requires the CAASR (sub-report).<br />
CDRL Line Number MGT-300 for the CSR.<br />
CDRL Line Number MGT-350 for the CSSR.<br />
DID-SSM-CSR, which specifies requirements for the CSR.<br />
DID-SSM-CSSR, which specifies requirements for the CSSR.<br />
DID-SSM-SSMP, which includes requirements for defining and managing<br />
communications applicable to the Contract.<br />
3.4.2 Combined Services Performance Reviews<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
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Purpose: To define the arrangements and responsibilities for Combined Services<br />
Performance Review (CSPR) meetings to be held between the Commonwealth,<br />
the Contractor, and relevant Subcontractors, to discuss the progress and status <strong>of</strong><br />
Contract Services.<br />
Policy: Nil<br />
Guidance: CSPRs are advisable for larger support contracts, as per the communications<br />
strategy discussed with reference to clause 3.4 (above). These reviews, however,<br />
may not be required for smaller support contracts (eg, where a single Service such<br />
as Maintenance is provided, or where there are Resident Personnel and no need<br />
for formal review meetings for Services. In these instances, ‘Ad Hoc Meetings’ can<br />
also be used to cover the requirement for meetings, in addition to the (possibly<br />
annual) CPRs. Alternatively, CSPRs could be the only type <strong>of</strong> review used under a<br />
support contract. For example, quarterly CSPRs could discuss Maintenance and<br />
Engineering, while every second CSPR also covers Supply and Training (ie, there<br />
would be no individual reviews for SSCCs)..<br />
Because circumstances vary widely, drafters should avoid being too prescriptive in<br />
the requirements for meetings. Factors that might influence the type and<br />
frequency <strong>of</strong> meetings include:<br />
a. the location <strong>of</strong> the Contractor in relation to the DMO support agency;<br />
b. the nature <strong>of</strong> the work (eg, whether it is routine and relatively straightforward,<br />
or Ad Hoc and requiring frequent coordination <strong>of</strong> S&Q tasks);<br />
c. the complexity <strong>of</strong> the work and the need for governance and/or technical<br />
regulation;<br />
d. the critical nature <strong>of</strong> the deliverables, both in time and quality; and<br />
e. whether other options, such as written reports, are a satisfactory alternative.<br />
Drafters should also consider the option <strong>of</strong> using other forms <strong>of</strong> communication,<br />
such as video or telephone conferencing to reduce the cost <strong>of</strong> meetings.<br />
Related Clauses: All other sub-clauses within clause 3.4.<br />
Optional Clauses: Nil<br />
3.4.3 Ad Hoc Meetings<br />
<strong>SOW</strong> report clauses 4.2, 5.2, 6.2, 7.2 and 8.2.<br />
<strong>SOW</strong> review clauses 4.3, 5.3, 6.3, 7.3 and 8.3.<br />
CDRL Line Number MGT-500 for review meeting agenda.<br />
CDRL Line Number MGT-510 for review meeting minutes.<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To define the procedures and requirements for Ad Hoc meetings.<br />
Policy: Nil<br />
Guidance: The Ad Hoc Meetings clause is required to specify arrangements for calling ad hoc<br />
meetings. Even if these meetings are not expected, the clause is included ‘just in<br />
case’.<br />
These meetings may be required to discuss unforeseen issues at the working level<br />
that arise during the course <strong>of</strong> the Contract.<br />
The requirements for conducting ad hoc meetings also make them a suitable basis<br />
for the conduct <strong>of</strong> a number <strong>of</strong> formal meetings. In these cases the general<br />
meeting requirements are cross-referenced to clause 3.4.3 while more specific<br />
issues, such as who will chair the meeting, are defined for the specific review<br />
meeting. Examples <strong>of</strong> this include the optional:<br />
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a. Award Term Review;<br />
b. Periodic Cost Review; and<br />
c. Performance Implementation Period (PIP) Completion Review.<br />
There is no need for drafters to tailor this clause.<br />
Related Clauses: All other sub-clauses within clause 3.4.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> report clauses 4.2, 5.2, 6.2, 7.2 and 8.2.<br />
<strong>SOW</strong> review clauses 4.3, 5.3, 6.3, 7.3 and 8.3 for reviewing SSCC Services.<br />
<strong>SOW</strong> clause 3.4.6, Award Term Reviews.<br />
<strong>SOW</strong> clauses 3.4.1, 3.4.2, and 3.4.4 (related reporting and reviews).<br />
<strong>SOW</strong> clause 3.2.4, Continuous Improvement and Efficiencies.<br />
<strong>SOW</strong> clause 3.4.7, Periodic Cost Reviews..<br />
<strong>SOW</strong> clause 10.4, Performance Implementation Period Completion Review.<br />
CDRL Line Number MGT-500 for review meeting agendas.<br />
CDRL Line Number MGT-510 for review meeting minutes.<br />
3.4.4 Contract Performance Reviews<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To provide a mechanism for addressing commercial issues and obtaining<br />
increased visibility <strong>of</strong> the Contractor’s processes as a means <strong>of</strong> reducing Contract<br />
risk.<br />
Policy: Nil<br />
Guidance: The intent <strong>of</strong> the CPR is to examine the Services and operation <strong>of</strong> the Contract (ie,<br />
including compliance) in a holistic sense in order to identify areas for improvement.<br />
These CPRs would be conducted by senior managers from both customer and<br />
supplier organisations. Typically, the CSRs provide significant input into the<br />
agenda for CPRs, although other matters can be addressed, as deemed necessary<br />
by the parties.<br />
For very large contracts, drafters may wish to separate out the quite discrete<br />
elements <strong>of</strong> the CPR which address the high-level 360-degree report from the<br />
general day-to-day business <strong>of</strong> performance reporting. The results <strong>of</strong> the review<br />
and appraisal <strong>of</strong> the Contractor’s performance, as discussed at the CPR, also<br />
provide input into the assessment <strong>of</strong> the Contractor against the <strong>Defence</strong> Company<br />
ScoreCard.<br />
The CPR is also the usual venue for discussing changes to the Price and Payment<br />
Schedule (Attachment B), including the changes <strong>of</strong> payment methods for work<br />
activities. For example, repeated performance <strong>of</strong> some S&Q Service may allow<br />
these to be changed to either Task-Priced or Recurring Services, which may<br />
require changes to the <strong>SOW</strong> (ie, if those Services are currently identified as S&Q<br />
Services). The CPR may also consider proposals for adjusting Performance<br />
Measures, including the Required Performance Levels for KPIs (eg, as user<br />
demand increases or decreases on an annual basis), and the selection and<br />
effectiveness <strong>of</strong> OPMs. These types <strong>of</strong> discussions would, generally, only be<br />
required on an annual basis, or perhaps every second year, if the CPRs and<br />
scheduled more frequently.<br />
A CPR will <strong>of</strong>ten follow, perhaps on the same day, a CSPR and/or PAR, where the<br />
Services and the levels <strong>of</strong> performance are discussed prior to commercial aspects<br />
being discussed at the CPR. Where the Contract includes Award Terms, the<br />
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Award Term Review and Periodic Cost Review may also be held with the CPR.<br />
These discussions would only be included in the CPR just prior to the end <strong>of</strong> the<br />
Contract Term (from which point either an Award Term <strong>of</strong> Ramp Off period would<br />
follow).<br />
Related Clauses: All other sub-clauses within clause 3.4 (in general).<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 3.4.1, which requires delivery <strong>of</strong> the Contract Status Report.<br />
<strong>SOW</strong> clause 3.4.6, Award Term Reviews.<br />
<strong>SOW</strong> clauses 3.4.1, 3.4.2, and 3.4.4 (related reporting and reviews).<br />
<strong>SOW</strong> clause 3.2.4, Continuous Improvement and Efficiencies.<br />
<strong>SOW</strong> clause 3.4.7, Periodic Cost Reviews.<br />
CDRL Line Number MGT-500 for review meeting agenda.<br />
CDRL Line Number MGT-510 for review meeting minutes.<br />
3.4.5 Performance Assessment Reviews<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To provide a mechanism for reviewing Contractor performance, in the context <strong>of</strong> a<br />
performance-based management framework, and addressing commercial issues<br />
regarding Performance Payments and relief for excusable non-performance.<br />
Policy: Nil<br />
Guidance: A Performance Assessment Review (PAR) is conducted to discuss the<br />
Contractor’s performance with respect to the provision <strong>of</strong> Services, as measured<br />
using KPIs, for each KPI Review Period. The purpose <strong>of</strong> the PAR is acknowledged<br />
within the clause, primarily to discuss performance results, consider grounds for<br />
performance relief and to agree to the amount <strong>of</strong> the Performance Payment<br />
earned.<br />
ASDEFCON (Support) is a template for PPBCs, accordingly measurement and<br />
review <strong>of</strong> performance against KPIs is core, and the PAR is therefore core. If the<br />
Contract is not performance-based then ASDEFCON (Support Short) may be a<br />
more suitable template.<br />
The PAR considers the performance results as measured against the KPIs detailed<br />
in Attachment P. Attachment P also defines and allows for KPIs to have different<br />
Review Periods. If the Contract includes KPIs with different Review Periods (eg, 3<br />
months and 12 months), then each PAR only needs to address the KPIs for the<br />
Review Period just ended.<br />
The PAR is intended to be held as soon as practicable after the end <strong>of</strong> each<br />
Review Period in order to minimise any delay to the determination <strong>of</strong> Performance<br />
Payments and the implementation <strong>of</strong> other rewards / remedies. Therefore, the<br />
PAR is informed by a Performance Measurement Report, which is a part <strong>of</strong> the<br />
CSR that can be scheduled for separate delivery through the CDRL (under CDRL<br />
line MGT-300). The SSVM, which collects results across the Review Period, is<br />
also used for reference to raw measurement data and trend analysis.<br />
The Achieve Performance results, reported in the PMR, are used to determine<br />
Adjusted Performance Scores, which are then used to calculate Performance<br />
Payments (including Performance Incentives, if applicable) in accordance with<br />
Annex C to Attachment B. The PAR is used to consider Contractor claims for<br />
performance relief, in accordance with COC clause 6.5, based on a Contractor’s<br />
submission and details in the SSVM and Performance Management Report.<br />
Claims for performance relief, when considered at the PAR, may be used to amend<br />
the Adjusted Performance Score(s) as a result.<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
3.4.6 Award Term Reviews<br />
Payments for Recurring Services, on which Performance Payments are based, are<br />
usually made monthly, rather than for each Review Period. Hence, all or a portion<br />
<strong>of</strong> the Performance Payment (eg, 90%) is likely to be included in monthly<br />
payments. Therefore an outcome <strong>of</strong> the PAR, which determines the Performance<br />
Payment, may be an adjustment in the money payable to the Contractor, or an<br />
amount owed by the Contractor to the Commonwealth in the case <strong>of</strong> poor<br />
performance.<br />
The PAR is also the forum to discuss Remediation Plans raised in relation to KPIs,<br />
and any performance that falls into the KPI Performance Bands II and III.<br />
Performance in the lower bands could incur Liquidated Damages or other remedial<br />
action, as defined for in the Contract.<br />
The PAR may also be used to discuss proposed Efficiencies, progress against<br />
Approved Efficiencies, and other rewards or remedies that may be evaluated using<br />
OPMs (ie, not related to KPIs), but which may be applicable under the Contract.<br />
These would also be discussed at a CPR; however, the PAR provides a more<br />
frequent opportunity for discussion.<br />
Drafters need to tailor the PAR clause to accord with the performance<br />
management framework being implemented for the Contract. Optional clauses for<br />
Performance Incentives (part or Performance Payments) and Efficiencies are<br />
included in the template, and should be selected accordingly. Drafters may also<br />
find the need to add to or reduce some <strong>of</strong> the requirements <strong>of</strong> the PAR, and amend<br />
the clause accordingly.<br />
COC clause 6.5, Performance Relief.<br />
COC clause 7.1, Price and Price Basis (including Performance Payments).<br />
COC clause 7.11, Restrictions on Certain Payments.<br />
Annex C to Attachment B, Performance Payments.<br />
Attachment P, Performance Assessment.<br />
Draft <strong>SOW</strong> clauses 3.4.1, 3.4.2, and 3.4.4 (related reporting and reviews).<br />
Draft <strong>SOW</strong> clause 3.2.4, Continuous Improvement and Efficiencies.<br />
Draft <strong>SOW</strong> Clause 10.3, Support Services Verification and Validation Activities,<br />
including delivery <strong>of</strong> the SSVM and Remediation Plans (for poor performance).<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To provide a mechanism for reviewing the Contractor’s performance and other<br />
achievements against the criteria for granting an Award Term, and the conditions<br />
<strong>of</strong> that Award Term.<br />
Policy: Nil<br />
Guidance: An Award Term is an extension to the Contract, which can be earned by the<br />
Contractor and granted by the Commonwealth as a reward to the Contractor, when<br />
performance criteria and other conditions, such as the implementation <strong>of</strong><br />
Efficiencies, have been met. Award Terms are only effective in a competitive<br />
contracting environment, and may not suit contracts with a relatively short duration<br />
due to other limits (such as an impending mid-life upgrade or the withdrawal from<br />
service <strong>of</strong> the system). When an Award Term will not be included in the Contract,<br />
the optional Award Term Review clause can be deleted and replaced with ‘Not<br />
used’.<br />
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Related Clauses:<br />
3.4.7 Periodic Cost Reviews<br />
Granting <strong>of</strong> an Award Term is determined in accordance with the criteria in clause<br />
1.8 <strong>of</strong> the COC. The criteria are tailorable, but generally include good performance<br />
in the longer-term (eg, over several years rather than a Review Period), the<br />
implementation <strong>of</strong> agreed Efficiencies and the ability to share in resulting savings,<br />
and subject to other over-riding factors not applying (eg, withdrawal <strong>of</strong> the system<br />
from operational service). An optional Periodic Cost Review may also be<br />
conducted to assess pricing arrangements for an Award Term.<br />
The Award Term Review discussed achievement against the specified criteria and<br />
determines if the Contractor’s overall rating as either satisfactory or unsatisfactory<br />
and, if satisfactory, conditions for the Award Term such as price adjustments to<br />
share the savings from Efficiencies or changes in the scope <strong>of</strong> work. If the rating is<br />
unsatisfactory, or other over-riding conditions apply, the Ramp Off provisions <strong>of</strong> the<br />
Contract will commence.<br />
If Award Terms and this optional clause are chosen, the only tailoring by the drafter<br />
<strong>of</strong> the optional <strong>SOW</strong> clause is to insert the period for which the Contractor will be<br />
notified <strong>of</strong> their rating and, if applicable, conditions for the Award Term.<br />
COC clause 1.8, Contract Term, which includes Award Term provisions.<br />
COC clause 1.9, Reduction in scope for an Award Term.<br />
<strong>SOW</strong> clauses 3.4.1, 3.4.2, and 3.4.4 (related reporting and reviews).<br />
<strong>SOW</strong> clause 3.2.4, Continuous Improvement and Efficiencies.<br />
<strong>SOW</strong> clause 3.4.7, Periodic Cost Reviews<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To provide a mechanism for reviewing the costs incurred under the Contract, and<br />
subsequent pricing arrangements, when considering an extension to the Contract<br />
Term.<br />
Policy: Nil<br />
Guidance: A Periodic Cost Review will involve a series <strong>of</strong> cost-investigation activities,<br />
culminating in a review meeting. Periodic Cost Reviews are a mechanism for<br />
ensuring that savings from Efficiencies and cost/price changes are equitably<br />
shared between the Commonwealth and Contractor during any subsequent<br />
Contract extension. A Periodic Cost Review is essential for Renewal Terms and<br />
optional for larger Contracts with Award Terms.<br />
Renewal Terms extend the Contract at Commonwealth discretion, subject to the<br />
extension representing value for money and generally used in an environment with<br />
limited competition, where Award Terms would be ineffective. Larger Award Term<br />
Contracts, with larger cost and scope for finding and sharing savings from<br />
Efficiencies, may also use the results <strong>of</strong> the Periodic Cost Review when<br />
considering the conditions for granting an Award Term. If Periodic cost Review are<br />
not required in the Contract, the optional clause can be deleted and replaced with<br />
‘Not used’.<br />
Periodic Cost Reviews involve financial investigation and can be a relatively<br />
expensive exercise, accordingly Periodic Cost Reviews, if included, should only be<br />
conducted when they can provide necessary benefits. For example, in a contract<br />
with Renewal Terms, an individual Periodic Cost Review may not be held if the<br />
contract is to end in the near term for some other reason (eg, system withdrawal<br />
from operational service), or if the scope <strong>of</strong> Services are to be changed in order to<br />
break up the contract into components that can be competed.<br />
Drafters need to insert either Award Term or Renewal Term into the clause as<br />
appropriate, and also insert the notification period, regarding the outcomes <strong>of</strong> the<br />
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Related Clauses:<br />
Periodic Cost Review. When tailoiring this clause for contracts with Award Term<br />
the drafter needs to ensure that results can be fed into the Award Term Review.<br />
COC clause 1.8, Contract Term, which includes Renewal Term provisions.<br />
<strong>SOW</strong> clauses 3.4.1, 3.4.2, and 3.4.4 (related reporting and reviews).<br />
<strong>SOW</strong> clause 3.2.4, Continuous Improvement and Efficiencies.<br />
<strong>SOW</strong> clause 3.4.6, Award Term Reviews.<br />
3.5 Subcontractor Management<br />
3.5.1 Subcontractor Planning<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To obtain visibility, through the Contractor, <strong>of</strong> the Approved Subcontractors’<br />
processes as a means <strong>of</strong> reducing Contract risk.<br />
Policy: Nil<br />
Guidance: Drafters should only omit this clause if the Contractor is unlikely to be utilising<br />
Approved Subcontractors. Generally, the clause should be retained, even if the<br />
initial Contract does not involve Approved Subcontractors, to cover the likelihood<br />
that Approved Subcontractors will become applicable at some time during the<br />
Contract. If deleted, the clause should be replaced with ‘Not used’.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
Attachment H, Schedule <strong>of</strong> Approved Subcontractors.<br />
<strong>SOW</strong> clause 3.2.1, Support Services Management Plan.<br />
3.5.2 Subcontractor Status Reporting<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To obtain visibility, through the Contractor, <strong>of</strong> the Approved Subcontractors’<br />
processes as a means <strong>of</strong> reducing Contract risk.<br />
Policy: Nil<br />
Guidance: Drafters should only omit this clause if the Contractor is unlikely to be utilising<br />
Approved Subcontractors. Generally, the clause should be retained, even if the<br />
initial Contract does not involve Approved Subcontractors, to cover the likelihood<br />
that Approved Subcontractors will become applicable at some time during the<br />
Contract. If deleted, the clause should be replaced with ‘Not used’.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
Attachment H, Schedule <strong>of</strong> Approved Subcontractors.<br />
<strong>SOW</strong> clause 3.4.1, status reviews and reporting.<br />
3.6 Co-ordination and Co-operation<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To set out the requirement for the Contractor to co-ordinate and co-operate with<br />
other parties (both Commonwealth and other contractors) who may also need to<br />
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Policy: Nil<br />
perform work on the Products being supported, or who may be working on<br />
products that interface or interact with the Products being supported.<br />
Guidance: Clause 3.6.1 ensures that the Contractor acknowledges that it may need to interact<br />
with the Commonwealth or other contractors during the period <strong>of</strong> the Contract. The<br />
other parties are grouped as either ‘Other Capabilities’, being parties working with<br />
other systems that interface or interoperate with the Products, or ‘Associated<br />
Parties’ who work with the same Products as the Contractor but who are not<br />
Subcontractors.<br />
Clause 3.6.2 requires the Contractor to co-operate with all parties that need to<br />
interact or interface with the Contractor and/or the Products being supported, such<br />
as:<br />
a. another contractor requiring access to a Mission System being Maintained<br />
by the Contractor to install a modification;<br />
b. the Contractor’s Maintenance activities having to be programmed in<br />
conjunction with the Commonwealth’s operational and operational level<br />
Maintenance activities to ensure overall system availability requirements are<br />
achieved; or<br />
c. the Contractor having to coordinate an external interface modification with<br />
the support agency for the other side <strong>of</strong> the interface to ensure that both<br />
systems continue to interoperate.<br />
Clause 3.6.2d requires the Contractor to advise the Commonwealth<br />
Representative <strong>of</strong> any causes, or likely causes, which could interrupt the operation<br />
<strong>of</strong> the Mission System or to the performance <strong>of</strong> the Services.<br />
No tailoring <strong>of</strong> these clauses is required because it is envisaged that these clauses<br />
will have general applicability over the life <strong>of</strong> any Product being supported.<br />
Optional clauses 3.6.3 – 6 apply only to Associated Parties. For the majority <strong>of</strong><br />
Mission System support contracts, the Commonwealth will retain an overall<br />
management responsibility associated with the Technical Integrity and<br />
Configuration Control <strong>of</strong> the system. Other system-level responsibilities may also<br />
be retained or, in a number <strong>of</strong> cases, referred to a third party (eg, through a<br />
system-level support contractor or through FMS support). In these cases the<br />
Associated Party is likely to have responsibilities that span all aspects <strong>of</strong> Materiel<br />
System support, and require coordination and certain inputs from the Contractor.<br />
The optional clauses define these responsibilities <strong>of</strong> the Associated Party, and<br />
require acknowledgement <strong>of</strong> them, particularly where they impact and/or interact<br />
with the Services provided by the Contractor, particularly for Engineering Services<br />
such as Configuration Management. If this situation is not applicable to the<br />
Contract, the optional clauses should be deleted.<br />
When including the optional clauses, drafters need to insert the name <strong>of</strong> the<br />
applicable Mission System in several locations. Where there are multiple Mission<br />
System types, but with differing Commonwealth responsibilities, clause 3.6.3 may<br />
need to be modified or repeated for each type. Drafters should include the<br />
applicable system-level responsibilities held by the Commonwealth (or indirectly by<br />
a third party, via the Commonwealth) in the sub-clause list under clause 3.6.3.<br />
Other responsibilities, in addition to those listed, may include:<br />
a. system availability (ie, coordination <strong>of</strong> all inputs for availability);<br />
b. Technical Data management (ie, in relation to the, standards for developing<br />
and updating, distribution and control <strong>of</strong> all Technical Data);<br />
c. fleet / class Maintenance plan(s);<br />
d. Cannibalisation;<br />
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e. use <strong>of</strong> non-standard or alternative parts and deviating from approved<br />
Maintenance processes;<br />
f. aircraft weight and balance / ship stability;<br />
g. system security;<br />
h. electromagnetic environmental effects;<br />
i. reliability, maintainability and testability;<br />
j. Obsolescence management;<br />
k. Life Cycle Cost;<br />
l. Codification and Cataloguing; and<br />
m. Disposal <strong>of</strong> Commonwealth-owned Stock Items.<br />
Drafters should amend the list <strong>of</strong> responsibilities, as appropriate to the Contract.<br />
The remaining optional clauses should require little or no tailoring.<br />
Related Clauses: COC clause 3.18, Co-ordination and Co-operation with other Commonwealth<br />
Contractors.<br />
Optional Clauses: Nil<br />
3.7 Risk and Issue Management<br />
3.7.1 Risk Management<br />
Sponsor: DMO Standardisation Office<br />
Status: Core Option<br />
Purpose: To define:<br />
a. the Contractor's procedures for identifying, capturing, analysing, assessing,<br />
prioritising, monitoring and reviewing risks associated with the Contract<br />
(Support) and to describe the Contractor’s procedures to manage those<br />
risks; and<br />
b. the implementation <strong>of</strong> the Risk Register and procedures for using the Risk<br />
Register to capture the dynamic elements <strong>of</strong> the risk-management process.<br />
Policy: DMO Project Risk Management Manual (PRMM)<br />
Guidance: Contractors are required to manage risk in all contracts. The need for a separate<br />
Risk Management Plan (RMP) and Risk Register in accordance with the RMP<br />
depends on the perceived risk inherent in the Contract. The alternative is to roll-up<br />
risk-management requirements into the SSMP, with the choice between a<br />
standalone RMP or rolled-up into SSMP being a Core Option. Drafters will need to<br />
assess the likely level <strong>of</strong> risk taking into account factors such as:<br />
a. technical complexity;<br />
b. experience and skill level <strong>of</strong> Contractor and its team;<br />
c. delivery schedule and impact <strong>of</strong> late deliveries; and<br />
d. safety issues.<br />
Drafters should consult with other staff, who have had experience with similar<br />
contracts, to determine the likely level <strong>of</strong> risk. Drafters should then decide whether<br />
a standalone RMP is required, and tailor the <strong>SOW</strong> accordingly. No tailoring <strong>of</strong><br />
either the RMP DID or SSMP DID is considered necessary; the SSMP DID is selftailoring<br />
to include risk management planning based on the selection <strong>of</strong> the core<br />
option clause in the <strong>SOW</strong>.<br />
The requirement for a Risk Register is defined in the RMP and SSMP DIDs; hence,<br />
the Contractor’s implementation and ongoing use <strong>of</strong> the Risk Register should be in<br />
accordance with the Approved RMP or SSMP, as chosen.<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
3.7.2 Issue Management<br />
Drafters should be aware that, in addition to the Contract Status Report, most <strong>of</strong><br />
the other reports specified in the <strong>SOW</strong> (eg, Combined Services Summary Report<br />
components) require risks to be included, and these risks should be derived from,<br />
and consistent with, the Contractor’s Risk Register.<br />
DID-SSM-RMP and DID-SSM-SSMP, which specify the requirements for planning<br />
risk management.<br />
CDRL Line Number MGT-400 for the RMP.<br />
TDR E-5 <strong>of</strong> the COT, Risk Assessment and Strategy.<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To ensure that day-to-day Contract Issues are being adequately managed.<br />
Policy: Nil<br />
Guidance: Issues in this context are items that do not appear in the Risk Register because<br />
they are either too short-term or too insignificant, or do not represent a cost or<br />
schedule risk. The effective management <strong>of</strong> Issues, however, requires ongoing<br />
effort to ensure the continued effective operation <strong>of</strong> the Contract and the reliable<br />
provision <strong>of</strong> Services. The SSMP should address how the Contractor proposes to<br />
manage these types <strong>of</strong> Issues. Typical Issues include:<br />
a. action items from meetings;<br />
b. corrective actions;<br />
c. Issues arising from the collection and analysis <strong>of</strong> measurement data;<br />
d. Issues arising from deviations from expected progress;<br />
e. Issues arising from reviews <strong>of</strong> process application; and<br />
f. Issues arising from correspondence.<br />
The aim <strong>of</strong> this clause is to ensure that the Contractor has a rigorous process in<br />
place to address important Issues in a timely manner.<br />
The requirement for an Issue Register is defined in the SSMP DID; hence, the<br />
Contractor’s implementation and ongoing use <strong>of</strong> the Issue Register should be in<br />
accordance with the Approved SSMP.<br />
Related Clauses: DID-SSM-SSMP, which specifies the requirements for Issue management.<br />
Optional Clauses: Nil<br />
3.8 Maintenance <strong>of</strong> Contractual Documents<br />
3.8.1 Configuration Management <strong>of</strong> the Contract<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To impose a contractual obligation on the Contractor to apply strict configuration<br />
control to contract documents.<br />
Policy: DPPM, Section 6, Chapter 6.7<br />
Guidance: This clause obligates the Contractor to maintain a configured copy <strong>of</strong> the Contract,<br />
which incorporates all approved CCPs, and maintain an archive <strong>of</strong> all superseded<br />
versions <strong>of</strong> the Contract.<br />
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Related Clauses: Nil<br />
Optional Clauses: Nil<br />
It should be noted that the requirement for the Contractor to maintain the<br />
configuration <strong>of</strong> the Contract does not remove the need for the Commonwealth to<br />
do the same. It is imperative that the Commonwealth maintains copies <strong>of</strong> the<br />
current and past versions <strong>of</strong> the Contract, as described in this clause.<br />
3.8.2 Subcontract Configuration Management<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To impose a contractual obligation on the Contractor to apply strict configuration<br />
control to subcontract documents.<br />
Policy: DPPM – Section 6, Chapter 6.7<br />
Guidance: The same reasons for maintaining the configuration <strong>of</strong> the Contract apply to<br />
Subcontracts. This clause ensures that the Contractor maintains subcontract<br />
documents with the same rigour as maintaining Contract documents.<br />
Related Clauses: Nil<br />
Optional Clauses: Nil<br />
3.9 Independent Verification and Validation<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To ensure that the Contractor will assist a third-party entity to investigate aspects<br />
<strong>of</strong> the Contractor’s performance on the Commonwealth’s behalf.<br />
Policy: Nil<br />
Guidance: This clause should only be used for complex contracts (eg, where s<strong>of</strong>twareintensive<br />
development is being undertaken) and for those with safety-critical<br />
aspects, where specialist expertise is essential to determine performance.<br />
The Commonwealth may use an Independent Verification and Validation (IV&V)<br />
Agent to:<br />
a. undertake investigation <strong>of</strong> the Contractor’s performance by a person who<br />
has specialist expertise not available to the Commonwealth in-house; and/or<br />
b. provide objective inputs (independent <strong>of</strong> both Commonwealth and<br />
Contractor personnel) to the Commonwealth on aspects <strong>of</strong> the work<br />
performed by the Contractor.<br />
The scope <strong>of</strong> IV&V activities must be clearly indicated to enable the tenderer to<br />
estimate the scope <strong>of</strong> work imposed on the tenderer in supporting the IV&V<br />
activities. If the scope <strong>of</strong> IV&V activities is unknown, then a fixed man-hour level <strong>of</strong><br />
effort should be considered (ie, to be individually estimated on an S&Q basis).<br />
Drafters should bear in mind that this clause would give an IV&V Agent access to<br />
IP owned by the Contractor. The IV&V Agent might be an actual or potential<br />
competitor to the Contractor. Therefore, drafters should consider adding clauses<br />
that address confidentiality and safeguard the Contractor’s IP and other<br />
commercial-in-confidence information, such as knowledge about its internal<br />
processes. Clause 10.4 <strong>of</strong> the COC addresses these issues and should be<br />
reviewed before adding additional clauses.<br />
Related Clauses: COC clause 10.4, Commercial-in-Confidence Information<br />
Optional Clauses:<br />
The Commonwealth may appoint IV&V agent to verify and validate any aspect <strong>of</strong><br />
the Contractor's activities at any stage <strong>of</strong> the Contract.<br />
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3.10 Life Cycle Cost (LCC)<br />
The Contractor shall facilitate the work <strong>of</strong> the IV&V agent by:<br />
a. providing access to the Contractor's facilities;<br />
b. providing access to all documentation regarding the Contract, including<br />
requirements, source code, review records, design and test data, and<br />
information management systems used for the Contract;<br />
c. providing access to any tools required to review the project data; and<br />
d. providing the IV&V agent access to Contractor staff in order to clarify issues<br />
when necessary.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To:<br />
a. assist the Commonwealth in the whole-<strong>of</strong>-life objective to minimise cost<br />
while providing the required level <strong>of</strong> capability; and<br />
b. provide a basis from which to evaluate the LCC impact and value for money<br />
<strong>of</strong> changes proposed by the Commonwealth and/or Contractor.<br />
Policy: DI(G) LOG 4-5-004 <strong>Defence</strong> Policy on Life Cycle Costing Analysis<br />
Guidance: Life Cycle Costing Analysis (LCCA) undertaken by the Contractor is generally<br />
applicable to larger materiel support programs and/or those where the LCC impact<br />
<strong>of</strong> system changes will need to be analysed by the Contractor and reported to the<br />
Commonwealth. Accordingly, the LCC clause will be mostly applicable to example<br />
support Scenarios #1 and #2 where the Contractor has Mission System<br />
responsibilities, and in some cases, Scenario #3 for high-value sub-systems (refer<br />
Annex A <strong>of</strong> this <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong>). In other cases, the Commonwealth may<br />
undertake the LCCA, identifying the Contract cost as a component in the LCC<br />
Model.<br />
The LCC model and analysis undertaken by the Contractor is reported as a<br />
measure <strong>of</strong> the on-going cost <strong>of</strong> the system. This information can be used to verify<br />
that the Contractor is continuing to assist the Commonwealth in reducing the cost<br />
<strong>of</strong> ownership and can assist the Commonwealth with updating long-term budget<br />
forecasts. Accordingly, LCCA is important for documenting the cost baseline from<br />
which Continuous Improvements and Efficiencies can be evaluated – regardless <strong>of</strong><br />
whether this is undertaken by the Contractor or Commonwealth.<br />
Aside from budgeting, the main purpose <strong>of</strong> the LCC model is to assess the LCC<br />
impact <strong>of</strong> changes to the Mission System and/or Support System. For example;<br />
when parts become obsolete, the Commonwealth may need to choose between<br />
establishing a new repair capability or modifying the system to use alternate<br />
components. In more expensive cases, the information will help the<br />
Commonwealth to consider the economic benefits <strong>of</strong> a major upgrade or the need<br />
for system replacement.<br />
Analyses <strong>of</strong> system changes are tasked through the Engineering Support DSDs.<br />
LCCA may be specifically requested through DSD-ENG-SERV, clause 6.2.10, for<br />
specific activities identified by the Commonwealth Representative. LCC should<br />
also be required in the evaluation <strong>of</strong> Engineering Change Proposals (ECPs).<br />
Accordingly, DSD-ENG-SERV includes LCCA to evaluate a proposal or<br />
preliminary ECP or other evaluations. Areas where LCCA would be expected to<br />
be undertaken (or LCC used as a factor) include:<br />
a. Supportability and Engineering Analyses (in DSD-ENG-SERV);<br />
b. assessment <strong>of</strong> whether or not an RI should be classified as Beyond<br />
Economic Repair (in DSD-MNT-MGT);<br />
c. obsolescence management (in DSD-SUP-SERV);<br />
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Related Clauses: DSD-ENG-SERV.<br />
Optional Clauses: Nil<br />
d. Support System Supportability Analyses (in DSD-SUP-SERV); and<br />
e. Stock Assessment (in DSD-SUP-SACC).<br />
To enable both budget forecasts and a basis for evaluating ECPs and other<br />
changes, this LCC clause is required to establish and maintain the baseline (even<br />
if this is limited to the scope <strong>of</strong> Contractor tasks, while the DMO tracks LCC as a<br />
whole).<br />
DSD-MNT-MGT.<br />
DSD-SUP-SERV.<br />
DSD-SUP-SACC.<br />
3.10.1 Life Cycle Cost Program Management<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To set out the governing plan for the LCC program.<br />
Policy: DI(G) LOG 4-5-004 <strong>Defence</strong> Policy on Life Cycle Costing Analysis<br />
Guidance: Clause 3.10.1 sets out the governing plan for the LCC program. The clause does<br />
not need to be tailored by the drafter.<br />
Related Clauses: All other sub-clauses within <strong>SOW</strong> clause 3.10.<br />
Optional Clauses: Nil<br />
3.10.2 Life Cycle Cost Modelling and Analysis<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To identify the LCC model to be used and set out the activities required to be<br />
undertaken by the Contractor with respect to LCCA.<br />
Policy: DI(G) LOG 4-5-004 <strong>Defence</strong> Policy on Life Cycle Costing Analysis<br />
Guidance: The drafter needs to insert the name <strong>of</strong> the applicable LCC tool (model) and the<br />
need to ‘develop and maintain’ a new model, or just ‘maintain’ an existing one, as<br />
indicated in the draft <strong>SOW</strong> clause and Note to drafters.<br />
In some cases, it may be preferable to define a version number for the LCC tool;<br />
however, this could lead to contract changes for subsequent versions. It would be<br />
preferable to have the Approved SSMP identify the current version <strong>of</strong> the LCC tool.<br />
A note to tenderers may be added to identify the current version <strong>of</strong> the tool for the<br />
purposes <strong>of</strong> tendering.<br />
To be effective, clause 3.10.2.1.c may require the Commonwealth to provide cost<br />
data to the Contractor in order to complete the LCC model scope. If the<br />
Commonwealth cannot provide this additional cost data (eg, because other<br />
<strong>Defence</strong> contracts for the system have commercial-in-confidence cost data), then<br />
this clause may need to be removed and the scope <strong>of</strong> the LCC model reduced. In<br />
this circumstance, the Commonwealth may require the Contractor to deliver the<br />
LCC model data to the Commonwealth to enable the Commonwealth to complete<br />
the LCCA. Alternatively, the Contractor may be able to conduct a sufficient LCCA<br />
without this other data (eg, by conducting a difference analysis only) and, in this<br />
circumstance, clause 3.10.2.1.c may be able to remain as currently drafted.<br />
Related Clauses: All other sub-clauses within <strong>SOW</strong> clause 3.10.<br />
Optional Clauses: Nil<br />
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3.10.3 Life Cycle Cost Program Reviews and Reports<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To set out the review and reporting requirements in relation to the Contractor’s<br />
ongoing LCC program.<br />
Policy: DI(G) LOG 4-5-004 <strong>Defence</strong> Policy on Life Cycle Costing Analysis<br />
Guidance: This clause should be tailored to select the applicable review meeting, as per the<br />
note to drafters and draft <strong>SOW</strong> clause.<br />
Related Clauses: All other sub-clauses within <strong>SOW</strong> clause 3.10.<br />
Optional Clauses: Nil<br />
3.11 Government Furnished Material and Government Titled Items Management<br />
3.11.1 Provision and Management <strong>of</strong> Government Furnished Material<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional. To be used when GFM is to be supplied to the Contractor. Clauses<br />
3.11.1 and 3.11.2 are optional but interdependent and must be inserted, amended<br />
or omitted as a package.<br />
Purpose: To impose contractual obligations on the Contractor for the delivery, receipt,<br />
inspection and use <strong>of</strong> GFM.<br />
Policy: DEFLOGMAN Part 2, volume 5, chapters 17 and 18<br />
Guidance: Under clause 3.11.1, the Commonwealth must deliver or provide the Contractor<br />
with access to GFM at the places and times stated in Annex A to Attachment E. If<br />
the Commonwealth fails to deliver or provide access to GFM at the places and<br />
times stated in Annex A to Attachment E, the COC states that the Contractor will<br />
be entitled to claim a postponement <strong>of</strong> the date for provision <strong>of</strong> Services and to<br />
recover postponement costs unless the failure to deliver or provide access was<br />
caused by a default or an unlawful or negligent act or omission <strong>of</strong> the Contractor,<br />
its <strong>of</strong>ficers, employees, agents or Subcontractors. It is important, therefore, to<br />
ensure that all GFM can be supplied by the Commonwealth at the time and place<br />
specified in Annex A <strong>of</strong> Attachment E.<br />
On receipt <strong>of</strong> the GFM, the Contractor must inspect the GFM for physical damage,<br />
defects, and deficiencies within the timeframes specified in Annex A <strong>of</strong> Attachment<br />
E and report its satisfaction or dissatisfaction with the GFM to the Commonwealth<br />
Representative in writing. Clause 3.11.1.4 places an additional requirement on the<br />
Contractor to carry out appropriate functional testing <strong>of</strong> GFE. It is important that<br />
these inspections and tests are carried out so that the parties are able to determine<br />
who is responsible for any later defect in GFM.<br />
Clause 3.11.1.4 requires that GFE is tested by the Contractor at least 15 Working<br />
Days prior to the utilisation <strong>of</strong> the GFE in connection with the provision <strong>of</strong> the<br />
Services to determine that the GFE is serviceable for use as required by the<br />
Contract. The words ‘to the extent feasible’ have been included so that the<br />
Contractor will not be rendered in breach <strong>of</strong> contract where it is not feasible for the<br />
GFE to be functionally tested (eg, where the GFE must operate with Services<br />
which have not yet been completed). However, it is important that the Contractor<br />
functionally tests GFE as early as possible to ensure that the Services are not<br />
affected. If a Contractor submits a postponement claim under COC clause 6.2 in<br />
relation to deficient GFE, the Contractor’s actions, including in relation to the<br />
functional testing <strong>of</strong> the deficient GFE, will be taken into account in determining<br />
whether the postponement claim should be granted. If the Contractor fails to<br />
inspect the GFM or carry out the functional tests as required by clause 3.11.1.4 the<br />
Contractor will be in breach <strong>of</strong> Contract. The Commonwealth’s remedy in respect<br />
<strong>of</strong> such a breach will depend upon the circumstances and effect <strong>of</strong> the breach. In<br />
accordance with COC clause 3.5.6, the Commonwealth's warranty in relation to the<br />
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fitness for purpose <strong>of</strong> Commonwealth Mandated GFM will also not apply where the<br />
Contractor fails to inspect and test the GFM as required by clause 3.11.1.4.<br />
If the GFM provided by the Commonwealth is damaged, deficient or defective,<br />
clauses 6.2 and 6.3 <strong>of</strong> the COC will apply to determine whether the Contractor will<br />
be entitled to claim a postponement <strong>of</strong> the date for the provision <strong>of</strong> Services and to<br />
recover postponement costs. It is important, therefore, to ensure that all GFM<br />
provided by the Commonwealth is not damaged, defective nor deficient and is<br />
serviceable for its intended use. However, if the Contractor fails to inspect GFM or<br />
functionally test GFE as required by clause 3.11.1.4 the Contractor’s entitlement to<br />
a postponement claim may be affected.<br />
Related Clauses: TDR E-9 <strong>of</strong> the COT requests tenderers to provide details <strong>of</strong> the GFM that they<br />
require to perform the Contract, including the quantity, date required, location and<br />
intended purpose.<br />
Optional Clauses: Nil<br />
3.11.2 Care <strong>of</strong> GFM and GTI<br />
Attachment M contains definitions <strong>of</strong> GFD, GFE, GFI, GFM, Commonwealth<br />
Mandated GFM and GTI.<br />
COC clauses 3.4 to 3.6 contain additional GFM provisions.<br />
COC clauses 6.2 and 6.3 detail when the Contractor is entitled to claim a<br />
postponement <strong>of</strong> the date for provision <strong>of</strong> the Services and/or a Milestone date and<br />
to recover postponement costs.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional. To be used when Government Furnished Material (GFM) and<br />
Government Titled Items (GTI) is to be supplied to the Contractor. Clauses 3.11.1<br />
to 3.11.2 are optional but interdependent and must be inserted, amended or<br />
omitted as a package.<br />
Purpose: To impose a contractual obligation on the Contractor to provide Facilities for the<br />
storage and handling <strong>of</strong> GFM and to conduct the required Maintenance <strong>of</strong> GFE.<br />
Policy: DEFLOGMAN Part 2: volume 5 chapters 17 and 18<br />
Guidance: Clause 3.11.2.1 places a contractual obligation on the Contractor to Facilities for<br />
the storage and handling <strong>of</strong> GFM as it is received.<br />
Clause 3.11.2.2 requires the Contractor to carry out Maintenance on items <strong>of</strong> GFE<br />
and GTI in accordance with the requirements <strong>of</strong> the applicable clauses identified.<br />
GTI are Items that are owned by the Commonwealth but not warranted like GFM –<br />
hence clause 3.11.1 does not apply. GTI are Items like spare parts, which are not<br />
furnished to the Contractor as an enabler to the Services but, rather, may actually<br />
be the reason for the Services; hence, the Commonwealth would be warranting<br />
these Items as fit for purpose when the very reason for the Contract is to repair<br />
them. There are other circumstances where this also applies, such as when the<br />
spares have recently been acquired, through an acquisition Contract or DSD-SUP-<br />
PROC and the Commonwealth has no ability to functionally test them prior to the<br />
Contractor receiving them. Nonetheless, these GTI still need to be cared for in<br />
terms <strong>of</strong> handling, storage and maintenance.<br />
Where the responsibility is split between the Commonwealth and the Contractor<br />
(eg, the Contractor performs operational Maintenance and the Commonwealth<br />
tasks deeper levels <strong>of</strong> Maintenance through a common support contract), the<br />
drafter should ensure that the entries for each GTI and GFE item in <strong>SOW</strong> Annex A<br />
define the levels <strong>of</strong> Maintenance that are included in the Services.<br />
Drafters should be aware that <strong>SOW</strong> clause 3.22 addresses the stocktaking <strong>of</strong> GFM<br />
and GTI, as well as the requirement for the Contractor to use a system for the<br />
accounting for and control, handling, preservation, protection and Maintenance <strong>of</strong><br />
Contractor Managed Commonwealth Assets, which include GFM and GTI.<br />
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Related Clauses: TDR E-9 <strong>of</strong> the COT requests tenderers to provide details <strong>of</strong> the GFM that they will<br />
require to perform the Contract, including the quantity, date required, location and<br />
intended purpose.<br />
Optional Clauses: Nil<br />
COC clauses 3.4 to 3.6 contain additional GFM provisions.<br />
Attachment E lists GFM and GTI.<br />
Attachment M contains definitions <strong>of</strong> GFD, GFE, GFI, GTI, GFM and<br />
Commonwealth Mandated GFM.<br />
<strong>SOW</strong> clause 3.22, Assurance and Stocktaking <strong>of</strong> Contractor Managed<br />
Commonwealth Assets, describes applicable accounting and asset management<br />
requirements.<br />
<strong>SOW</strong> clause 6, applicable subclauses <strong>of</strong> clause 9, and <strong>SOW</strong> Annex A are used to<br />
define the Contractor’s Maintenance responsibilities for GFE and GTI.<br />
3.11.3 Shared Government Furnished Material<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional. To be used when GFM is to be supplied to the Contractor and if GFM is<br />
required to be shared with other Commonwealth organisations and contractors.<br />
Purpose: To ensure the Contractor acknowledges that GFM may be utilised by the<br />
Commonwealth and other Commonwealth contractors during the period <strong>of</strong> the<br />
Contract.<br />
Policy: DEFLOGMAN Part 2: volume 5 chapters 17 and 18<br />
Guidance: Clause 3.11.3.1 ensures that the Contractor acknowledges that Commonwealth<br />
provided GFM may be required for use by the Commonwealth, or other contractors<br />
during the period <strong>of</strong> the Contract. Clause 3.11.3.2 sets out the procedures to be<br />
followed when a dispute arises as to the use <strong>of</strong> the shared GFM. The guiding<br />
principle, when the Commonwealth Representative is called upon to resolve<br />
disputes, is to determine the relative operational priority <strong>of</strong> the two claims to the<br />
GFM. Clause 3.11.3.2 ensures that the Commonwealth Representative’s decision<br />
on the relative operational priority is final and binding.<br />
Clause 3.11.3.3 clearly articulates that it is the Commonwealth’s responsibility to<br />
perform Maintenance on the GFM while the GFM is in the Commonwealth’s care,<br />
custody and control.<br />
Related Clauses: TDR E-9 <strong>of</strong> the COT requests tenderers to provide details <strong>of</strong> the GFM that they<br />
require to perform the Contract, including the quantity, date required, location and<br />
intended purpose.<br />
Optional Clauses: Nil<br />
Attachment M contains definitions <strong>of</strong> GFD, GFE, GFI, GFM and Commonwealth<br />
Mandated GFM.<br />
COC clauses 3.4 to 3.6 contain additional GFM provisions.<br />
COC clauses 6.2 and 6.3 detail when the Contractor is entitled to claim a<br />
postponement <strong>of</strong> the date for provision <strong>of</strong> the Services and/or a Milestone date and<br />
to recover postponement costs.<br />
3.11.4 Update <strong>of</strong> Contract GFM and GTI<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional. To be used when.<br />
Purpose: To require the Contractor to provide lists <strong>of</strong> GFM and GTI to facilitate update <strong>of</strong><br />
Attachment E.<br />
Policy: DEFLOGMAN Part 2: volume 5 chapters 17 and 18<br />
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Guidance: Attachment E lists GFM and GTI; however, during the course <strong>of</strong> a contract<br />
additional GFM and GTI may be included for S&Q Services, and S&Q orders<br />
include lists for additional <strong>of</strong> GFM and may introduce new GTI. Together,<br />
Attachment E and S&Q lists are referred to as GFE Schedules, GTI may also be<br />
added through purchases <strong>of</strong> new RIs (eg, under DSD-SUP-PROC) or changes in<br />
Contract scope.<br />
After a period <strong>of</strong> time and, potentially, many S&Q orders, it may be appropriate to<br />
consolidate the lists by updating GFM and GTI listed in Attachment E. This clause<br />
requires the contractor to prepare these consolidated lists.<br />
If there is unlikely to be changes to the list, or only minor changes that will be<br />
tracked and updated by <strong>Defence</strong>, then this clause would not be required and can<br />
be replaced with ‘Not used’.<br />
Related Clauses: TDR E-9 <strong>of</strong> the COT requests tenderers to provide details <strong>of</strong> the GFM.<br />
Optional Clauses: Nil<br />
Attachment E, which lists GFM and GTI.<br />
Attachment M contains definitions <strong>of</strong> GFD, GFE, GFI, GTI, GFM and<br />
Commonwealth Mandated GFM.<br />
3.12 Australian Industry Capability (AIC) Management<br />
Sponsor: Industry Division<br />
Status: Core<br />
Purpose: Under its defence policy for industry, the Commonwealth has established the AIC<br />
program, which aims to:<br />
a. generate and sustain indigenous industrial capabilities essential to meeting<br />
Australia’s sovereign military self-reliance needs, as required in support <strong>of</strong><br />
ADF operational capability; and<br />
b. create competitive opportunities for local industry to provide goods and<br />
services, domestically and internationally, as part <strong>of</strong> global supply chains,<br />
based on best value for money.<br />
Policy: DPPM, Chapter 3.12<br />
AIC Toolkit<br />
Guidance: Guidance on the AIC program is contained in the AIC Toolkit at<br />
http://www.defence.gov.au/dmo. A full AIC Plan is required if Industry<br />
Requirements are identified or if the expected value <strong>of</strong> any one contract related to<br />
the Capability exceeds $50 million. For all other contracts, only a shorter version<br />
<strong>of</strong> the AIC Plan is required, as specified in the COT.<br />
The AIC Plan is the principle document that defines the Contractor's commitment<br />
and responsibilities for meeting the set Industry Requirements and the AIC levels<br />
negotiated.<br />
Clause 3.11.4.1 requires the Contractor to comply with the AIC Plan.<br />
Clauses 3.11.4.2 – 3.11.4.4 provide two options, depending upon whether or not<br />
the full AIC Plan is required.<br />
If a change to the AIC Plan is required, clause 3.11.4 obligates the Contractor to<br />
raise a CCP in accordance with clause 10.1 <strong>of</strong> the COC.<br />
If required, the AIC Plan is reported against, using the Australian Industry<br />
Capability Progress Report (DID-SSM-AICPR). CDRL MGT-710 is to be annotated<br />
once the appropriate reporting periodicity is determined for each contract.<br />
Clause 3.11.4 is to be included in the RFT without alteration, except where the<br />
Contract value is likely to be less than $50m and there are no Industry<br />
Requirements. If the resultant contract is accords with these lesser criteria, only a<br />
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subset <strong>of</strong> the AIC Plan is required (as per the Note to drafters) and there is no<br />
requirement for AIC progress reporting. Drafters should amend clause 3.11.4<br />
accordingly.<br />
Prior to Contract signature, drafters must insert the negotiated AIC Plan at<br />
Attachment F. The tendered AIC information proposed in Annex H to Attachment<br />
A <strong>of</strong> the COT forms the basis for the AIC Plan, which is amended as necessary<br />
during negotiations.<br />
Related Clauses: Annex H to Attachment A <strong>of</strong> the COT requires tenderers to submit a draft AIC Plan,<br />
as applicable.<br />
Optional Clauses: Nil<br />
COC clause 4 sets the contractual framework for the AIC Plan.<br />
Attachment F contains the agreed AIC Plan based on the requirements set out in<br />
DID-PM-AIC-AICP (from ASDEFCON (Strategic Materiel)).<br />
CDRL Line Numbers MGT-700 (AIC Plan) and MGT-710 (AIC Progress Report)<br />
define delivery requirements for updates to data items relating to AIC.<br />
3.13 Intellectual Property Management<br />
3.13.1 Intellectual Property Plan<br />
Sponsor: Commercial Policy and Practice Branch and DMO Standardisation Office<br />
Status: Core<br />
Purpose: To require the Contractor to:<br />
a. comply with the Intellectual Property (IP) Plan; and<br />
b. further develop, deliver and update the IP Plan.<br />
Policy: The management <strong>of</strong> IP under the Contract shall be clear, consistent and traceable.<br />
DPPM, Section 3, Chapter 3.6.<br />
<strong>Defence</strong> Intellectual Property Policy 2008.<br />
Guidance: The IP Plan is the principle document that defines the Contractor's plans,<br />
processes and responsibilities for meeting the IP and Technical Data requirements<br />
<strong>of</strong> the Contract. The management and monitoring section <strong>of</strong> the IP Plan outlines<br />
the scope <strong>of</strong> the IP program. The IP Schedule within the plan details all limitations<br />
(including on the Commonwealth's rights) in respect <strong>of</strong> the IP and Technical Data<br />
requirements <strong>of</strong> the Contract.<br />
It is <strong>of</strong> paramount importance that the integrity <strong>of</strong> information in the IP Schedule be<br />
examined and qualified at key points during the Contract period. This is because<br />
Contract provisions place a clear onus on the Contractor to define the IP required,<br />
and to highlight the limitations on the Commonwealth’s (or another party’s) rights <strong>of</strong><br />
usage or access to the IP and related Technical Data in the context <strong>of</strong> the actual<br />
items <strong>of</strong> IP and Technical Data. This ensures that agreed limitations on use <strong>of</strong> or<br />
access to IP and Technical Data can be fully understood by the parties.<br />
Clause 3.13.1.1 and clause 3.13.1.2 require the Contractor to:<br />
a. conduct the IP program in accordance with the IP Plan; and<br />
b. further develop, deliver and update the IP Plan.<br />
If the Contractor proposes a change to the IP Plan, clause 3.13.1.3 obligates the<br />
Contractor to raise a CCP in accordance with clause 10.1 <strong>of</strong> the COC.<br />
The management and continued development and updating <strong>of</strong> the IP Plan is an<br />
integral part <strong>of</strong> the Contractor’s obligations under the Contract.<br />
Clause 3.13.2.2 requires the Contractor to document progress against the IP Plan<br />
in each CSR.<br />
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Clause 3.13.1 is to be included in the RFT without alteration. The only tailoring<br />
required for the IP Plan is the selection <strong>of</strong> the appropriate DID in the CDRL, either<br />
DID-SSM-IPP (Complex) or DID-SSM-IPP (Strategic). The two DIDs are similar;<br />
however, DID-SSM-IPP (Strategic) provides the option to use IP Records in the IP<br />
Schedule. If IP Records are required, they must be requested through clause<br />
3.13.2.1 and the CDRL.<br />
Related Clauses: Annex C to Attachment A <strong>of</strong> the COT requires tenderers to submit a draft IP Plan.<br />
Optional Clauses: Nil<br />
Attachment G contains the agreed IP Plan based on the requirements set out in<br />
the chosen DID.<br />
The baseline DID-SSM-IP-IPP (Complex) or the alternative option DID-SSM-IP-IPR<br />
(Strategic) sets out requirements for the IP Plan.<br />
CDRL Line Number MGT-800.<br />
<strong>SOW</strong> clause 3.13.2.1 and CDRL Line Number MGT-810 when requiring IP<br />
Records for the IP Plan defined by DID-SSM-IPP (Strategic).<br />
<strong>SOW</strong> clause 3.13.2.2 requires the Contractor to document progress against the IP<br />
Plan in each CSR.<br />
3.13.2 IP Records, Progress Reports and Reviews<br />
Sponsor: Commercial Policy and Practice Branch and DMO Standardisation Office<br />
Status: Optional. To be included where IP records are required.<br />
Purpose: To require the Contractor to provide progress reports on IP issues.<br />
Policy: DPPM, Section 3, Chapter 3.6.<br />
<strong>Defence</strong> Intellectual Property Policy 2008.<br />
Guidance: The inclusion <strong>of</strong> optional <strong>SOW</strong> clauses for IP Records, Progress Reports and<br />
Reviews should be considered based on the levels <strong>of</strong> complexity <strong>of</strong> both the<br />
contracted scope <strong>of</strong> work and the Capability. These clauses need to be selected<br />
and applied consistently within themselves and also consistent with the selection <strong>of</strong><br />
a complex or strategic level IP Plan for clause 3.13.1.<br />
The selection <strong>of</strong> clause 3.13.2.1, for IP Records, must be supported by the<br />
selection <strong>of</strong> DID-SSM-IPP (Strategic) in the CDRL, in support <strong>of</strong> clause 3.13.1. If<br />
the complex level IP Plan is included in the CDRL, then this clause should be ‘not<br />
used’ as IP Records are not used at this level. CDRL Line Number MGT-810 lists<br />
the requirements for the IP Records (using DID-SSM-IPR) and must be tailored<br />
consistent with this clause. Note that the CDRL should also be tailored to ensure<br />
an update <strong>of</strong> the IP Plan in preparation for the end <strong>of</strong> a Contract (before Off Ramp<br />
Date).<br />
Clause 3.13.2.2 may be omitted (‘not used’) if IP Progress Reports (IPPRs) will not<br />
be required, and retained if IPPRs will be required. Note that clause 3.13.2.2 is<br />
optional and can be included without clauses 3.13.2.3 - 3.13.2.5, but 3.13.2.2 must<br />
be included if the clauses 3.13.2.3 - 3.13.2.5 are to be included.<br />
Clauses 3.13.2.3 to 3.13.2.5 provide the Commonwealth with access to review and<br />
confirm compliance with IP requirements, as reported. These clauses should be<br />
retained for strategic level IP programs, or deleted (or replaced with ‘not used’) in<br />
other cases.<br />
Prior to Contract signature, drafters must insert the negotiated IP Plan at<br />
Attachment G. The IP Schedule proposed in Annex C to Attachment A <strong>of</strong> the COT<br />
will form the basis <strong>of</strong> the IP Plan.<br />
The following circumstances will require ‘strategic level’ IP provisions (based on the<br />
ASDEFCON (Strategic Materiel) template IP provisions) to be used across the<br />
template instead <strong>of</strong> the ‘complex IP’ provisions:<br />
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a. the Contract is for the support <strong>of</strong> Capability that includes complex, s<strong>of</strong>twareintensive<br />
systems, or which may integrate with or inter-operate with other<br />
complex, s<strong>of</strong>tware-intensive systems;<br />
b. significant Foreground IP is anticipated under the Contract; or<br />
c. the Contract will be signed concurrently with an acquisition contract,<br />
particularly if the acquisition contract is based on the ASDEFCON (Strategic<br />
Materiel) template.<br />
Related Clauses: Annex C to Attachment A <strong>of</strong> the COT requires tenderers to submit a draft IP Plan.<br />
Optional Clauses: Nil<br />
Clause 5 <strong>of</strong> the COC sets the contractual framework for IP ownership, and<br />
licensing arrangements relating to IP and Technical Data – this clause is also<br />
tailored for complex and strategic level IP provisions.<br />
Attachment G contains the agreed version <strong>of</strong> the IP Plan (which based on the<br />
requirements set out in DID-SSM-IPP (Complex) or (Strategic), as defined in the<br />
CDRL).<br />
Annex A-5 and A-6 to the <strong>SOW</strong> defines s<strong>of</strong>tware and key Technical Data relevant<br />
to this Contract, which are included as Products to be supported.<br />
Clause 9.2 <strong>of</strong> the <strong>SOW</strong> defines Technical Data (including delivery) requirements.<br />
CDRL Line Numbers MGT-800 (IP Plan), MGT-810 (IP Records, if required) and<br />
SR-100 (Technical Data List) define delivery requirements for updates to data<br />
items relating to IP and Technical Data.<br />
DID-SSM-IP-IPR sets out requirements for the optional IP Records.<br />
3.14 <strong>Defence</strong> Security Compliance<br />
3.14.1 <strong>Defence</strong> Security – General Requirements<br />
Sponsor: <strong>Defence</strong> Industrial Security Authority<br />
Status: Core<br />
Purpose: To define the security requirements applicable to the Contract.<br />
Policy: <strong>Defence</strong> Security Manual<br />
Guidance: This clause requires that the Contractor has all the necessary security procedures,<br />
training, facilities, fittings and clearance requests in place in the timeframe to<br />
ensure that security issues do not impede the progress <strong>of</strong> the work. This clause<br />
provides the method for capturing the work involved when complying with COC<br />
clause 10.10, for the general requirements regarding Personnel, Contractor<br />
facilities and membership <strong>of</strong> the <strong>Defence</strong> Industry Security Program (DISP).<br />
Drafters will need to draft the Contract to ensure that the Contractor has Personnel<br />
with the necessary clearances, appropriately cleared Facilities, and procedures for<br />
handling classified material and equipment, as applicable to the work requirements<br />
under the Contract – many <strong>of</strong> these will need to be completed before the Operative<br />
Date. Drafters should refer to the relevant clauses under COC clause 10.10, which<br />
must be tailored, and develop clauses for the draft <strong>SOW</strong> to cover any specific<br />
activities the Contractor is required to take to comply with security requirements.<br />
Clause 10.10 <strong>of</strong> the COC covers all <strong>Defence</strong> security compliance aspects,<br />
including communication security equipment and Information Systems security.<br />
Within the <strong>SOW</strong>, the work effort is divided between the clauses 3.14.1, 3.14.2 and<br />
3.14.3 to simplify tailoring and to better identify the cost breakdown <strong>of</strong> the<br />
associated work effort.<br />
Each ‘system’ is required to have a Security Risk Management Plan (SRMP),<br />
which is the highest level security plan for a system. The SRMP should have been<br />
prepared previously by the Contractor (Acquisition) or <strong>Defence</strong> but may be<br />
embedded within a project Risk Management Plan. The SRMP would be<br />
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maintained by <strong>Defence</strong>, particularly if the Contractor does not have full system<br />
responsibilities (ie, not support scenario #1 described at Annex A). However, if the<br />
Contractor does have system-level responsibility, the Contractor may be tasked to<br />
maintain the SRMP by including the optional clause below. Note that the initial<br />
SRMP would need to be provided to the Contractor by the Commonwealth. If<br />
<strong>Defence</strong> maintains the SRMP, then the SRMP, or relevant parts <strong>of</strong> it, will need to<br />
be provided to the Contractor in order for them to prepare System Security Plans<br />
(SSPs).<br />
Related Clauses: COC clause 10.10, <strong>Defence</strong> Security.<br />
Optional Clauses:<br />
<strong>SOW</strong> clauses 3.14.2 and 3.14.3.<br />
Note to drafters: Insert the following clause only if the Contractor has<br />
responsibility for maintaining the SRMP.<br />
The Contractor shall maintain, for the duration <strong>of</strong> the Contract, the Security Risk<br />
Management Plan for the Products to be supported.<br />
3.14.2 Communications Security<br />
Sponsor: <strong>Defence</strong> Industrial Security Authority<br />
Status: Optional<br />
Purpose: To define security management requirements for secure communications and<br />
cryptographic equipment.<br />
Policy: <strong>Defence</strong> Security Manual<br />
Australian Government Information Security Manual<br />
Guidance: The following clauses may be applicable when the Contractor is required to handle<br />
cryptographic equipment and related secure communications equipment and<br />
documents. The clauses contain references to plans and other documents<br />
developed under the Contract (Acquisition).<br />
Drafters should determine what relevant documents have been generated under<br />
the Contract (Acquisition) and which ones should be maintained and followed by<br />
the Contractor (Support).<br />
Related Clauses: COC clause 10.10, <strong>Defence</strong> Security.<br />
Optional Clauses:<br />
<strong>SOW</strong> clauses 3.14.1 and 3.14.3.<br />
The Contractor shall maintain a COMSEC Account with <strong>Defence</strong> Signals<br />
Directorate for the purposes <strong>of</strong> handling cryptographic equipment, accessing<br />
relevant documentation, and negotiating key material generation.<br />
Note to drafters: Insert reference to the plan that defines the COMSEC policy<br />
and procedures for the Products to be supported.<br />
The Contractor shall maintain, for the duration <strong>of</strong> the Contract, the System Security<br />
Plan developed under the Contract (Acquisition) for secure communications<br />
equipment and related materials.<br />
Note to drafters: Insert reference to the relevant document that defines the<br />
Information System – Security Practices and Procedures relevant to the<br />
Products to be supported.<br />
The Contractor shall maintain the Standard Operating Procedures developed<br />
under the Contract (Acquisition) for secure communications equipment and related<br />
materials.<br />
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Note to drafters: Insert reference to the relevant document that defines the<br />
Key Management Plan relevant to the Products to be supported. (‘Key’ in<br />
this context refers to both physical keys and s<strong>of</strong>tware keys.)<br />
The Contractor shall maintain, for the duration <strong>of</strong> the Contract, the Key<br />
Management Plan developed under the Contract (Acquisition).<br />
3.14.3 Information Systems Security<br />
Sponsor: <strong>Defence</strong> Industrial Security Authority<br />
Status: Optional<br />
Purpose: To set out the security management requirements for information systems.<br />
Policy: <strong>Defence</strong> Security Manual (DSM), based on parts 2-4, 2-40 and 2-42.<br />
Australian Government Information Security Manual (ISM)<br />
Guidance: The clause should be used when the Contractor will have access to <strong>Defence</strong><br />
information systems, or will be linked to <strong>Defence</strong> information systems. Security<br />
accreditation and certification for an information system will also include security for<br />
the Facility (or Facilities) in which the physical components (ie, computers,<br />
terminals, routers, etc) will be located (refer to DSM part 2-4). The extent <strong>of</strong><br />
system security documentation, and the applicable accreditation and certification<br />
authorities, depend upon the ownership <strong>of</strong> the system (ie, contractor system or<br />
only for access to Commonwealth Systems such as MILIS), and the security<br />
classification <strong>of</strong> data (refer to DSM part 2-40 and ISM part 2). The Contractor will<br />
also need to be a member <strong>of</strong> the <strong>Defence</strong> Industry Security Program (refer to DSM<br />
part 2-42). If the Contractor is a foreign entity, further requirements apply.<br />
Drafters need to ascertain the applicable Facility and Information System<br />
requirements under the Contract and then seek advice from the Regional <strong>Defence</strong><br />
Security Authority point <strong>of</strong> contact (refer DSM Annex A to part 1).<br />
<strong>SOW</strong> clauses should be drafted along with COC clause 10.10, whereby the COC<br />
clause captures the security compliance requirements while the <strong>SOW</strong> captures the<br />
associated work requirements.<br />
Related Clauses: COC clause 10.10, <strong>Defence</strong> Security.<br />
Optional Clauses:<br />
<strong>SOW</strong> clauses 3.14.1 and 3.14.2.<br />
Note to drafters: The following clauses should be considered as the starting<br />
point for further development. Refer to your Regional <strong>Defence</strong> Security<br />
Authority for further advice.<br />
The Contractor shall prepare in accordance with the <strong>Defence</strong> Security Manual, and<br />
maintain for the duration <strong>of</strong> the Contract, the System Security Plan(s) for the<br />
information systems used by the Contractor for this Contract.<br />
The Contractor shall prepare in accordance with the <strong>Defence</strong> Security Manual, and<br />
maintain for the duration <strong>of</strong> the Contract, the Standard Operating Procedures for<br />
the information systems used by the Contractor for this Contract.<br />
The Contractor shall, upon request, make the Contractor’s System Security Plan<br />
and related Standard Operating Procedures available to the Commonwealth<br />
Representative,<br />
3.15 Maintenance <strong>of</strong> Support Agreements<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To require the Contractor to update the list <strong>of</strong> organisations with which it has<br />
support agreements.<br />
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Policy: Nil<br />
Guidance: Agreements with companies and other organisations such as OEMs for support <strong>of</strong><br />
the Products to be supported are likely to have been established during the<br />
acquisition phase or previous support period. Such agreements include Product<br />
Support Agreements, Technical Assistance Agreements, MOAs, sub-licences or<br />
agency agreements and the like. If appropriate, the Contractor should be required<br />
/ encouraged to continue these Agreements or establish equivalents.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
3.16 Resident Personnel<br />
If the Contractor is not required to maintain support agreements to enable Services<br />
under the Contract then the clause can be deleted and replaced with ‘Not used’.<br />
If this clause is required, then the drafter will need to prepare an appropriate annex<br />
to the <strong>SOW</strong>, listing the companies involved and the agreements that are to be<br />
maintained. Drafters should then insert reference to this new annex and the types<br />
<strong>of</strong> agreements into clause 3.15 where indicated.<br />
The Commonwealth may identify particular agreements with nominated vendors for<br />
the Contractor to put into effect through clause 3.15. If there are no particular<br />
agreements to be specified, this individual clause may be removed or replaced with<br />
‘Not used’. If an agreement is essential and required by OD, then it should also be<br />
referenced by COC clause 1.4, Once established, the agreement is maintained in<br />
accordance with clause 3.15.4.<br />
Drafters should understand the provisions <strong>of</strong> COC clause 3.2 when using this<br />
clause in relation to import / export approvals, and COC clause 5 in regard to IP<br />
licenses or sub-licenses..<br />
COC clause 1.4, Operative Date, where agreements are essential for the provision<br />
<strong>of</strong> Services.<br />
COC clause 3.2, Export Approvals.<br />
COC clause 5, Intellectual Property.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To require the Contractor to provide facilities and other support for Resident<br />
Personnel.<br />
Policy: Nil<br />
Guidance: This clause is likely to be required for larger, more-complex support contracts,<br />
where representation from the DMO support agency will be resident with the<br />
Contractor to coordinate matters between the Commonwealth (eg, end-user<br />
Service) and the Contractor. If Resident Personnel will not be used in support <strong>of</strong><br />
the Contract, then the clauses should be deleted and replaced with ‘Not used’.<br />
If Resident Personnel are required, then:<br />
a. the optional clauses should be retained in the <strong>SOW</strong>;<br />
b. Attachment L should be developed to suit the requirement; and<br />
c. the following issues for GFF and ‘Authorised Persons’ should be considered.<br />
In some cases, the Contractor’s premises may include GFF. GFF are provided to<br />
the Contractor in accordance with a Licence for the Use <strong>of</strong> Commonwealth<br />
Premises (refer Attachment I, Annex D). Where the Contractor is required to<br />
provide support to the Resident Personnel in the GFF, drafters should consider<br />
including in the Licence that part <strong>of</strong> the premises that is to be for the use <strong>of</strong> the<br />
Resident Personnel. Drafters’ attention is drawn to COC clause 3.7 for GFF.<br />
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If any Resident Personnel will be a delegate <strong>of</strong> the Commonwealth Representative<br />
for the purposes <strong>of</strong> making decisions about the management <strong>of</strong> the Contract, then<br />
the Resident Person will also be an Authorised Person for the purposes <strong>of</strong> COC<br />
clause 2.1. In this case, drafters must also satisfy the Commonwealth’s obligations<br />
under COC clause 2.1.3 (and, potentially, this can be achieved by including the<br />
scope and limits <strong>of</strong> authority in Attachment L).<br />
Drafters should also consider the facilities required for Attachment L, including<br />
telephone and facsimile machine connections, access to <strong>of</strong>fice equipment<br />
(<strong>Defence</strong> or Contractor provided), and the need for access to the Contractor’s<br />
DMS. If DMS access is required the drafter should ensure access and training<br />
have been covered by draft <strong>SOW</strong> clause 2.3.<br />
Related Clauses: COC clause 2.1, Commonwealth Representative (if the Resident Personnel are to<br />
be Authorised Persons).<br />
Optional Clauses: Nil<br />
COC clause 3.7, GFF.<br />
Attachment L, Resident Personnel.<br />
<strong>SOW</strong> clause 2.3, DMS (if Resident Personnel require access to the DMS).<br />
3.17 Environmental Management<br />
Sponsor: Environment Heritage and Risk Branch, <strong>Defence</strong> Support Group<br />
Status: Optional<br />
Purpose: To obtain a description <strong>of</strong> how the Contractor proposes to manage environmental<br />
issues and comply with environmental requirements.<br />
Policy: The Commonwealth Government requires all departments and agencies to<br />
develop and implement an Environmental Management System (ENVMS), which is<br />
compliant with the ISO 14001 requirements. The <strong>Defence</strong> ENVMS has been<br />
developed to meet this requirement. The <strong>Defence</strong> Environmental Policy endorsed<br />
the establishment <strong>of</strong> an ENVMS, which supports ADF capability, promotes<br />
environmental sustainability, and achieves the Government’s broader<br />
environmental objectives.<br />
The <strong>Defence</strong> ENVMS is a continual cycle <strong>of</strong> planning, implementing, reviewing and<br />
improving the processes and actions that <strong>Defence</strong> undertakes to meet its<br />
environmental, legislative and other obligations, and to demonstrate <strong>Defence</strong>’s<br />
stewardship <strong>of</strong> the environment.<br />
The <strong>Defence</strong> ENVMS has been modelled on the ISO 14001 requirements. It has<br />
been designed to fit the unique structure <strong>of</strong> <strong>Defence</strong> and provides the overarching<br />
environmental policy, strategy, and guidance to assist Groups and Services<br />
integrate environmental planning or processes into their activities. For <strong>Defence</strong><br />
sites, the <strong>Defence</strong> ENVMS provides a number <strong>of</strong> ISO 14001 compliant tools to<br />
assist with the development and implementation <strong>of</strong> a site-specific ENVMS.<br />
If possible, <strong>Defence</strong> expects all contractors to either have ISO 14001 certification<br />
or be able to demonstrate their commitment and application <strong>of</strong> environmental<br />
management throughout their organisation including consideration <strong>of</strong> how this is<br />
applied to subcontractors under their control.<br />
To this end, the following documents are applicable to Environmental<br />
Management. Drafters will need to determine those that are relevant to their<br />
particular requirements. Drafters should not see this list as exhaustive. It is the<br />
responsibility <strong>of</strong> drafters to ensure that they include all relevant references. The<br />
easiest way to find all relevant environmental references is by accessing the<br />
<strong>Defence</strong> Environmental Management System on the <strong>Defence</strong> Intranet.<br />
a. DI(G) ADMIN 40-2, Environment and Heritage Management In <strong>Defence</strong>;<br />
b. <strong>Defence</strong> Environmental Policy, http://defweb.cbr.defence.gov.au;<br />
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c. Environment Protection and Biodiversity Conservation Act 1999 (EPBC Act);<br />
d. <strong>Department</strong>al Environment Instructions (DEIs);<br />
e. <strong>Defence</strong> Environmental Strategic Plan;<br />
f. <strong>Defence</strong> National Environment Legal Register;<br />
g. <strong>Defence</strong> Service Charter;<br />
h. DI(G) OPS 16-2, The Management <strong>of</strong> Electromagnetic Environmental<br />
Effects;<br />
i. DI(G) OPS 16-4, Management <strong>of</strong> Electromagnetic Environmental Effects in<br />
Airborne Systems;<br />
j. DPPM Section 3, Chapter 3.16;<br />
k. AS/NZS ISO 14001:2004 – Environmental Management Systems –<br />
Requirements with Guidance for Use;<br />
l. AS/NZS ISO 14031:2000 – Environmental Management – Environment<br />
Performance Evaluation – <strong>Guide</strong>lines;<br />
m. other environmental legislation such as the Hazardous Wastes Act; and<br />
n. DID-SSM-ENVMP.<br />
Drafters should consult with the sponsor for information on other relevant<br />
documents.<br />
Guidance: Contractors are obliged to comply with relevant legislation, which includes<br />
environmental legislation (see clause 11.5 <strong>of</strong> the COC). This optional clause is<br />
required when the Contractor will perform activities on <strong>Defence</strong> sites (including<br />
ships alongside or at sea, if applicable) and meet the additional environmental<br />
obligations <strong>of</strong> working on those sites, or where other significant environmental<br />
issue may be involved.<br />
Environmental advice and requirements will not normally be required where the<br />
work specified in the <strong>SOW</strong> will be undertaken at the Contractor’s own facilities.<br />
Under these circumstances, the Contractor should comply with normal legislative<br />
requirements and <strong>Defence</strong> would not normally have environmental requirements<br />
additional to compliance with these.<br />
If there is no Contract work to be conducted on <strong>Defence</strong> sites and no other special<br />
environmental requirements, the draft clauses under 3.17.1 and 3.17.2 may both<br />
be deleted and replaced with ‘Not used’.<br />
If work at the Contractor’s site (only) has the potential to impact Services due to<br />
environmental issues, draft clauses under 3.17.1 may be replaced with ‘Not used’<br />
and 3.17.2 replaced by the optional clause contained at the end <strong>of</strong> this section.<br />
If there are no <strong>Defence</strong> requirements but special environmental requirements (ie,<br />
may need ministerial approval) for work to be conducted at Contractor Facilities,<br />
drafters should read the information below and seek further guidance from DSG<br />
regarding the needs for environmental management.<br />
Where work on <strong>Defence</strong> sites is applicable, the drafter should insert the names <strong>of</strong><br />
those sites in the various locations identified through clauses 3.17.1 and 3.17.2.<br />
Note for the maritime environment. Environmental reports and additional<br />
<strong>Defence</strong> environmental management requirements may apply to ships at sea or<br />
alongside in a similar manner to other <strong>Defence</strong> sites. Where this is applicable to<br />
the Contract the drafter should determine if explicit inclusion <strong>of</strong> ships is required<br />
and include them in the ‘sites’ listed.<br />
Acknowledgement <strong>of</strong> Environmental Advice. <strong>SOW</strong> clause 3.17.1 requires the<br />
Contractor to acknowledge the identified environmental reports relevant to the sites<br />
where work may be conducted under the Contract. Drafters should only list those<br />
reports for the expected location(s) that Contractor Personnel will occupy. Drafters<br />
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should seek advice regarding applicable reports from DSG Regional Environmental<br />
Offices (REOs) for the bases or other locations applicable to the Contract.<br />
The reports or other documents listed at clause 3.17.1 may be provided as<br />
Government Furnished Data (GFD) or GFI at Annex A to Attachment E. If the<br />
information is essential for the Contractor to comply with legislation, manage<br />
liability, or if it contains particular decisions made by <strong>Defence</strong> that are in addition to<br />
legislative requirements, then the documents will most likely be GFD. This is<br />
appropriate if, for example, any inconsistency with legislation was found within the<br />
documents, and it would be the responsibility <strong>of</strong> <strong>Defence</strong> to correct and provide<br />
those corrected documents (or replacement reports) to the Contractor (and other<br />
parties outside the Contract). When providing documents as GFD, drafters must<br />
ensure that the applicable scope and purpose for the use <strong>of</strong> those documents is<br />
described explicitly within Annex A to Attachment E. In other cases, where the<br />
information is accessible in the public domain or for information purposes rather<br />
than required for compliance or managing liability, reports and other documents<br />
should be included as GFI.<br />
Environmental Requirements. <strong>SOW</strong> clause 3.17.2 identifies the <strong>Defence</strong><br />
requirements for the Contract that are in addition to environmental legislation. It is<br />
the responsibility <strong>of</strong> drafters to ensure that they include all relevant references<br />
under clause 3.17.2.1. These references may include sections <strong>of</strong> the documents<br />
identified in the policy section above. The easiest way to find all relevant<br />
environmental references is by accessing the <strong>Defence</strong> Environmental Management<br />
System on the DEFWEB.<br />
Drafters should select only those references that are applicable to the Contract,<br />
then add them to the list and ensure that they are available to tenderers and the<br />
Contractor. Drafters should refer to individual sections in the referenced<br />
documents, not whole documents unless the whole document is applicable. DID-<br />
SSM-ENVMP and DID-SSM-SSMP (as selected under clause 3.17.2) refer to this<br />
list <strong>of</strong> references.<br />
The requirement for an Environmental Management Plan (ENVMP) would normally<br />
only arise when the Contractor is required to meet <strong>Defence</strong> environmental<br />
requirements additional to those in the legislation. Although there may be relatively<br />
few situations where <strong>Defence</strong> environmental requirements could be considered to<br />
be ‘additional’ to legislative requirements, an ENVMP, or environmental planning<br />
within the SSMP, ensures coordination with <strong>Defence</strong> and local site requirements at<br />
a procedural level. An ENVMP also provides greater certainty in any situation<br />
where there exists a reasonably high risk <strong>of</strong> legislative breach that a breach will not<br />
occur because <strong>of</strong> documented environmental management measures to which the<br />
Contractor must adhere.<br />
Under the EPBC Act, any <strong>Defence</strong> activity that has, will have, or is likely to have a<br />
significant impact on the Environment requires the approval <strong>of</strong> the Minister for the<br />
Environment and Heritage. <strong>Defence</strong> Environment Instruction DEI 16/2002<br />
describes the process for determining whether a proposed activity is to be referred<br />
to the Environment Minister, or cleared within the <strong>Department</strong> <strong>of</strong> <strong>Defence</strong>. Drafters<br />
should refer to DEI 16/2002 to assist in determining whether the proposed contract<br />
will involve activities that could have significant environmental impact.<br />
Environmental issues should have been addressed during the Capability<br />
Development and Acquisition phases. Drafters should refer to documentation<br />
developed during these phases, which can provide valuable information on<br />
environmental issues relating to the Services. The principal reference document is<br />
the Project Environmental Plan. The Contractor (Acquisition) may also have<br />
produced an Environmental Impact Assessment (at the commencement <strong>of</strong> the<br />
Contract (Acquisition)) and a Contractor ENVMP.<br />
Drafters should consider the environmental impact <strong>of</strong> the Services and ensure that<br />
these are aligned with <strong>Defence</strong> environmental policy, which includes a requirement<br />
to comply with environmental legislation. The Directorate <strong>of</strong> Environmental<br />
Stewardship (DES) is responsible for providing advice on the level <strong>of</strong><br />
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environmental clearance required. It is the responsibility (financially and from a<br />
contract management point <strong>of</strong> view) <strong>of</strong> <strong>Defence</strong> proponents to take all necessary<br />
steps to gain approval as required by DES.<br />
If environmental issues are likely to be significant and on-going (NB: in these<br />
circumstances the Environment Minister’s approval is required), drafters should<br />
consult with the DMO support agency manager and other relevant stakeholders<br />
(including DES) about the need for <strong>Defence</strong> to produce a Commonwealth<br />
Environmental Management Plan for the support phase. Should such a plan be<br />
produced, it will provide guidance on the issues to be addressed in the Contractor<br />
ENVMP and the requirements under clause 3.17.2.<br />
The degree <strong>of</strong> complexity and extent <strong>of</strong> the environmental management<br />
requirements will depend on the extent <strong>of</strong> the environmental risks involved. To<br />
assist in determining the environmental management requirements to be placed on<br />
the Contractor, the DMO support agency or other relevant authority should conduct<br />
an environmental risk assessment.<br />
Drafters should consider including a requirement for the Contractor to provide a<br />
stand-alone ENVMP in situations where the Contractor might be working in an area<br />
that is especially sensitive to environmental issues or at Commonwealth facilities,<br />
such as on a base or at sea. REOs/DES should be consulted to determine this<br />
requirement.<br />
Drafters should consider a range <strong>of</strong> factors when deciding whether a stand-alone<br />
ENVMP is required or if environmental requirements are sufficiently straightforward<br />
to be managed through the SSMP. The overarching concern is whether<br />
there is a risk <strong>of</strong> significant environmental impact, which can be determined<br />
through DEI 16/2002). Categories <strong>of</strong> specific environmental issues identified within<br />
the <strong>Defence</strong> Environmental Strategic Plan 2002-2003 are:<br />
a. Sustainable Management <strong>of</strong> Ecosystems:<br />
(i) Land use (including use <strong>of</strong> <strong>Defence</strong> Training Areas and <strong>Defence</strong><br />
training on non-<strong>Defence</strong> land);<br />
(ii) Interaction with Marine Environment;<br />
(iii) Interaction with Aquatic Environment; and<br />
(iv) Flora and Fauna Interaction.<br />
b. Natural Resource Consumption:<br />
(i) Energy Use;<br />
(ii) Water Use; and<br />
(iii) Waste Generation.<br />
c. Pollution Prevention:<br />
(i) Soil and Water Contamination;<br />
(ii) Waste Treatment and Disposal;<br />
(iii) Air Emissions; and<br />
(iv) Noise, Vibration and Electromagnetic Radiation Generation.<br />
d. Climate Change and Ozone Depletion:<br />
(i) Use <strong>of</strong> Ozone Depleting Substances; and<br />
(ii) Greenhouse Gas Emissions.<br />
e. Stewardship:<br />
(i) Procurement and Acquisition - new direction towards 'Green<br />
Procurement' related to renewable resources and ecologically<br />
sustainable development principles;<br />
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(ii) Infrastructure Development and Support;<br />
(iii) Stakeholder Management;<br />
(iv) Business Practices; and<br />
(v) Heritage Management.<br />
Other factors that drafters should consider include:<br />
a. health and safety;<br />
b. geology, hydrogeology and soils;<br />
c. indigenous, cultural and natural heritage;<br />
d. traffic and transportation;<br />
e. water quality – ground, riparian, estuarine and marine;<br />
f. contamination;<br />
g. hazardous substances; and<br />
h. infrastructure development and support.<br />
Examples where an ENVMP may be required are:<br />
a. testing <strong>of</strong> equipment that emits high-intensity electromagnetic radiation<br />
b. work that generates high levels <strong>of</strong> noise;<br />
c. test and trials involving high energy underwater sonar;<br />
d. testing <strong>of</strong> vehicles in an environmentally sensitive area; and<br />
e. activities that may cause pollution (eg, use <strong>of</strong> solvents).<br />
If an ENVMP is required, drafters should:<br />
a. identify any clearances that may be required, including those that may be<br />
required during test and trials;<br />
b. identify applicable state, federal and territory laws;<br />
c. determine environmental issues (including heritage) applicable to the<br />
Services; and<br />
d. identify relevant <strong>Defence</strong> site environmental management plans/systems<br />
that may be in place.<br />
The drafter should determine if an ENVMP is required as a stand-alone plan and in<br />
this instance, select Option A from clause 3.17.2. Alternatively, the drafter may<br />
determine that environmental management can be ‘rolled up’ into the SSMP,<br />
depending on its likely size and complexity, and in this case Option B should be<br />
selected. If the Contractor has an existing ENVMS with suitable scope, either the<br />
ENVMP or SSMP would largely refer to the ENVMS for the required detail.<br />
Drafters should note that some tenderers may be pre-qualified, being already<br />
assessed for compliance with <strong>Defence</strong> environmental requirements and the<br />
suitability <strong>of</strong> their ENVMS. If this is likely and the tenderer becomes the<br />
Contractor, then the SSMP referring to the Contractor’s established ENVMP and<br />
ENVMS may be a suitable alternative to a separate ENVMP. In this instance,<br />
drafters may retain both options A and B in the draft <strong>SOW</strong> and replace the ‘note to<br />
drafters’ with a ‘note to tenderers’ included in the optional clauses below.<br />
Tenderers must confirm that they have identified the environmental impacts <strong>of</strong><br />
proposed Contract activities and have planned prevention measures through<br />
provision <strong>of</strong> pro<strong>of</strong> <strong>of</strong> their ENVMS and associated ENVMP. Where appropriate,<br />
tenderers should be asked to demonstrate that appropriate mitigation measures<br />
have been developed for the specific activity proposed.<br />
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Related Clauses:<br />
Optional Clauses:<br />
The Contractor is required to have an ENVMS, which can be either be Certified to<br />
AS/NZS ISO 14001:2004 or not Certified. If the ENVMS is to be Certified or it is<br />
otherwise known that all tenderers will have a Certified ENVMS, the optional<br />
clauses for a Certified ENVMS should be included. Fields in subsequent clauses<br />
must be edited consistent with the requirements for a Certified EVMS, or<br />
otherwise. If an ENVMS compliant with ISO 14001 is not essential, then the<br />
optional clauses are not required and may be deleted. An acceptable alternative to<br />
a Certified ENVMS is pro<strong>of</strong> by the tenderer <strong>of</strong> its 'quality environmental process'<br />
currently in place to achieve a compliant ENVMS – which would be subsequently<br />
covered by the ENVMP or SSMP under Contract.<br />
The Contractor should be required to maintain and work in accordance with its<br />
ENVMS and the Approved ENVMP or SSMP, as applicable.<br />
Drafters should also consider requirements for the Contractor to monitor and report<br />
on compliance with environmental requirements. Reporting on environmental<br />
management issues would normally be covered in the CSR (although such issues<br />
are not specifically addressed in DID-SSM-CSR they can be included under the<br />
generic ‘Problem Report’), but where environmental issues are especially<br />
significant, drafters should consider the need for a stand-alone report. Drafters<br />
should be familiar with DEI 8/2002, Reporting <strong>of</strong> Environmental Incidents within<br />
<strong>Defence</strong>, and should reflect in the draft <strong>SOW</strong> any special requirements that arise<br />
from this DEI and the related departmental documents listed in it.<br />
Drafters should also determine whether the Contractor is required to participate in<br />
meetings/reviews conducted by the relevant <strong>Defence</strong> site or regional authority.<br />
Details <strong>of</strong> these meetings (location and frequency) are to be inserted into the<br />
applicable clause under 3.17.2.<br />
The Contractor is required to propose changes to the Contract via the CCP<br />
process if it becomes aware that changes to the Contract are, or will be, necessary<br />
to enable compliance with environmental legislation.<br />
There may also be a need for the Commonwealth to conduct surveillance and<br />
audits for Environmental purposes, these are addressed in clause 11.5 <strong>of</strong> the COC<br />
and drafters should make themselves familiar with this clause. Suitable clauses<br />
are included in the draft <strong>SOW</strong> if the Contractor is required to participate in these<br />
activities. Note that DMO support agency staff, who will carry out audit and<br />
surveillance activities, must be suitably qualified. Suitable qualifications should be<br />
determined by the DMO support agency in consultation with DES.<br />
If the Contract work will be performed within Government Furnished Facility (GFF),<br />
drafters should check the environmental requirements applicable to the use <strong>of</strong> the<br />
GFF. Standard requirements are contained in the GFF Licence for use at Annex D<br />
to Attachment I. Tenderers must be made aware <strong>of</strong> these requirements which<br />
must be flowed down to the Contractor. Drafters should determine whether<br />
additional environmental requirements should be added to the GFF Licence<br />
included in the draft <strong>SOW</strong>.<br />
COC clause 11.5, Environmental Obligations.<br />
TDR G-4 <strong>of</strong> the COT, Environmental Management Statement.<br />
<strong>SOW</strong> clause 3.18, Occupational Health and Safety.<br />
For when the need for a stand-alone ENVMP or environmental management within the SSMP<br />
will be determined in response to tenders:<br />
Note to tenderers: The requirement for a stand-alone ENVMP or environmental management<br />
included in the SSMP will be determined in response to tenders. Where an existing ENVMS is<br />
suitable and accessible to the Commonwealth Representative, the preference will be to refer to<br />
that system from the SSMP.<br />
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For use when no work under the Contract will be performed on <strong>Defence</strong> Property but Contract<br />
work has significant environmental issues, replace clauses under clause 3.17.2 with:<br />
The Contractor shall inform the Commonwealth Representative as soon as<br />
practicable after becoming aware <strong>of</strong> required changes to the Contract to enable<br />
compliance with changes to environmental legislation and COC clause 11.5.<br />
3.18 Occupational Health and Safety<br />
Sponsor: <strong>Defence</strong> Safety Management Agency<br />
Status: Optional<br />
Purpose: To obtain a description <strong>of</strong> how the Contractor proposes to meet and manage<br />
<strong>Defence</strong> Occupational Health and Safety (OHS) requirements.<br />
Policy: Relevant policy documents are:<br />
a. <strong>Defence</strong> Safety Manual;<br />
b. Contract Safety Management – A framework for safety in the <strong>Defence</strong><br />
contract process (<strong>Defence</strong> Safety Management Agency).<br />
Guidance: Contractors are obliged to comply with relevant legislation, which includes OHS<br />
legislation (see clause 11.4 <strong>of</strong> the COC). Under the OHS Act, <strong>Defence</strong> has a duty<br />
to take all reasonably practical steps to protect the health and safety <strong>of</strong> <strong>Defence</strong><br />
employees, contractors and their staff, and other persons at or near <strong>Defence</strong>controlled<br />
workplaces.<br />
If all aspects <strong>of</strong> OHS for the Services required can be covered by the applicable<br />
legislation, then the inclusion <strong>of</strong> this clause becomes optional. If OHS clauses are<br />
not required because the Contractor will not undertake work on <strong>Defence</strong> sites and<br />
there are no requirements in addition to compliance with government legislation,<br />
then the clauses under clause 3.18 may be deleted and replaced with ‘Not used’.<br />
Where work is to be performed by the Contractor on <strong>Defence</strong> sites, the clause<br />
must be included and the <strong>Defence</strong> sites inserted within the relevant sub-clauses to<br />
clause 3.18.<br />
Note for the maritime environment. OHS requirements may apply to ships at<br />
sea or alongside in a similar manner to other <strong>Defence</strong> sites. Where this is<br />
applicable to the Contract the drafter should determine if explicit inclusion <strong>of</strong> ships<br />
is required and to insert the names or class(es) <strong>of</strong> ships, as appropriate.<br />
Acknowledgement <strong>of</strong> OHS Advice. <strong>SOW</strong> clause 3.18.1 requires the Contractor<br />
to acknowledge the problematic substances that exist at <strong>Defence</strong> Properties,<br />
relevant to the work under the Contract. This is intended to ensure that the<br />
Contractor is made aware <strong>of</strong> and can address these substances in OHS planning<br />
and compliance with legislation.<br />
Where the Contractor will occupy <strong>Defence</strong> Property (including ships) for the<br />
performance <strong>of</strong> Contract work, the drafter needs to identify the known problematic<br />
substances and other hazards and identify these in Table 1. Drafters should also<br />
include other known generic hazards in clause 3.18.1.5. If Radiation Hazard<br />
(RADHAZ) is present, applicable reports or other references (eg, standing<br />
instructions identifying danger zones) should be added to table 2.<br />
If there are no OHS issues on the applicable <strong>Defence</strong> sites requiring advice,<br />
drafters may replace clause 3.18.1 with ‘Not used’.<br />
The reports or other documents listed in tables 1 and 2 may be provided as GFD or<br />
GFI at Annex A to Attachment E. If the information is essential for the Contractor<br />
to comply with legislation, manage liability, or if it contains particular decisions<br />
made by <strong>Defence</strong> that are in addition to legislative requirements, then the<br />
documents will most likely be GFD. This is appropriate if, for example, any<br />
inconsistency with legislation was found within the documents, and it would be the<br />
responsibility <strong>of</strong> <strong>Defence</strong> to correct and provide the corrected documents (or<br />
replacement reports) to the Contractor (and other parties outside the Contract).<br />
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When providing documents as GFD, drafters must ensure that the applicable<br />
scope and purpose for the use <strong>of</strong> those documents is described explicitly within<br />
Annex A to Attachment E. In other cases, where the information is accessible in<br />
the public domain or for information purposes rather than required for compliance<br />
or managing liability, reports and other documents should be included as GFI.<br />
OHS Requirements. <strong>Defence</strong> has the obligation to ensure that <strong>Defence</strong><br />
employees, who work at or near Contractor-controlled workplaces, are not exposed<br />
to hazards created by the activities <strong>of</strong> the Contractor. This can be particularly<br />
relevant when it is likely that a Resident Person and/or MRU will work on<br />
Contractor-controlled premises.<br />
The requirement for an H&SMP would normally only arise when the Contractor is<br />
required to meet OHS requirements additional to those in the legislation, such as<br />
might occur when the Contractor is working at <strong>Defence</strong> premises and coordination<br />
with <strong>Defence</strong> OHS policies and local procedures apply (eg, inclusion <strong>of</strong> sitespecific<br />
OHS training and audits in Contractor plans). A H&SMP may also be<br />
required when <strong>Defence</strong> personnel are working at Contractor-controlled workplaces.<br />
Examples include where a contractor might be working on-board a ship, or<br />
engaged in hazardous work on an aircraft, such as the F-111 de-seal/reseal task.<br />
In accordance with <strong>Defence</strong> policy, the Contractor is required to work in a manner<br />
that does not create a risk to the health and safety <strong>of</strong> any person. The Contractor<br />
is also responsible for the safety performance <strong>of</strong> its Subcontractors.<br />
The degree <strong>of</strong> complexity and extent <strong>of</strong> the health and safety requirements will<br />
depend on the extent <strong>of</strong> the health and safety risks involved. To assist in<br />
determining the health and safety requirements to be placed on the Contractor, the<br />
DMO support agency or other relevant authority should conduct a safety hazard<br />
risk assessment. Guidance on what determines a high or low safety risk contract<br />
is contained in the booklet ‘Contract Safety Management’ (paragraph 7) and<br />
SAFETYMAN Vol 1, Ch 8 Annexes B and C. DSMA should be consulted for<br />
guidance on determining health and safety requirements.<br />
If it has been determined that the Contract has significant health and safety risks,<br />
drafters should include a requirement for the Contractor to produce an appropriate<br />
H&SMP and to work in accordance with this plan.<br />
Drafters should refer to SAFETYMAN Vol 1 Ch 8 for responsibilities <strong>of</strong> <strong>Defence</strong><br />
and the Contractor associated with work in Contractor-controlled and <strong>Defence</strong>controlled<br />
workplaces. Drafters should note that, in accordance with<br />
SAFETYMAN, the Contractor is required to provide an agreed and appropriate<br />
safety management plan, specifying the elements <strong>of</strong> the Contractor’s safety<br />
management system (paragraph 8.7). <strong>Defence</strong> has a responsibility where work is<br />
performed in <strong>Defence</strong>-controlled workplaces to ensure that the Contractor’s system<br />
<strong>of</strong> work does not place <strong>Defence</strong> employees at risk <strong>of</strong> injury/illness (paragraph 8.8<br />
f.).<br />
SAFETYMAN Vol 1, Ch 8 Annex A deals with Contractor Safety Management<br />
Process. Drafters should note the requirements described in this Annex and reflect<br />
those that are relevant in the draft <strong>SOW</strong>. Drafters should also ensure that<br />
appropriate clauses are inserted in the COC and that requirements are reflected in<br />
the Tender Evaluation Criteria.<br />
Drafters should also consider requirements for the Contractor to participate in<br />
monitoring and review <strong>of</strong> health and safety, including record keeping, site<br />
inspections, reporting requirements and participation in meetings.<br />
Before commencing work at <strong>Defence</strong> premises, Contractor personnel are required<br />
to participate in safety induction training, which is provided by <strong>Defence</strong>, and a site<br />
safety induction briefing.<br />
If Commonwealth personnel will be required to work within the Contractor’s<br />
workplace (eg, where the Contract requires the Contractor to employ MRU), the<br />
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Related Clauses:<br />
Optional Clauses: Nil.<br />
Contractor should be asked to describe those OHS procedures that will apply to<br />
these personnel.<br />
Policy document b, Contract Safety Management, contains two sample Checklists.<br />
Site Workplace Inspection - Checklist 5 is to identify potential hazards within the<br />
workplace site introduced by the employer (<strong>Defence</strong>). This may apply in<br />
circumstances where a Contractor was required to perform Services at <strong>Defence</strong><br />
premises (eg, on board a ship). Drafters should consider the need to prepare such<br />
a list and provide it to tenderers.<br />
Site Workplace Inspection - Checklist 6 is to identify potential hazards within the<br />
workplace site introduced by the employer (the Contractor). Tenderers should be<br />
asked to prepare such a list if significant potential hazards are likely.<br />
If the drafter is to decide on the type <strong>of</strong> plan, either stand-alone or embedded in the<br />
SSMP, and select the clause under optional A or B accordingly. The drafter should<br />
then amend the clauses that follow, for applying the selected plan, ensuring to<br />
insert the name <strong>of</strong> the selected plan, as appropriate.<br />
Drafters should note that the Health and Safety Management Plan (H&SMP)<br />
covers OHS requirements in the workplace relating to the performance <strong>of</strong> the<br />
Services. The Systems Safety Program requirements cover safety requirements<br />
for the systems supported under the Contract. System safety planning is<br />
addressed in DSD-ENG-SERV (Routine Engineering Services).<br />
If Contract work is conducted only at Contractor premises, but particular OHS<br />
issues apply to the Products to be supported, drafters may decide to retain<br />
requirements for OHS planning. In this case, the appropriate planning option (ie<br />
stand-alone H&SMP or an SSMP that refers to the existing H&SMP for the<br />
Contractor’s Facility) should be selected and the following two clauses tailored for<br />
the applicable plan. Subsequent clauses that are specific to <strong>Defence</strong> Property may<br />
be deleted.<br />
COC clause 11.4, Occupational Health and Safety.<br />
<strong>SOW</strong> clause 3.17, Environmental Management.<br />
DSD-ENG-SERV clause 6.2.8, Safety Engineering.<br />
TDR G-5 <strong>of</strong> the COT, Health and Safety Management Statement.<br />
3.19 Training in <strong>Defence</strong> Information Systems<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To ensure that all relevant employees, agents and Subcontractors are trained in<br />
the operation <strong>of</strong> mandated <strong>Defence</strong> information systems.<br />
Policy: DI(G) PERS 05-34, Policy Framework for <strong>Defence</strong> Training Support to Contractors<br />
Guidance: Drafters should note the intent <strong>of</strong> clauses 3.16.2 to 3.16.6, is that the<br />
Commonwealth will provide initial training in <strong>Defence</strong> information systems and<br />
additional training when those systems are updated, otherwise such training<br />
becomes the responsibility <strong>of</strong> the Contractor.<br />
Related Clauses: Nil<br />
Optional Clauses: Nil<br />
Drafters’ attention is also drawn to the Operative Date clause (COC clause 1.4)<br />
which states that the parties have no obligation to perform the Contract until the<br />
first day on which a number <strong>of</strong> events have occurred. Additionally training in<br />
<strong>Defence</strong> information systems will probably be provided as GFS.<br />
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3.20 Access to Foreign Military Sales<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To provide the Contractor with access to Stock Items that are available via Foreign<br />
Military Sales (FMS) and that may not be available commercially.<br />
Policy: TBA<br />
Guidance: Drafters should note that the FMS clause is not intended to provide an automatic<br />
program for FMS access, and is to be initiated by the Contractor. Alternatively, if<br />
the Contract follows a Contract (Acquisition) and the drafter knows that a number<br />
<strong>of</strong> Stock Items will only be accessible via FMS, then the clause may be amended<br />
to establish a standing arrangement for on-going FMS access.<br />
Related Clauses: DSD-SUP-MILIS.<br />
Optional Clauses: Nil<br />
FMS for RIs and Non-RIs is usually accessed via the MILIS FMS module, with the<br />
link to the United States and order processing under the management <strong>of</strong> SOFMS<br />
in Melbourne. Items ordered via FMS must be acquired against an FMS case with<br />
appropriate scope and funding provisions. Depending on the individual<br />
requirements, arrangements put in place by the <strong>Defence</strong> Logistic Manager, and the<br />
Contractor’s authorised access to MILIS, various options for FMS access may be<br />
possible. Advice should be sought from the Support Office Foreign Military Sales<br />
(SOFMS) located within the Common Services System Support Office <strong>of</strong> ASD<br />
regarding further tailoring <strong>of</strong> this clause.<br />
3.21 Business Resource Planning<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To require the Contractor to conduct Business Resource Planning in accordance<br />
with the Approved SSMP and to allow the Commonwealth to conduct reviews and<br />
audits <strong>of</strong> the Contractor’s progress in doing so.<br />
Policy: Nil<br />
Guidance: In seeking ongoing information on the Contractor’s corporate business plan, the<br />
Commonwealth will determine whether the Contractor has effective strategies in<br />
place to deal with other commitments and to ensure that it meets all current and<br />
future work requirements. The Commonwealth is entitled to expect that other work<br />
commitments will not impede or effect work conducted under the Contract.<br />
Accordingly the Contractor is to manage an effective business resource balance,<br />
as agreed in the Approved SSMP, and the Commonwealth will review the SSMP to<br />
ensure remaining obligations under the Contract are adequately resourced.<br />
Related Clauses: TDR C-7 <strong>of</strong> the COT will request the tenderer identify how it will manage its<br />
financial, physical, organisational and intellectual resources to meet competing<br />
project commitments, and to illustrate how the tenderer will utilise strategies and<br />
plans to deal with subcontractors, other suppliers and human capital impacts on<br />
work capacity<br />
Optional Clauses: Nil<br />
3.22 Assurance and Stocktaking <strong>of</strong> Contractor Managed Commonwealth Assets<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To require the Contractor to undertake the necessary stocktaking and accounting<br />
<strong>of</strong> Commonwealth owned assets held by the Contractor.<br />
Policy: DI(G) LOG 4-1-003, <strong>Defence</strong> Inventory and Assets Manual<br />
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DEFLOGMAN part 2, volume 5, section 17, Stocktaking <strong>of</strong> <strong>Defence</strong> Assets<br />
DEFLOGMAN part 2, volume 5, section 18, Assurance Checks <strong>of</strong> <strong>Defence</strong> Assets<br />
Guidance: This clause is applicable to all Contracts, including those where no GFM is<br />
provided. A Contractor Managed Commonwealth Asset is defined in the Glossary<br />
at Attachment M as follows:<br />
“means any item owned by the Commonwealth which is in the care, custody or<br />
control <strong>of</strong> the Contractor, its <strong>of</strong>ficers, employees, agents or Subcontractors. CMCA<br />
includes GFM but does not include items <strong>of</strong> Supplies unless those items have<br />
been:<br />
a. Accepted by the Commonwealth in accordance with the Contract; and<br />
b. identified in the Contract, or otherwise by the Commonwealth<br />
Representative to the Contractor, as being items that are required to be held<br />
by the Contractor as CMCA.”<br />
This clause is not to be amended, except where particular items <strong>of</strong> CMCA are<br />
being managed on MILIS. In this situation, the stocktaking processes built into<br />
MILIS are required to be used.<br />
Related Clauses: COC clause 3.6, Government Furnished Material Ownership and Restrictions.<br />
Optional Clauses: Nil<br />
COC clause 3.7, Government Furnished Facilities.<br />
COC clause 3.8, Use <strong>of</strong> Commonwealth Property.<br />
COC clause 8, Insurance and Liability.<br />
Attachment M, Glossary, for the definition <strong>of</strong> ‘Contractor Managed Commonwealth<br />
Assets’.<br />
<strong>SOW</strong> clause 3.11, Government Furnished Material and Government Titled Items<br />
Management.<br />
DID-SSM-SSMP (the CAASP is included as part <strong>of</strong> the SSMP).<br />
DID-SSM-CSR (the CAASR is included as part <strong>of</strong> the CSR).<br />
DSD-SUP-SERV, in relation to the Contractor Supply Management System.<br />
CDRL Line Number MGT-350 (CAASR portion <strong>of</strong> the CSR).<br />
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4. OPERATING SUPPORT<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional (but must be used when Operating Support Services are required under<br />
the Contract (Support))<br />
Purpose: To define the requirements for Operating Support Services to be provided as part<br />
<strong>of</strong>, or in direct support to, <strong>Defence</strong> operations.<br />
Policy: DI(G) LOG 4-5-005, <strong>Defence</strong> Policy on Integrated Logistic Support<br />
DI(G) LOG 4-5-012, Regulation <strong>of</strong> Technical Integrity <strong>of</strong> Australian <strong>Defence</strong> Force<br />
Materiel<br />
DI(G) OPS 05-3, Civilians in Support <strong>of</strong> Australian <strong>Defence</strong> Force Operations<br />
(applicable only if Operating Support is to be provided in the area <strong>of</strong> operations)<br />
Guidance: This clause should be included if the Contract (Support) requires the provision <strong>of</strong><br />
Operating Support Services. Operating Support Services, in the ASDEFCON<br />
context, include the operation <strong>of</strong> the Mission System, or Services that directly<br />
enable operation <strong>of</strong> the Mission System by a <strong>Defence</strong> user. Operating Support is<br />
not a support element in an ILS context; however, Operating Support utilises<br />
Support Resource elements, such as personnel, support equipment, facilities, etc.<br />
Operating Support is not a Maintenance or Supply activity provided in the area <strong>of</strong><br />
operations, or any ‘operational’ level <strong>of</strong> Maintenance or Supply; these should be<br />
included under clauses 6 and 7 <strong>of</strong> the <strong>SOW</strong>.<br />
Examples <strong>of</strong> Operating Support include (but are not limited to):<br />
a. operation <strong>of</strong> a communications facility, where the Contractor’s staff<br />
undertake operational communications;<br />
b. operation <strong>of</strong> a radar or other surveillance facility, where the Contractor’s staff<br />
plot track, and report targets or operate other surveillance equipment in its<br />
operational role;<br />
c. provision <strong>of</strong> meteorological and pre-flight briefings to aircraft pilots;<br />
d. provision <strong>of</strong> a help-desk providing direct advice to system users (not part <strong>of</strong><br />
a training course);<br />
e. preparation <strong>of</strong> Mission System s<strong>of</strong>tware libraries with operational terrain<br />
data; and<br />
f. operation <strong>of</strong> a simulator, such as loading <strong>of</strong> scenarios and inserting threats<br />
or emergency conditions (when the simulator is treated as a Mission System<br />
under the Contract).<br />
All <strong>of</strong> these examples either directly involve, or directly enable, the operation <strong>of</strong> the<br />
Mission System in performing its mission.<br />
If the Contract (Support) does not contain any Operating Support requirements,<br />
then the heading should be retained, but the words ‘Not used’ should be inserted in<br />
brackets at the end (eg, “Operating Support (Not used)”). All <strong>of</strong> the lower-level<br />
clauses <strong>of</strong> clause 4 may then be deleted.<br />
Related Clauses: Maintenance Support (clause 6), for Contractor-provided Maintenance Services at<br />
the operational level.<br />
Optional Clauses: Nil<br />
Supply Support (clause 7), for the provision <strong>of</strong> Supply Services at the operational<br />
level.<br />
The following diagram shows the general structure <strong>of</strong> <strong>SOW</strong> clause 4 and its<br />
associated DSDs and DIDs:<br />
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4.1 Operating Support Management Planning<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Operating Support required)<br />
Operating Support <strong>SOW</strong> Structure<br />
Purpose: To identify the requirements for the Operating Support planning document.<br />
Policy: Nil<br />
Guidance: The drafter must determine whether Operating Support planning requirements can<br />
be included in the SSMP, or if a separate Operating Support Plan (OSP) is<br />
required. This decision is <strong>of</strong>ten discretionary, and dependent upon the scope <strong>of</strong><br />
the workload (eg, if the Contract (Support) covers several SSCCs), and the need to<br />
manage Operating Support functions separate from other support functions.<br />
Drafters should also refer to the previous guidance for <strong>SOW</strong> clauses 3.2 and 3.2.1<br />
regarding the ‘roll-up’ <strong>of</strong> management plans.<br />
If the scope <strong>of</strong> Operating Support for the Contract is concise (eg, Operating<br />
Support Services are relatively static and straightforward), then embedding the<br />
basic OSP requirements in the SSMP should be sufficient. If the Contract covers<br />
several types <strong>of</strong> Operating Support activities, and other activities under<br />
Engineering Support, Maintenance Support, Supply Support, and Training Support,<br />
then a separate OSP may be more practical.<br />
Having determined whether or not a separate OSP is required, the optional <strong>SOW</strong><br />
clauses should be chosen and reference to the appropriate selected plan edited,<br />
as per the ‘Notes to drafters’ in the draft <strong>SOW</strong>.<br />
DID-OPS-OSP provides generic clauses to define the requirements for an OSP,<br />
making it adaptable to the management <strong>of</strong> many Operating Support Services<br />
without the need for tailoring. This supports the ASDEFCON guiding principle to<br />
work in the Contractor’s domain where suitable 8 , by having the Contractor describe<br />
their ‘best practice’ processes for the required Services in the OSP. However, if<br />
the scope <strong>of</strong> Operating Support planning has specific requirements that cannot be<br />
captured in this manner, then DID-OPS-OSP will need to be tailored accordingly.<br />
If planning for the management <strong>of</strong> Operating Support is to be included in the<br />
SSMP, then the drafter must review DID-SSM-SSMP. Drafters should be aware<br />
that DID-SSM-SSMP identifies the need to address Operating Support<br />
8 See ASDEFCON Handbook Philosophy Volume.<br />
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management in the SSMP if the <strong>SOW</strong> requires it and, by default, the DID does not<br />
require tailoring. However, if the scope <strong>of</strong> Operating Support planning is reduced<br />
in the SSMP or specific requirements are needed, then the DID-SSM-SSMP will<br />
need to be tailored accordingly.<br />
Related Clauses: DID-OPS-OSP, which defines the requirements for an Operating Support Plan.<br />
Optional Clauses: Nil<br />
DID-SSM-SSMP, which defines the requirements for a Support Services<br />
Management Plan including Operating Support if a separate OSP is not required.<br />
CDRL Line Number OPS-100 for the OSP.<br />
4.2 Operating Support Reporting<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Operating Support required)<br />
Purpose: To identify the requirements for reporting the performance <strong>of</strong> Operating Support<br />
Services.<br />
Policy: Nil<br />
Guidance: Operating Support reporting is managed as a sub-report for the CSSR. This report<br />
may also be delivered separately from the rest <strong>of</strong> the CSSR, if required, by tailoring<br />
the CDRL. This report would typically be delivered for review in preparation for a<br />
CSPR, or a separately held Operating Support Performance Review (OSPR), as<br />
requested by clause 4.3 <strong>of</strong> the <strong>SOW</strong>. The report primarily addresses the<br />
Contractor’s performance in providing Operating Support Services against the<br />
requirements <strong>of</strong> the Contract.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
Reports and reviews do not need to be coordinated on a one-for-one basis (eg, the<br />
Operating Support component <strong>of</strong> the CSSR could be scheduled for every six<br />
months with every second report scheduled for an annual OSPR or CSPR). The<br />
frequency for delivery <strong>of</strong> reports may vary from one contract to the next, depending<br />
upon the level <strong>of</strong> visibility and Operating Support activity expected or the frequency<br />
<strong>of</strong> payment for these Services.<br />
Refer to the guidance for <strong>SOW</strong> clause 3.4 in regard to rolling-up reports and<br />
reviews as part <strong>of</strong> the communications strategy.<br />
Drafters do not need to change <strong>SOW</strong> clause 4.2, but must tailor the CDRL for the<br />
delivery <strong>of</strong> the Operating Support component <strong>of</strong> the CSSR individually or as part <strong>of</strong><br />
the combined report.<br />
DID-SSM-CSSR, which defines requirements for a Combined Services Summary<br />
Report.<br />
<strong>SOW</strong> clause 4.3 in relation to Operating Support Reviews.<br />
<strong>SOW</strong> clause 3.4.1, which addresses the inclusion <strong>of</strong> a CSSR.<br />
CDRL Line Number MGT-350d, for the separate delivery <strong>of</strong> the Operating Support<br />
portion <strong>of</strong> the CSSR, if required.<br />
4.3 Operating Support Reviews<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Operating Support required)<br />
Purpose: To identify the requirements for Operating Support Performance Reviews<br />
(OSPRs).<br />
Policy: Nil<br />
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Guidance: There is only one level <strong>of</strong> Operating Support review in the <strong>SOW</strong>, the OSPR, which<br />
may be scheduled independently or rolled up into the CSPR. If necessary for<br />
larger-scale contracts, two levels <strong>of</strong> review can be achieved if the CSPR acts as a<br />
higher-level review to the OSPR.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
The drafter needs to determine the appropriate level <strong>of</strong> review activity for Operating<br />
Support. If the OSPRs are to be rolled up into the CSPRs, then Option A should<br />
be selected. If separate OSPRs are required, then Option B should be selected<br />
and the review frequency inserted, as per the notes to drafters. If two levels <strong>of</strong><br />
review are required, the OSPR clause (Option B) should be selected, and the<br />
requirements for the CSPR amended, if required, to include a higher-level review<br />
<strong>of</strong> Operating Support Services.<br />
Depending on the plan option selected under clause 4.1, drafters should edit the<br />
clauses referring to plans accordingly.<br />
<strong>SOW</strong> clause 3.4.2, Combined Services Performance Review.<br />
<strong>SOW</strong> clause 4.2, Operating Support Reporting.<br />
4.4 Operating Support Services<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Operating Support is required; however, individual lower-level <strong>SOW</strong><br />
clauses are optional)<br />
Purpose: To define the required Operating Support Services.<br />
Policy: Nil<br />
Guidance: Drafters should be aware that DSDs are not necessarily independent <strong>of</strong> each other<br />
and that the selection <strong>of</strong> DSDs, and the creation <strong>of</strong> any new DSDs, should consider<br />
these relationships.<br />
Drafters must tailor the subclauses to clause 4.4 for each group <strong>of</strong> Operating<br />
Support Services to be included in the Contract (Support), as described by a<br />
separate DSD listed in the CSRL, <strong>SOW</strong> Annex B. Details are given below for the<br />
draft DSDs included in the ASDEFCON (Support) templates.<br />
Help Desk Services. DSD-OPS-HLPDSK provides an outline DSD for the<br />
provision <strong>of</strong> help-desk support to operators. The DSD may be used for information<br />
systems or other Mission Systems. Drafters should refer to the guidance in section<br />
1 <strong>of</strong> DSD-OPS-HLPDSK for further information. If these Services are not required<br />
under the Contract, then the <strong>SOW</strong> clause and associated CSRL entry should be<br />
deleted.<br />
OPS Template. DSD-OPS-Template provides a template DSD for describing<br />
Operating Support Services. Drafters should refer to the guidance in section 1 <strong>of</strong><br />
DSD-OPS-Template for further information. Once developed, additional DSDs<br />
must be added to the CSRL.<br />
Drafters must add a subclause to clause 4.4 for each additional group <strong>of</strong> Operating<br />
Support Services to be added to the Contract (Support), as described by a<br />
separate DSD listed in the CSRL, <strong>SOW</strong> Annex B. Each additional subclause<br />
should be in the form <strong>of</strong> the optional clause shown below.<br />
Related Clauses: <strong>SOW</strong> Annex B, CSRL ‘OPS’ entries<br />
DSD-OPS-Template.<br />
DSD-OPS-HLPDSK, Help Desk Services.<br />
<strong>SOW</strong> Annex C, CDRL ‘OPS’ entries and associated DIDs that are referenced from<br />
the ‘OPS’ DSDs.<br />
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Optional Clauses:<br />
<strong>SOW</strong> Annex D, for referenced manuals that describe Operating Support<br />
procedures.<br />
The Contractor shall provide […INSERT SUMMARY DESCRIPTION OF THE<br />
REQUIRED OPERATING SUPPORT SERVICES…] Services in accordance with<br />
CSRL Line Number OPS-[…INSERT CSRL NUMBER…].<br />
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5. ENGINEERING SUPPORT<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional (but must be used when Engineering Services are required under the<br />
Contract (Support))<br />
Purpose: To define the requirements for Engineering Services and related work for the<br />
Contract (Support) through both this clause <strong>of</strong> the <strong>SOW</strong> and the associated DSDs.<br />
Policy: DI(G) LOG 4-5-012, Regulation <strong>of</strong> Technical Integrity <strong>of</strong> Australian <strong>Defence</strong> Force<br />
Materiel<br />
DI(A) LOG 12-1, Regulation <strong>of</strong> the Technical Integrity <strong>of</strong> Land Materiel<br />
DI(N) ADMIN 37-15, Assuring the Safety, Fitness for Service and Environmental<br />
Compliance <strong>of</strong> Naval Capability<br />
DI(N) ADMIN 37-16, Navy Regulatory System<br />
DI(N) LOG 47-3, Technical Regulation <strong>of</strong> Navy Materiel<br />
Guidance: This clause should be included if the Contract (Support) requires the provision <strong>of</strong><br />
Engineering Services. There may be support contracts that exclude Engineering<br />
Support (eg, these could be exclusively for the provision <strong>of</strong> Supply or Training<br />
Services). A Contract (Support), which is primarily for the provision <strong>of</strong> Maintenance<br />
Services, will <strong>of</strong>ten contain some level <strong>of</strong> requirement for Engineering Services in<br />
relation to engineering investigations <strong>of</strong> defects, Configuration Management (CM),<br />
or engineering dispositions for temporary and non-standard repairs.<br />
In-service Engineering Services have a different emphasis to acquisition<br />
engineering, and involves such activities as:<br />
a. Technical Data review (known as Technical Information Review under the<br />
Aerospace TRF);<br />
b. baseline management;<br />
c. defect management;<br />
d. failure/reliability monitoring;<br />
e. safety management;<br />
f. supportability analyses;<br />
g. obsolescence management;<br />
h. change management;<br />
i. s<strong>of</strong>tware ‘maintenance’, and<br />
j. modification development.<br />
If the Contract (Support) does not contain any Engineering Support requirements,<br />
then the heading should be retained, but the words ‘Not used’ should be inserted in<br />
brackets at the end (eg, “Engineering Support (Not used)”). All <strong>of</strong> the lower-level<br />
clauses <strong>of</strong> clause 5 may then be deleted.<br />
The demand for many Engineering Services can be hard to scope prior to entering<br />
into a contract; for example, the number and scope <strong>of</strong> required modifications will be<br />
unknown. Accordingly, many tasks may be managed as S&Q Services. An<br />
alternative to some S&Q Services is a Contractor Standing Capability (CSC),<br />
managed through a separate DSD (refer clause 5.5), and requiring additional<br />
management procedures. Drafters should consider the optional CSC module<br />
when developing clause 5.<br />
The following diagram shows the general structure <strong>of</strong> <strong>SOW</strong> clause 5 and its<br />
associated DSDs and DIDs.<br />
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Engineering Support <strong>SOW</strong> Structure<br />
Related Clauses: Maintenance Support (clause 6), for the Maintenance actions associated with the<br />
implementation <strong>of</strong> Deviations and Non-Standard Repairs and the incorporation <strong>of</strong><br />
Modification Orders and Technical Instructions.<br />
Optional Clauses: Nil<br />
Supply Support (clause 7), for the Supply interfaces with Engineering Services (eg,<br />
in relation to Obsolescence management and Supply aspects <strong>of</strong> ECPs).<br />
5.1 Engineering Support Management Planning<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Engineering Support is required)<br />
Purpose: To identify the requirement for the Engineering Support planning document.<br />
Policy: ABR 6492, RAN Regulatory Framework and Certification Manual<br />
Technical Regulation <strong>of</strong> Army Materiel Manual<br />
AAP 7001.053, Technical Airworthiness Management Manual<br />
Guidance: The drafter must determine whether Engineering Support planning requirements<br />
can be included in the SSMP, or if a separate Contractor Engineering Management<br />
Plan (CEMP) is required. This decision is <strong>of</strong>ten discretionary, and dependent upon<br />
the scope <strong>of</strong> the workload (if the Contract (Support) covers several SSCCs), and<br />
the need to manage Engineering Support functions separate from other support<br />
functions. Drafters should also refer to the previous guidance for <strong>SOW</strong> clauses 3.2<br />
and 3.2.1 regarding the ‘roll-up’ <strong>of</strong> management plans.<br />
If the scope <strong>of</strong> Engineering Support issues for the Contract is concise, then<br />
embedding the basic CEMP requirements in the SSMP may be sufficient. A standalone<br />
plan will <strong>of</strong>ten be preferable, however, in order to meet TRF requirements<br />
(eg, where the Contractor must be an AEO).<br />
TRF requirements relating to Engineering Support are contained in the policy<br />
manuals listed above. Drafters should refer to the applicable policies (under the<br />
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main heading), the manuals identified above, and their TRAs for further advice. If<br />
Engineering Services are to be provided in accordance with TRF requirements,<br />
then AEO status may also need to be formally established (see guidance for<br />
clause 5.4). (Note that Approved Maintenance Organisation / Accredited<br />
Maintenance Organisation (AMO) requirements, which may include a level <strong>of</strong><br />
engineering responsibility, are addressed in clause 6 <strong>of</strong> the <strong>SOW</strong>). If the Contract<br />
covers several areas such as a range <strong>of</strong> Engineering, Maintenance, and Supply<br />
Services, then a separate CEMP will usually be more practical.<br />
Having determined whether or not a separate CEMP is required, the optional <strong>SOW</strong><br />
clause should be chosen and the reference to the selected plan should be edited,<br />
as per the ‘Notes to drafters’ in the draft <strong>SOW</strong>.<br />
DID-ENG-CEMP identifies the major requirements for a CEMP, including those<br />
needed to manage Engineering Services in the context <strong>of</strong> the Contract, and TRF<br />
additional requirements. A note at the start <strong>of</strong> clause 6 in the DID explains how the<br />
references to the TRF manuals have been incorporated for providing additional<br />
guidance. Although further tailoring may not be required, drafters should review<br />
DID-ENG-CEMP to ensure that all required planning aspects will be covered.<br />
DSD-ENG-SERV provides a framework for developing system modifications,<br />
allowing individual modification programs to be scoped within additional DSDs,<br />
CCPs or as CSC tasks. DSD-ENG-SERV includes clauses for a separate Systems<br />
Engineering Management Plan (SEMP) and, if engineering changes require the<br />
application <strong>of</strong> ILS practices to address Supportability, an Integrated Support Plan<br />
(ISP). DIDs for both <strong>of</strong> these plans are available from the standard assets for<br />
ASDEFCON (Strategic Materiel); however, if the drafter would prefer these to be<br />
rolled up into the CEMP, then DID-ENG-CEMP will need to be modified to include<br />
the essential components <strong>of</strong> each plan and DSD-ENG-SERV tailored accordingly.<br />
S<strong>of</strong>tware-specific engineering-management requirements may be captured in the<br />
S<strong>of</strong>tware Support Plan (SWSP), defined by DID-ILS-SW-SWSP or, if more<br />
significant development is required, by the S<strong>of</strong>tware Management Plan (SWMP)<br />
defined by DID-ENG-SW-SMP (noting that both <strong>of</strong> these DIDs are available from<br />
the standard assets for ASDEFCON (Strategic Materiel)). The SWSP is called out<br />
by DSD-ENG-SW; however, it may be rolled-up into the CEMP if required. The<br />
SWMP would normally be called out by a drafter-developed DSD for ECPs, but it<br />
may be rolled-up into the SEMP with appropriate modification / merging <strong>of</strong> both<br />
DIDs.<br />
Configuration Management (CM) is an important part <strong>of</strong> Engineering Support that<br />
also governs Maintenance and Supply activities. The CM Plan (CMP) will be called<br />
out by DSD-ENG-CM; however, it can also be rolled-up into the CEMP, if required<br />
by the drafter. This would require the drafter to modify DID-ENG-CEMP to include<br />
the essential components <strong>of</strong> a CMP.<br />
DID-ENG-CEMP may also need to be tailored to include any other subordinate<br />
engineering plans required for TRF purposes, or to suit other individual<br />
requirements <strong>of</strong> the Engineering Services being sought.<br />
If planning for the management <strong>of</strong> Engineering Support is to be included in the<br />
SSMP, then the drafter must review DID-SSM-SSMP and ensure that the selftailoring<br />
provisions to include Engineering planning are adequate. If the scope <strong>of</strong><br />
Engineering Support planning is reduced or specific requirements are needed, then<br />
the DID-SSM-SSMP will need to be tailored accordingly.<br />
Related Clauses: DID-ENG-CEMP, which specifies requirements for the Contractor Engineering<br />
Management Plan.<br />
DID-SSM-SSMP, which specifies requirements for the Support Services<br />
Management Plan.<br />
DID-ENG-CMP, which specifies requirements for a Configuration Management<br />
Plan (may be rolled-up).<br />
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Optional Clauses: Nil<br />
DID-ILS-SW-SWSP, which specifies requirements for a S<strong>of</strong>tware Support Plan<br />
(may be rolled-up).<br />
DID-ENG-MGT-SEMP (ASDEFCON (Strategic Materiel)), which specifies<br />
requirements for a Systems Engineering Management Plan (may be rolled-up).<br />
DID-ENG-MGT-SEMP-2 (ASDEFCON (Complex Materiel) Volume 2), which<br />
specifies requirements for a Systems Engineering Management Plan (alternative to<br />
above).<br />
DID-ILS-MGT-ISP (ASDEFCON (Strategic Materiel)), which specifies requirements<br />
for an Integrated Support Plan (may be rolled-up).<br />
DID-ENG-MGT-ISP-2 (ASDEFCON (Complex Materiel) Volume 2), which specifies<br />
requirements for an Integrated Support Plan (alternative to above).<br />
DID-ENG-MGT-SMP, which specifies requirements for a S<strong>of</strong>tware Management<br />
Plan (may be rolled-up).<br />
DSD-ENG-SERV, which may require the SEMP and ISP as subordinate plans.<br />
DSD-ENG-CM, which requires a CMP, or the CMP to be rolled up into the CEMP<br />
or SSMP.<br />
CDRL Line Number ENG-100, for the CEMP.<br />
5.2 Engineering Support Reporting<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Engineering Support is required)<br />
Purpose: To identify the requirements for reporting the performance <strong>of</strong> Engineering Services.<br />
Policy: Nil<br />
Guidance: Engineering Support reporting is managed as a sub-report <strong>of</strong> the CSSR. This<br />
report may also be delivered separately from the rest <strong>of</strong> the CSSR, if required, by<br />
tailoring the CDRL. This report would typically be delivered for review in<br />
preparation for an Engineering Support Performance Review (ESPR), as<br />
requested by clause 5.3 <strong>of</strong> the <strong>SOW</strong>. The report primarily addresses the<br />
Contractor’s performance in providing Engineering Services against the<br />
requirements <strong>of</strong> the Contract.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
Reports and reviews do not need to be coordinated on a one-for-one basis (eg, the<br />
Engineering Support component <strong>of</strong> the CSSR could be scheduled for every six<br />
months with every second report scheduled for an annual ESPR or CSPR). The<br />
frequency for delivery <strong>of</strong> reports may vary from one contract to the next, depending<br />
upon the level <strong>of</strong> visibility and Engineering Support activity expected or the<br />
frequency <strong>of</strong> payment for these Services.<br />
Drafters do not need to change <strong>SOW</strong> clause 5.2, but must tailor the CDRL for the<br />
delivery <strong>of</strong> the Engineering Support component <strong>of</strong> the CSSR individually or as part<br />
<strong>of</strong> the combined report. Refer to the guidance for <strong>SOW</strong> clause 3.4 in regard to<br />
rolling-up reports and reviews as part <strong>of</strong> the communications strategy.<br />
DID-SSM-CSSR, which specifies the requirements for a Combined Services<br />
Summary Report.<br />
<strong>SOW</strong> clause 3.4.1, which addresses the inclusion <strong>of</strong> a CSSR.<br />
<strong>SOW</strong> clause 5.3 in relation to Engineering Support Reviews.<br />
CDRL Line Number MGT-350e, separate delivery <strong>of</strong> the Engineering Support<br />
portion <strong>of</strong> the CSSR, if required.<br />
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5.3 Engineering Support Reviews<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Engineering Support is required)<br />
Purpose: To identify the requirements for Engineering Support Performance Reviews<br />
(ESPRs).<br />
Policy: Nil<br />
Guidance: There is only one level <strong>of</strong> Engineering Support review in the <strong>SOW</strong>, the ESPR,<br />
which may be scheduled independently or rolled up into the CSPR. If necessary<br />
for larger-scale contracts, two levels <strong>of</strong> review can be achieved if the CSPR acts as<br />
a higher-level review to the ESPR.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
Additional reviews are required to support a Systems Engineering development<br />
cycle (eg, System Requirements Review, System Definition Review, Preliminary<br />
Design Review, and Detailed Design Review). These reviews, specific to the<br />
development process, are addressed through DSD-ENG-SERV managing Major<br />
Changes (ie, Class 1 ECPs). DSD-ENG-SERV also includes the covering<br />
management clauses for these System Reviews, which are separate from the<br />
routine ESPR, but which will be summarised by the CSSR report on Engineering<br />
activities and therefore included in the ESPR or CSPR, as applicable.<br />
The drafter needs to determine the appropriate level <strong>of</strong> review activity for<br />
Engineering Support. If the ESPRs are to be rolled up into CSPRs, then Option A<br />
should be selected. If separate ESPRs are required, then Option B should be<br />
selected and the review frequency inserted, as per the notes to drafters. Note that,<br />
by default, an ESPR will be rolled up into a CSPR when they fall in the same<br />
month. If two levels <strong>of</strong> review are required, the ESPR clause (Option B) should be<br />
selected, and the requirements for the CSPR amended, if required, to include a<br />
higher-level review <strong>of</strong> Engineering Services.<br />
Depending on the plan option selected under clause 0, drafters should edit the<br />
clauses referring to the appropriate plan.<br />
<strong>SOW</strong> clause 3.4.2, Combined Services Performance Review.<br />
<strong>SOW</strong> clause 5.2, Engineering Support Reporting.<br />
DSD-ENG-SERV clause 6.2.11, Conduct <strong>of</strong> System Reviews.<br />
5.4 Technical Regulation <strong>of</strong> Engineering Support<br />
Sponsor: DAVREG-DGTA (Aerospace)<br />
Director <strong>of</strong> Technical Regulation - Navy (Maritime)<br />
Director Technical Regulation - Army (Land)<br />
Status: Optional / Special Inclusion (must be included if TRF requirements apply to the<br />
provision <strong>of</strong> Engineering Services or if the Contractor is required to be an AEO or<br />
to be evaluated by an AEO for the suitability <strong>of</strong> their Engineering processes)<br />
Purpose: To define the TRF requirements associated with providing Engineering Services<br />
under the Contract.<br />
Policy: DI(G) LOG 4-5-012, Regulation <strong>of</strong> Technical Integrity <strong>of</strong> Australian <strong>Defence</strong> Force<br />
Materiel<br />
DI(G) OPS 02-02, Australian <strong>Defence</strong> Force Airworthiness Management<br />
AAP 7001.048, ADF Airworthiness Manual<br />
AAP 7001.053, Technical Airworthiness Management Manual (TAMM)<br />
AAP 8000.010, ADF Operational Airworthiness Manual<br />
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Technical Regulation <strong>of</strong> ADF Materiel Manual – Land (TRAMM-L)<br />
ABR 6492, Navy Technical Regulations Manual (NTRM)<br />
DI(A) LOG 12-1, Regulation <strong>of</strong> the Technical Integrity <strong>of</strong> Land Materiel<br />
DI(N) ADMIN 37-15, Assuring the Safety, Fitness For Service and Environmental<br />
Compliance Of Naval Capability<br />
DI(N) ADMIN 37-16, Navy Regulatory System<br />
DI(N) LOG 47-3, Technical Regulation <strong>of</strong> Navy Materiel<br />
Guidance: If Engineering Services are to be subject to TRF requirements (eg, seaworthiness,<br />
mission-worthiness, airworthiness or otherwise being operationally fit for purpose),<br />
then the appropriate technical regulatory requirements for the applicable<br />
environment must be applied. For aerospace requirements, a Contractor with<br />
Mission System or major subsystem responsibilities would need to become an<br />
AEO. For maritime systems, the Contractor would need to be assessed by an<br />
AEO; however, the degree <strong>of</strong> assessment may change between SPOs and in<br />
relation to safety critical nature <strong>of</strong> the Products supported. For land systems, there<br />
may be a need for the Contractor to become an Accredited Engineering<br />
Organisation (AEO) (same acronym used). In each case, there is generally a need<br />
to review Contractor plans and some need for an audit or other assurance that the<br />
relevant TRF manual will be / is being followed.<br />
Drafters should be aware that DID-ENG-AEO, ‘AEO Application’, has been drafted<br />
to have application to all TRFs. Under the Aerospace TRF, it is the document that<br />
applies for the Contractor to become an AEO. Under the Land and Maritime TRFs,<br />
it includes an “Application to Demonstrate Compliance with the TRAMM-L under<br />
the Land TRF” and an “Application to Demonstrate Compliance with the NTRM<br />
under the Maritime TRF”. For the Land and Maritime TRFs, this “application”<br />
provides the objective evidence that the Contractor is competent to deliver<br />
compliant Engineering Services, as required under the Contract, in accordance<br />
with the respective TRF manual.<br />
If TRF requirements are not applicable to the Engineering Services being provided<br />
under the Contract (Support), then the standard clauses in the <strong>SOW</strong> template<br />
should be replaced with a single clause 5.4.1 stating ‘Not used’.<br />
If TRF requirements are applicable to the Engineering Services, drafters must seek<br />
advice from the relevant TRAs to ensure that the Contract clauses included in the<br />
<strong>SOW</strong>, DSDs and associated DIDs, represent the most up-to-date requirements for<br />
contracting.<br />
Aerospace: The objective <strong>of</strong> this clause is to ensure an appropriate Engineering<br />
Support framework is in place to enable the continued technical and operational<br />
airworthiness <strong>of</strong> aircraft. All Contracts that include Engineering Support for<br />
technical equipment that has a technical or functional interface with ADF aircraft<br />
MUST invoke a contractual requirement for the Contractor to become an AEO and<br />
comply with Regulations 1, 2 and 3 in Section 2 <strong>of</strong> the TAMM. Drafters should be<br />
aware <strong>of</strong> the <strong>SOW</strong> clauses for Technical Regulation (part <strong>of</strong> the special ‘Aerospace<br />
Module’) that amends clause 5.4 <strong>of</strong> the ASDEFCON (Support) template when the<br />
Services include the provision <strong>of</strong> aerospace-related services. AAP 7001.054 also<br />
contains DIDs and a DSD for Aircraft Structural Integrity (ASI) aspects.<br />
DAVREG-DGTA is the primary point <strong>of</strong> contact for advice regarding the<br />
applicability <strong>of</strong> the technical airworthiness regulations to Engineering Support.<br />
Aerospace Systems Division QMS Procedure 3-2-1-4 contains applicable<br />
guidance.<br />
Land: The objective <strong>of</strong> this clause is to ensure an appropriate Engineering<br />
Support framework is in place to enable the continued technical and operational<br />
mission worthiness <strong>of</strong> nominated systems. Contracts for the nominated systems<br />
will require the Contractor to comply with the applicable regulations defined in the<br />
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TRAMM-L. Drafters should also refer to the guidance above in relation to DID-<br />
ENG-AEO.<br />
Advice from DTR-A should be sought when applying these clauses.<br />
Maritime: The objective <strong>of</strong> this clause is to ensure an appropriate Engineering<br />
Support framework is in place to enable the continued technical and operational<br />
seaworthiness <strong>of</strong> vessels. ABR 6492 (NTRM) requires <strong>Defence</strong> organisations (eg,<br />
DMO support agencies) providing Engineering Support to maritime materiel to<br />
achieve AEO status. Additionally, “Non ADO organisations [including contractors]<br />
involved in the design, construction and Maintenance <strong>of</strong> ADF maritime materiel will<br />
be required to comply with the NTRF [Navy Technical Regulatory Framework]<br />
through contractual requirements with the relevant AEO”.<br />
Consistent with the NTRM, advice must be sought from the ‘engineering authority’<br />
for the specific maritime systems (as per ABR 6492, volume 2, section 5) when<br />
developing clauses for the individual NTRF requirements for a maritime system.<br />
Drafters should also refer to the guidance above in relation to DID-ENG-AEO. An<br />
example <strong>of</strong> a possible clause is provided under the heading, “Optional Clauses”,<br />
below.<br />
Electronic: Electronic systems fitted to various platforms may be subjected to<br />
more than one <strong>of</strong> these TRF requirements and clause 5.4.1 should be amended<br />
accordingly to include the relevant references, or a new clause added, to explain<br />
any particular division <strong>of</strong> responsibilities for technical regulatory requirements.<br />
DI(G) LOG 4-5-012 paragraphs 10 and 11 provides policy guidance for systems<br />
and equipment that are subject to more than one TRF, which usually results in the<br />
selection <strong>of</strong> a lead TRF.<br />
Explosive Ordnance: If, in rare cases, the contractor is to manage or undertake<br />
Engineering work on guided weapons or munitions, the drafter should seek advice<br />
from the Directorate <strong>of</strong> Ordnance Safety (DOS) regarding additional technical<br />
regulatory or audit requirements that may be applicable.<br />
All: Drafters should consider COC clause 1.4, Operative Date, and the need for a<br />
Contractor’s Engineering processes to be evaluated against a TRF, as defined in<br />
the TAMM, TRAMM-L, or ABR 6492, prior to the delivery <strong>of</strong> Engineering Services.<br />
Note that, by using the OD clause, contract termination would be possible if a<br />
Contractor failed to meet the needs <strong>of</strong> the applicable TRF by the OD. Compliance<br />
with an applicable TRF was one <strong>of</strong> the original reasons for creating the OD clause.<br />
In developing individual sub-clauses, drafters should also consider the relationship<br />
with <strong>SOW</strong> clause 11, Quality Management. It may be suitable that compliance with<br />
the TRF be integrated with Quality Management activities (eg, sub-clauses to 5.4<br />
may indicate that TRF compliance audits will be a specific component <strong>of</strong> quality<br />
audits, with shortfalls automatically invoking clause 11.3 for non-conformance).<br />
Related Clauses: DID-ENG-CEMP, which specifies requirements for the Contractor Engineering<br />
Management Plan.<br />
DID-ENG-AEO, which specifies requirements for the AEO application.<br />
COC clause 1.4, Operative Date.<br />
<strong>SOW</strong> clause 6.4, Technical Regulation <strong>of</strong> Maintenance Support.<br />
<strong>SOW</strong> clause 11, Quality Management.<br />
Optional Clauses: Refer to applicable TRA for guidance.<br />
For the Maritime TRF, the following clause could form the basis <strong>of</strong> an appropriate<br />
clause for the application <strong>of</strong> the NTRM to a Contract (Support):<br />
Note to drafters: Amend the following clauses to reflect the required plans<br />
for the draft Contract:<br />
5.4.1 Subject to clauses 5.4.2 and 5.4.3, the Contractor shall ensure that<br />
Engineering Services are performed in accordance with the following Technical<br />
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Regulatory Framework regulations defined in Chapter 1, Section 2, Volume 1 <strong>of</strong><br />
ABR 6492, Navy Technical Regulations Manual:<br />
a. Regulation No 1, with the words ‘under the NTRF’ replaced with ‘through the<br />
Approved CEMP and Approved QP’;<br />
b. all regulations relating to technical risk management;<br />
c. all regulations relating to engineering change management, with the<br />
exception <strong>of</strong>:<br />
(i) the words in Regulation No 3, ‘requirements in NTRM Vol 2, Sect 2’,<br />
are replaced with ‘requirements <strong>of</strong> the NTRM Vol 2, Sect 2 identified<br />
in DSD-ENG-CM’; and<br />
(ii) Regulation Nos 3.5 and 3.5.1;<br />
d. all regulations relating to defective and unsatisfactory materiel, with the<br />
exception that Regulation No 4 is amended to read, ‘The Contractor shall<br />
implement appropriate mechanisms to ensure that all Contractor and<br />
Subcontractor personnel, regardless <strong>of</strong> position or appointment, report all<br />
instances <strong>of</strong> defective or unsatisfactory materiel’;<br />
e. the engineering aspects <strong>of</strong> the regulations relating to Maintenance<br />
management, noting that the authority for deferring either mandatory or nonmandatory<br />
Maintenance must be an individual with appropriate engineering<br />
competence;<br />
f. all regulations relating to delegation <strong>of</strong> engineering authority, with the<br />
exception <strong>of</strong> Regulation No 6.2;<br />
g. all regulations relating to authorisations <strong>of</strong> engineering authorities, with the<br />
exception <strong>of</strong> Regulation Nos 7, 7.1, 7.3 and 7.3.4.4, and with the following<br />
amendments:<br />
(i) in Regulation No 7.3.2, the words ‘defined by the TRA’ are replaced<br />
with ‘defined by the Contractor in its Approved CEMP’; and<br />
(iv) in Regulation No 7.3.3, the words ‘that conform to the NTRF’ are<br />
replaced with ‘authorised through the Approved CEMP and Approved<br />
QP’;<br />
h. Regulation No 8.2; and<br />
i. Regulation No 10.<br />
5.5 Engineering Services<br />
5.4.2 For the purposes <strong>of</strong> this clause 5.4, the following terms from ABR 6492 shall<br />
be interpreted as follows:<br />
a. ‘ADF maritime materiel’ means the Products being supported under the<br />
Contract;<br />
b. ‘Engineering Management Plan’ or ‘EMP’ means the Approved CEMP;<br />
c. ‘executive’ or ‘executive authority’ means the Commonwealth<br />
Representative; and<br />
d. ‘Authorised Engineering Organisations’ or ‘AEOs’ means the Contractor.<br />
5.4.3 In interpreting the application <strong>of</strong> the regulations identified at clause 5.4.1 to<br />
the provision <strong>of</strong> Engineering Services, the Contractor shall be guided by the<br />
requirements <strong>of</strong> Volume 2 <strong>of</strong> ABR 6492.<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Engineering Support is required; however, individual lower-level draft <strong>SOW</strong><br />
clauses are optional)<br />
Purpose: To define the required Engineering Services.<br />
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Guidance: Drafters should be aware that DSDs are not necessarily independent <strong>of</strong> each other<br />
and that the selection <strong>of</strong> DSDs and the creation <strong>of</strong> any new DSDs should consider<br />
these relationships.<br />
Drafters must tailor the subclauses to clause 5.5 for each group <strong>of</strong> Engineering<br />
Services to be included in the Contract (Support), as described by a separate DSD<br />
listed in the CSRL, <strong>SOW</strong> Annex B. Details are given below for the draft DSDs<br />
included in the ASDEFCON (Support) templates, and for ECPs, which would need<br />
to be developed by drafters when significant design change activities are<br />
anticipated under the Contract.<br />
Routine Engineering Services. DSD-ENG-SERV contains the generic<br />
Engineering Services that must be performed for all contracts requiring routine<br />
Engineering Support. Whereas <strong>SOW</strong> clause 5 is predominantly about planning<br />
and Engineering Services from a contract and TRF perspective, DSD-ENG-SERV<br />
relates specifically to the management <strong>of</strong> individual engineering work activities.<br />
DSD-ENG-SERV also includes the essential System Engineering program<br />
requirements for more significant modifications undertaken through a specific DSD<br />
for a modification, CCP or CSC tasking. Accordingly, this DSD is a ‘head’ DSD for<br />
Engineering Support, and will almost certainly be required before any other<br />
Engineering Services can be undertaken. Drafters should refer to the guidance in<br />
section 1 <strong>of</strong> DSD-ENG-SERV for further information.<br />
If a contractor is not required to provide on-going Engineering Services and will<br />
ONLY undertake other functions such as an ECP program or parts <strong>of</strong> Configuration<br />
Management, then the <strong>SOW</strong> clause and associated CSRL entry should be deleted.<br />
Contractor Standing Capability. The purpose <strong>of</strong> the Contractor Standing<br />
Capability (CSC) is to provide an on-going pool <strong>of</strong> expertise that is primarily used<br />
for specialist Engineering, design activities and similar Services. The CSC has<br />
been aligned to engineering activities but can be expanded for use in other areas<br />
where:<br />
a. expertise can be difficult to obtain and maintain; and<br />
b. the scope <strong>of</strong> work can be difficult to define upfront.<br />
If a CSC were not to be implemented, the required work would be undertaken as<br />
S&Q Services, which is likely to incur higher labour charges and reduced skills<br />
continuity, due to the stop/start nature <strong>of</strong> S&Q Services. While a CSC should<br />
improve efficiency, it is dependent upon a minimum amount <strong>of</strong> ad hoc work to be<br />
viable. Including a CSC through draft <strong>SOW</strong> clause 5.5 and DSD-ENG-CSC does<br />
not add to the scope <strong>of</strong> Engineering Services, but allows the work identified in<br />
other DSDs as S&Q Services to be performed by the CSC.<br />
Including a CSC requires changes to this clause, the COT, COC, CSRL, CDRL,<br />
and DID-ENG-CEMP, plus the addition <strong>of</strong> new DIDs and DSD-ENG-CSC. Drafters<br />
should refer to the CSC Module, particularly the guidance document “1_Draft CSC<br />
General – V3.0” for a detailed explanation <strong>of</strong> the changes required.<br />
If a CSC is not required (ie, ad hoc Engineering Services can be more efficiently<br />
managed as S&Q Services), the entries changes for the CSC must be left out.<br />
Configuration Management Services. DSD-ENG-CM contains the requirements<br />
for the CM <strong>of</strong> the Products to be supported under the Contract (Support). Drafters<br />
should note that CM is fundamental to the effective management, and <strong>of</strong>ten the<br />
safety, <strong>of</strong> complex Commonwealth assets. Drafters should refer to the guidance in<br />
section 1 <strong>of</strong> DSD-ENG-CM for further information.<br />
If CM is not required (eg, because CM is undertaken by a Commonwealth agency),<br />
the <strong>SOW</strong> clause and associated CSRL entry should be deleted.<br />
S<strong>of</strong>tware Support Services. DSD-ENG-SW is specifically intended for the<br />
support <strong>of</strong> s<strong>of</strong>tware. Although <strong>of</strong>ten referred to as ‘s<strong>of</strong>tware maintenance’ s<strong>of</strong>tware<br />
support has been included under Engineering Services due to the outcomes being<br />
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a change to the s<strong>of</strong>tware configuration, even if only minor. S<strong>of</strong>tware support<br />
includes ‘corrective’, ‘adaptive’, ‘preventive’ and ‘perfective’ maintenance. DSD-<br />
ENG-SW also includes the framework for conducting major s<strong>of</strong>tware development<br />
activities, where non-trivial improvements in s<strong>of</strong>tware functionality or performance<br />
are sought. S<strong>of</strong>tware development may be addressed via CSC tasks, a CCP and<br />
the ECP DSD discussed below, or a specific s<strong>of</strong>tware-only development DSD<br />
created by the drafter to make use <strong>of</strong> the framework provided in DSD-ENG-SW.<br />
Drafters should refer to the guidance in section 1 <strong>of</strong> DSD-ENG-SW for further<br />
information.<br />
If s<strong>of</strong>tware support Services are not required under the Contract, the <strong>SOW</strong> clause<br />
and associated CSRL entry should be deleted.<br />
Engineering Change Proposals. Drafters / in-service managers may develop a<br />
“DSD-ENG-ECP” for major design and development <strong>of</strong> enhancements, significant<br />
modifications, and upgrades to the Products being supported that are beyond the<br />
scope manageable using DID-ENG-ECP and the standard DSD-ENG-SERV<br />
clauses. An ECP DSD drafted for each major change program would be added to<br />
the Contract via CCP. The ECP DSD should contain the specific design and<br />
development requirements (including specifications) that apply the Systems<br />
Engineering and s<strong>of</strong>tware development frameworks from DSD-ENG-SERV and<br />
DSD-ENG-SW, as applicable.<br />
Other Engineering Services. Drafters must add a subclause to clause 5.5 for<br />
each additional group <strong>of</strong> Engineering Services to be added to the Contract<br />
(Support), as described by a separate DSD listed in the CSRL, <strong>SOW</strong> Annex B.<br />
Each additional subclause should be in the form <strong>of</strong> the optional clause shown<br />
below.<br />
Related Clauses: <strong>SOW</strong> Annex B, CSRL ‘ENG’ entries.<br />
DSD-ENG-SERV, Routine Engineering Services.<br />
DSD-ENG-CM, Configuration Management Services.<br />
DSD-ENG-SW, S<strong>of</strong>tware Support Services.<br />
<strong>SOW</strong> Annex A, List <strong>of</strong> Products to be Supported (for the allocation <strong>of</strong> engineering<br />
responsibility, as applicable).<br />
<strong>SOW</strong> Annex C, CDRL ‘ENG’ entries and associated DIDs that are referenced from<br />
the ‘ENG’ DSDs.<br />
<strong>SOW</strong> Annex D, for referenced manuals that describe Engineering Support<br />
regulations and/or procedures.<br />
DID-ENG-CEMP, which specifies requirements for the Contractor Engineering<br />
Management Plan.<br />
DID-ENG-CMP, which specifies requirements for the Configuration Management<br />
Plan.<br />
DID-ENG-AEO, which specifies requirements for an AEO Application (if<br />
applicable).<br />
DID-ENG-MGT-SEMP, which specifies requirements for a Systems Engineering<br />
Management Plan (from ASDEFCON (Strategic Materiel)).<br />
DID-ENG-MGT-SEMP-2, which specifies requirements for a Systems Engineering<br />
Management Plan (from ASDEFCON (Complex Materiel) Volume 2).<br />
DID-ENG-MGT-ISP, which specifies requirements for an Integrated Support Plan<br />
(from ASDEFCON (Strategic Materiel)).<br />
DID-ENG-MGT-ISP-2, which specifies requirements for an Integrated Support Plan<br />
(from ASDEFCON (Complex Materiel) Volume 2).<br />
DID-ENG-SW-SMP, which specifies requirements for a S<strong>of</strong>tware Management<br />
Plan (from ASDEFCON (Strategic Materiel)).<br />
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Optional Clauses:<br />
DID-ENG-SWSP, which specifies requirements for a S<strong>of</strong>tware Support Plan.<br />
See also <strong>SOW</strong> clause 9.2 for Technical Data, including Engineering Drawings.<br />
The Contractor shall provide […INSERT SUMMARY DESCRIPTION OF THE<br />
REQUIRED ENGINEERING SERVICES…] Services in accordance with CSRL<br />
Line Number ENG-[…INSERT CSRL NUMBER…].<br />
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6. MAINTENANCE SUPPORT<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional (but must be used when Maintenance Services are required under the<br />
Contract (Support))<br />
Purpose: To define the requirements for Maintenance Services and related work for the<br />
Contract (Support) through both this clause <strong>of</strong> the <strong>SOW</strong> and the associated DSDs.<br />
Policy: DI(G) LOG 4-5-009, Maintenance Policy<br />
DI(G) LOG 4-5-010, Contingency Maintenance<br />
DI(G) LOG 4-5-012, Regulation <strong>of</strong> Technical Integrity <strong>of</strong> Australian <strong>Defence</strong> Force<br />
Materiel<br />
DI(G) OPS 05-3, Civilians in Support <strong>of</strong> Australian <strong>Defence</strong> Force Operations<br />
(applicable only if Maintenance Support is to be provided in the area <strong>of</strong> operations)<br />
AAP 7001.059, ADF Aviation Maintenance Management Manual<br />
Guidance: This clause should be included if the Contract (Support) requires the provision <strong>of</strong><br />
Maintenance Services. There may be support contracts that exclude Maintenance<br />
Support, such as those exclusively for the provision <strong>of</strong> Engineering, Supply, or<br />
Training Services. If Operating Support Services are required, which require<br />
complementary Maintenance Services then this clause will be required.<br />
If the Contract (Support) does not contain any Maintenance Support requirements,<br />
then the heading should be retained, but the words ‘Not used’ should be inserted in<br />
brackets at the end (eg, “Maintenance Support (Not used)”). All <strong>of</strong> the lower-level<br />
clauses <strong>of</strong> clause 6 should then be deleted.<br />
Related Clauses: Operating Support (clause 4).<br />
Optional Clauses: Nil<br />
Engineering Support (clause 5), for the Engineering actions associated with the<br />
development <strong>of</strong> Deviations, Non-Standard Repairs, Modification Orders and<br />
Technical Instructions.<br />
Supply Support (clause 7), for the Supply interfaces with Maintenance Services<br />
(eg, in relation to the delivery <strong>of</strong> Non-RIs).<br />
The following diagram shows the general structure <strong>of</strong> <strong>SOW</strong> clause 6 and its<br />
associated DSDs and DIDs.<br />
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6.1 Maintenance Support Management Planning<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Maintenance Support is required)<br />
Maintenance Support <strong>SOW</strong> Structure<br />
Purpose: To identify the requirements for the Maintenance Support planning document.<br />
Policy: TRF documents applicable to the provision <strong>of</strong> Maintenance Services (ie,<br />
TRAMM-L, TAMM, ABR 6492).<br />
DI(G) LOG 4-5-009, Maintenance Policy<br />
DI(G) LOG 4-5-010, Contingency Maintenance<br />
DI(G) LOG 4-5-012, Regulation <strong>of</strong> Technical Integrity <strong>of</strong> Australian <strong>Defence</strong> Force<br />
Materiel<br />
AAP 7001.059, ADF Aviation Maintenance Management Manual<br />
Guidance: The drafter must determine whether Maintenance management planning<br />
requirements can be included in the SSMP, or if a separate Maintenance<br />
Management Plan (MMP) is required. This decision may be discretionary and<br />
dependent upon the scope <strong>of</strong> the workload (eg, if the Contract (Support) covers<br />
several SSCCs), and the need to manage Maintenance Support functions separate<br />
from other support functions. Drafters should also refer to the previous guidance<br />
for <strong>SOW</strong> clauses 3.2 and 3.2.1 regarding the ‘roll-up’ <strong>of</strong> management plans.<br />
If the scope <strong>of</strong> Maintenance Support for the Contract is concise (eg, relates only to<br />
the deeper Maintenance <strong>of</strong> similar Repairable Items at a single location), then<br />
embedding the basic MMP requirements in the SSMP may be sufficient. If<br />
Maintenance Support must be provided in accordance with TRF requirements,<br />
then a separate MMP will normally be required and is likely to be more efficient for<br />
document review purposes. For aerospace systems, an MMP must be submitted<br />
with the application for gaining AMO status. If the Contract covers several areas<br />
such as a range <strong>of</strong> Maintenance activities in various locations, Engineering and<br />
Supply Services, then a stand-alone MMP will <strong>of</strong>ten be more practical.<br />
Drafters should determine whether or not a separate MMP is required, then select<br />
the appropriate optional <strong>SOW</strong> clauses and edit the references to the appropriate<br />
selected plan, as per the ‘Notes to drafters’ in the draft <strong>SOW</strong>.<br />
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DID-MNT-MMP identifies the major requirements for an MMP, including those<br />
needed to manage Maintenance Services in the context <strong>of</strong> the Contract, and TRF<br />
additional requirements. A note at the start <strong>of</strong> clause 6 in the DID explains how the<br />
references to the TRF manuals have been incorporated for providing additional<br />
guidance. Although further tailoring may not be required, drafters should review<br />
DID-MNT-MMP to ensure that all required planning aspects will be covered<br />
If planning for the management <strong>of</strong> Maintenance Support is to be included in the<br />
SSMP, then the drafter must review DID-SSM-SSMP and ensure that the selftailoring<br />
provisions to include Maintenance planning are adequate. If the scope <strong>of</strong><br />
Maintenance Support planning is reduced or specific requirements are needed,<br />
then the DID-SSM-SSMP will need to be tailored accordingly.<br />
Related Clauses: DID-MNT-MMP, which specifies the requirements for a Maintenance Management<br />
Plan.<br />
Optional Clauses: Nil<br />
DID-SSM-SSMP, which specifies the requirements for a Support Services<br />
Management Plan.<br />
CDRL Line Number MNT-100.<br />
6.2 Maintenance Support Reporting<br />
6.2.1 Maintenance Support Summary Reports<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Maintenance Support is required)<br />
Purpose: To define the requirements for reporting on the performance <strong>of</strong> Maintenance<br />
Services over a major reporting period.<br />
Policy: Nil<br />
Guidance: Maintenance Support reporting is managed as a sub-report for the CSSR. This<br />
report may also be delivered separately from the rest <strong>of</strong> the CSSR, if required, by<br />
tailoring the CDRL. This report would typically be delivered for review in<br />
preparation for a Maintenance Support Performance Review (MSPR), as<br />
requested by clause 6.3 <strong>of</strong> the <strong>SOW</strong>. The report primarily addresses the<br />
Contractor’s performance in providing Maintenance Services against the<br />
requirements <strong>of</strong> the Contract.<br />
Related Clauses:<br />
Reports and reviews do not need to be coordinated on a one-for-one basis (eg, the<br />
Maintenance Support component <strong>of</strong> the CSSR could be scheduled for every six<br />
months with every second report scheduled for an annual MSPR or CSPR). The<br />
frequency for delivery <strong>of</strong> reports may vary from monthly to one year, depending on<br />
the level <strong>of</strong> visibility and Maintenance Support activity expected or the frequency <strong>of</strong><br />
payment for these Services. If more regular Maintenance reports are required to<br />
assist with on-going Maintenance management (rather than for reporting against<br />
Contract performance), then the Maintenance Progress Reports should be<br />
considered for inclusion (refer clause 6.2.2).<br />
Drafters do not need to change <strong>SOW</strong> clause 6.2.1, but must tailor the CDRL for the<br />
delivery <strong>of</strong> the Maintenance Support portion <strong>of</strong> the CSSR individually or as part <strong>of</strong><br />
the combined report. Refer to the guidance for <strong>SOW</strong> clause 3.4 in regard to<br />
rolling-up reports and reviews as part <strong>of</strong> the communications strategy.<br />
DID-SSM-CSSR, which specifies the requirements for a Combined Services<br />
Summary Report.<br />
<strong>SOW</strong> clause 6.2.2, Maintenance Progress Reports.<br />
<strong>SOW</strong> clause 6.3.1, Maintenance Support Performance Reviews.<br />
<strong>SOW</strong> clause 3.4.1, which addresses the inclusion <strong>of</strong> a CSSR.<br />
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Optional Clauses: Nil<br />
CDRL Line Number MGT-350f, for the separate delivery <strong>of</strong> the Maintenance<br />
Support portion <strong>of</strong> the CSSR, if required.<br />
6.2.2 Maintenance Progress Reports<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To define the requirements for regular Maintenance reports to provide oversight <strong>of</strong><br />
more active Maintenance contracts and to assist with the coordination <strong>of</strong><br />
<strong>Defence</strong> and Contractor Maintenance-related activities.<br />
Policy: Nil<br />
Guidance: Maintenance Progress Reports are intended to monitor the provision <strong>of</strong> on-going<br />
Maintenance Services that cover a broad scope <strong>of</strong> Maintenance activities or where<br />
considerable activity is expected on a monthly basis. The Maintenance Progress<br />
Report is particularly useful where there is a high degree <strong>of</strong> interaction between<br />
<strong>Defence</strong> and Contractor Maintenance activities and the reporting feeds into<br />
management planning activities <strong>of</strong> both <strong>Defence</strong> and the Contractor for the next<br />
week or few months, as applicable.<br />
There is no standard DID for this report. Due to the range <strong>of</strong> Maintenance<br />
activities managed by DMO contracts, a standard DID is not possible. A DID<br />
should be developed by the drafter, or proposed by the drafter and refined during<br />
contract negotiations. There are no constraints on the content <strong>of</strong> the report,<br />
although inclusion <strong>of</strong> financial or commercial factors should be avoided. The DID<br />
may seek Maintenance scheduling information for the forthcoming period as much<br />
as it seeks a performance summary from the preceding time period. Progress on<br />
the installation <strong>of</strong> modifications or s<strong>of</strong>tware changes, throughput <strong>of</strong> Maintenance<br />
repairs, results or progress <strong>of</strong> any Maintenance investigations, and progress<br />
against Maintenance performance measures would be typical subjects for this<br />
report.<br />
The need for Maintenance Progress Reports may be negated by the inclusion <strong>of</strong><br />
Resident Personnel, which may include the Commonwealth Representative.<br />
Conversely, and if Maintenance activities are geographically dispersed, this report<br />
may be defined for the purpose <strong>of</strong> assisting the role <strong>of</strong> the Resident Personnel.<br />
The inclusion <strong>of</strong> a DMS (clause 2.3), which is likely on a Contract requiring this<br />
level <strong>of</strong> reporting, should be considered as an alternative to Maintenance Progress<br />
Reports or as the method for delivery <strong>of</strong> the required information. It may be<br />
possible that on-line access to the Contractor’s Maintenance Management System<br />
(MMS) can be provided through the DMS or that standard reports from the MMS<br />
can be ‘automatically’ delivered via the DMS. These types <strong>of</strong> issues should be<br />
addressed with the Contractor during contract negotiations and / or Phase In, as<br />
appropriate.<br />
If the drafter determines that only one level <strong>of</strong> reporting is required (eg,<br />
Maintenance Support component <strong>of</strong> the CSSRs), then the Maintenance Progress<br />
Reports clause in the draft <strong>SOW</strong> should remain as ‘Not used’.<br />
If the drafter determines that a second level <strong>of</strong> reporting is required (ie,<br />
Maintenance Progress Reports), then the drafter must copy the optional clause<br />
below to the <strong>SOW</strong>. The frequency <strong>of</strong> the report submission should be edited in the<br />
CDRL, taking into account any coordination required between Maintenance<br />
Progress Reports and Maintenance Progress Reviews.<br />
Progress reports have been included in the template as an option for Maintenance<br />
but may be used with other SSCCs that have a frequent reporting requirement. To<br />
apply progress reports to other SSCCs, the structure <strong>of</strong> clause 6.2 can be imitated<br />
in clauses 4.2, 5.2, 7.2 and 8.2. That is, create two headings, similar to clauses<br />
6.2.1 and 6.2.2, demote the existing clause to a level 4 clause (ie, 4.2.1.1, 5.2.1.1,<br />
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7.2.1.1 or 8.2.1.1) and insert a ‘progress report’ clause similar to that below (as<br />
4.2.2.1, 5.2.2.1, 7.2.2.1 or 8.2.2.1).<br />
Related Clauses: <strong>SOW</strong> clause 6.3.2, Maintenance Progress Reviews.<br />
Optional Clauses:<br />
CDRL line to be added by drafter (eg, MNT-120).<br />
A Maintenance Progress Report shall be prepared by the Contractor and delivered<br />
to the Commonwealth Representative in accordance with CDRL Line Number<br />
MNT-[...INSERT CDRL LINE NUMBER...].<br />
6.3 Maintenance Support Reviews<br />
6.3.1 Maintenance Support Performance Reviews<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Maintenance Support is required)<br />
Purpose: To document the requirements for Maintenance Support Performance Reviews<br />
(MSPRs).<br />
Policy: Nil<br />
Guidance: MSPRs are held to review the provision <strong>of</strong> Maintenance Services over a drafterselected<br />
reporting period in accordance with the communications strategy for the<br />
Contract (Support) (eg, quarterly, six-monthly or annually). The MSPRs may be<br />
scheduled independently or rolled up into the CSPR. These reviews also discuss<br />
issues impacting Maintenance in the next period.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
MSPRs are applicable to small Maintenance contracts, where one annual meeting<br />
is sufficient to review the Services provided. They are also applicable to larger<br />
contracts where a high-level review is required to summarise and assess the<br />
overall performance against the requirements for the provision <strong>of</strong> Services for the<br />
period.<br />
The drafter needs to determine the appropriate level <strong>of</strong> review activity for<br />
Maintenance Support. If the MSPRs are to be rolled up into the CSPRs, then<br />
Option A should be selected. If separate MSPRs are required, then Option B<br />
should be selected and the review frequency inserted, as per the notes to drafters.<br />
Note that, by default, an MSPR will be rolled up into a CSPR when they fall in the<br />
same month. If two levels <strong>of</strong> review are required, the MSPR clause (Option B)<br />
should be selected, and the requirements for the CSPR amended, if required. If a<br />
further, lower-level review is required, drafters should refer to the guidance for<br />
clause 6.3.2.<br />
Depending on the plan option selected under clause 6.1, drafters should edit the<br />
clauses referring to plans accordingly.<br />
<strong>SOW</strong> clause 3.4.2, Combined Services Performance Review<br />
<strong>SOW</strong> clause 6.2.1, Maintenance Support Summary Reports<br />
6.3.2 Maintenance Progress Reviews<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional (To be used when ongoing Maintenance-related meetings are required)<br />
Purpose: To define the requirements for regular Maintenance-related review meetings,<br />
particularly to monitor the provision <strong>of</strong> ongoing and broadly-scoped Maintenance<br />
Services.<br />
Policy: Nil<br />
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Guidance: Maintenance Progress Reviews are held on a regular basis (eg, fortnightly or<br />
monthly) to review the on-going provision <strong>of</strong> Maintenance Services and provide a<br />
regular forum for planning work and scheduling. These reviews provide the means<br />
to discuss the Maintenance Progress Reports, if included in <strong>SOW</strong> clause 6.2.2,<br />
and provide insight into day-to-day Maintenance activities, particularly where<br />
coordination with Maintenance performed by <strong>Defence</strong> units is essential.<br />
Related Clauses:<br />
Optional Clauses:<br />
These reviews are applicable to larger and more active Maintenance contracts that<br />
span levels and/or types <strong>of</strong> Maintenance (eg, whole <strong>of</strong> ship or aircraft Maintenance,<br />
or major systems such as aero-engines) or where Maintenance is conducted at<br />
numerous locations remote from the Commonwealth Representative. If Resident<br />
Personnel are being used, then there may be no need for these reviews. Drafters<br />
should be aware that ad hoc meetings (refer <strong>SOW</strong> clause 3.4.3) can be used to<br />
cover intermittent issues, but should not be used if regular coordination meetings<br />
are required (due to their being S&Q Services).<br />
If the drafter determines that this review is not required, then the optional<br />
Maintenance Progress Review clauses below should not be transferred to the draft<br />
<strong>SOW</strong>, and the existing statement ‘Not used’ should be retained.<br />
If the drafter determines that a second level <strong>of</strong> review is required (ie, Maintenance<br />
Progress Reviews), then the drafter must copy the optional clauses below (without<br />
the Notes to drafters) to the <strong>SOW</strong>, insert the frequency <strong>of</strong> the review, and edit the<br />
applicable plan governing the conduct <strong>of</strong> Maintenance Progress Reviews.<br />
<strong>SOW</strong> clause 3.4.3, Ad Hoc Meetings.<br />
<strong>SOW</strong> clause 6.3.1, Maintenance Support Performance Reviews.<br />
<strong>SOW</strong> clause 6.2.2, Maintenance Progress Reports.<br />
Note to drafters: Insert the required frequency <strong>of</strong> Maintenance Progress<br />
Reviews in the clause below.<br />
The Contractor shall convene with the Commonwealth Representative for<br />
Maintenance Progress Review meetings every […INSERT PERIOD IN WORD<br />
AND (NUMBER), E.G., ONE(1), THREE(3) AND MONTHS / WEEKS…].<br />
Note to drafters: Select the applicable plan from the clauses below to match<br />
the plan in clause 6.1.<br />
The Contractor shall hold Maintenance Progress Review meetings in accordance<br />
with the Approved […SELECT SSMP/ MMP…].<br />
These meetings shall:<br />
a. discuss the Contractor's performance <strong>of</strong> Maintenance activities, drawing<br />
information from the Maintenance Progress Reports;<br />
b. identify and determine actions arising from the Contractor’s performance <strong>of</strong><br />
activities in the previous period; and<br />
c. identify and determine actions for near-term Maintenance and related<br />
engineering and supply activities, including coordination with Commonwealth<br />
performed Maintenance activities, if applicable.<br />
Review meetings shall be held at the Contractor's Australian facility, and shall be<br />
chaired by the Commonwealth Representative.<br />
6.4 Technical Regulation <strong>of</strong> Maintenance Support<br />
Sponsor: DAVREG-DGTA (Aerospace)<br />
Director <strong>of</strong> Technical Regulation - Navy (Maritime)<br />
Director Technical Regulation - Army (Land)<br />
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Status: Optional / Special Inclusion (Must be included if TRF requirements apply to the<br />
provision <strong>of</strong> Maintenance Services or if the Contractor is required to be an AMO)<br />
Purpose: To define the required TRF requirements for Maintenance activities.<br />
Policy: DI(G) LOG 4-5-012, Regulation <strong>of</strong> Technical Integrity <strong>of</strong> Australian <strong>Defence</strong> Force<br />
Materiel<br />
DI(G) OPS 02-02 Australian <strong>Defence</strong> Force Airworthiness Management<br />
AAP 7001.053, Technical Airworthiness Management Manual (TAMM)<br />
Technical Regulation <strong>of</strong> ADF Materiel Manual – Land (TRAMM-L)<br />
ABR 6492 - Navy Technical Regulations Manual (NTRM)<br />
DI(A) LOG 12-1, Regulation <strong>of</strong> the Technical Integrity <strong>of</strong> Land Materiel<br />
DI(N) ADMIN 37-15, Assuring the Safety, Fitness For Service and Environmental<br />
Compliance Of Naval Capability<br />
DI(N) ADMIN 37-16, Navy Regulatory System<br />
DI(N) LOG 47-3, Technical Regulation <strong>of</strong> Navy Materiel<br />
Guidance: If Maintenance Services are to be subject to TRF requirements (eg, airworthiness,<br />
seaworthiness, mission-worthiness or otherwise being operationally fit for purpose),<br />
then the appropriate TRF requirements for the applicable environment must be<br />
applied.<br />
For land and maritime systems, the Contractor may not have to become an<br />
accredited or authorised organisation itself, but may be the subject <strong>of</strong> compliance<br />
audit by the applicable <strong>Defence</strong> AEO. For maritime systems, the degree <strong>of</strong><br />
assessment may change between SPOs and in relation to safety critical nature <strong>of</strong><br />
the Products supported. In this case, drafters should consider any overlap with the<br />
auditing requirements <strong>of</strong> clause 11, Quality Management, to avoid any duplication<br />
<strong>of</strong> work described within the <strong>SOW</strong>. For aerospace systems, a Contractor with<br />
aircraft or aircraft component responsibilities would normally need to be an AMO<br />
(different requirements can apply to the Maintenance <strong>of</strong> S&TE). In each case,<br />
there is generally a need to review Contractor plans and some need for an audit or<br />
other assurance that the relevant TRF manual will be / is being followed.<br />
If TRF requirements are not applicable to the Maintenance Services (eg, for a<br />
commercially-based computer system), then the standard clause in the <strong>SOW</strong><br />
template should be replaced with a single clause 6.4.1 stating ‘Not used’.<br />
If TRF requirements are applicable to the Maintenance Services, drafters should<br />
seek advice from the relevant TRAs to ensure that the Contract clauses included in<br />
the <strong>SOW</strong>, DSDs, and associated DIDs, represent the most up-to-date<br />
requirements for contracting.<br />
Drafters should be aware that DID-MNT-AMO, ‘AMO Application’, has been drafted<br />
to have application to all TRFs. This includes the maritime environment where the<br />
Contractor may become an ‘AEO for maintenance’. Under the Aerospace TRF, it<br />
is the document that applies for the Contractor to become an AMO. Under the<br />
Land and Maritime TRFs, it includes an “Application to Demonstrate Compliance<br />
with the TRAMM-L under the Land TRF” and an “Application to Demonstrate<br />
Compliance with the NTRM under the Maritime TRF”. For the Land and Maritime<br />
TRFs, this “application” provides the objective evidence that the Contractor is<br />
competent to deliver compliant Maintenance Services, as required under the<br />
Contract, in accordance with the respective TRF manual.<br />
Aerospace: The objective <strong>of</strong> this clause is to ensure an appropriate Maintenance<br />
Support framework is in place to enable the continued technical and operational<br />
airworthiness <strong>of</strong> aircraft. All Contracts that include Maintenance Support <strong>of</strong><br />
technical equipment that has a technical or functional interface with ADF aircraft<br />
MUST invoke a contractual requirement to become an AMO and comply with<br />
Regulations 4 and 5 in Section 2 <strong>of</strong> the TAMM. Drafters should be aware <strong>of</strong> the<br />
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Related Clauses:<br />
<strong>SOW</strong> clauses for Technical Regulation (part <strong>of</strong> the special ‘Aerospace Module’ that<br />
amends clause 6.4 <strong>of</strong> the ASDEFCON (Support) template when the Services<br />
include the provision <strong>of</strong> aerospace-related services.<br />
DAVCOMP-DGTA is the primary point <strong>of</strong> contact for advice regarding the<br />
applicability <strong>of</strong> the technical airworthiness regulations to Maintenance. Aerospace<br />
Systems Division (ASD) QMS Procedure 3-2-1-11 contains applicable guidance.<br />
Land: The objective <strong>of</strong> this clause is to ensure an appropriate Maintenance<br />
Support framework is in place to enable the continued technical and mission<br />
worthiness <strong>of</strong> nominated systems. Contracts for the nominated systems will be<br />
require the Contractor to comply with the applicable regulations defined in the<br />
TRAMM-L. Review <strong>of</strong> documented Maintenance processes and record keeping<br />
may be required, as may audits to ensure compliance with the TRAMM-L. Drafters<br />
should also refer to the guidance above in relation to DID-MNT-AMO.<br />
Advice from DTR-A should be sought if applying these clauses.<br />
Maritime: The objective <strong>of</strong> this clause is to ensure an appropriate Maintenance<br />
Support framework is in place to enable the continued technical and operational<br />
seaworthiness <strong>of</strong> vessels. Contracts for the Maintenance <strong>of</strong> ships and submarines<br />
will require the Contractor to comply with the ABR 6492, with specific requirements<br />
defined by the AEO. Review <strong>of</strong> documented Maintenance processes and record<br />
keeping may be required, as may audits to ensure compliance with ABR 6492.<br />
Advice from DTR-N and the ‘engineering authority’ (as defined in ABR 6492,<br />
volume 2, section 5) for the specific maritime system should be sought if applying<br />
this clause. Drafters should also refer to the guidance above in relation to DID-<br />
MNT-AMO. An example <strong>of</strong> a possible clause is provided under the heading,<br />
“Optional Clauses”, below.<br />
Electronic: Electronic systems fitted to various platforms may be subjected to<br />
more than one <strong>of</strong> these requirements and draft <strong>SOW</strong> clause 6.4.1 should be<br />
amended accordingly, to include the relevant references, or a new clause added to<br />
explain any division <strong>of</strong> responsibilities for technical regulatory requirements. DI(G)<br />
LOG 4-5-012 paragraphs 10 and 11 provides policy guidance on how systems and<br />
equipment that are subject to more than one TRF should be handled.<br />
Explosive Ordnance: If, in rare cases, the contractor is to manage or undertake<br />
Maintenance work on guided weapons or munitions, the drafter should seek advice<br />
from the Directorate <strong>of</strong> Ordnance Safety (DOS) regarding additional technical<br />
regulatory or audit requirements that may be applicable.<br />
All: Drafters should consider COC clause 1.4, Operative Date, and the need for a<br />
Contractor’s Maintenance processes to be evaluated against a TRF, as defined in<br />
the TAMM, TRAMM-L, or ABR 6492, prior to the provision <strong>of</strong> Maintenance<br />
Services. Note that, by using the OD clause, contract termination would be<br />
possible if a Contractor failed to meet the needs <strong>of</strong> the applicable TRF by the OD.<br />
Compliance with an applicable TRF was one <strong>of</strong> the original reasons for creating the<br />
OD clause.<br />
In developing individual sub-clauses, drafters should also consider the relationship<br />
with <strong>SOW</strong> clause 11, Quality Management. It may be suitable that compliance with<br />
the TRF be integrated with Quality Management activities (eg, sub-clauses to 6.4<br />
may indicate that TRF compliance audits will be a specific component <strong>of</strong> quality<br />
audits, with shortfalls automatically invoking clause 11.3 for non-conformance).<br />
COC clause 1.4, Operative Date.<br />
<strong>SOW</strong> clause 5.4, Technical Regulation <strong>of</strong> Engineering Support.<br />
<strong>SOW</strong> clause 11, Quality Management.<br />
DSD-MNT-MGT, Generic Requirements for the Management <strong>of</strong> Maintenance<br />
Services.<br />
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DID-MNT-MMP, which specifies requirements for the Maintenance Management<br />
Plan.<br />
Optional Clauses: Refer to applicable TRA for guidance.<br />
For the Maritime TRF, the following clause could form the basis <strong>of</strong> an appropriate<br />
clause for the application <strong>of</strong> the NTRM to a Contract (Support):<br />
Note to drafters: Amend the following clauses to reflect the required plans<br />
for the draft Contract:<br />
6.4.1 Subject to clauses 6.4.2 and 6.4.3, the Contractor shall ensure that<br />
Maintenance Services are performed in accordance with the following Technical<br />
Regulatory Framework regulations defined in Chapter 1, Section 2, Volume 1 <strong>of</strong><br />
ABR 6492, Navy Technical Regulations Manual:<br />
a. Regulation No 1, with the words ‘under the NTRF’ replaced with ‘through the<br />
Approved MMP and Approved QP’;<br />
b. all regulations relating to technical risk management;<br />
c. Regulation No 3.1;<br />
d. all regulations relating to defective and unsatisfactory materiel, with the<br />
exception <strong>of</strong> Regulation No 4;<br />
e. all regulations relating to Maintenance management, noting that the authority<br />
for deferring either mandatory or non-mandatory Maintenance must be an<br />
individual with appropriate engineering competence;<br />
f. Regulation No 7.2;<br />
g. Regulation No 7.3.3, with the words ‘that conform to the NTRF’ replaced with<br />
‘authorised through the Approved MMP and Approved QP’;<br />
h. Regulation Nos 7.3.4 and 7.4; and<br />
i. Regulation No 10.<br />
6.5 Maintenance Services<br />
6.4.2 For the purposes <strong>of</strong> this clause 6.4, the following terms from ABR 6492 shall<br />
be interpreted as follows:<br />
a. ‘ADF maritime materiel’ means the Products being supported under the<br />
Contract;<br />
b. ‘Engineering Management Plan’ or ‘EMP’ means the Approved MMP;<br />
c. ‘executive’ means the Commonwealth Representative; and<br />
d. ‘Authorised Engineering Organisations’ or ‘AEOs’ means the Contractor.<br />
6.4.3 In interpreting the application <strong>of</strong> the regulations identified at clause 6.4.1 to<br />
the provision <strong>of</strong> Maintenance Services, the Contractor shall be guided by the<br />
requirements <strong>of</strong> Volume 2 <strong>of</strong> ABR 6492.<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Maintenance Support is required; however, individual lower-level draft<br />
<strong>SOW</strong> clauses are optional)<br />
Purpose: To define the required Maintenance Services<br />
Policy: Nil<br />
Guidance: Drafters should be aware that DSDs are not necessarily independent <strong>of</strong> each other<br />
and that the selection <strong>of</strong> DSDs and the creation <strong>of</strong> any new DSDs should consider<br />
these relationships.<br />
Drafters must tailor the subclauses to clause 6.5 for each group <strong>of</strong> Maintenance<br />
Services to be included in the Contract (Support), as described by a separate DSD<br />
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Related Clauses:<br />
listed in the CSRL, <strong>SOW</strong> Annex B. Details are given below for the draft DSDs<br />
included in the ASDEFCON (Support) templates.<br />
Management <strong>of</strong> Maintenance Services. DSD-MNT-MGT contains the generic<br />
Maintenance management and task-reporting functions that must be performed for<br />
all Maintenance <strong>of</strong> military type equipment (as opposed to commercially-oriented<br />
computer systems that can be managed using different systems and tools). This<br />
clause and the CSRL entry calling up this DSD are required whenever the<br />
Maintenance <strong>of</strong> military equipment is required as part <strong>of</strong> the Contract Services.<br />
The DSD should, once selected, be tailored to the requirements <strong>of</strong> the individual<br />
program. Logically, if this DSD is selected, then at least one other DSD related to<br />
the Maintenance Support <strong>of</strong> military equipment must also be selected to describe<br />
the actual Services (eg, DSD-MNT-SERV, Routine Maintenance Services).<br />
For non-military-specific systems, such as computer systems or other systems that<br />
are not subject to the rigour <strong>of</strong> configuration management and reporting placed on<br />
military equipment, DSD-MNT-MGT may not be required. Drafters should refer to<br />
the guidance in section 1 <strong>of</strong> DSD-MNT-MGT for further information.<br />
If a Contractor is not required to provide Maintenance-management Services, then<br />
the <strong>SOW</strong> clause and associated CSRL entry should be deleted.<br />
Routine Maintenance Services. DSD-MNT-SERV is intended to be used when<br />
the Maintenance <strong>of</strong> military systems (ie, usually excluding administrative and nondeployable<br />
information systems) is required to be performed under the Contract.<br />
In these circumstances, the <strong>SOW</strong> clause and CSRL entry related to DSD-MNT-<br />
SERV will be required; otherwise, it must be deleted. The DSD should, once<br />
selected, be tailored cognisant <strong>of</strong> DSD-MNT-MGT management requirements that<br />
impact this DSD, and any other related DSDs developed by the drafter. Drafters<br />
should refer to the guidance in section 1 <strong>of</strong> DSD-MNT-SERV for further<br />
information. If routine Maintenance Services are not required under the Contract,<br />
then the <strong>SOW</strong> clause and associated CSRL entry should be deleted.<br />
Information Technology Systems Administration. DSD-MNT-SA is specifically<br />
intended for the systems administration <strong>of</strong> information technology systems, where<br />
‘Maintenance’ is conducted quite differently to the Maintenance <strong>of</strong> weapons<br />
platforms and other military systems. Activities include network administration,<br />
help desk support, user administration, etc. If required, the DSD should be<br />
reviewed and edited as necessary for the individual program. Drafters should refer<br />
to the guidance in section 1 <strong>of</strong> DSD-MNT-SA for further information.<br />
If systems administration is are not required under the Contract, then the <strong>SOW</strong><br />
clause and associated CSRL entry should be deleted.<br />
Drafters must add a subclause to clause 6.5 for each additional group <strong>of</strong><br />
Maintenance Services to be added to the Contract (Support), as described by a<br />
separate DSD listed in the CSRL, <strong>SOW</strong> Annex B. Each additional subclause<br />
should be in the form <strong>of</strong> the optional clause shown below.<br />
<strong>SOW</strong> clause 5, Engineering Support, particularly with reference to technical<br />
regulatory requirements.<br />
The incorporation <strong>of</strong> Modifications and Technical Instructions may be dependent<br />
on the related clauses for (engineering/s<strong>of</strong>tware/configuration) change proposals<br />
dealt with under Engineering Support, refer clause 5 also.<br />
Most Maintenance support contracts will also require some Supply Support<br />
element; hence clause 7, for Supply Support functions related to the conduct <strong>of</strong><br />
Maintenance, may also be required.<br />
<strong>SOW</strong> clause 9.3 for S&TE support.<br />
<strong>SOW</strong> clause 9.4, for Training Equipment support.<br />
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Optional Clauses:<br />
<strong>SOW</strong> Annex A, List <strong>of</strong> Products to be Supported (for products to be maintained and<br />
the relevant depth/grades <strong>of</strong> repair, as applicable).<br />
<strong>SOW</strong> Annex B, CSRL ‘MNT’ entries.<br />
<strong>SOW</strong> Annex C, CDRL ‘MNT’ entries and associated DIDs that are referenced from<br />
the ‘MNT’ DSDs.<br />
<strong>SOW</strong> Annex D, List <strong>of</strong> Referenced Manuals (for applicable Maintenance manuals<br />
or series <strong>of</strong> manuals).<br />
DSD-MNT-MGT, Generic Requirements for the Management <strong>of</strong> Maintenance<br />
Services.<br />
DSD-MNT-SERV, Routine Maintenance Services.<br />
DSD-MNT-SA, Information Technology Systems Administration.<br />
DID-MNT-MMP, Maintenance Management Plan.<br />
DID-MNT-AMO, AMO Application (if applicable).<br />
The Contractor shall provide […INSERT SUMMARY DESCRIPTION OF THE<br />
REQUIRED MAINTENANCE SERVICES…] Services in accordance with CSRL<br />
Line Number MNT-[…INSERT CSRL NUMBER…].<br />
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7. SUPPLY SUPPORT<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional (but must be used when Supply Services are required under the Contract<br />
(Support))<br />
Purpose: To define the requirements for Supply Services and related work for the Contract<br />
(Support) through both this clause <strong>of</strong> the <strong>SOW</strong> and the associated DSDs.<br />
Policy: Electronic Supply Chain Manual (ESCM)<br />
DI(G) LOG 4–1–003, Assignment <strong>of</strong> Australian <strong>Defence</strong> Force Logistics Managers<br />
and Their Associated High Level Roles and Responsibilities<br />
DI(G) LOG 4–1–007, Australian Standard Materiel Issue and Movement Priority<br />
System Version Two<br />
DI(G) LOG 4–3–003, Australian <strong>Defence</strong> Force Requirements Determination and<br />
Management <strong>of</strong> Reserve Stocks<br />
DI(G) LOG 4–3–004, <strong>Defence</strong> Stock Location Policy<br />
DI(G) LOG 4–3–005, <strong>Defence</strong> Procurement Routing Rules<br />
DI(G) LOG 4–3–008, Disposal <strong>of</strong> <strong>Defence</strong> Assets<br />
DI(G) LOG 4–3–014, Stocktaking <strong>of</strong> <strong>Defence</strong> Assets<br />
DI(G) LOG 4–3–017, Supply Aspects <strong>of</strong> Contractor Owned Spares<br />
DI(G) LOG 4–3–018, <strong>Defence</strong> Policy on Obsolescence Management<br />
DI(G) LOG 4–3–019, Item Identification and Recording <strong>of</strong> <strong>Defence</strong> Assets<br />
DI(G) LOG 4–3–020, <strong>Defence</strong> Materiel Entitlements<br />
DPPI 9/2002, Providing Purchasing Authority and Financial Delegations to<br />
Contractors<br />
Single Service Supply-related publications<br />
Guidance: This clause should be included if the Contract (Support) requires the provision <strong>of</strong><br />
Supply Services. There may be support contracts that exclude Supply Support,<br />
such as those exclusively for Engineering or Training Services, or for Maintenance<br />
Services, where all Supply Support activities are conducted by the Commonwealth<br />
or another Contractor (eg, Maintenance on a Commonwealth site). This clause will<br />
also be required if Operating Support Services require complementary Supply<br />
Services.<br />
If the Contract (Support) does not contain any Supply Support requirements, then<br />
the heading should be retained, but the words ‘Not used’ should be inserted in<br />
brackets at the end (eg, “Supply Support (Not used)”). All <strong>of</strong> the lower-level<br />
clauses <strong>of</strong> clause 7 should then be deleted.<br />
Supply Support is governed by a significant number <strong>of</strong> policies and manuals, as<br />
indicated by the list above. While every effort has been made to ensure that the<br />
applicable elements <strong>of</strong> the ASDEFCON (Support) template accord with these<br />
policies, they are subject to change over time. Drafters, therefore, need to confirm<br />
for themselves that their implementation <strong>of</strong> the template is consistent with the<br />
policies and practices that are applicable to their environment.<br />
Drafters should also be aware that, at times, the ASDEFCON (Support) template is<br />
deliberately inconsistent with the identified policies and manuals. For example<br />
some <strong>of</strong> the Supply-related terminology (eg, Non-RIs) and associated definitions<br />
are inconsistent with the DSCM because the terminology used in the DSCM is not<br />
appropriate for use in a contract.<br />
Related Clauses: Operating Support (clause 4).<br />
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Engineering Support (clause 5), particularly with respect to activities supporting<br />
new items introduced under modifications and determination <strong>of</strong> authority to fit<br />
substitute items <strong>of</strong> Supply.<br />
Maintenance Support (clause 6), for the provision <strong>of</strong> items used in Maintenance<br />
and specifically linked clauses related to items beyond physical or economic repair.<br />
Support Resources (clause 9), where complementary Supply Services are<br />
required.<br />
The following diagram shows the general structure <strong>of</strong> <strong>SOW</strong> clause 7 and its<br />
associated DSDs and DIDs.<br />
7.1 Supply Support Management Planning<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Supply Support is required)<br />
Supply Support <strong>SOW</strong> Structure<br />
Purpose: To identify the requirements for the Supply Support planning document.<br />
Policy: Nil<br />
Guidance: The drafter must determine whether Supply Support planning requirements can be<br />
included in the SSMP, or if a separate Supply Support Plan (SSP) is necessary.<br />
This decision is <strong>of</strong>ten discretionary, and dependent upon the scope <strong>of</strong> the workload<br />
(eg, if the Contract (Support) covers several SSCCs), and the need to manage<br />
Supply Support functions separate from other support functions. Drafters should<br />
also refer to the previous guidance for <strong>SOW</strong> clauses 3.2 and 3.2.1 regarding the<br />
‘roll-up’ <strong>of</strong> management plans.<br />
If the scope <strong>of</strong> Supply Support issues for the Contract is concise (eg, Supply<br />
Services are relatively static and straightforward), then embedding the basic SSP<br />
requirements in the SSMP should be sufficient. If the Contract covers several<br />
areas such as a range <strong>of</strong> Supply Support activities in various locations, routine and<br />
ad hoc Services, and other Engineering, Maintenance and Training Services, then<br />
a separate SSP will <strong>of</strong>ten be more practical.<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
Drafters should determine whether or not a separate SSP is required, then select<br />
the appropriate optional <strong>SOW</strong> clauses and edit the references to the appropriate<br />
selected plan, as per the ‘Notes to drafters’ in the draft <strong>SOW</strong>.<br />
If planning for the management <strong>of</strong> Supply Support is to be included in the SSMP,<br />
then the drafter must review DID-SSM-SSMP. Drafters should be aware that DID-<br />
SSM-SSMP identifies the need to address Supply Support management in the<br />
SSMP if the <strong>SOW</strong> requires it and, by default, the DID does not require tailoring.<br />
However, if the scope <strong>of</strong> Supply Support planning is reduced in the SSMP or<br />
specific requirements are needed, then the DID-SSM-SSMP will need to be<br />
tailored accordingly.<br />
DID-SUP-SSP, Supply Support Plan.<br />
DID-SSM-SSMP, Support Services Management Plan.<br />
CDRL Line Number SUP-100.<br />
7.2 Supply Support Reporting<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Supply Support is required)<br />
Purpose: To identify the requirements for reporting the performance <strong>of</strong> Supply Services.<br />
Policy: Nil<br />
Guidance: Supply Support reporting is managed as a sub-report for the CSSR. This report<br />
may also be delivered separately from the rest <strong>of</strong> the CSSR, if required, by tailoring<br />
the CDRL. This report would typically be delivered for review in preparation for a<br />
Supply Support Performance Review (SSPR), as requested by clause 7.3 <strong>of</strong> the<br />
<strong>SOW</strong>. The report primarily addresses the Contractor’s performance in providing<br />
Supply Services against the requirements <strong>of</strong> the Contract.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
Reports and reviews do not need to be coordinated on a one-for-one basis (eg, the<br />
Supply Support component <strong>of</strong> the CSSR could be scheduled for every six months,<br />
with every second report scheduled for an annual SSPR or CSPR). The frequency<br />
for delivery <strong>of</strong> the reports may vary (eg, from one month to one year), depending<br />
on the level <strong>of</strong> visibility and Supply Support activity expected or the frequency <strong>of</strong><br />
payment for these Services.<br />
Drafters do not need to change <strong>SOW</strong> clause 7.2, but must tailor the CDRL for the<br />
delivery <strong>of</strong> the Supply Support portion <strong>of</strong> the CSSR individually or as part <strong>of</strong> the<br />
combined report. Refer to the guidance for <strong>SOW</strong> clause 3.4 in regard to rolling-up<br />
reports and reviews as part <strong>of</strong> the communications strategy.<br />
DID-SSM-CSSR, which specifies the requirements for a Combined Services<br />
Summary Report.<br />
<strong>SOW</strong> clause 7.3 in relation to Supply Support Reviews.<br />
<strong>SOW</strong> clause 3.4.1.3, which addresses the inclusion <strong>of</strong> a CSSR.<br />
CDRL Line Number MGT-350g, for the separate delivery <strong>of</strong> the Supply Support<br />
portion <strong>of</strong> the CSSR, if required.<br />
7.3 Supply Support Reviews<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Supply Support is required)<br />
Purpose: To identify the requirements for Supply Support Performance Reviews (SSPRs).<br />
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Policy: Nil<br />
Guidance: There is only one level <strong>of</strong> Supply Support review in the <strong>SOW</strong>, the SSPR, which<br />
may be scheduled independently or rolled up into the CSPR. If necessary for<br />
larger-scale contracts, two levels <strong>of</strong> review can be achieved if the CSPR acts as a<br />
higher-level review to the SSPR.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
7.4 Supply Services<br />
The drafter needs to determine the appropriate level <strong>of</strong> review activity for Supply<br />
Support. If the SSPRs are to be rolled up into the CSPRs, then Option A should be<br />
selected. If separate SSPRs are required, then Option B should be selected and<br />
the review frequency inserted, as per the notes to drafters. Note that, by default,<br />
an SSPR will be rolled up into a CSPR when they fall in the same month. If two<br />
levels <strong>of</strong> review are required, the SSPR clause (Option B) should be selected, and<br />
the requirements for the CSPR expanded to include a higher-level review <strong>of</strong> Supply<br />
Services.<br />
Depending on the plan option selected under clause 7.1, drafters should edit the<br />
clauses referring to plans accordingly.<br />
<strong>SOW</strong> clause 3.4.2, Combined Services Performance Review.<br />
<strong>SOW</strong> clause 7.2, Supply Support Reporting.<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Supply Support is required; however, individual lower-level draft <strong>SOW</strong><br />
clauses are optional)<br />
Purpose: To define the required Supply Services.<br />
Policy: Nil<br />
Guidance: Drafters should be aware that DSDs are not necessarily independent <strong>of</strong> each other<br />
and that the selection <strong>of</strong> DSDs, and the creation <strong>of</strong> any new DSDs, should consider<br />
these relationships.<br />
Drafters must tailor the subclauses to clause 7.4 for each group <strong>of</strong> Supply Services<br />
to be included in the Contract (Support), as described by a separate DSD listed in<br />
the CSRL, <strong>SOW</strong> Annex B. Details are given below for the draft DSDs included in<br />
the ASDEFCON (Support) templates.<br />
Routine Supply Services. Unique to the Supply Support DSDs is a structure that<br />
allows Supply Services to be scaled. The templates include DSD-SUP-SERV as<br />
the ‘head’ DSD, and four subordinate DSDs. DSD-SUP-SERV contains the<br />
generic Supply Support functions that must be performed for all Contracts requiring<br />
Supply Support. For smaller contracts the subordinate DSDs may not be<br />
necessary because DSD-SUP-SERV includes a number <strong>of</strong> optional clauses to<br />
cover a number <strong>of</strong> the more important clauses in the subordinate DSDs. These<br />
clauses are not used if the subordinate DSDs are used. Examples <strong>of</strong> DSD-SUP-<br />
SERV clauses replacing subordinate DSDs are:<br />
a. the ‘Stock Assessment’ clause can be used in lieu <strong>of</strong> the DSD-SUP-SACC<br />
for minimal-sized Contracts where Codification and Cataloguing will not be<br />
required (no modifications);<br />
b. the ‘Procurement <strong>of</strong> Non-RIs’ clause may be used as the minimal alternative<br />
to DSD-SUP-PROC;<br />
c. the ‘Contractor Supply Management System (CSMS)’ clause may be applied<br />
for minimal-sized Contracts in lieu <strong>of</strong> the Contractor having MILIS and the<br />
<strong>SOW</strong> requiring DSD-SUP-MILIS (although, the CSMS clause may still be<br />
required even if MILIS is also required for visibility into Contractor-owned Stock<br />
Items that need to be delivered to <strong>Defence</strong>); and<br />
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Related Clauses:<br />
d. the ‘Delivery <strong>of</strong> Stock Items’ clauses covers the minimum associated with<br />
DSD-SUP-W&D, although it does not have to be tailored out even when DSD-<br />
SUP-W&D is used.<br />
DSD-SUP-SERV also contains clauses to address maintaining Reserve<br />
Stockholding Levels (RSLs) and managing Obsolescence. Drafters should refer to<br />
the guidance in section 1 <strong>of</strong> DSD-SUP-SERV for further information.<br />
If a Contractor is not required to provide routine Supply Services, then the <strong>SOW</strong><br />
clause and associated CSRL entry should be deleted.<br />
Stock Assessment, Codification and Cataloguing Services. DSD-SUP-SACC<br />
is intended for use when the Contractor will be responsible for determining<br />
appropriate stock holding levels or conducting Codification and Cataloguing and<br />
identifying stock holding levels for new or modified items introduced via a<br />
configuration change. Drafters should refer to the guidance in section 1 <strong>of</strong> DSD-<br />
SUP-SACC for further information. If these Services are not required under the<br />
Contract, then the <strong>SOW</strong> clause and associated CSRL entry should be deleted.<br />
Military Integrated Logistics Information System (MILIS) Use. DSD-SUP-<br />
MILIS provides additional clauses for when the Contractor is required to use MILIS.<br />
Drafters should refer to the guidance in section 1 <strong>of</strong> DSD-SUP-MILIS for further<br />
information. If these Services are not required under the Contract, then the <strong>SOW</strong><br />
clause and associated CSRL entry should be deleted.<br />
Procurement Services. DSD-SUP-PROC enables the Commonwealth to task the<br />
Contractor to buy Stock Items for delivery to <strong>Defence</strong>, including both Non-RIs and<br />
RIs, and with specific provisions for safety critical parts. Drafters should refer to<br />
the guidance in section 1 <strong>of</strong> DSD-SUP-PROC for further information. If these<br />
Services are not required under the Contract, then the <strong>SOW</strong> clause and associated<br />
CSRL entry should be deleted.<br />
Warehousing and Distribution Services. DSD-SUP-W&D is for use when the<br />
Commonwealth has specific warehousing and distribution needs, such as<br />
maintaining a warehouse accessible by Commonwealth staff, the preparation and<br />
recovery <strong>of</strong> items from long-term storage, environmentally controlled storage,<br />
storage <strong>of</strong> hazardous materials, and specific distribution requirements. Drafters<br />
should refer to the guidance in section 1 <strong>of</strong> DSD-SUP-W&D for further information.<br />
If these Services are not required under the Contract, then the <strong>SOW</strong> clause and<br />
associated CSRL entry should be deleted.<br />
Drafters must add a subclause to clause 7.4 for each additional group <strong>of</strong> Supply<br />
Services to be added to the Contract (Support), as described by a separate DSD<br />
listed in the CSRL, <strong>SOW</strong> Annex B. Each additional subclause should be in the<br />
form <strong>of</strong> the optional clause shown below.<br />
<strong>SOW</strong> clause 3.22, Assurance and Stocktaking <strong>of</strong> Contractor Managed<br />
Commonwealth Assets<br />
<strong>SOW</strong> Annex A, List <strong>of</strong> Products to be Supported (for RSLs and Items that the<br />
Contractor may be required to procure (eg, consumables) and deliver to the<br />
Commonwealth, as applicable).<br />
<strong>SOW</strong> Annex B, CSRL ‘SUP’ entries.<br />
DSD-SUP-SERV, Routine Supply Services.<br />
DSD-SUP-SACC, Stock Assessment, Codification and Cataloguing.<br />
DSD-SUP-MILIS, Military Integrated Logistics Information System Use.<br />
DSD-SUP-PROC, Procurement Services.<br />
DSD-SUP-W&D, Warehousing and Distribution Services.<br />
DID-SUP-SSP, Supply Support Plan<br />
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Optional Clauses:<br />
See also <strong>SOW</strong> clause 9.2 for Technical Data (which includes Codification Data).<br />
See also <strong>SOW</strong> clause 9.5 for Packaging.<br />
The Contractor shall provide […INSERT SUMMARY DESCRIPTION OF THE<br />
REQUIRED SUPPLY SERVICES…] Services in accordance with CSRL Line<br />
Number SUP-[…INSERT CSRL NUMBER…].<br />
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8. TRAINING SUPPORT<br />
Sponsor: Nil<br />
Status: Optional (but must be used when Training Services are required under the<br />
Contract (Support))<br />
Purpose: To define the requirements for Training Services and related work for the Contract<br />
(Support) through both this clause <strong>of</strong> the <strong>SOW</strong> and the associated DSDs.<br />
Policy: DI(G) PERS 05-36, Implementation <strong>of</strong> the <strong>Defence</strong> Training Model in <strong>Defence</strong><br />
Vocational Education and Training<br />
ADFP 7.0.2, The <strong>Defence</strong> Training Model<br />
Refer also to single Service Training manuals.<br />
Guidance: This clause should be included if the Contract (Support) requires the provision <strong>of</strong><br />
Training Services to <strong>Defence</strong> / Commonwealth personnel, which can include a<br />
range <strong>of</strong> potential Training situations, including but not limited to:<br />
a. Sustainment Training;<br />
b. Conversion Training; and<br />
c. Continuation Training.<br />
Training Support tasks also include the preparation <strong>of</strong> individual course materials,<br />
management <strong>of</strong> students, reporting and recording student performance,<br />
preparation <strong>of</strong> assessment materials, and the on-going development and<br />
maintenance <strong>of</strong> training syllabi and materials. DI(G) PERS 05-36 requires that any<br />
Training Materials provided by contractors must accord with the <strong>Defence</strong> Training<br />
Model (ADFP 7.0.2 refers).<br />
The <strong>SOW</strong> (including DSDs) covers the general requirement for managing a<br />
Training program, the delivery <strong>of</strong> classroom-type training and associated Services,<br />
and the maintenance <strong>of</strong> courseware and associated materials. If administrative<br />
computer-based training or co-ordination <strong>of</strong> on-the-job training is required, DSDs<br />
specific to the individual requirements will need to be developed by the drafter.<br />
If the Contract (Support) does not contain any Training Support requirements, then<br />
the heading should be retained, but the words ‘Not Used’ should be inserted in<br />
brackets at the end (eg, “Training Support (Not Used)”). All <strong>of</strong> the lower-level<br />
clauses <strong>of</strong> clause 8 should then be deleted.<br />
Related Clauses: <strong>SOW</strong> clause 9.4, Training Equipment<br />
Optional Clauses: Nil<br />
The following diagram shows the general structure <strong>of</strong> <strong>SOW</strong> clause 8 and its<br />
associated DSDs and DIDs.<br />
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8.1 Training Support Management Planning<br />
Sponsor: Nil<br />
Status: Core (if Training Support is required)<br />
Training Support <strong>SOW</strong> Structure<br />
Purpose: To identify the requirements for the Training Support planning document.<br />
Policy: Refer to Single Service Training Manuals<br />
ADFP 7.0.2, The <strong>Defence</strong> Training Model<br />
Guidance: The drafter must determine whether Training Support planning requirements can<br />
be included in the SSMP, or if a separate Training Support Plan (TSP) is<br />
necessary. This decision is <strong>of</strong>ten discretionary, and dependent upon the scope <strong>of</strong><br />
the workload (eg, if the Contract (Support) covers several SSCCs), and the need to<br />
manage Training Support functions separate from other support functions.<br />
Drafters should also refer to the previous guidance for <strong>SOW</strong> clauses 3.2 and 3.2.1<br />
regarding the ‘roll-up’ <strong>of</strong> management plans.<br />
Related Clauses:<br />
If the scope <strong>of</strong> Training Support issues for the Contract is concise (eg, Training<br />
Services are relatively static and straightforward), then embedding the basic TSP<br />
requirements in the SSMP should be sufficient. If the Contract covers several<br />
areas such as a range <strong>of</strong> Training Support activities in various locations, routine<br />
and ad hoc Services, and other Engineering, Maintenance and Supply Services,<br />
then a separate TSP will <strong>of</strong>ten be more practical.<br />
Drafters should determine whether a separate TSP is required, then select the<br />
appropriate optional <strong>SOW</strong> clauses and edit the references to the appropriate<br />
selected plan, as per the ‘Notes to drafters’ in the draft <strong>SOW</strong>.<br />
If planning for the management <strong>of</strong> Training Support is to be included in the SSMP,<br />
then the drafter must review DID-SSM-SSMP. Drafters should be aware that DID-<br />
SSM-SSMP identifies the need to address Training Support management in the<br />
SSMP if the <strong>SOW</strong> requires it and, by default, the DID does not require tailoring.<br />
However, if the scope <strong>of</strong> Training Support planning is reduced in the SSMP or<br />
specific requirements are needed, then the DID-SSM-SSMP will need to be<br />
tailored.<br />
DID-TNG-TSP, Training Support Plan.<br />
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Optional Clauses: Nil<br />
DID-SSM-SSMP, Support Services Management Plan.<br />
CDRL Line Number TNG-100.<br />
8.2 Training Support Reporting<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Training Support is required)<br />
Purpose: To identify the requirements for reporting the performance <strong>of</strong> Training Services.<br />
Policy: Nil<br />
Guidance: Training Support reporting is managed as a sub-report for the CSSR. This report<br />
may also be delivered separately from the rest <strong>of</strong> the CSSR, if required, by tailoring<br />
the CDRL. This report would typically be delivered for review in preparation for an<br />
Training Support Performance Review (TSPR), as requested by clause 8.3 <strong>of</strong> the<br />
<strong>SOW</strong>. The report primarily addresses the Contractor’s performance in providing<br />
Training Services against the requirements <strong>of</strong> the Contract.<br />
Reports and reviews do not need to be coordinated on a one-for-one basis (eg, the<br />
Training Support component <strong>of</strong> the CSSR could be scheduled for every six months<br />
with every second report scheduled for an annual TSPR or CSPR). The frequency<br />
for delivery <strong>of</strong> the reports may vary (eg, from one month to one year), depending<br />
on the level <strong>of</strong> visibility and Training Support activity expected or the frequency <strong>of</strong><br />
payment for these Services.<br />
Drafters do not need to change <strong>SOW</strong> clause 8.2, but must tailor the CDRL for the<br />
delivery <strong>of</strong> the Training Support portion <strong>of</strong> the CSSR individually or as part <strong>of</strong> the<br />
combined report. Refer to the guidance for <strong>SOW</strong> clause 3.4 in regard to rolling-up<br />
reports and reviews as part <strong>of</strong> the communications strategy.<br />
Related Clauses: DID-SSM-CSSR, which specifies the requirements for a Combined Services<br />
Summary Report.<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 8.3 in relation to Training Support Reviews.<br />
<strong>SOW</strong> clause 3.4.1.3, which addresses the inclusion <strong>of</strong> a CSSR.<br />
CDRL Line Number MGT-350h, for the for the separate delivery <strong>of</strong> the Training<br />
Support portion <strong>of</strong> the CSSR, if required.<br />
8.3 Training Support Reviews<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Training Support is required)<br />
Purpose: To identify the requirements for Training Support Performance Reviews (TSPRs).<br />
Policy: Nil<br />
Guidance: There is only one level <strong>of</strong> Training Support review in the <strong>SOW</strong>, the TSPR, which<br />
may be scheduled independently or rolled up into the CSPR. If necessary for<br />
larger-scale contracts, two levels <strong>of</strong> review can be achieved if the CSPR acts as a<br />
higher-level review to the TSPR.<br />
The drafter needs to determine the appropriate level <strong>of</strong> review activity for Training<br />
Support. If the TSPRs are to be rolled up into the CSPRs, then Option A should be<br />
selected. If separate TSPRs are required, then Option B should be selected and<br />
the review frequency inserted, as per the notes to drafters. Note that, by default, a<br />
TSPR will be rolled up into a CSPR when they fall in the same month. If two levels<br />
<strong>of</strong> review are required, the TSPR clause (Option B) should be selected, and the<br />
requirements for the CSPR expanded to include a higher-level review <strong>of</strong> Training<br />
Services.<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
8.4 Training Services<br />
Depending on the plan option selected under clause 8.1, drafters should edit the<br />
clauses referring to plans accordingly.<br />
<strong>SOW</strong> clause 3.4.2, Combined Services Performance Review.<br />
<strong>SOW</strong> clause 8.2, Training Support Reporting.<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if Training Support is required; however, individual lower-level draft <strong>SOW</strong><br />
clauses are optional)<br />
Purpose: To define the required Training Services.<br />
Policy: Nil<br />
Guidance: Drafters should be aware that DSDs are not necessarily independent <strong>of</strong> each other<br />
and that the selection <strong>of</strong> DSDs, and the creation <strong>of</strong> any new DSDs, should consider<br />
these relationships.<br />
Related Clauses:<br />
Drafters must tailor the subclauses to clause 8.4 for each group <strong>of</strong> Training<br />
Services to be included in the Contract (Support), as described by a separate DSD<br />
listed in the CSRL, <strong>SOW</strong> Annex B. Details are given below for the draft DSDs<br />
included in the ASDEFCON (Support) templates.<br />
Training Management Services. DSD-TNG-MGT contains the generic<br />
management Services that must be performed for all Contracts requiring Training<br />
Support. This DSD is a ‘head’ DSD for Training Support, and will almost certainly<br />
be required before any other Training Services can be undertaken. Drafters should<br />
refer to the guidance in section 1 <strong>of</strong> DSD-TNG-MGT for further information. DSD-<br />
TNG-MGT included Training evaluations that can lead to Training Material updates<br />
through DSD-TNG-TMS, or another party.<br />
If a Contractor is not required to provide on-going Training Services (eg, only nonnationally<br />
recognised Training courses delivered on an ad hoc basis), then the<br />
clause and associated CSRL entry should be deleted.<br />
Training Delivery Services. DSD-TNG-DEL identifies the course details and<br />
delivery requirements, Training Equipment, Training Materials, assessments and<br />
course evaluation requirements. Where the courses or learning modules are<br />
defined by <strong>Defence</strong> Training Management Packages, these may be referred to<br />
from the DSD. Drafters should refer to the guidance in section 1 <strong>of</strong> DSD-TNG-DEL<br />
for further information. If these Services are not required under the Contract, then<br />
the <strong>SOW</strong> clause and associated CSRL entry should be deleted.<br />
Training Materials Support Services. DSD-TNG-TMS needs the drafter to<br />
identify the relevant Training courses for which maintenance <strong>of</strong> the course<br />
materials and/or Training Management Package applies through <strong>SOW</strong> Annex A.<br />
The DSD enables the drafter to select Services such as analysing proposed<br />
Training program changes and the update <strong>of</strong> Training Management Packages<br />
including curriculum documentation and Training Materials, as required. Drafters<br />
should refer to the notes to drafters in DSD-TNG-TMS for further information. If<br />
these Services are not required under the Contract, then the <strong>SOW</strong> clause and<br />
associated CSRL entry should be deleted.<br />
Drafters may add subclauses to draft clause 8.4 for each new group <strong>of</strong> Training<br />
Services to be added to the Contract (Support), as described by a separate and<br />
new DSD listed in the CSRL, <strong>SOW</strong> Annex B. Each additional subclause should be<br />
in the form <strong>of</strong> the optional clause shown below.<br />
<strong>SOW</strong> Annex B, CSRL ‘TNG’ entries.<br />
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Optional Clauses:<br />
DSD-TNG-MGT, Training Management Services,<br />
DSD-TNG-DEL, Training Delivery Services.<br />
DSD-TNG-TMS, Training Materials Support Services.<br />
DID-TNG-TSP, Training Support Plan.<br />
See also <strong>SOW</strong> clause 9.2 for Technical Data (which will include Training<br />
Materials).<br />
See also <strong>SOW</strong> clause 9.4 for Training Equipment.<br />
The Contractor shall provide […INSERT SUMMARY DESCRIPTION OF THE<br />
REQUIRED TRAINING SERVICES…] Services in accordance with CSRL Line<br />
Number TNG-[…INSERT CSRL NUMBER…].<br />
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9. SUPPORT RESOURCES<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To define the requirements for the Contractor to maintain the Support Resources<br />
that enable the provision <strong>of</strong> Management, Operating Support, Engineering,<br />
Maintenance, Supply, and Training Services, as required by clauses 3 to 8 <strong>of</strong> the<br />
<strong>SOW</strong> and associated DSDs.<br />
Policy: Nil<br />
Guidance: This clause must be included in all support contracts. Individual clauses will be<br />
optional, depending on which Support Resources are required to enable the<br />
Services to be provided.<br />
Government<br />
Furnished Materiel<br />
(GFI, GFD, GFE)<br />
Contractor<br />
Furnished Materiel<br />
Other<br />
Commonwealth<br />
Owned (eg, GTI)<br />
The term ‘Support Resources’ is defined in the Glossary as, “the physical products,<br />
including spares, equipment, materials, Facilities, Technical Data, Personnel, and<br />
any other physical resources required to operate and support all or a particular part<br />
<strong>of</strong> the Mission System as the case requires”.<br />
Drafters should note that a difference exists between:<br />
a. using Support Resources to provide a Service; and<br />
b. Support Resources being themselves serviced.<br />
The following diagram shows this difference.<br />
Providing Services Being Serviced<br />
An item <strong>of</strong> GFM being used by the<br />
Contractor (Support) to provide a Service<br />
to the Commonwealth in accordance with<br />
the Contract (Support).<br />
An item <strong>of</strong> CFM being used by the<br />
Contractor (Support) to provide a Service<br />
to the Commonwealth in accordance with<br />
the Contract (Support).<br />
An item <strong>of</strong> GFM being serviced by the<br />
Contractor (Support) in accordance with the<br />
Contract (Support). These items will appear in<br />
Annex A to the <strong>SOW</strong> (List <strong>of</strong> Products to be<br />
Supported).<br />
An item <strong>of</strong> CFM being serviced by the<br />
Contractor (Support) in accordance with the<br />
Contract (Support). These items may appear<br />
in Annex A to the <strong>SOW</strong> (List <strong>of</strong> Products to be<br />
Supported) if significant enough to the<br />
Commonwealth.<br />
An item <strong>of</strong> Commonwealth-owned 'other' being<br />
serviced by the Contractor (Support) in<br />
accordance with the Contract (Support).<br />
These items will appear in Annex A to the<br />
<strong>SOW</strong> (List <strong>of</strong> Products to be Supported).<br />
Note that this matrix is equally applicable to the Support Resources <strong>of</strong> Technical Data (GFI,<br />
GFD), S&TE (GFE) and Training Equipment (GFE).<br />
Service Provision/Use <strong>of</strong> Support Resources<br />
Related Clauses: <strong>SOW</strong> clauses 3 through 8 and associated DSDs.<br />
Optional Clauses: Nil<br />
9.1 Personnel<br />
9.1.1 Personnel (General)<br />
Sponsor: DMO Standardisation Office<br />
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Status: Core<br />
Purpose: This clause recognises the Contractor’s responsibility in providing the appropriate<br />
personnel to perform the Contract Services.<br />
Policy: Nil<br />
Guidance: Unless explicitly mentioned elsewhere in the Contract, the Contractor is<br />
responsible for their training, qualifications, security clearance applications, etc.<br />
This clause recognises that work effort is associated with these tasks and, when<br />
the <strong>SOW</strong> is used as the basis <strong>of</strong> the Contract WBS 9 , provides a WBS element<br />
against which a costing may be assigned, instead <strong>of</strong> hiding these costs elsewhere<br />
in the Contract.<br />
Related Clauses: COC clause 3.12, Key Persons and other Personnel.<br />
Optional Clauses: Nil<br />
9.1.2 Key Persons Management<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: The purpose <strong>of</strong> this clause is to obligate the Contractor to identify Key Staff<br />
Positions and associated Key Persons, and to clearly place responsibility for their<br />
selection with the Contractor.<br />
Policy: Nil<br />
Guidance: Drafters should understand how the ‘Key Persons and other Personnel’ clause in<br />
the COC interacts with this <strong>SOW</strong> clause.<br />
Clause 9.1.2 <strong>of</strong> the <strong>SOW</strong> requires the establishment <strong>of</strong> Key Staff Positions in order<br />
that these positions may be filled with Key Persons. Both the Key Staff Positions<br />
and the associated Key Persons are named in Contractor’s Approved SSMP.<br />
Clause 3.12 <strong>of</strong> the COC sets out the process that will be employed in the situation<br />
where a Key Person becomes unavailable or the Commonwealth considers that a<br />
Key Person needs to be removed.<br />
For example, a Key Staff Position identified in the SSMP may be ‘Senior Contracts<br />
Officer’. The Senior Contracts Officer may be required to have a Bachelor <strong>of</strong> Law.<br />
Subject to the Commonwealth’s satisfaction, anyone possessing such a degree<br />
may fill the Key Staff Position.<br />
Key Staff Positions<br />
Key Staff Positions may include positions assigned engineering authority, lead<br />
s<strong>of</strong>tware managers, explosives/weapons trained staff, and some specialist trade<br />
skills that may be unique to the equipment involved. If any <strong>of</strong> these staff are<br />
difficult to find, only a few people possess the appropriate skills, or if <strong>Defence</strong> has<br />
paid for specific people to attend overseas training courses, then drafters may wish<br />
to name specific individuals as Key Persons and must indicate which Key Staff<br />
Positions they will fill.<br />
Key Staff Positions and Key Person requirements should be flowed down to those<br />
Approved Subcontractors whose Services are critical to the successful<br />
performance <strong>of</strong> the Contract and whose employees have been named Key<br />
Persons (if any).<br />
In response to this clause, tenderers should be required to nominate through<br />
Tender Data Requirement E-4, for both themselves and intended Subcontractors:<br />
c. positions that are critical to the success <strong>of</strong> the work to be performed;<br />
9 An ASDEFCON guiding principle is that the <strong>SOW</strong> captures all work (refer to principle 3 <strong>of</strong> the ASDEFCON Handbook<br />
Philosophy Volume).<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
9.2 Technical Data<br />
d. the duties and responsibilities <strong>of</strong> those positions;<br />
e. the competencies and experience needed for the person filling each <strong>of</strong> those<br />
positions; and<br />
f. if required by the Commonwealth, the name <strong>of</strong> the individual who will be<br />
considered a Key Person.<br />
COC clause 3.13, Key Persons and Personnel.<br />
DID-SSM-SSMP, which include planning requirements for Key Persons.<br />
DID-ENG-CEMP and DID-MNT-MMP, which specify requirements for Engineering<br />
and Maintenance plans to manage Personnel, likely to be Key Persons.<br />
TDR E-4 <strong>of</strong> the COT, Key Staff Positions.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To specify the work to be performed by the Contractor to effectively manage<br />
Technical Data, including both physical management and configuration<br />
management.<br />
Policy: DI(G) LOG 4-5-003, <strong>Defence</strong> policy on acquisition and management <strong>of</strong> Technical<br />
Data<br />
Guidance: Some form <strong>of</strong> Technical Data is likely to be required in all support contracts;<br />
therefore, drafters will usually need to include a number <strong>of</strong> the draft clauses in the<br />
<strong>SOW</strong> clause 9.2 for Technical Data.<br />
Management <strong>of</strong> Technical Data (including publications) should be considered in<br />
conjunction with the management <strong>of</strong> IP and whether the Contractor will provide<br />
Engineering Services, including hardware modifications and s<strong>of</strong>tware engineering,<br />
which results in updates to Technical Data. The use <strong>of</strong> the DMS (<strong>SOW</strong> clause 2.3)<br />
should also be considered for access to Contractor-sourced Technical Data. Note<br />
that s<strong>of</strong>tware is also classified as Technical Data, but it is managed separately as<br />
an Engineering Service rather than through this clause.<br />
Management <strong>of</strong> Technical Data may also be addressed in individual management<br />
plans for Services and various DSDs. As examples, Configuration Management<br />
data is addressed through DSD-ENG-CM, and Training Materials are updated or<br />
redeveloped through DSD-TNG-TMS. The ‘head’ DSD for each SSCC also<br />
includes requirements for a related information management system that will hold<br />
considerable Technical Data in electronic form. The drafter needs to be cognisant<br />
<strong>of</strong> these other clauses when defining Technical Data support needs through this<br />
clause and the <strong>SOW</strong> Annexes.<br />
These Technical Data clauses do not explicitly separate interactive electronic<br />
technical manuals from hard copy manuals. Both are considered equally as<br />
Technical Data.<br />
Section 6 <strong>of</strong> <strong>SOW</strong> Annex A identifies the Technical Data that the Contractor is<br />
required to support under the Contract; however, Technical Data is identified in a<br />
number <strong>of</strong> different places in the template, including:<br />
a. Attachment E, ‘Government Furnished Material, Government Furnished<br />
Facilities and Government Furnished Services’, which identifies GFI and<br />
GFD at Annex A to Attachment E;<br />
b. Attachment M, ‘Glossary’, which identifies the Referenced Documents called<br />
up throughout the Contract;<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
9.2.1 Technical Data Plan<br />
c. <strong>SOW</strong> Annex A, ‘List <strong>of</strong> Products to be Supported’, which can be used to<br />
identify the reference manuals that pertain to other Products to be supported<br />
(eg, Mission System(s) and RIs), as well as the specific Technical Data to be<br />
supported at Section 6 <strong>of</strong> <strong>SOW</strong> Annex A; and<br />
d. <strong>SOW</strong> Annex D, ‘List <strong>of</strong> Referenced Manuals’, which can be used to list the<br />
referenced manuals used in support <strong>of</strong> the Products at Annex A to the <strong>SOW</strong>.<br />
Each <strong>of</strong> these different parts <strong>of</strong> the template has a particular purpose, which may<br />
result in particular items <strong>of</strong> Technical Data being identified in multiple locations (eg,<br />
a Commonwealth-provided RI Maintenance manual, which the Contractor is<br />
required to support, could be identified in all <strong>of</strong> these parts). Drafters should<br />
ensure that each item <strong>of</strong> Technical Data is appropriately identified in each part <strong>of</strong><br />
the template, commensurate with the purpose <strong>of</strong> that part <strong>of</strong> the template.<br />
COC clause 5, Intellectual Property.<br />
Attachment E, Government Furnished Material, Government Furnished Facilities<br />
Government Furnished Services and Government Titled Items.<br />
<strong>SOW</strong> clause 2.3, Document Management System.<br />
<strong>SOW</strong> clause 3.13, Intellectual Property Management.<br />
<strong>SOW</strong> Annex A, List <strong>of</strong> Products to be Supported.<br />
<strong>SOW</strong> Annex A Section 6, Technical Data.<br />
<strong>SOW</strong> Annex D, List <strong>of</strong> Referenced Manuals.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional. To be included when the scope <strong>of</strong> Technical Data management and<br />
development / update effort requires a standalone plan.<br />
Purpose: To require the Contractor to develop, deliver and update a Technical Data Plan<br />
(TDP).<br />
Policy: Nil<br />
Guidance: Asking the Contractor to prepare and maintain a separate TDP is normally not<br />
necessary for the majority <strong>of</strong> support contracts. Management <strong>of</strong> Technical Data<br />
may be included in the SSMP where the task is relatively small. However, if the<br />
Contract requires a large amount <strong>of</strong> Technical Data and numerous publications as<br />
a resource and these are likely to be subject to frequent amendments, drafters<br />
should consider the requirement for a separate TDP.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
9.2.2 Technical Data List<br />
If a TDP is required, the draft <strong>SOW</strong> clauses should be retained. If a TDP is not<br />
required, both clauses under clause 9.2.1 should be deleted and replaced with ‘Not<br />
used’.<br />
All other sub-clauses in <strong>SOW</strong> clause 9.2.<br />
DID-TDATA-TDP, which specifies the requirements for a TDP.<br />
DID-SSM-SSMP, Support Services Management Plan (as an alternative to the<br />
TDP).<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
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Purpose: To require the Contractor to prepare and maintain a Technical Data List (TDL).<br />
Policy: Nil<br />
Guidance: The TDL identifies the Technical Data used and / or generated by the Contractor<br />
and the Approved Subcontractors during the Contract. The TDL can be used to<br />
keep track <strong>of</strong> the changes to Technical Data, applicable to the Commonwealth’s IP<br />
rights, over the life <strong>of</strong> the Contract.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
The TDL is an optional clause; however, it should be considered for use for the<br />
majority <strong>of</strong> support contracts. Typically, the clause would only be omitted for those<br />
support contracts at the lower end <strong>of</strong> complexity or where there was only a minimal<br />
amount <strong>of</strong> Technical Data associated with the Contract.<br />
The TDL may also be used to follow the development <strong>of</strong> new and modified<br />
Technical Data during engineering design change programs. This is implied<br />
through the developmental activities for Major Changes clause in DSD-ENG-SERV<br />
and management <strong>of</strong> the TDL is included in the TDP (if required by clause 9.2.1).<br />
However, explicit requirements should be included in the scope <strong>of</strong> ECPs, as<br />
defined using DID-ENG-ECP or a DSD-ENG-ECP developed by the drafter. Such<br />
additional deliveries <strong>of</strong> the TDL, or draft TDL changes, are not covered by the<br />
default ‘delivery schedule’ entry in the CDRL. The TDL also informs the<br />
Commonwealth <strong>of</strong> impending changes to the IP Plan or IP schedule; however, this<br />
does not impact on tailoring clause 3.13.<br />
When a Contract (Acquisition) and a Contract (Support) are linked, the TDL<br />
developed during acquisition and the TDL for support are generally not the same.<br />
The acquisition TDL will identify all Technical Data for the in-service phase,<br />
including that used by the Commonwealth. Unless the support concept includes<br />
full contractor support, the initial Contract (Support) TDL will be developed in<br />
preparation for the OD from a subset <strong>of</strong> the mature Contract (Acquisition) TDL.<br />
If the Contractor is not maintaining Technical Data for regular use by the<br />
Commonwealth, then the Approved TDL may encompass all <strong>of</strong> Section 6 <strong>of</strong> <strong>SOW</strong><br />
Annex A and, potentially, <strong>SOW</strong> Annex D, superseding both <strong>of</strong> these sections, in<br />
terms <strong>of</strong> accuracy, as Technical Data is amended. In this instance the drafter /<br />
Commonwealth Representative may wish to amend these <strong>SOW</strong> sections, at the<br />
OD or via a subsequent CCP, to refer to the Approved TDL for the Technical Data<br />
to be maintained and / or used by the Contractor and Approved Subcontractors.<br />
<strong>SOW</strong> Annex A Section 6, Technical Data.<br />
<strong>SOW</strong> Annex D, List <strong>of</strong> Referenced Manuals.<br />
Attachment E, which includes the lists <strong>of</strong> GFI and GFD for the Attachment M,<br />
Glossary, which includes the list <strong>of</strong> Referenced Documents for the Contract.<br />
DID-TDATA-TDL, which specifies the requirements for a Technical Data List.<br />
CDRL Line SR-100, for the TDL.<br />
COC clause 5, Intellectual Property.<br />
<strong>SOW</strong> clause 3.13, Intellectual Property Management.<br />
DSD-ENG-ECP, Engineering Change Proposals (as developed by drafter).<br />
9.2.3 Technical Information Library<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To require the Contractor to maintain an up-to-date technical information library for<br />
any policies, regulations, procedures, and task descriptions required for the<br />
performance <strong>of</strong> the Contract.<br />
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Policy: Nil<br />
Guidance: The technical information library may include a mix <strong>of</strong> GFI and GFD, plus other<br />
OEM and commercial documents identified in Attachment M, Glossary, that are not<br />
GFI and GFD (eg, Australian and international standards).<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
This clause should be considered for use when there is a considerable amount <strong>of</strong><br />
technical information either associated with the Contract work or being provided by<br />
the Commonwealth (or both). While the requirement to provide a technical<br />
information library may appear to be a process requirement, which should be<br />
unnecessary in an outcomes-based contract, the clause does establish a minimum<br />
standard to be met by the Contractor. This type <strong>of</strong> clause can be beneficial in<br />
situations, such as when an accident occurs, and the responsibilities <strong>of</strong> the<br />
respective parties in relation to that accident need to be established.<br />
Drafters should note the linkage to Phase In and the Commonwealth’s obligations<br />
to provide a sufficient number <strong>of</strong> copies <strong>of</strong> the Commonwealth documents listed in<br />
Attachment M. While Attachment M primarily provides the Glossary, it also<br />
provides the consolidated list <strong>of</strong> Referenced Documents for the Contract. Drafters<br />
should ensure that, prior to the release <strong>of</strong> the RFT, Attachment M is updated to<br />
capture all <strong>of</strong> the documents referenced in the draft Contract (Support), which<br />
should include all documents identified in all sections <strong>of</strong> <strong>SOW</strong> Annex A and in<br />
<strong>SOW</strong> Annex D. Any documents that are identified in Attachment E (ie, either GFI<br />
or GFD), however, should not be included in Attachment M.<br />
Section 6 <strong>of</strong> <strong>SOW</strong> Annex A identifies the Technical Data to be supported by the<br />
Contractor, with clause 1 <strong>of</strong> Section 6 identifying the publications to be supported.<br />
Clause 9.2.3.4 <strong>of</strong> the <strong>SOW</strong> requires the Contractor to maintain these publications,<br />
which includes “the incorporation <strong>of</strong> Commonwealth-issued amendments and OEM<br />
amendments that have been approved by the Commonwealth”. This last part <strong>of</strong><br />
the clause refers to those publications for which the Commonwealth has retained<br />
publication sponsorship. Drafters should review the requirements <strong>of</strong> this clause in<br />
light <strong>of</strong> the requirements included under clause 9.2.4, ‘Publication Update Service’<br />
and under clause 9.2.5, ‘Publication Sponsorship’.<br />
Attachment M, Glossary, which includes the list <strong>of</strong> Referenced Documents for the<br />
Contract.<br />
<strong>SOW</strong> Annex A, List <strong>of</strong> Products to be Supported.<br />
<strong>SOW</strong> Annex D, List <strong>of</strong> Referenced Manuals.<br />
<strong>SOW</strong> clause 2.7, Phase In.<br />
<strong>SOW</strong> clause 9.2.4, Publication Update Service<br />
<strong>SOW</strong> clause 9.2.5, Publication Sponsorship.<br />
9.2.4 Publication Update Service<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To require the Contractor to provide an update service for the publications<br />
identified in the list <strong>of</strong> Products to be supported at Annex A to the <strong>SOW</strong>.<br />
Policy: Nil<br />
Guidance: A Contractor may be required to provide a Service <strong>of</strong> identifying and incorporating<br />
updates to publications from OEMs. If required, the clauses below clause 9.2.4 in<br />
the draft <strong>SOW</strong> should be retained and suitably amended to meet the specific<br />
requirements <strong>of</strong> the Contract, including any Service-specific and / or TRF<br />
requirements. If this Service is not required, the clauses below clause 9.2.4 should<br />
be deleted and replaced with ‘Not used’.<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
<strong>SOW</strong> clause 9.2.3.4 states that the “Contractor shall maintain the publications<br />
identified in Section 6 <strong>of</strong> Annex A to the <strong>SOW</strong>, including the incorporation <strong>of</strong><br />
Commonwealth-issued amendments and OEM amendments that have been<br />
approved by the Commonwealth”. The publications update service differs from this<br />
obligation in that the Contractor is preparing the updates from notices or updates<br />
provided by the OEM <strong>of</strong> the system or component Products.<br />
Typically the Commonwealth Representative’s organisation would be the<br />
publication sponsor or a major stakeholder. However, under clause 9.2.5 the<br />
Contractor may also be appointed a publication sponsorship role, to support<br />
Commonwealth Representative’s organisation and other <strong>Defence</strong> users <strong>of</strong> the<br />
publication updates. In doing so, the Contractor has a role in supporting<br />
publications that are in addition (in terms <strong>of</strong> quantity and location) to those for the<br />
Products supported by this Contract. Additional clauses may be required to<br />
identify the additional work that may be generated in providing the publication<br />
update service when also a sponsor. For example, where a publication update is<br />
for S&TE used with multiple systems, different publication updates may be required<br />
where different interfaces or instructions are required.<br />
Note: where the additional clauses for publications update, when combined with<br />
the requirements included under clause 9.2.5 for publication sponsorship become<br />
significant, drafters may consider compiling a Technical Data Services DSD.<br />
Within the draft <strong>SOW</strong> clauses, the drafter needs to identify and insert the required<br />
format type for the updates. This is intended to be the applicable s<strong>of</strong>t copy format<br />
for the proposed update. This clause may require further development where<br />
multiple file types are required. The drafter must also insert the frequency for<br />
regular updates into the last clause.<br />
<strong>SOW</strong> clause 9.2.3, Technical Information Library.<br />
<strong>SOW</strong> clause 9.2.5, Publication Sponsorship.<br />
<strong>SOW</strong> Annex A Section 6, Technical Data.<br />
9.2.5 Publication Sponsorship<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To require the Contractor to perform the services <strong>of</strong> a publication sponsor for those<br />
publications annotated accordingly in the list <strong>of</strong> Products to be supported at<br />
Annex A to the <strong>SOW</strong>.<br />
Policy: Nil<br />
Guidance: In some circumstances, the Contractor may be required to be a publication<br />
sponsor for <strong>Defence</strong> publications, which involves responsibilities, such as:<br />
a. preparing material to be incorporated into publications;<br />
b. liaising with <strong>Defence</strong> publication authorities for the production <strong>of</strong><br />
publications;<br />
c. maintaining the distribution lists for the publications;<br />
d. allocating the appropriate security classification to the publications;<br />
e. maintaining a master copy <strong>of</strong> all publications for which the sponsor is<br />
responsible;<br />
f. ensuring the relevancy and currency <strong>of</strong> the publications by the regular<br />
inclusion <strong>of</strong> necessary new material and deletion <strong>of</strong> obsolete material; and<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
9.2.6 Engineering Drawings<br />
g. authorising the withdrawal and disposal <strong>of</strong> the publications when they are no<br />
longer required.<br />
Additional clauses will need to be developed by the drafter, and inserted into<br />
clause 9.2.5, if the Contractor is to have responsibilities as a publication sponsor.<br />
Single Service publications (eg, AAP 5030.001, ‘RAAF Publication System –<br />
Technical and Non-technical Manuals’) can provide a useful source <strong>of</strong> information<br />
for the development <strong>of</strong> these additional clauses. Drafters should ensure that all<br />
publications for which the Contractor is required to be a publication sponsor are<br />
identified, and annotated accordingly, in Section 6 <strong>of</strong> Annex A to the <strong>SOW</strong>.<br />
Note that if the additional clauses required for publication sponsorship become<br />
significant, drafters may consider compiling a Technical Data Services DSD<br />
The additional clauses also need to be consistent with any related technical<br />
publication changes developed through ECPs as part <strong>of</strong> Engineering Support. The<br />
preceding clauses for the ‘Publication Update Service’ may also require<br />
amendment if the Contractor is intended to be a publication sponsor.<br />
<strong>SOW</strong> clause 9.2.3, Technical Information Library.<br />
<strong>SOW</strong> clause 9.2.4, Publication Update Service.<br />
<strong>SOW</strong> Annex A Section 6, Technical Data.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To require the Contractor to maintain and update engineering drawings for which<br />
they are responsible.<br />
Policy: Nil<br />
Guidance: This clause calls up DID-ENG-DWGS, which requires engineering drawings to be<br />
developed in accordance with standards, such as DEF(AUST) 5085B, Engineering<br />
Drawings (unless otherwise specified – see the DID). Generally, it would be<br />
expected that the requirement to update or amend engineering drawings would be<br />
part <strong>of</strong> an S&Q Service (eg, developed from an ECP). This clause is required<br />
where, as part <strong>of</strong> Engineering Services, the Contractor holds and maintains<br />
applicable design drawings.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
DID-ENG-DWGS should be tailored as necessary to reflect the Contract<br />
requirements. Engineering drawing aspects should be addressed in the CEMP or<br />
the SSMP if the CEMP has been rolled up into the higher level document.<br />
<strong>SOW</strong> clause 5, Engineering Support.<br />
<strong>SOW</strong> Annex A Section 6, Technical Data.<br />
CDRL Line Number ENG-400.<br />
DID-ENG-DWGS, which specifies requirements for drawings and updates..<br />
9.2.7 Technical Data Management System<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To require the Contractor to implement and maintain a management system for<br />
Technical Data.<br />
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Policy: Nil<br />
Guidance: A Technical Data management system is used to maintain the configuration status<br />
<strong>of</strong> Contractor-managed Technical Data and, as such, there are close ties between<br />
this clause and the Configuration Status Accounting (CSA) system that the<br />
Contractor would be required to implement under clause 6.2.6 <strong>of</strong> DSD-ENG-CM (if<br />
used). In this instance, the requirements <strong>of</strong> this clause 9.2.7 would simply add a<br />
number <strong>of</strong> requirements (ie, for Technical Data management) to the requirements<br />
for the CSA system.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
There are also close linkages between this clause 9.2.7 and the DMS implemented<br />
under clause 2.3 <strong>of</strong> the <strong>SOW</strong>; however, this clause 9.2.7 is likely to have broader<br />
coverage than the DMS because it includes all Contractor-managed Technical<br />
Data (as opposed to being limited to the data agreed to be provided to the<br />
Commonwealth via the DMS).<br />
The requirement for a Technical Data management system is an optional clause;<br />
however, it should be considered for use for the majority <strong>of</strong> support contracts.<br />
Typically, the clause would only be omitted:<br />
a. for those support contracts at the lower end <strong>of</strong> complexity;<br />
b. where there was only a minimal amount <strong>of</strong> Technical Data associated with<br />
the Contract; and/or<br />
c. where the management <strong>of</strong> Technical Data is adequately covered by the CSA<br />
and DMS clauses.<br />
In making a decision as to whether or not to include this clause, drafters should<br />
take due notice <strong>of</strong> the requirement in 9.2.7.1a to be able to “reconstruct the<br />
configuration status <strong>of</strong> Contractor-managed Technical Data at any given date<br />
during the Contract period (eg, on the date an accident occurs)”. This requirement<br />
is an integral part <strong>of</strong> the safety thread for the template and becomes an essential<br />
consideration when the responsibilities <strong>of</strong> the respective parties in relation to an<br />
accident need to be established. There are also links between this provision and<br />
the next clause relating to Technical Data investigations.<br />
All other sub-clauses in <strong>SOW</strong> clause 9.2.<br />
<strong>SOW</strong> clause 2.3, Data Management System.<br />
DSD-ENG-CM, Configuration Management.<br />
9.2.8 Technical Data Investigation<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To require the Contractor to take the necessary actions in relation to Technical<br />
Data when an investigation is required, such as for an accident investigation.<br />
Policy: Nil<br />
Guidance: If the Products being supported are subject to a TRF, it will usually be necessary to<br />
include a clause in the <strong>SOW</strong> enabling the Commonwealth to quarantine all<br />
documentation for the purposes <strong>of</strong> accident / incident investigations. If<br />
investigations may be required, the draft <strong>SOW</strong> clause should be retained. If not<br />
required, the clause should be deleted and replaced with ‘Not used’.<br />
Related Clauses: All other sub-clauses in <strong>SOW</strong> clause 9.2.<br />
Optional Clauses: Nil<br />
9.2.9 Modification Orders and Technical Instructions<br />
Sponsor: DMO Standardisation Office<br />
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Status: Optional<br />
Purpose: To require the Contractor to only incorporate changes to publications, which arise<br />
out <strong>of</strong> the development <strong>of</strong> Modification Orders or Technical Instructions, when<br />
authorised to do so by the Commonwealth Representative.<br />
Policy: Nil<br />
Guidance: If the Contractor is tasked with Engineering Services that include hardware<br />
modifications, s<strong>of</strong>tware Maintenance, or other tasks that may generate changes to<br />
Technical Data, the draft <strong>SOW</strong> clause should be retained. If not required, the<br />
clause should be deleted and replaced with ‘Not used’.<br />
Related Clauses:<br />
Optional Clauses: Nil.<br />
DSD-ENG-SERV, clause 6.2.5, Developmental Activities for Major Changes, and<br />
clause 6.2.6, Technical Instruction Development.<br />
DSD-MNT-SERV, clause 6.2.7, Incorporating Modifications, Alterations, and<br />
Technical Instructions.<br />
9.3 Support and Test Equipment<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To identify requirements for the management and support <strong>of</strong> S&TE, which are<br />
required to enable the Services to be provided.<br />
Policy: AAP 7001.055, Support and Test Equipment Logistics Management Manual<br />
(Aerospace)<br />
Guidance: Clause 9.3 will be applicable in most support contracts. This clause specifies the<br />
requirements to be met by the Contractor in relation to S&TE, including:<br />
a. S&TE (used by <strong>Defence</strong> in performing support activities) for which the<br />
Contractor provides Services;<br />
b. GFE that is S&TE (which may or may not overlap with the items under sub<br />
paragraph ‘a’ above); and<br />
c. Contractor owned S&TE that is required to provide the services.<br />
The purpose <strong>of</strong> including these clauses is to define responsibility and, where the<br />
<strong>SOW</strong> is used as the basis to a Contract WBS, to provide a WBS element against<br />
which a costing may be assigned; instead <strong>of</strong> hiding these costs elsewhere in the<br />
Contract (eg, as an overhead in providing Maintenance to the prime equipment,<br />
such as the Mission System(s)).<br />
If there is no S&TE provided as GFE, then the clauses will still apply as the<br />
Contractor is responsible for their S&TE used in supporting Commonwealth-owned<br />
equipment; however, the drafter should delete / modify the draft clauses to remove<br />
reference to S&TE that is GFE.<br />
In the exceptional case where management and support <strong>of</strong> S&TE is not required,<br />
the drafter may replace all sub-clauses <strong>of</strong> 9.3 with ‘Not used’.<br />
Drafters should ensure that the GFE needed by clause 9.3 is listed in Attachment<br />
E, and accurately reflects that which is <strong>of</strong>fered to the Contractor. The Contractor’s<br />
responsibilities in relation to Engineering, Maintenance, and Supply Services for<br />
each item <strong>of</strong> S&TE listed, including GFE, should be included in Section 3 <strong>of</strong> Annex<br />
A to the <strong>SOW</strong>, ‘Support System Repairable Items’.<br />
If specific items <strong>of</strong> S&TE (eg, a complex suite <strong>of</strong> Automatic Test Equipment or a<br />
s<strong>of</strong>tware integration laboratory) are subject to the same or similar CM, reporting<br />
and auditing requirements as either the Mission System(s) or the Mission System<br />
RIs, then, for the purposes <strong>of</strong> the Contract, these items <strong>of</strong> S&TE should be treated<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
9.4 Training Equipment<br />
as one or other <strong>of</strong> these elements. If the items are treated as Mission System(s),<br />
then the S&TE should be included in Section 1 <strong>of</strong> Annex A; if the items are treated<br />
as Mission System RIs, then the S&TE should be included in Section 2 <strong>of</strong> Annex A.<br />
This approach ensures that these items <strong>of</strong> S&TE are subject to the full<br />
management requirements <strong>of</strong> the <strong>SOW</strong> clauses for Engineering, Maintenance, and<br />
Supply Services.<br />
<strong>SOW</strong> clause 3.11.2, Care <strong>of</strong> GFM.<br />
<strong>SOW</strong> Annex A, List <strong>of</strong> Products to be Supported.<br />
Attachment E, Government Furnished Material, Government Furnished Facilities<br />
Government Furnished Services and Government Titled Items.<br />
TDR E-9 <strong>of</strong> the COT, Government Furnished Material.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To define the work the Contractor is required to perform in relation to the<br />
management and support <strong>of</strong> Training Equipment.<br />
Policy: Nil<br />
Guidance: Clause 9.4 will be applicable in support contracts where training is to be provided<br />
to <strong>Defence</strong> (ie, if clause 8 is included then clause 9.4 should also be included).<br />
This clause specifies the requirements to be met by the Contractor in relation to<br />
Training Equipment, including:<br />
a. Training Equipment, listed in <strong>SOW</strong> annex a and used by <strong>Defence</strong> for<br />
Training or Training for which the Contractor provides Services;<br />
b. GFE that is Training Equipment (which may or may not overlap with the<br />
items under sub paragraph ‘a’ above); and<br />
c. Contractor owned Training Equipment that is required to provide the<br />
services (ie, not listed as GFE).<br />
Note that Training delivery requirement described in DSD-TNG-DEL may also<br />
include a Training Equipment and Materials List (TEML) or refer to a Training<br />
Management Package that includes a TEML specific to each Training Course that<br />
is provided by the Contractor.<br />
If there is no management or support <strong>of</strong> Training Equipment required by the<br />
Contract, then the drafter may delete the draft <strong>SOW</strong> clauses and replace them with<br />
a single clause stating ‘Not used’.<br />
The purpose <strong>of</strong> including these clauses is to define responsibility for the provision<br />
and support <strong>of</strong> Training Equipment. The Contractor may use Training Equipment<br />
as part <strong>of</strong> the provision <strong>of</strong> Training Services or may simply be responsible for the<br />
provision <strong>of</strong> Services in support <strong>of</strong> Training Equipment that is used by the<br />
Commonwealth. If the <strong>SOW</strong> is used as the basis to a Contract WBS, the clause<br />
also provides a WBS element against which a costing may be assigned; instead <strong>of</strong><br />
hiding these costs elsewhere in the Contract, such as an estimated overhead<br />
added to the delivery <strong>of</strong> a variable number <strong>of</strong> individual courses.<br />
If Training Equipment is required, the drafter should determine whether Training<br />
Equipment would be provided to the Contractor as GFE. Drafters should ensure<br />
that the GFE needed by clause 9.4 is listed in Attachment E, and accurately<br />
reflects that which is <strong>of</strong>fered to the Contractor. Contractor’s responsibilities in<br />
relation to Engineering, Maintenance, and Supply Services for each item <strong>of</strong><br />
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Related Clauses:<br />
Optional Clauses: Nil.<br />
9.5 Packaging<br />
Training Equipment listed, including GFE, should be included in Section 3 <strong>of</strong> Annex<br />
A to the <strong>SOW</strong>, ‘Support System Repairable Items’.<br />
Clause 9.4 is intended to cover Training Equipment that is relatively simple and<br />
supported by straightforward procedures. If specific items <strong>of</strong> Training Equipment<br />
are complex (eg, flight, bridge, air traffic or other mission simulators), these items<br />
may have similar CM, reporting, regulatory and auditing requirements as either the<br />
Mission System(s) or the Mission System RIs. If the items are treated as Mission<br />
System(s), then the Training Equipment should be included in Section 1 <strong>of</strong> Annex<br />
A; if the items are treated as Mission System RIs, then the Training Equipment<br />
could be included in Section 2 <strong>of</strong> Annex A. This approach ensures that these items<br />
<strong>of</strong> Training Equipment are subject to the full management requirements <strong>of</strong> the<br />
<strong>SOW</strong> clauses for Engineering, Maintenance, and Supply Services.<br />
For flight simulators, the simulator is usually subject to the same or similar<br />
airworthiness requirements as the aircraft because the same flight programs may<br />
be loaded, and/or modifications tested on the simulator. In these cases, the flight<br />
simulator must be added to Section 1 <strong>of</strong> Annex A. Similar requirements apply to<br />
submarine simulators and other critical and/or hazardous Training Equipment.<br />
The drafter should determine the nature <strong>of</strong> management and the support required<br />
for items <strong>of</strong> Training Equipment, and then add these to the appropriate list in <strong>SOW</strong><br />
Annex A so that they may be treated accordingly.<br />
The tenderers/Contractor proposals to manage Training Equipment are included as<br />
a requirement for the TSP in DID-TNG-TSP.<br />
<strong>SOW</strong> clause 3.11.2, Care <strong>of</strong> GFM.<br />
<strong>SOW</strong> Annex A, List <strong>of</strong> Products to be Supported.<br />
Attachment E, Government Furnished Material, Government Furnished Facilities<br />
and Government Furnished Services.<br />
DID-TNG-TSP, which defines the requirements for managing Training, including<br />
Training Equipment.<br />
CDRL Line Number TNG-100.<br />
TDR E-9 <strong>of</strong> the COT, Government Furnished Material.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To define Packaging resource requirements.<br />
Policy: DEF(AUST) 1000C, ADF Packaging<br />
Guidance: If there is no Packaging provided by <strong>Defence</strong>, drafters should select Option A from<br />
the optional clauses in the draft <strong>SOW</strong>. If some <strong>of</strong> the Packaging is being provided<br />
by the Commonwealth, such as special packaging designed for protecting<br />
particular components, drafters should select Option B.<br />
For Packaging that is provided by the Commonwealth, such as specialised<br />
packaging and reusable containers, the drafter must make applicable entries in the<br />
GFE list <strong>of</strong> COC, Attachment E. Furthermore, if the Packaging item is an RI to be<br />
maintained by the Contractor, it must be listed in Section 3 <strong>of</strong> <strong>SOW</strong> Annex A,<br />
‘Support System Repairable Items’, under clause 3, ‘Other Repairable Equipment’.<br />
Related Clauses: <strong>SOW</strong> clause 7, Supply Support.<br />
<strong>SOW</strong> Annex A, List <strong>of</strong> Products to be Supported.<br />
<strong>SOW</strong> clause 3.11.2, Care <strong>of</strong> GFM.<br />
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Optional Clauses: Nil<br />
9.6 Facilities<br />
Attachment E, Government Furnished Material, Government Furnished Facilities<br />
and Government Furnished Services.<br />
TDR E-9 <strong>of</strong> the COT, Government Furnished Material.<br />
Sponsor: <strong>Defence</strong> Support Group (DSG), Director - Property Leasing<br />
Status: Optional<br />
Purpose: To define the Contractor’s obligations in relation to Facilities.<br />
Policy: DI(G) ADMIN 35-1, Procedures for the Use <strong>of</strong> <strong>Defence</strong> Estate Assets by<br />
Non-<strong>Defence</strong> Organisations or Individuals including Commercial Contractors<br />
Guidance: Facilities used to provide Services may be Contractor-owned, GFF, or a<br />
combination <strong>of</strong> both. If some or all <strong>of</strong> the Facilities will be GFF, a Commonwealth<br />
Licence Agreement for Use by Contractors <strong>of</strong> <strong>Defence</strong> Facilities (Facilities Licence)<br />
must be issued for those Facilities (which may include groups <strong>of</strong> buildings or only<br />
part <strong>of</strong> a building).<br />
If there is no doubt that the Contractor will be responsible for all Facilities and any<br />
associated costs, then the optional clauses under 9.6 may be replaced with ‘Not<br />
Used’ or the drafter may choose the Option A clause in the draft <strong>SOW</strong>, stating that<br />
the Contractor shall provide all Facilities. If some or all Facilities may be GFF, then<br />
drafters should select Option B.<br />
Fixed plant and some equipment are considered to be part <strong>of</strong> a Facility. For<br />
example, this may include air conditioners, standby power generators, cranes,<br />
vehicle lifts, gantry, etc. In many cases, the Commonwealth will take responsibility<br />
for the management and Maintenance <strong>of</strong> these items that are part <strong>of</strong> the GFF<br />
(particularly for shared Facilities), and this will be identified in the Facilities Licence.<br />
However, in some instances for practicality and/or cost, it may be more effective for<br />
the Contractor to undertake these tasks.<br />
In this instance, the drafter should discuss with DSG the best way <strong>of</strong> incorporating<br />
these requirements into the Facilities Licence (thus providing visibility to both the<br />
DMO support agency and DSG <strong>of</strong> the Contractor’s obligations). The drafter will<br />
also need to ensure that, for Facilities plant and equipment, there are no gaps or<br />
overlaps between the Facilities listing and the GFM S&TE or Training Equipment<br />
lists (see clause 9.3 and 9.4). If the Facility performs a test and / or calibration<br />
function or must be calibrated itself to enable the provision <strong>of</strong> Services, then<br />
drafters should refer to the discussion on the optional clause below.<br />
If the Contractor is also required to perform physical security <strong>of</strong> the Facility, such<br />
as providing security guards, this should also be discussed with DSG.<br />
If the Facility performs a test and/or calibration function:<br />
Some Facilities (either Government-owned or Contractor-owned) may be used to<br />
perform a test or calibration function (eg, firing ranges, a radar range, pressure<br />
chamber, engine build up and test Facility, etc). In these instances and where the<br />
Facilities are GFF, the calibration <strong>of</strong> the GFF or its embedded equipment could be<br />
added to the Facilities Licence or could be included in the draft <strong>SOW</strong> (by making<br />
additions to Section 3 <strong>of</strong> <strong>SOW</strong> Annex A, under clause 3, ‘Other Repairable<br />
Equipment’). Inclusion in the draft <strong>SOW</strong> has the advantage <strong>of</strong> grouping together<br />
the calibration requirements for S&TE, Training Equipment, and equipment that is<br />
considered part <strong>of</strong> Facilities, and including them on the same calibration register.<br />
If calibration <strong>of</strong> Facilities or Facilities’ equipment is required, then the drafter should<br />
include the optional clause below in the draft <strong>SOW</strong>.<br />
In rare instances, the Contractor will be required to support <strong>Defence</strong>-owned<br />
Facilities that are not managed by DSG. The template provides the framework for<br />
identifying these Facilities at Section 7 <strong>of</strong> Annex A to the <strong>SOW</strong>. Clause 9.6, and<br />
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Related Clauses:<br />
Optional Clauses:<br />
9.7 Computer Support<br />
the Facilities licence / deed would need to be expanded to accommodate the<br />
scope <strong>of</strong> this work.<br />
COC clause 3.7, Government Furnished Facilities.<br />
<strong>SOW</strong> clause 9.3, Support and Test Equipment.<br />
<strong>SOW</strong> clause 9.4, Training Equipment.<br />
<strong>SOW</strong> Annex A, List <strong>of</strong> Products to be Supported.<br />
Attachment E, Government Furnished Material, Government Furnished Facilities,<br />
Government Furnished Services and Government Titled Items.<br />
Annex D to Attachment I, Government Furnished Facilities Licence Deed.<br />
If the Facility performs a test and/or calibration function, then include the following<br />
clauses in the draft <strong>SOW</strong>:<br />
The Contractor shall maintain a calibration register that includes GFF employed in<br />
calibration, test and/or measurement functions and shall, upon request, provide the<br />
Commonwealth Representative or a delegated representative with access to that<br />
calibration register.<br />
The Contractor shall ensure that Facilities and Facilities’ equipment requiring<br />
calibration is calibrated by an organisation accredited by [...INSERT APPLICABLE<br />
ACCREDITATION AGENCY...] for the class <strong>of</strong> testing appropriate to the Facilities<br />
and equipment, and in accordance with the applicable technical documentation.<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To define the Contractor’s obligations in relation to computer support used in the<br />
process <strong>of</strong> providing Services and the associated planning and reporting required<br />
by the Contract.<br />
Policy: Nil<br />
Guidance: Computer support clauses may be required where computers are required to<br />
interface with <strong>Defence</strong> information systems or as tools to support the provision <strong>of</strong><br />
Services and management functions (eg, Maintenance scheduling, s<strong>of</strong>tware<br />
development, and preparing management reports). The computer support clause<br />
does not cover S<strong>of</strong>tware Support, which is addressed under Engineering Support.<br />
If no support <strong>of</strong> this nature is required, then the drafter should delete the default<br />
clause and replace it with ‘Not used’.<br />
If the computing equipment interfaces with a <strong>Defence</strong> information system, the<br />
hardware and s<strong>of</strong>tware will <strong>of</strong>ten be provided and maintained by <strong>Defence</strong> and this<br />
will be detailed explicitly elsewhere in the <strong>SOW</strong>, including DSDs (eg, for MILIS). In<br />
these circumstances, the drafter may again leave the default clause <strong>of</strong> ‘Not Used’<br />
unchanged. In this situation, the Commonwealth-provided equipment should still<br />
be listed as GFM because it will be subject to the requirements <strong>of</strong> the GFM clauses<br />
and accounting requirements for Commonwealth-owned assets.<br />
If computing support is a resource required to be provided by the Contractor to<br />
enable Services, then the drafter may include the optional clause in the <strong>SOW</strong> as a<br />
starting point to further identify computer support requirements. In developing the<br />
further requirements, the drafter should consider:<br />
a. Information System Security (refer <strong>Defence</strong> Security Manual);<br />
b. application programs specific to the Contract Services;<br />
c. who will be responsible for providing s<strong>of</strong>tware;<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
d. who will be responsible for procuring s<strong>of</strong>tware updates and annual licences;<br />
e. what are the restrictions on the Contractor for the use <strong>of</strong> Commonwealth<br />
provided s<strong>of</strong>tware; and<br />
f. how the Contractor will be informed <strong>of</strong> changes to the <strong>Defence</strong> Standard<br />
Operating Environment (SOE) and who will be responsible for paying for these<br />
changes.<br />
<strong>SOW</strong> clause 2.3, Data Management System.<br />
<strong>SOW</strong> clause 3.11.2, Care <strong>of</strong> GFM.<br />
<strong>SOW</strong> clause 3.14.3, Information Systems Security.<br />
Attachment E, Government Furnished Material, Government Furnished Facilities<br />
and Government Furnished Services.<br />
TDR E-9 <strong>of</strong> the COT, Government Furnished Material.<br />
DSD-ENG-SERV, Routine Engineering Services.<br />
DSD-ENG-CM, Configuration Management.<br />
DSD-ENG-SW, S<strong>of</strong>tware Support Services.<br />
DSD-MNT-MGT, Generic Requirements for the Management <strong>of</strong> Maintenance<br />
Services.<br />
DSD-MNT-IT-SA, Information Systems Administration and Maintenance Services.<br />
DSD-SUP-SERV, Routine Supply Services.<br />
DSD-SUP-MILIS, Military Integrated Logistics Information System Use.<br />
DSD-TNG-MGT, Training Management Services.<br />
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10. VERIFICATION AND VALIDATION<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To define the V&V requirements for the Contract, to provide an assessment <strong>of</strong><br />
current performance and as an indication <strong>of</strong> future performance, compliance,<br />
process efficiency, and system health.<br />
Policy: Nil<br />
Guidance: V&V in a support context differs from the more common application <strong>of</strong> V&V in<br />
acquisition, in that Services are assessed, rather than Products. Accordingly, the<br />
objectives are to determine if Services are being provided as required by the<br />
Contract (Verification), and if those Services are what the <strong>Defence</strong> customer<br />
actually needs (Validation). Note that, in ASDEFCON (Support), while the focus is<br />
on Services, Products are <strong>of</strong>ten delivered as outcomes <strong>of</strong> those Services.<br />
The V&V clause in ASDEFCON (Support) is intended for use when the Contract<br />
involves a complex set <strong>of</strong> performance measures, or where payments are made for<br />
performance as measured against Key Performance Indicators (KPIs). The V&V<br />
clause is required for all PBCs and is therefore a default inclusion for the use <strong>of</strong><br />
this template. If the contract being drafted is not a PBC, and ASDEFCON (Support<br />
Short) was not a suitable template, and if the Contract does not involve a set <strong>of</strong><br />
Performance Measures that require measurement and reporting, then the<br />
subclauses under the V&V clause may be replaced with ‘Not used’.<br />
Transactional and Performance Based Contracts<br />
The ASDEFCON (Support) template can be adapted to either be a transactionbased<br />
contract or a PBC. In a transaction-based contracting model, the<br />
‘transaction’ results in a payment being made for each task performed by the<br />
Contractor, as listed in the Price and Payment Schedule. For example, a<br />
Contractor is paid a set fee for each Maintenance task <strong>of</strong> a particular kind, with<br />
each event being separate and the costs summed together in an invoice, as in a<br />
standing-<strong>of</strong>fer. In a PBC model, the Contractor is paid for outcomes defined by<br />
performance measures that can vary from high-level fleet availability measures to<br />
lower-level ‘nil stock-outs’, ‘order response times’, or ‘average repair time’<br />
measures. In a PBC model, there are usually also a number <strong>of</strong> transactional<br />
payments, S&Q services, Task-Priced Services limited to larger tasks or tasks not<br />
measured by KPIs (eg, delivery <strong>of</strong> additional training courses) and firm-priced<br />
services without incentives (eg, for on-going contract management tasks).<br />
A PBC should be a part <strong>of</strong> a performance-based framework that includes higher<br />
level agreements with identified performance outcomes, such as the product<br />
schedule for a Material Sustainment Agreement (MSA) that defines an agreed level<br />
<strong>of</strong> operational capability. Other agreements may also exist within the framework,<br />
such as other contracts, and service level agreements between DMO support<br />
agencies or with DSG for facilities. The PBC should contribute to the higher-level<br />
agreements and be consistent with any other performance-based agreements<br />
within the Support System.<br />
Importantly, the drafter / program manager must decide on the approach for the<br />
Contract (Support), either transaction or performance-based, or if separate parts <strong>of</strong><br />
the Contract are suited to different methods, before tailoring Performance<br />
Measures and the V&V clause. In general, a transaction-based contract will need<br />
few if any Performance Measures and is unlikely to require the V&V clause. The<br />
template aims to accommodate both contracting models, but it cannot provide<br />
answers regarding the suitable Performance Measures or the transactions for<br />
individual support program.<br />
Further guidance on PBCs/PPBCs is included in the ASDEFCON Handbook<br />
Philosophy Volume and the PPBC Handbook.<br />
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How the Template Works<br />
Although not a compulsory approach to tailoring, the following explanation<br />
describes how the V&V clause can work with the remainder <strong>of</strong> the <strong>SOW</strong>, including<br />
DSDs:<br />
a. The V&V Plan is used to define the Contractor’s overall management plans<br />
for conducting the V&V program. This includes the required measurements,<br />
systems, data collection and processing, and reporting requirements.<br />
b. The Support Services Verification Matrix (SSVM) is used by the report<br />
performance against the Contract Performance Measures on a regular basis<br />
(eg, monthly), depending on the Review Periods for KPIs and the<br />
measurement periods for Other Performance Measures (OPM) . The SSVM<br />
includes the Achieved Performance and the Adjusted Performance Score and<br />
supporting data for KIPs (note the Adjusted Performance Score is used to<br />
convert the Achieved Performance into a percentage, where 100% equates to<br />
the performance sought by <strong>Defence</strong>). The SSVM also reports on OPMs.<br />
OPMs are not used for calculating Performance Payments, but may be used to<br />
indicate the ‘health’ <strong>of</strong> the Mission System and/or parts <strong>of</strong> the Support System,<br />
or for measuring compliance, for user Validation purposes, process monitoring<br />
(in support <strong>of</strong> tracking Efficiencies), or to validate factors used in the calculation<br />
<strong>of</strong> KPIs<br />
c. KPI Results are also included in the Performance Measurement Report, a<br />
part <strong>of</strong> the CSR (clause 3.4.1). The frequency <strong>of</strong> this report (eg, three to six<br />
monthly or annually) is based on the Review Period over which the<br />
Performance Payments are based. Accordingly, the SSVM could report <strong>of</strong><br />
‘system availability’ on a monthly basis, but the Performance Measurement<br />
Report isn’t delivered until the end <strong>of</strong> each three-month Review Period. The<br />
Performance Measurement Report includes results from the SSVM and<br />
calculations from Attachment P and Annex C to Attachment B, used to<br />
determine Performance Payment Amounts,<br />
d. Results from the Performance Measurement Report are discussed the<br />
Performance Assessment Review (clause 3.4.5). Any disagreement regarding<br />
KPI results may require reference back to the SSVM to resolve.<br />
e. Results recorded in the SSVM for OPMs would normally be used in other<br />
analyses or simply to monitor the state <strong>of</strong> the system and Contract in order to<br />
inform future planning activities.<br />
Notably, the V&V clause provides one step in the PBC / PPBC framework that links<br />
<strong>Defence</strong>’s desired Outcomes to Contractor payments. Further guidance for the<br />
PBC mechanisms in this template is included for the Performance Measurement<br />
Report and Performance Assessment Review for <strong>SOW</strong> clause 3.4.1, Performance<br />
Assessment at Attachment P, OPMs in Attachment Q, and Performance Payments<br />
in Annex C to Attachment B.<br />
If not applying a performance-based contracting, V&V may still be used for OPMs.<br />
<strong>Tailoring</strong><br />
This clause should be included if the Contract contains a V&V element that is<br />
relatively complex or needs to combine a number <strong>of</strong> Performance Measures (ie, all<br />
PBCs/PPBCs). If the Contract (Support) does not have a V&V requirement, then<br />
the heading should be retained, but the words ‘Not Used’ should be inserted in<br />
brackets at the end (eg, “Verification and Validation (Not used)”). All <strong>of</strong> the lowerlevel<br />
clauses <strong>of</strong> clause 10 should then be deleted or replaced with ‘Not used’.<br />
Note: Not having a V&V clause does not mean that the quality <strong>of</strong> Services provided<br />
is unable to be assessed. It simply means that performance can be managed with<br />
the performance-measurement clauses and the Attachments. Also, with respect to<br />
Products delivered as an outcome <strong>of</strong> Services, the terms for Acceptance (COC<br />
clause 6.7) and the Quality clause (<strong>SOW</strong> clause 11), with respect to non-<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
conforming products, are still applicable when no Performance Measures are in<br />
place.<br />
Refer to the ASDEFCON Handbook Philosophy Volume for additional guidance on<br />
linking performance measures to the Price and Payment Schedule.<br />
COC clause 6.9, Acceptance.<br />
COC clause 7.1, Price and Price Basis (including Performance Payments).<br />
Attachment B, Annex C, Performance Payments.<br />
<strong>SOW</strong> clause 3.4.1, Status Review and Reporting<br />
<strong>SOW</strong> clause 3.9, Independent V&V.<br />
<strong>SOW</strong> Clause 11, Quality.<br />
DID-V&V-V&VP, which specifies requirements for a V&V Plan.<br />
DID-V&V-SSVM, which specifies requirements for a Support Services Verification<br />
Matrix.<br />
The following diagram shows the associated DIDs supporting <strong>SOW</strong> clause 10.<br />
10.1 Verification and Validation Objectives<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if V&V is included)<br />
Verification and Validation <strong>SOW</strong> Structure<br />
Purpose: To define the V&V objectives for the Contract.<br />
Policy: Nil<br />
Guidance: If the V&V clauses are included in the draft <strong>SOW</strong>, this clause must be included and<br />
may need to be tailored to match the specifics <strong>of</strong> the program and contracting<br />
strategy. Principally, for this clause it involves inserting KPIs and /or OPMs into<br />
where indicated, however more specific clauses in relation to Outcomes (as<br />
measured with KPIs) is possible. However, drafters should also tailor Attachment<br />
P, which specifically requires the Outcomes that <strong>Defence</strong> wants, the contribution to<br />
those Outcomes made by the Contract, and the KPIs used to measure them.<br />
Accordingly, further development <strong>of</strong> this clause should be consistent with<br />
Attachment P, or refer to Attachment P.<br />
Related Clauses: All other sub clauses in <strong>SOW</strong> clause 10.<br />
Optional Clauses: Nil<br />
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10.2 Verification and Validation Planning<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if V&V is included)<br />
Purpose: To require the Contractor to define the V&V planning for the Contract.<br />
Policy: Nil<br />
Guidance: The V&V Plan should define the organisation and processes to be used by the<br />
Contractor to record and, if necessary, measure outputs associated with<br />
performance measures.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
If this template is used for a small Contract, the V&V planning required to<br />
coordinate the collection and analysis <strong>of</strong> performance measures may be minimal.<br />
In these cases, the requirements for V&V planning should be incorporated into the<br />
SSMP. DID-SSM-SSMP includes requirements to address V&VP topics if the<br />
<strong>SOW</strong> requires V&V planning to be included in the SSMP.<br />
Based on the requirement for a separate V&VP or inclusion in the SSMP, select<br />
from the optional clauses in the <strong>SOW</strong> template and update the subsequent clauses<br />
with ‘V&VP’ or ‘SSMP’ accordingly.<br />
All other subclauses in draft <strong>SOW</strong> clause 10.<br />
COT Attachment A, Annex G, TDR G-2<br />
DID-V&V-V&VP, which specifies requirements for a V&VP.<br />
DID-SSM-SSMP, which specifies requirements for a SSMP.<br />
CDRL Line Number V&V-100.<br />
10.3 Support Services Verification and Validation Activities<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if V&V is included)<br />
Purpose: To define the mechanism by which Contract performance measurement results are<br />
reported, and the current status <strong>of</strong> performance, applicable to each measure, is<br />
recorded and delivered to the Commonwealth.<br />
Policy: Nil<br />
Guidance: The Contractor is required to measure performance in accordance with the V&VP<br />
or SSMP, as selected at clause 10.2. The SSVM is used to define and record the<br />
status <strong>of</strong> the Contractor’s Verification activities under the Contract. The SSVM<br />
provides a single focal point for reporting results against the set <strong>of</strong> Contract<br />
Performance Measures, including KPIs and OPMs.<br />
The SSVM also identifies the individual methodology or procedure that is used to<br />
measure each Performance Measure and calculate and results, and it records<br />
current and historical performance, trend analyses and reasons for aberrations in<br />
the collected data. The SSVM can help to group together lower-level Performance<br />
Measures that must be combined to create a meaningful measure <strong>of</strong> the Services<br />
being provided (eg, several measures for the delivery <strong>of</strong> spares at different order<br />
priorities and to different locations may be needed in order to produce a single<br />
Supply Support KPI).<br />
Results from the SSVM are used to prepare the Performance Measurement Report<br />
(a part <strong>of</strong> the CSR), which informs the Performance Assessment Review<br />
undertaken to determine / confirm Performance Payments for a PBC / PPBC.<br />
Measurement results and calculations underpinning the SSVM must be retained<br />
and, if necessary, provided to the Commonwealth Representative, in order to<br />
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Related Clauses:<br />
Optional Clauses: Nil<br />
support the evaluation <strong>of</strong> the Performance Measurement Report and conduct <strong>of</strong> the<br />
Performance Assessment Review.<br />
In addition to preparing the SSVM, clause 10.3 also requires the Contractor to<br />
investigate performance shortfalls and prepare Remediation Plans on any occasion<br />
that performance measured against a KPI drops from Band I or IV and into Bands<br />
II and III. The Remediation Plan is to detail the Contractor’s strategy to recover<br />
performance to more agreeable levels, and once Approved the plan becomes the<br />
basis for managing that recovery and preventing future shortfalls.<br />
In support <strong>of</strong> establishing longer term trend information, and to resolve any<br />
discrepancies at Performance Assessment Reviews, <strong>SOW</strong> clause 10.3 requires<br />
the Contractor maintain and provide, on request, measurement data collected<br />
through the V&V process.<br />
In a PBC, the drafter needs to insert the selected plan into clause 10.3, while all<br />
other sub-clauses should be effective without need for change.<br />
If the Contract is not a PBC, the SSVM may still be used to report OPMs.<br />
Accordingly, some <strong>of</strong> the initial clauses regarding the SSVM could be retained but<br />
many <strong>of</strong> those that are strictly part <strong>of</strong> the performance-management framework<br />
(eg, Remediation Plans) would need to be replaced.<br />
COC clause 6.10, Remediation <strong>of</strong> Performance Problems.<br />
All other sub clauses in <strong>SOW</strong> clause 10.<br />
DID-SSM-CSR, which defines requirements for the CSR, including the<br />
Performance Measurement Report.<br />
DID-V&V-SSVM, which defines requirements for the SSVM.<br />
10.4 Performance Implementation Period<br />
Sponsor: DMO Standardisation Office<br />
Status: Optional<br />
Purpose: To address the work effort involved in the Performance Implementation Period<br />
(PIP), including the PIP Completion Review.<br />
Policy: Nil<br />
Guidance: The PIP is an initial period in a PBC / PPBC when the full performancemanagement<br />
framework and linkages to all or part <strong>of</strong> the Performance Payments<br />
are suspended while the new contract stabilises. Often this period includes the<br />
initial deliveries <strong>of</strong> systems intended to form part <strong>of</strong> a much larger fleet, abnormal<br />
use patterns as platforms undergo Validation activities (eg, user / sea trials, post<br />
Acceptance), and while the Contractor is still establishing elements <strong>of</strong> support (eg,<br />
new functions and integrating large numbers <strong>of</strong> newly trained personnel). The PIP<br />
also enables the performance measurement methods and reporting systems to be<br />
proven. Parameters for the PIP, including duration and whether it is divided up into<br />
two or more stages, are described in Annex C to Attachment B.<br />
To confirm and adjust the performance measurement and reporting system, and<br />
the success <strong>of</strong> the PIP overall, a PIP Completion Review is held just prior to the<br />
end <strong>of</strong> the PIP, in preparation for the commencement <strong>of</strong> the full performance<br />
management framework.<br />
If there is no PIP, then the clause should be deleted and replaced with ‘Not used’.<br />
If a PIP is required then the governing plan for V&V, either the V&VP or SSMP,<br />
should be inserted into the clause as indicated. The clause could be expanded if<br />
there were specific work requirements for the PIP described by Annex C to<br />
Attachment B, or Attachment P.<br />
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ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Related Clauses:<br />
Optional Clauses: Nil<br />
10.5 Adjustment<br />
All other sub clauses in <strong>SOW</strong> clause 10.<br />
Annex C to Attachment B, Performance Payments.<br />
Attachment P, Performance Assessment.<br />
Sponsor: DMO Standardisation Office<br />
Status: Core (if V&V is included)<br />
Purpose: To define the allowable scope and process for managing updates to the<br />
performance-management framework, as may be required during the Contract<br />
Term.<br />
Policy: Nil<br />
Guidance: During the course <strong>of</strong> the Contract the performance-management framework may<br />
require updating. There may be a number <strong>of</strong> reasons for this, including changes in<br />
user demand and the required Outcomes, changes (increases or decreases) in<br />
Contract scope, the initial Performance Measures proving to be ineffective due to<br />
difficulties in data collection, changes in <strong>Defence</strong> information systems used for data<br />
collection, more effective data collection methods being found (eg, changing the<br />
specified process for data collection), or for some other reason. To accommodate<br />
such adjustments, this clause outlines aspects <strong>of</strong> permissible scope for adjusting<br />
the performance-management framework and the process by which adjustments<br />
are incorporated via CCP.<br />
The set <strong>of</strong> OPMs may be the subject <strong>of</strong> regular adjustment, adding new OPMs and<br />
deleting old ones, as the Commonwealth and Contractor seek to measure and<br />
evaluate various processes in order to find Efficiencies or to measure the<br />
effectiveness <strong>of</strong> recently implemented Efficiencies. Additional OPMs may also be<br />
introduced to monitor system health, particularly as systems age.<br />
Adjusting KPIs requires careful consideration, and <strong>of</strong>ten negotiation, due to the link<br />
between KPIs and Performance Payments. Although each situation will be<br />
different, there are some common principles for adjusting KPIs, such as;<br />
a. KPIs should be linked to the contribution made by the Contract to achieve<br />
required Outcomes; hence, changes in KPIs must also be linked to those<br />
requirements;<br />
b. KPIs should not be changed in order to accommodate Contractor shortfalls<br />
or to make the Contractor work harder as such changes are not linked to<br />
required Outcomes;<br />
c. KPIs, like all Performance Measures, should be “SMART” (Specific,<br />
Measureable, Attainable, Relevant and Timely), and any changes should<br />
maintain or enhance these qualities; and<br />
d. KPIs need to be clearly documented and understood by all parties involved.<br />
Specific advice regarding both the setting and adjustment <strong>of</strong> KPIs is beyond the<br />
scope <strong>of</strong> this document and specialist advice should be sought for these activities.<br />
The performance-management framework will <strong>of</strong>ten require adjustment following<br />
updates to the MSA Product Schedules negotiated between the DMO and<br />
Capability Manager. These changes will <strong>of</strong>ten require Contractor input to assess<br />
to cost impact <strong>of</strong> changing the Rate <strong>of</strong> Effort, operating locations, or other<br />
parameters. The performance-management framework may also be updated for<br />
Award Terms or Renewal Terms if the scope <strong>of</strong> the Contract changes through the<br />
implementation <strong>of</strong> Efficiencies, or other changes, for that Term. Accordingly,<br />
adjustments under this clause may be related to discussions at Award Term<br />
Reviews and Periodic Cost Reviews, where these apply to the Contract.<br />
ASDEFCON (Support) V3.0 10-6
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Related Clauses:<br />
Optional Clauses: Nil<br />
Drafters do not need to tailor this clause.<br />
COC clause 10.1 Change to the Contract.<br />
<strong>SOW</strong> clause 3.4.6, Award Term Reviews.<br />
<strong>SOW</strong> clause 3.4.7, Periodic Cost Reviews.<br />
Annex C to Attachment B, Performance Payments.<br />
Attachment P, Performance Assessment.<br />
Attachment Q, Other Performance Measures.<br />
ASDEFCON (Support) V3.0 10-7
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
11. QUALITY MANAGEMENT<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To define the quality-related requirements for the Contract through both this clause<br />
<strong>of</strong> the <strong>SOW</strong> and the associated DIDs.<br />
Policy: DPPM, Section 3, Chapter 3.5 Quality Assurance<br />
DI(G) LOG 4-5-001, <strong>Defence</strong> Policy on Quality Assurance<br />
AS/NZS ISO 9001:2000 Quality Management Systems - Requirements<br />
AS/NZS ISO 9000:2006 Quality Management Systems – Fundamentals and<br />
Vocabulary<br />
Guidance: All ASDEFCON (Support) RFTs and contracts are to contain a requirement for<br />
Quality Management.<br />
Related Clauses: Nil<br />
Optional Clauses: Nil<br />
Drafters need to establish the Quality requirements for the draft <strong>SOW</strong> based on<br />
cost and Quality requirements for managing the system as a whole.<br />
11.1 Contractor Quality Responsibilities<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To define the quality-related requirements for the Contract.<br />
Policy: As above<br />
Guidance: These clauses must be included as they ensure that:<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
a. the Contractor has a Certified QMS in place at the Operative Date;<br />
b. Approved Subcontractors have a QMS appropriate to the work required<br />
under any Subcontract; and<br />
c. the Commonwealth has access to the Contractor’s and Subcontractor’s<br />
facilities for the purposes <strong>of</strong> performing Audit and Surveillance activities, if<br />
required.<br />
COC clause 10.7, Commonwealth Access and Records.<br />
<strong>SOW</strong> clause 5.4, Technical Regulation <strong>of</strong> Engineering Support.<br />
<strong>SOW</strong> clause 6.4, Technical Regulation <strong>of</strong> Maintenance Support.<br />
11.2 Quality Management Planning<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To define the quality-related requirements for the Contract.<br />
Policy: As above<br />
Guidance: Requirements for the Quality Plan are defined in DID-SSM-QP, which references<br />
out to AS/NZS ISO 10005:2006 Quality management – <strong>Guide</strong>lines for Quality<br />
Plans and AS 3925.1:1994 S<strong>of</strong>tware Quality Assurance Part 1: Plans, when the<br />
s<strong>of</strong>tware support is applicable to the Contract.<br />
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ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Related Clauses:<br />
Optional Clauses: Nil<br />
For smaller Contracts (Support), it may be possible to roll-up the Quality Plan into<br />
the SSMP. Optional clauses A or B should be selected and the subsequent<br />
clauses should be tailored accordingly.<br />
DID-SSM-QP, which specifies requirements for a Quality Plan.<br />
DID-SSM-SSMP, which specifies requirements for the SSMP, including Quality<br />
planning if rolled up into the SSMP.<br />
CDRL Line Number MGT-140<br />
11.3 Quality Systems, Process and Product Non-Conformances<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To specify the quality processes to be followed by the Contractor for the Contract<br />
when non-conformance with respect to Quality Systems, Process or Product is<br />
determined.<br />
Policy: As above<br />
Guidance: These clauses must be included. The drafter needs to determine whether the<br />
particular draft <strong>SOW</strong> involves a significant technical risk element, such as if a<br />
significant engineering change or s<strong>of</strong>tware support program is likely. If significant<br />
technical risk elements are identified, the option in <strong>SOW</strong> clause 11.3.3 should be<br />
included.<br />
Related Clauses: Nil<br />
Optional Clauses: Nil<br />
11.4 Commonwealth Representative Approval <strong>of</strong> Non-Conforming Services<br />
Sponsor: DMO Standardisation Office<br />
Status: Core<br />
Purpose: To specify the quality approval processes to be followed by the Contractor for the<br />
Contract when non-conforming materials or work in the Services are identified.<br />
Policy: As above<br />
Guidance: These clauses should not be tailored. Drafters should review the CDRL details for<br />
the delivery <strong>of</strong> the Form SG2.<br />
Related Clauses:<br />
Optional Clauses: Nil<br />
DSD-ENG-CM, Configuration Management clause 6.2.5, with respect to<br />
Configuration Control <strong>of</strong> Deviations.<br />
DSD-MNT-SERV, Routine Maintenance Services clause 6.2.6, for Implementing<br />
Non-Standard Repairs and Deviations.<br />
CDRL Line Number MGT-160.<br />
ASDEFCON (Support) V3.0 11-2
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Support Services<br />
Requirement<br />
Mission System<br />
Responsibilities<br />
<strong>SOW</strong> TAILORING GUIDE – ANNEX A<br />
SUPPORT CONCEPTS AND CONTRACT REQUIREMENTS<br />
Support Scenario #1 Support Scenario #2 Support Scenario #3 Support Scenario #4<br />
• Contractor has total responsibility for<br />
supporting the Mission System.<br />
• Mission System may be handed over to a<br />
<strong>Defence</strong> operator to use (eg, flight simulator),<br />
or may be operated by the Contractor for<br />
<strong>Defence</strong> (eg, satellite ground station).<br />
• Commonwealth has almost no role in<br />
supporting the Mission System.<br />
• Contractor has responsibility at the Mission<br />
System level, which may include meeting<br />
availability targets (systems available to<br />
<strong>Defence</strong>) and / or conducting deeper levels <strong>of</strong><br />
Maintenance.<br />
• Contractor has no Mission System<br />
responsibilities.<br />
• Commonwealth either has full Mission<br />
System responsibility or this responsibility<br />
rests with another contractor.<br />
• The ‘Mission System’ is a relatively simple<br />
item <strong>of</strong> equipment (not a major platform) and<br />
can be treated as a family <strong>of</strong> Repairable<br />
Items.<br />
Possible Template(s) • ASDEFCON (Support) • ASDEFCON (Support) • ASDEFCON (Support) where greater<br />
governance or more in-depth Services are<br />
required.<br />
Key Support System<br />
Responsibilities<br />
• Contractor manages almost all <strong>of</strong> the Support<br />
System.<br />
• Commonwealth manages the Contract and<br />
any exclusions from the Contract (eg,<br />
cryptographic equipment).<br />
Examples • Lead-in Fighter where the Contractor was<br />
required to provide a set number <strong>of</strong> available<br />
aircraft for student pilots.<br />
Basis <strong>of</strong> Performance<br />
Measurement<br />
• The Commonwealth provides no<br />
Maintenance.<br />
• JORN.<br />
• Contractor operated and supported satellite<br />
ground stations.<br />
• Performance measurement for Mission<br />
System is based on the availability <strong>of</strong> the<br />
Mission System for <strong>Defence</strong> use.<br />
• Performance measurement for Stock Items<br />
may include meeting Reserve Stockholding<br />
Levels (RSLs).<br />
• Likely to be additional performance measures<br />
• Contractor has responsibility for Stock Items<br />
in addition to the Mission System.<br />
• Contractor has responsibility for managing<br />
Reserve Stockholdings and for Requirements<br />
Determination <strong>of</strong> Stock Items.<br />
• F-111 Weapon System Business Unit<br />
(WSBU) where the Contractor was required<br />
to provide deeper Maintenance <strong>of</strong> the aircraft<br />
and a range <strong>of</strong> other services including total<br />
support <strong>of</strong> the flight simulator.<br />
• For the F-111, the Commonwealth provides<br />
forward Maintenance.<br />
• Patrol Boats, where Navy Maintenance is<br />
only ‘at sea’.<br />
• Performance measurement for Mission<br />
System may be through availability <strong>of</strong><br />
Mission System or through delivery within<br />
requisite timeframes (eg, Mission Systems<br />
provided within agreed Maintenance<br />
schedule).<br />
• Different types <strong>of</strong> Mission System<br />
performance measures could apply between<br />
• ASDEFCON (Support Short) for more routine<br />
contracts, with less governance and a broad<br />
but limited depth <strong>of</strong> Services.<br />
• Contractor has responsibility for Stock Items<br />
only.<br />
• Contractor has responsibility for managing<br />
Reserve Stockholdings and for Requirements<br />
Determination.<br />
• F-111 Avionics Business Unit (AVBU) where<br />
the Contractor was required to provide a<br />
range <strong>of</strong> services relating to Repairable<br />
Items.<br />
• Common support contracts for Repairable<br />
Items fitted to larger platforms (eg,<br />
communication terminals) or individual<br />
equipment.<br />
• Performance measurement for Stock Items<br />
(both RIs and Non-RIs) is based on demand<br />
satisfaction (eg, delivery within the<br />
Scheduled Delivery Date (SDD)) and meeting<br />
RSLs.<br />
• For Stock Items, demand satisfaction<br />
performance measures could include Spares<br />
Availability, Average No <strong>of</strong> Backorders, etc.<br />
• Contractor has no Mission System<br />
responsibilities.<br />
• Commonwealth either has full Mission<br />
System responsibility or this responsibility<br />
rests with another contractor.<br />
• ASDEFCON (Support Short) for lower value<br />
contracts with a broad scope <strong>of</strong> Services.<br />
• ASDEFCON (Standing Offer for Goods and<br />
Maintenance Services) for contracts that<br />
require Maintenance and limited Supply<br />
Support Services only.<br />
• ASDEFCON (Support) is only considered if<br />
there is a need for a high level <strong>of</strong> governance<br />
or a detailed definition <strong>of</strong> Services.<br />
• Contractor has responsibility for Stock Items<br />
only.<br />
• Commonwealth has responsibility for<br />
managing Reserve Stockholdings and for<br />
Requirements Determination<br />
• Any number <strong>of</strong> Standing Offer arrangements<br />
where the Commonwealth feeds the RIs into<br />
the Contractor on an ‘as required’ basis.<br />
• May also include the provision <strong>of</strong> Non-RIs to<br />
the Commonwealth.<br />
• For RIs, performance measurement is likely<br />
to be based around an RI Turn Around Time<br />
(TAT), with the Commonwealth feeding the<br />
RIs into the Contractor, as required.<br />
• TAT is that time under the control <strong>of</strong> the<br />
Contractor; as such, the Contract must be<br />
clear on the elements under the control <strong>of</strong> the<br />
Contractor (eg, pick-up point to delivery<br />
ASDEFCON (Support) V3.0 A-1
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Support Services<br />
Requirement<br />
Support Scenario #1 Support Scenario #2 Support Scenario #3 Support Scenario #4<br />
for Engineering Support (eg, schedule).<br />
• Could also be Maintenance Support<br />
performance measures, such as for<br />
on-equipment Maintenance (eg, response<br />
times) or depot Maintenance scheduling<br />
effectiveness (as an adjunct to system<br />
availability to avoid Maintenance shortcuts).<br />
General • If possible, Commonwealth is not part <strong>of</strong> the<br />
process.<br />
• May be a requirement for the Commonwealth<br />
to be ‘in the process’ where common items<br />
are involved.<br />
• Generally, Commonwealth not interested<br />
how Contractor meets performance<br />
measures (except for TRA requirements).<br />
• Commonwealth does not perform any<br />
Maintenance.<br />
• Deployment <strong>of</strong> asset not required (in<br />
peacetime or wartime) or assets and<br />
Contractor can deploy to a safe neighbouring<br />
region supporting the area <strong>of</strong> operations.<br />
• Surge required (for example) to meet<br />
increased operating tempo associated with<br />
readiness timeframes (which could include<br />
increased training requirements). Surge<br />
requirements included in Contract as<br />
planning requirements – Contractor’s ability<br />
to meet Surge requirements assessed during<br />
tender evaluation and subsequent<br />
negotiation. Also needs to be assessed on a<br />
regular basis (eg, annually). Separate Surge<br />
Management Plan (SMP) likely to be<br />
required.<br />
• If Maintenance (or other support) is<br />
differing Mission Systems and between<br />
peacetime and wartime.<br />
• Performance measurement for Stock Items<br />
(both RIs and Non-RIs) is based on demand<br />
satisfaction (eg, delivery within the<br />
Scheduled Delivery Date (SDD)) and meeting<br />
Reserve Stockholding Levels (RSLs).<br />
• For Stock Items, demand satisfaction<br />
performance measures could include Spares<br />
Availability, Average No <strong>of</strong> Backorders, etc.<br />
• Likely to be additional performance measures<br />
for Engineering Support (eg, schedule).<br />
• Could also be Maintenance Support<br />
performance measures, such as for<br />
on-equipment Maintenance (eg, response<br />
times).<br />
• Commonwealth conducts forward-levels <strong>of</strong><br />
Maintenance; hence, Contractor is unable to<br />
provide a total support solution (with the<br />
Contractor (or a set <strong>of</strong> Contractors) providing<br />
all other Maintenance.)<br />
• Assets are deployable in both peacetime and<br />
wartime.<br />
• Wherever possible, Commonwealth is not<br />
part <strong>of</strong> the process.<br />
• May be a requirement for the Commonwealth<br />
to be ‘in the process’ where common items<br />
are involved.<br />
• Surge required (for example) to meet<br />
increased operating tempo associated with<br />
readiness timeframes. Surge requirements<br />
included in Contract as planning<br />
requirements – Contractor’s ability to meet<br />
Surge requirements assessed during tender<br />
evaluation and subsequent negotiation. Also<br />
needs to be assessed on a regular basis (eg,<br />
annually). Separate Surge Management<br />
Plan (SMP) likely to be required.<br />
• If Maintenance (or other support) is<br />
conducted on a <strong>Defence</strong> establishment, then<br />
there may be services that the base needs to<br />
provide (eg, disposal, cleaning, phones,<br />
security, LAN).<br />
• Likely to be additional performance measures<br />
for Engineering Support (eg, schedule).<br />
• Could also be Maintenance Support<br />
performance measures, such as for<br />
on-equipment Maintenance (eg, response<br />
times).<br />
• Commonwealth conducts forward-levels <strong>of</strong><br />
Maintenance.<br />
• Other contractor(s) responsible for deeper<br />
levels <strong>of</strong> Maintenance.<br />
• Surge required (for example) to meet<br />
increased operational tempo (eg, from 10<br />
items/month to 15 items/month). Surge<br />
requirements included in Contract as<br />
planning requirements – Contractor’s ability<br />
to meet Surge requirements assessed during<br />
tender evaluation and subsequent<br />
negotiation. Also needs to be assessed on a<br />
regular basis (eg, annually). Separate Surge<br />
Management Plan (SMP) unlikely to be<br />
required.<br />
point). The drafter should be aware <strong>of</strong> the<br />
administrative time which may be taken<br />
getting the item to the pick-up point and from<br />
the delivery point.<br />
• For Non-RIs, performance measurement is<br />
likely to be measured by order response<br />
times. TATs and order response times would<br />
be addressed as part <strong>of</strong> tender evaluation<br />
and subsequent negotiations.<br />
• While unlikely, there may be Reserve<br />
Stockholding requirements under the<br />
Contract, in which case, meeting RSLs would<br />
also be a requirement.<br />
• Could also be additional performance<br />
measures for Engineering Support (eg,<br />
schedule).<br />
• Surge required (for example) to meet<br />
increased operational tempo (eg, from 10<br />
items/month to 15 items/month). Surge<br />
requirements included in Contract as<br />
planning requirements – Contractor’s ability<br />
to meet Surge requirements assessed during<br />
tender evaluation and subsequent<br />
negotiation. Also needs to be assessed on a<br />
regular basis (eg, annually). Separate Surge<br />
Management Plan (SMP) not required.<br />
ASDEFCON (Support) V3.0 A-2
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Support Services<br />
Requirement<br />
Support Scenario #1 Support Scenario #2 Support Scenario #3 Support Scenario #4<br />
conducted on a <strong>Defence</strong> establishment, then<br />
there may be services that the base needs to<br />
provide (eg, disposal, cleaning, phones,<br />
security, LAN).<br />
Engineering Support • TRA requirements likely to apply.<br />
Maintenance Support:<br />
• Maintenance Planning<br />
• Maintenance<br />
Management<br />
• Maintenance Services<br />
• Which Engineering Services are included in<br />
the firm-priced portion <strong>of</strong> the contract as<br />
specific line items for which the<br />
Commonwealth requires visibility (eg, is the<br />
Commonwealth interested in recurring<br />
defects?)?<br />
• Contractor is the configuration manager and<br />
holds the master copies <strong>of</strong> the CSAD and (if<br />
applicable) LSAR.<br />
• Mods & upgrades unlikely to be included in<br />
the firm-priced portion <strong>of</strong> contract.<br />
• Contractor conducts all Maintenance,<br />
including Maintenance planning.<br />
• Contractor provides all Non-RIs in support <strong>of</strong><br />
Contractor Maintenance (but not visible to<br />
Commonwealth).<br />
• All on-equipment Maintenance conducted at<br />
‘home base’ or port/dock or, in rare cases,<br />
deployed to ‘safe’ location.<br />
• Cannibalisation unlikely to be an issue.<br />
• Maintenance <strong>of</strong> common items will need to<br />
be addressed through the relevant item<br />
managers (note – Commonwealth is in the<br />
process here).<br />
• TRA requirements likely to apply.<br />
• All Engineering Services likely to apply,<br />
including mods and upgrades (although<br />
these may not be included in the firm-priced<br />
portion <strong>of</strong> the Contract).<br />
• Either the Commonwealth or the Contractor<br />
could be the configuration manager and hold<br />
the master copies <strong>of</strong> the CSAD and (if<br />
applicable) LSAR.<br />
• Contractor conducts all Maintenance not<br />
conducted by the Commonwealth or another<br />
contractor.<br />
• Contractor likely to provide Non-RIs in<br />
support <strong>of</strong> both Contractor and<br />
Commonwealth Maintenance (and, perhaps,<br />
Maintenance conducted by other<br />
contractors).<br />
• Contractor conducts Maintenance planning<br />
for assigned Maintenance activities, with<br />
visibility provided to the Commonwealth<br />
because <strong>of</strong> the implications for Contract price<br />
and preparedness. Also, Maintenance<br />
planning may need to feed back into<br />
Commonwealth Maintenance planning.<br />
• Maintenance may be included within the firmpriced<br />
portion <strong>of</strong> the Contract or may be<br />
included on an item-priced basis.<br />
• On-equipment Maintenance may be required<br />
in deployed locations during peacetime.<br />
• Embedded MRU may be required to cover<br />
deployed Maintenance during wartime.<br />
• Cannibalisation may be an issue.<br />
• Maintenance <strong>of</strong> common items will need to<br />
be addressed through the relevant item<br />
managers (note – Commonwealth is in the<br />
• TRA requirements likely to apply.<br />
• Some level <strong>of</strong> Engineering Services likely to<br />
apply, including mods and upgrades for the<br />
Stock Items included in the Contract<br />
(although these may not be included in the<br />
firm-priced portion <strong>of</strong> the Contract).<br />
• The Contractor could be the configuration<br />
manager for the Stock Items included in the<br />
Contract, but, equally, this could be another<br />
contractor (including the OEM). Either the<br />
Commonwealth or another contractor could<br />
hold the master copies <strong>of</strong> the CSAD and (if<br />
applicable) LSAR.<br />
• Contractor conducts all Maintenance for<br />
assigned RIs under the Contract.<br />
• Contractor likely to provide Non-RIs in<br />
support <strong>of</strong> Contractor and, perhaps,<br />
Commonwealth Maintenance.<br />
• Contractor conducts Maintenance planning<br />
for assigned RIs, based on the higher-level<br />
Maintenance plan (eg, the Mission System<br />
Maintenance plan) provided by the<br />
Commonwealth or another contractor.<br />
• RI Maintenance could be included within the<br />
firm-priced portion <strong>of</strong> the Contract, but more<br />
likely to be included on an item-priced basis.<br />
• On-equipment Maintenance unlikely to be<br />
required.<br />
• Embedded MRU may be required to cover<br />
deployed Maintenance during wartime.<br />
• Maintenance <strong>of</strong> common items will need to<br />
be addressed through the relevant item<br />
managers (note – Commonwealth is in the<br />
process here).<br />
• TRA requirements likely to apply.<br />
• May be additional requirements for<br />
Engineering Services (eg, defect<br />
investigation) for the Stock Items included in<br />
the Contract.<br />
• Commonwealth conducts Maintenance<br />
planning.<br />
• If an RI Maintenance contract,<br />
Commonwealth conducts RI requirements<br />
determination.<br />
• Contractor conducts Maintenance <strong>of</strong><br />
assigned RIs.<br />
• Contractor may or may not provide Non-RIs<br />
in support <strong>of</strong> this Maintenance.<br />
• RI Maintenance based on an item-priced<br />
basis.<br />
• On-equipment Maintenance unlikely to be<br />
required.<br />
• Embedded MRU unlikely to be required.<br />
• Maintenance <strong>of</strong> common items unlikely to be<br />
an issue here.<br />
ASDEFCON (Support) V3.0 A-3
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Support Services<br />
Requirement<br />
Supply Support:<br />
• Integrated Supply Chain<br />
Planning:<br />
o Time Phased<br />
Replenishment<br />
Planning<br />
o Requirements<br />
Determination<br />
o Plan Supply<br />
o Plan Contingency<br />
Demand<br />
o Plan Contingency<br />
Supply<br />
• Supply Chain Support<br />
• Item Life-Cycle<br />
Management:<br />
o Entitlements<br />
o Introductions &<br />
Codifications<br />
o <strong>Defence</strong> Catalogue<br />
o Segmentation<br />
o Strategic Sourcing<br />
o Manage Equipment,<br />
Assets & RIs:<br />
� Manage RIs<br />
� Manage Loans<br />
� Manage Loan<br />
Pools<br />
� Manage Items,<br />
Assets and Item<br />
Tracking<br />
o Write-<strong>of</strong>fs & Disposals<br />
• Order Fulfilment<br />
• Customer Service<br />
Support Scenario #1 Support Scenario #2 Support Scenario #3 Support Scenario #4<br />
• Integrated supply chain planning would be<br />
conducted by Contractor (does the<br />
Commonwealth need any visibility into this<br />
(eg, for preparedness reasons?))<br />
• Commonwealth may not own any Stock<br />
Items.<br />
• Codification and use <strong>of</strong> MILIS may not be a<br />
requirement if no Stock Items are owned by<br />
the Commonwealth.<br />
• TRA requirements may apply (eg, for<br />
traceability and C<strong>of</strong>Cs).<br />
• Contractor conducts RI management and RI<br />
pipeline management to meet end-item<br />
availability requirements (Commonwealth not<br />
interested in this aspect – included in firm<br />
price).<br />
• Contractor provides all Non-RIs to meet<br />
Maintenance requirements (Commonwealth<br />
not interested in this aspect – included in firm<br />
price).<br />
• Reserve Stock Items managed by the<br />
Contractor and not necessarily visible to<br />
Commonwealth.<br />
process here).<br />
• Integrated supply chain planning would be<br />
conducted by Contractor, with visibility<br />
provided to the Commonwealth because <strong>of</strong><br />
the implications for Contract price and<br />
preparedness. Supply chain between<br />
Contractor and <strong>Defence</strong> may be predefined.<br />
• Generally, Commonwealth would own those<br />
RIs and Non-RIs used by the Commonwealth<br />
for its own Maintenance activities (although<br />
this does not have to be the case).<br />
• Commonwealth may own all RIs and Non-RIs<br />
if the previous circumstances dictate this<br />
approach (eg, through the acquisition<br />
contract or through prior ISS arrangements).<br />
• Contractor likely to be required to conduct<br />
procurement <strong>of</strong> Non-RIs and additional RIs.<br />
• For Non-RIs provided by the Contractor,<br />
Commonwealth owns Non-RIs after<br />
Acceptance and payment.<br />
• Codification required for all Commonwealthowned<br />
Stock Items IAW DI(G) LOG 4-3-019.<br />
Therefore, Contractor would be required to<br />
provide Codification and Cataloguing data for<br />
any new items.<br />
• Justification for new RIs provided through<br />
Stock-assessment tool (eg, OPUS).<br />
• Contractor likely to use MILIS for inventory<br />
management <strong>of</strong> Commonwealth-owned<br />
Stock Items.<br />
• Contractor will require its own inventorymanagement<br />
system for Contractor-owned<br />
Stock Items, and Commonwealth may<br />
require visibility <strong>of</strong> these items.<br />
• Use <strong>of</strong> MILIS for procurement may be<br />
appropriate.<br />
• Use <strong>of</strong> MILIS for Requirements<br />
Determination for RIs and Non-RIs may be<br />
appropriate (although the Contract will need<br />
to ensure that these tools are not mandated –<br />
may cut across performance measures).<br />
• TRA requirements likely to apply (eg, for<br />
• Overall integrated supply chain planning<br />
would be conducted by the Commonwealth;<br />
however, Contractor would need to conduct<br />
some level <strong>of</strong> supply chain planning for<br />
assigned RIs and Non-RIs.<br />
• Generally, Commonwealth would own those<br />
RIs and Non-RIs used by the Commonwealth<br />
for its own Maintenance activities (although<br />
this does not have to be the case).<br />
• Commonwealth may own all RIs and Non-RIs<br />
if the previous circumstances dictate this<br />
approach (eg, through the acquisition<br />
contract or through prior support<br />
arrangements).<br />
• Contractor may be required to conduct<br />
procurement <strong>of</strong> Non-RIs and additional RIs.<br />
• For Non-RIs provided by the Contractor,<br />
Commonwealth owns Non-RIs after<br />
Acceptance and payment.<br />
• Codification required for all Commonwealthowned<br />
Stock Items IAW DI(G) LOG 4-3-019.<br />
Therefore, Contractor would be required to<br />
provide Codification and Cataloguing data for<br />
any new items.<br />
• Contractor may or may not use MILIS for<br />
inventory management <strong>of</strong> Commonwealthowned<br />
Stock Items. If not, Commonwealth<br />
likely to require visibility <strong>of</strong> these items.<br />
• Contractor will require its own inventorymanagement<br />
system for Contractor-owned<br />
Stock Items and may also use this system for<br />
Commonwealth-owned Stock Items. The<br />
Commonwealth is likely to require visibility <strong>of</strong><br />
Commonwealth-owned Stock Items and may<br />
require some visibility <strong>of</strong> Contractor-owned<br />
Stock Items.<br />
• Use <strong>of</strong> MILIS for procurement may be<br />
appropriate.<br />
• Use <strong>of</strong> MILIS for Requirements<br />
Determination for RIs and Non-RIs may be<br />
appropriate (although the Contract will need<br />
to ensure that these tools are not mandated –<br />
• Commonwealth conducts integrated supply<br />
chain planning.<br />
• Commonwealth manages supply chain to<br />
pick-up point and from delivery point.<br />
• Commonwealth owns RIs.<br />
• Commonwealth owns Non-RIs after<br />
Acceptance and payment.<br />
• Contractor will probably not have access to<br />
MILIS – Commonwealth will manage RI<br />
induction.<br />
• Contractor would provide Stock Items and<br />
some Non-Stock Items such as s<strong>of</strong>tware to<br />
nominated location(s) (eg, DNSDC, ‘home’<br />
base or ‘home’ port).<br />
• Commonwealth manages Item Life-Cycle<br />
Management, with the exception <strong>of</strong> partial<br />
involvement <strong>of</strong> Contractor in RI pipeline<br />
management.<br />
• Contractor would be expected to dispose <strong>of</strong><br />
Non-RIs arising out <strong>of</strong> Maintenance, including<br />
sullage.<br />
• Non-RIs used in Maintenance or supplied to<br />
the Commonwealth may be subject to TRA<br />
requirements (eg, traceability and C<strong>of</strong>Cs).<br />
ASDEFCON (Support) V3.0 A-4
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Support Services<br />
Requirement<br />
• Supply Chain<br />
Performance<br />
Support Scenario #1 Support Scenario #2 Support Scenario #3 Support Scenario #4<br />
traceability and C<strong>of</strong>Cs).<br />
• Contractor conducts RI management and RI<br />
pipeline management to meet Contract RI<br />
performance measures.<br />
• The Contractor provides all Non-RIs (except<br />
those owned by the Commonwealth) to meet<br />
its own Maintenance requirements<br />
(Commonwealth not interested in this aspect<br />
– included in firm price).<br />
• RSLs must be maintained by the Contractor,<br />
although the Contract will need to address<br />
the use <strong>of</strong> these Stock Items during wartime.<br />
• Contractor may be required to share assets<br />
with other users (eg, GFE may need to be<br />
shared with the FEG).<br />
• Contractor may be required to dispose <strong>of</strong><br />
items on behalf <strong>of</strong> the Commonwealth.<br />
Contractor would be expected to dispose <strong>of</strong><br />
Non-RIs arising out <strong>of</strong> Maintenance, including<br />
sullage.<br />
• Contractor could be required to conduct<br />
warehousing and distribution services on<br />
behalf <strong>of</strong> the Commonwealth.<br />
• Maintenance <strong>of</strong> items held in store may need<br />
to be provided.<br />
• Management <strong>of</strong> special items (eg, classified,<br />
hazardous and shelf-lifed items) may be a<br />
requirement.<br />
• In peacetime, Contractor would provide items<br />
<strong>of</strong> supply to nominated location(s) (eg,<br />
DNSDC, ‘home’ base or ‘home’ port). ‘Home’<br />
port could be a variety <strong>of</strong> locations (eg, refer<br />
Pacific Patrol Boats).<br />
• In wartime, Contractor would not be expected<br />
to deliver Items into theatre. This aspect <strong>of</strong><br />
distribution would be covered by the<br />
Commonwealth.<br />
• Stocktaking <strong>of</strong> Commonwealth-owned and<br />
Contractor-managed items (including GFE)<br />
would be a firm requirement IAW DI(G) LOG<br />
4-3-014, Item identification and recording <strong>of</strong><br />
<strong>Defence</strong> assets.<br />
may cut across performance measures).<br />
• TRA requirements likely to apply (eg, for<br />
traceability and C<strong>of</strong>Cs).<br />
• Contractor conducts RI management and RI<br />
pipeline management to meet Contract RI<br />
performance measures.<br />
• The Contractor provides all Non-RIs (except<br />
those owned by the Commonwealth) to meet<br />
its own Maintenance requirements<br />
(Commonwealth not interested in this aspect<br />
– included in firm price).<br />
• RSLs may need to be maintained by the<br />
Contractor, although the Contract will need to<br />
address the use <strong>of</strong> these Stock Items during<br />
wartime.<br />
• Contractor unlikely to be required to share<br />
assets with other users (such as GFE<br />
needing to be shared with the FEG).<br />
• Contractor may be required to dispose <strong>of</strong><br />
items on behalf <strong>of</strong> the Commonwealth.<br />
Contractor would be expected to dispose <strong>of</strong><br />
Non-RIs arising out <strong>of</strong> Maintenance, including<br />
sullage.<br />
• Contractor unlikely to be required to conduct<br />
warehousing and distribution services on<br />
behalf <strong>of</strong> the Commonwealth.<br />
• Maintenance <strong>of</strong> items held in store may need<br />
to be provided.<br />
• Management <strong>of</strong> special items (eg, classified,<br />
hazardous and shelf-lifed items) may be a<br />
requirement.<br />
• In peacetime, Contractor would provide items<br />
<strong>of</strong> supply to nominated location(s) (eg,<br />
DNSDC, ‘home’ base or ‘home’ port). ‘Home’<br />
port could be a variety <strong>of</strong> locations (eg,<br />
Pacific Patrol Boats could be at a number <strong>of</strong><br />
defined locations in the Pacific).<br />
• In wartime, Contractor would not be expected<br />
to deliver Items into theatre. This aspect <strong>of</strong><br />
distribution would be covered by the<br />
Commonwealth.<br />
• Stocktaking <strong>of</strong> Commonwealth-owned and<br />
ASDEFCON (Support) V3.0 A-5
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
Support Services<br />
Requirement<br />
Training Support • Contractor may be required to provide<br />
training on the operation <strong>of</strong> the Mission<br />
System(s) and/or other items <strong>of</strong> equipment.<br />
Support Scenario #1 Support Scenario #2 Support Scenario #3 Support Scenario #4<br />
• Contractor unlikely to be required to provide<br />
Maintenance training to the Commonwealth.<br />
• Commonwealth may need to provide training<br />
on Commonwealth Logistic Information<br />
Management Systems (LIMS), if used by the<br />
Contractor.<br />
Operating Support • Contractor may be required to operate the<br />
Mission System (eg, satellite communications<br />
ground station).<br />
Support Resources • Key Persons Management likely to be an<br />
issue.<br />
• Commonwealth may supply strategic or<br />
expensive Support Resources (eg, Specialist<br />
S&TE). Otherwise, Contractor provides all<br />
Support Resources for the scope <strong>of</strong> work<br />
under the Contract.<br />
• Commonwealth may need to provide any<br />
items excluded from the Contract (eg,<br />
cryptographic equipment).<br />
• Contractor may be required to provide<br />
training on the operation <strong>of</strong> the Mission<br />
System(s) and/or other items <strong>of</strong> equipment.<br />
• Contractor may be required to provide<br />
Maintenance training to the Commonwealth.<br />
• Commonwealth may need to provide training<br />
on Commonwealth Logistic Information<br />
Management Systems (LIMS), if used by the<br />
Contractor.<br />
• Contractor may be required to operate the<br />
Mission System (eg, satellite communications<br />
ground station).<br />
• Key Persons Management likely to be an<br />
issue.<br />
• Commonwealth may supply strategic or<br />
expensive Support Resources (eg, Specialist<br />
S&TE). Otherwise, Contractor provides all<br />
Support Resources for the scope <strong>of</strong> work<br />
under the Contract.<br />
• If an outsourcing contract, Commonwealth<br />
may provide large quantities <strong>of</strong> GFE.<br />
• Commonwealth may provide Embedded<br />
MRU.<br />
• Packaging <strong>of</strong> items that have special<br />
<strong>Defence</strong> requirements must be IAW DEF<br />
(AUST) 1000C.<br />
Contractor-managed items (including GFE)<br />
would be a firm requirement IAW DI(G) LOG<br />
4-3-014.<br />
• Contractor may be required to provide<br />
training on the operation <strong>of</strong> the Mission<br />
System(s) and/or other items <strong>of</strong> equipment.<br />
• Contractor may be required to provide<br />
Maintenance training to the Commonwealth.<br />
• Commonwealth may need to provide training<br />
on Commonwealth Logistic Information<br />
Management Systems (LIMS), if used by the<br />
Contractor.<br />
• Contractor unlikely to be required to provide<br />
Maintenance training to the Commonwealth.<br />
• Commonwealth may need to provide training<br />
on Commonwealth Logistic Information<br />
Management Systems (LIMS), if used by the<br />
Contractor.<br />
• No Operating Support requirements. • No Operating Support requirements.<br />
• Key Persons Management likely to be an<br />
issue.<br />
• Commonwealth may supply strategic or<br />
expensive Support Resources (eg, Specialist<br />
S&TE). Otherwise, Contractor provides all<br />
Support Resources for the scope <strong>of</strong> work<br />
under the Contract.<br />
• If an outsourcing contract, Commonwealth<br />
may provide large quantities <strong>of</strong> GFE.<br />
• Commonwealth may provide Embedded<br />
MRU.<br />
• Packaging <strong>of</strong> items that have special<br />
<strong>Defence</strong> requirements must be IAW<br />
DEF(AUST) 1000C.<br />
• Key Persons Management may be an issue.<br />
• Commonwealth may supply strategic or<br />
expensive Support Resources (eg, Specialist<br />
S&TE). Otherwise, Contractor provides all<br />
Support Resources for the scope <strong>of</strong> work<br />
under the Contract.<br />
• May not be any special packaging<br />
requirements. For packaging <strong>of</strong> items that<br />
have special <strong>Defence</strong> requirements, must be<br />
IAW DEF(AUST) 1000C.<br />
ASDEFCON (Support) V3.0 A-6
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
<strong>SOW</strong> TAILORING GUIDE – ANNEX B<br />
USE OF ASDEFCON (SUPPORT) EITHER STANDALONE OR IN CONJUNCTION WITH A<br />
CONTRACT (ACQUISITION)<br />
1 DEVELOPING A DRAFT <strong>SOW</strong> TO FOLLOW AN ACQUISITION PHASE<br />
When the DMO releases a combined RFT (ie, an RFT that includes both a draft Contract (Acquisition)<br />
and a draft Contract (Support)) to ensure competition for the Contract (Support), the two contracts<br />
need to be linked to ensure a smooth transition from acquisition to support. Often, the one company<br />
would bid for both contracts; however, different business entities can still exist within one corporate<br />
structure (eg, separating production and support services companies structured below a common<br />
parent), which means that transition and handover <strong>of</strong> responsibility from the Contractor (Acquisition) to<br />
the Contractor (Support) still needs to be planned and facilitated through the commercial provisions<br />
and work activities <strong>of</strong> both contracts.<br />
Contract (Support) Phase In activities, leading up to the Operative Date (OD), must be cognisant <strong>of</strong><br />
the transition <strong>of</strong> the Contract (Acquisition) while considering that both contracts may have been signed<br />
years before the actual event, and with only limited activity under the Contract (Support) in the<br />
meantime. This is especially so when the Contract (Acquisition) is for a developmental program and<br />
the Products to be supported and the Support Resources for the Contract (Support) were not defined<br />
when the contracts were signed on the same Effective Date (ED).<br />
In tailoring the two contracts, the following points identify some <strong>of</strong> the considerations for linking the two<br />
contracts together:<br />
a. The draft master schedules from the two contracts, particularly the transition and Phase In<br />
schedules, should be consistent.<br />
b. The Contractor (Support) may be required to attend Contract (Acquisition) system reviews,<br />
particularly those related to definition <strong>of</strong> the ‘physical’ Support System and defining the<br />
quantities <strong>of</strong> Support Resources to be acquired.<br />
c. A Contract (Acquisition) Transition Requirements Review (TXRR) should be held that<br />
includes the Commonwealth, the Contractor (Support), and (optionally) Approved<br />
Subcontractors (Support).<br />
d. The Contractor Transition Plan (CTXP) from the Contract (Acquisition) and the Phase In<br />
Plan (PHIP) from the Contract (Support) should be consistent with each other.<br />
e. Transition working groups, including the Contractor (Acquisition), Contractor (Support) and<br />
the Commonwealth may be held.<br />
f. Any support undertaken by the Contractor (Acquisition) (eg, Maintenance during Verification<br />
and Validation (V&V) activities) needs to be coordinated with the Phase In <strong>of</strong> the Services<br />
being provided by the Contractor (Support).<br />
g. Details <strong>of</strong> the Products defined under the Contract (Acquisition) must be transferred to the<br />
Contract (Support), as appropriate to the scope <strong>of</strong> the Services (eg, lists <strong>of</strong> Products to be<br />
Supported and identified acquisition deliverables that become support products, such as<br />
technical manuals).<br />
h. The delivery <strong>of</strong> Products from the Contract (Acquisition) must be consistent with establishing<br />
the Contract (Support) (eg, newly acquired S&TE or Technical Data must be delivered and<br />
Accepted before it can be provided to the Contractor (Support) – potentially as Government<br />
Titled Items (GTI)).<br />
i. The transfer <strong>of</strong> Configuration Management data and responsibility from the Contractor<br />
(Acquisition) to either the Commonwealth or Contractor (Support) must be both timely and<br />
sufficient to enable the support agency to provide the required Services when needed.<br />
The ASDEFCON (Support) Attachments and <strong>SOW</strong> Annexes, which require updating as a result <strong>of</strong> the<br />
activities <strong>of</strong> the Contractor (Acquisition), are mostly based on ILS program documents, as the<br />
Contractor (Acquisition) is required to define and establish the basis <strong>of</strong> the Support System. The<br />
applicable ILS activities and documents, to the extent required by the particular requirements <strong>of</strong> the<br />
Contract (Acquisition), include:<br />
ASDEFCON (Support) V3.0 B-1
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
a. development <strong>of</strong> the Support System Specification (SSSPEC), which informs in-service<br />
planning and performance specifications;<br />
b. development <strong>of</strong> the Support System Design Description (SSDESC), including support<br />
resource requirements and procedures;<br />
c. undertaking human resources planning, including the specification <strong>of</strong> skill sets and<br />
competencies (including Contract (Support) skills and Commonwealth skills that may require<br />
Training Support Services);<br />
d. undertaking a training needs analysis to specify training requirements and to develop<br />
Training Management Packages;<br />
e. producing Technical Data;<br />
f. specifying and acquiring or manufacturing Support and Test Equipment (S&TE) and Training<br />
Equipment;<br />
g. specifying and possibly acquiring or implementing facilities requirements;<br />
h. developing a Supply Support Development Plan (which may include considerations <strong>of</strong><br />
packaging, handling, storage and transportation) and may specify and acquire Life Of Type<br />
(LOT) stock <strong>of</strong> RIs and initial non-RIs;<br />
i. defining Intellectual Property (IP) and Australian Industry Capability (AIC) requirements that<br />
become the basis for the in-service plans that become Contract (Support) Attachments;<br />
j. developing disposal and s<strong>of</strong>tware management plans for in-service use; and<br />
k. specifying and (if required) acquiring computer support.<br />
To coordinate the two contracts, the OD milestone is usually linked to the System Acceptance Audit<br />
(SAA) for the first major system to be delivered by the Contractor (Acquisition). The SAA requires that<br />
support be ‘in place’ for the delivered systems (essentially the prerequisites for OD) and OD require<br />
the SAA requirements be achieved.<br />
While much <strong>of</strong> the effort here, and discussion above, focuses on the two Contractors (or two parts <strong>of</strong><br />
one company), it is also important to recognise Commonwealth obligations in enabling the transfer<br />
from the Contract (Acquisition) to the Contract (Support). Some <strong>of</strong> these activities should be identified<br />
in the CTXP, PHIP, and OD clauses; however, the Commonwealth’s transition plan should also<br />
provide sufficient detail, which should be consistent with the linkages between the two contracts.<br />
Of note to drafters wishing to better understand the linkages between acquisition and support, the<br />
ASDEFCON Handbook Philosophy Volume contains a section that explains the development <strong>of</strong> a<br />
Support System under a Contract (Acquisition) and how this relates to the Services provided under a<br />
Contract (Support).<br />
Finally, a draft ‘ASDEFCON Linkages Module’ to link together a Contract (Acquisition) with a Contract<br />
(Support) has been developed,. The ASDEFCON Linkages Module includes the amendments,<br />
additional clauses, new DIDs and checklists commonly needed to link contracts – it also contains<br />
guidance explaining how the components <strong>of</strong> the module are intended to work. Use <strong>of</strong> the ASDEFCON<br />
Linkages Module requires guidance from DMO Commercial Policy and Practice Branch.<br />
2 DEVELOPING A DRAFT <strong>SOW</strong> TO FOLLOW A CONTRACT (ACQUISITION) THAT IS<br />
NOT LINKED<br />
The situation may arise where the Commonwealth chooses not to release a joint RFT, but to buy the<br />
equipment and to seek support separately either because there was no in-country support (eg, items<br />
from overseas without an in-country support contractor, such as Foreign Military Sales (FMS)), or<br />
because the system is able to be supported by a number <strong>of</strong> contractors and there is no need for a<br />
combined RFT to provide adequate competition. This situation can also occur when the intended<br />
Contract (Support) is an established common support contract; in which case, the focus is on<br />
amending the existing contract, rather than drafting a new Contract (Support).<br />
The general concept for transferring Products and information from the acquisition program to the<br />
support program, which was described for the linked contracts in the preceding section, still applies;<br />
ASDEFCON (Support) V3.0 B-2
ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
however, instead <strong>of</strong> Contractors taking on much <strong>of</strong> the responsibility, the Commonwealth is<br />
responsible for the transfer. Also different, and most important, is that information from the Contract<br />
(Acquisition) or the associated tender response should be available at the time <strong>of</strong> drafting the Contract<br />
(Support).<br />
The Commonwealth Representative will need to determine what Products and information need to be<br />
obtained from the Contractor (Acquisition) and transferred to the Contractor (Support). The Contractor<br />
(Support) would be expected to source common Support Resources on its own accord. Hence, the<br />
Commonwealth needs to focus on unique aspects, such as access to, and release <strong>of</strong>, IP, technical<br />
manuals, special to type / peculiar S&TE, training materials, s<strong>of</strong>tware and licenses, and system-unique<br />
spare parts. Importantly, the Contractor (Support) may require Products and information that the<br />
Commonwealth does not use itself, such as Technical Data and S&TE for deeper levels <strong>of</strong><br />
Maintenance, which might need to be provided as GFI and GFE. Alternatively, the Commonwealth<br />
Representative may require that the Contractor (Acquisition) establish an agreement (eg, MOU) with<br />
the Contractor (Support) to facilitate the required transfer.<br />
With these considerations in mind, the drafter needs to develop the ASDEFCON (Support) <strong>SOW</strong> and<br />
relevant Attachments with information from the Contract (Acquisition) or its tender response.<br />
3 DEVELOPING A DRAFT <strong>SOW</strong> TO FOLLOW ANOTHER SUPPORT CONTRACT<br />
With a system that is already in-service, the ASDEFCON (Support) contract templates can be used to<br />
develop a replacement contract. One <strong>of</strong> the first questions the drafter should ask is: ‘Was the current<br />
contract based on ASDEFCON (Support)?’ If so, then the drafter should attempt to validate that the<br />
Services requested and provided by the current contract actually met the users’ requirements. If<br />
‘valid’, then the existing Contract (Support) can make a good template for the new Contract; otherwise,<br />
deficiencies will need to be addressed. Where there are areas <strong>of</strong> deficiency, the current version <strong>of</strong> the<br />
template and this tailoring guide should be consulted in the first instance. The drafter should check for<br />
all changes between the existing contract and the current templates, as the templates will pick up<br />
standard policy changes that have occurred during the contract period.<br />
If the existing contract was not based on the ASDEFCON (Support) template, then the same need for<br />
validation arises, but more effort will be required to transfer work requirements into the ASDEFCON<br />
format. Typically, non-ASDEFCON-based support contracts use a different philosophy, framework<br />
and are <strong>of</strong>ten not performance-based. As such, there can be considerable work required to translate<br />
across to the ASDEFCON (Support) template. In this situation, it is recommended that drafters should<br />
develop a support concept and support procurement strategy (based on the ASIS) first, which lay out<br />
the support requirements and associated interfaces with the Commonwealth, before starting to tailor<br />
the template.<br />
The next question the drafter should ask is: ‘What provisions for Phase Out have been included in the<br />
existing contract?’ If the existing contract used the ASDEFCON (Support) template, then it may<br />
include a number <strong>of</strong> activities for Phase Out (clause 2.8), as described in the Approved Phase Out<br />
Plan (PHOP). A PHOP may not need to be delivered until an appropriate time before the end <strong>of</strong> the<br />
current Contract Term (eg, two years). This requirement is built into the template CDRL and Off Ramp<br />
provisions <strong>of</strong> the Contract (COC clause 13).<br />
Like the CTXP from a Contract (Acquisition), the PHOP should inform the development <strong>of</strong> the new<br />
contract’s PHIP and will help to coordinate the transfer and the Phase In activities in preparation for<br />
the OD for the new Contract (Support). Example activities that may need coordination include:<br />
a. the handover <strong>of</strong> RIs and other GTIs, in a serviceable state, and a complete stocktake <strong>of</strong><br />
supplies held;<br />
b. the handover <strong>of</strong> S&TE and Training Equipment, in a serviceable state;<br />
c. the handover <strong>of</strong> Technical Data, including any GFI and GFD;<br />
d. the transfer <strong>of</strong> s<strong>of</strong>tware tools and licenses;<br />
e. the transfer <strong>of</strong> Configuration Management data and records (either directly or via the<br />
Commonwealth); and<br />
f. the departure <strong>of</strong> one Contractor (Support) from GFF, and the arrival <strong>of</strong> the other.<br />
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ASDEFCON (Support) <strong>SOW</strong> <strong>Tailoring</strong> <strong>Guide</strong><br />
The requirement for handover <strong>of</strong> Items in a serviceable state is important, as the new Contractor<br />
(Support) may need to accept Items <strong>of</strong> GFM as if they were delivered by the Commonwealth. This<br />
may require clause 3.11.1.4, as an example, to be amended, as it may not be possible for the new<br />
Contractor (Support) to accept GFE 15 Working Days before work commences. Other clauses for<br />
GFE, in the <strong>SOW</strong> and clause 3 in the COC, will require careful review and amendment, as necessary.<br />
GFF can have similar challenges, as it is usually difficult for one Contractor (Support) to depart and the<br />
other to arrive on the same day, while ensuring continuity <strong>of</strong> Services. In addition to the PHIP and<br />
PHOP, the drafter may also need to draft, for inclusion in the tender documents, any constraints<br />
associated with, for example, the transfer <strong>of</strong> GFF during the Phase In period. For GFF, the deed (or<br />
license) at Attachment I for out-going and in-coming contractors should be reviewed also.<br />
The Commonwealth Representative may be required to ensure that the IP schedules are up-to-date at<br />
transfer, and that the related Technical Data is also up-to-date.<br />
One advantage <strong>of</strong> transferring from one Contract (Support) to another is that management plans and<br />
procedures that describe the Support System, or at least the part related to the required Services,<br />
should be proven and available to inform prospective tenderers. Additionally, performance measures<br />
should either be established from the existing Contract (Support) or, if not established because the<br />
current Contract is transactional in nature, then it can be used as a basis for measurements to help the<br />
drafter set performance measures for the new Contract (Support) in the performance-management<br />
sections <strong>of</strong> the draft Contract.<br />
The Phase In period for the new Contract (Support) can also be used as a due diligence period;<br />
however, advice from DMO Commercial Policy and Practice Branch should be sought where this<br />
approach is being considered due to the complexities involved.<br />
The costs <strong>of</strong> Phase Out activities in the PHOP are likely to be difficult to scope and cost at the start <strong>of</strong><br />
a Contract, hence S&Q rates may need to be used. This may be viewed as an unnecessary cost;<br />
however, properly managed, Phase Out can enable a greater level <strong>of</strong> competition for the replacement<br />
Contract (Support), rather than leaving the Commonwealth in a sole-source situation.<br />
Note: even if the current Contractor (Support) wins the replacement contract, there are still benefits in<br />
having a PHOP and a clearly defined transfer to the new contract, particularly if the scope <strong>of</strong> work is<br />
different and / or the performance-management framework is different.<br />
4 DEVELOPING A DRAFT <strong>SOW</strong> TO FOLLOW DEFENCE SUPPORT<br />
In the instance where the Commonwealth has decided to outsource support functions that are<br />
currently performed by <strong>Defence</strong>, the emphasis is on the Commonwealth to provide all <strong>of</strong> the relevant<br />
support and planning information to develop the draft Contract (Support) and to enable tenderers to<br />
prepare effective responses.<br />
The drafter will need to compile Attachments and <strong>SOW</strong> Annexes from in-service sources, including for<br />
example, for the identification <strong>of</strong>:<br />
a. the Mission System / equipment Products to be supported, from a Configuration<br />
Management database, Maintenance Management System, or illustrated parts breakdown<br />
(IPB) (note: the IPB could be referred to from <strong>SOW</strong> Annex A if the approach is adopted to list<br />
the Mission Systems and exemptions – refer to guidance within <strong>SOW</strong> Annex A);<br />
b. the s<strong>of</strong>tware Products to be supported, from a Configuration Management database or<br />
separate s<strong>of</strong>tware list;<br />
c. the S&TE Products to be supported, from unit tool and/or calibration lists (noting that, where<br />
these items are provided to the Contractor (Support) as GFE, they would also need to be<br />
entered into Attachment E, GFM and GTI);<br />
d. the Technical Data and reference manuals, from technical data libraries, and this information<br />
may also need to be entered into Attachment E (if GFI / GFD), <strong>SOW</strong> Annex A (if the<br />
document is maintained by the Contractor), and <strong>SOW</strong> Annex D (or <strong>SOW</strong> Annex A, if it is<br />
referenced by the Contractor in performing work); and<br />
e. Key Staff Positions, from existing duty statements.<br />
Other lists may need to be compiled in preparation for the Contract, such as IP schedules.<br />
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An Contract (Acquisition) would normally provide an overall description <strong>of</strong> the Support System, either<br />
as a proposed Support System solution, Support System specification, or Support System description.<br />
These types <strong>of</strong> documents may be suitable as advisory documents for inclusion in the RFT for the new<br />
Contract (Support). Where the system is already in-service, in-service support system or logistics<br />
plans, such as the Army’s ILS Instruction – 3 (ILSI-3), may be appropriate. Without these, a Support<br />
Concept (eg, from within an earlier OCD) may be suitable as a starting point. If these are not<br />
available, drafters should produce the information, necessary for tenderers to plan the required<br />
Services, for possible inclusion with the RFT, but (as a minimum) to assist with developing the <strong>SOW</strong>.<br />
These types <strong>of</strong> documents can provide valuable information to tenderers when developing their plans<br />
for the provision <strong>of</strong> Services.<br />
The managing DMO support agency should also compile a transition plan suitable for release to<br />
tenderers. The transition plan needs to detail:<br />
a. the assembly <strong>of</strong> resources such as GFE and RIs,<br />
b. the schedule for moving into facilities and undertaking the full stocktake and handover <strong>of</strong><br />
existing Items,<br />
c. any available training for the Products and any mandated <strong>Defence</strong> IT systems, and<br />
d. the ramp-up <strong>of</strong> Maintenance and other support activities where these occur over a period <strong>of</strong><br />
time.<br />
This type <strong>of</strong> information will help the tenderers develop the PHIP and make preparations for the OD,<br />
which would typically depend heavily on Commonwealth activities.<br />
The Phase In period for the new Contract (Support) can also be used as a due diligence period;<br />
however, advice from DMO Commercial Policy and Practice Branch should be sought where this<br />
approach is being considered due to the complexities involved.<br />
The current <strong>Defence</strong> activity may be used as the basis for developing performance measures. If so,<br />
the drafter must ensure that any necessary adjustments are made; for example, if a change <strong>of</strong> tempo,<br />
role, or location affects the performance <strong>of</strong> Services at the commencement <strong>of</strong> the Contract.<br />
Finally, for a large Contract (Support), the drafter may consider including Offer Definition Activities<br />
(ODA) as part <strong>of</strong> the tender and contract preparation process. These are typically intended for large<br />
acquisition contracts, but the concept can be adapted to in-service support. Refer to the ODA section<br />
at the start <strong>of</strong> this <strong>Tailoring</strong> <strong>Guide</strong> for further explanation.<br />
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