**[Sample of a Complete PBA SOW]{.underline}**

The following is a sample SOW utilizing PBA concepts for performance
requirements, performance standards, and quality assurance surveillance
plans.

**[Performance Work Statement]{.underline}**

**Upgrade of NIST ATP's Document Management System**

**BACKGROUND INFORMATION**

The U. S. Department of Commerce (DoC), National Institute of Standards
and Technology (NIST) was established by Congress to assist industry in
the development of technology needed to improve product quality, to
modernize manufacturing processes, to ensure product reliability, and to
facilitate rapid commercialization of products based on new scientific
discoveries.

In support of the NIST mission, the Advanced Technology Program (ATP)
accelerates the development of innovative technologies for broad
national benefit through partnerships with the private sector. Through a
competitive process, the ATP provides multi-year funding to single
companies and to industry-led joint ventures.

Three years ago, ATP established a document scanning and viewing system
to permit secure online viewing of proposals that were delivered to ATP
in hard copy form. It also allows archival of numerous other paper
documents. This system uses Input/Accel products from ActionPoint for
image capture, and Optika's FilePower products for storage management
and viewing. The images are stored on a Hewlett Packard SureStore 320EX
320GB Jukebox, which contains four optical drives and 32 slots for 5.2
GB disks. The disk server PC has one optical disk drive (5.2 GB).

**SCOPE**

Optika no longer supports its FilePower products, so ATP must migrate
the file management and viewing portion of its system to another
product. In the process of doing so, ATP seeks to 1) store TIFF images
using an open standard format, 2) gain better control of printing of
viewed documents, and 3) expand the system to provide carefully
controlled access to PDF files that will come from ATP's future
Electronic Submission System (under development).

**CONTRACTOR REQUIREMENTS**

The Contractor shall procure, on behalf of DoC NIST (the licensee),
necessary copies/licenses of commercial off-the-shelf (COTS) software,
then integrate it into/customize it with ATP's existing systems to meet
the following requirements. All software in this system must allow users
to view images from computers running Windows NT, Windows 2000, and
Windows 98. All software procured by the Contractor under this task
order shall comply with the relevant Section 508 technical standards
described in Attachment 4 of this performance work statement. As noted
above, DoC NIST must be the licensee of the software, not the
Contractor.

The Contractor shall recommend any hardware upgrades that are needed to
support the enhanced system.

The Contractor shall provide the source code for the DMS, all software
purchased for or provided to the Government during the development of
the system, and all documentation related to the system development,
implementation, and maintenance.

See Attachment 1 for Desired Outcomes, Performance Standards, Monitoring
Methods and Incentives/Disincentives.

**The period of performance for this contract/order shall be twelve
months, beginning on the date of award.**

**GOVERNMENT RESPONSIBILITIES**

The Contracting Officer's Representative (COR) will provide supervised
access to ATP's Document Management System, including existing image
files, index and retrieval database, and software. ATP staff will be
available as needed to facilitate integration of new developments with
the existing DMS and with the ATP Oracle Proposal Management System.

**REPORTING REQUIREMENTS AND DELIVERABLES**

The Contractor shall deliver the desired outcomes from Section C above
according to the performance standards noted in the Quality Assurance
Surveillance Plan. The Contractor shall provide some reports to the COR
on an ad hoc basis in response to ATP staff inquiries.

 

The Contractor shall submit a brief written report to the COTR and
orally discuss it with the COR every two weeks after commencement of the
contract/task order.

**PROGRAM MANAGEMENT AND CONTROL REQUIREMENTS**

See text in Section \_\_\_ above.

**INSPECTION AND ACCEPTANCE CRITERIA**

The COR will monitor the Contractor's activities and accomplishments and
will indicate acceptance or nonacceptance of the deliverables. The
deliverables identified in Section E. above will be inspected and either
approved or, if they are not acceptable, rejected by the COR. The
Contractor may be required to revise such deliverables if they are
incorrect or unacceptable. Such inspections will occur within five days
after the COR receives such deliverables.

**ATTACHMENTS**

Attachment 1: PWS Table

Attachment 2: Quality Assurance Surveillance Plan

Attachment 3: Existing Document Management System Hardware and Software
\[not included\]

Attachment 4: Rehabilitation Act of 1973, Section 508 IT Accessibility
Requirements \[not included\]

**[Attachment 1]{.underline}: PWS Table for Upgrading ATP's Document
Management System**

  ------------------- ------------------ ---------------- ------------------
  **Desired           **Performance      **Monitoring     **Incentive /
  Outcomes**          Standard**         Method**         Disincentive **

  TIFF image files    100% compliance is Review OCD       Full payment shall
  are stored on the   required for       results and      be made for 100%
  existing jukebox,   customer           analyses to      compliance. For
  which acts as a     satisfaction,      ensure that      each 5%
  logical drive to    performance, and   required         degradation in PMS
  the disk server.    utility. No        functionality is performance
  Index and retrieval performance        provided. User   observed by system
  database is in      degradation for    complaints/      administrators,
  Oracle 8I and is    PMS observed by    trouble tracking the
  integrated /        users or system    will be          firm-fixed-price
  synchronized with   administrators.    reviewed, noting for the CLIN will
  ATP's Proposal      OCD results will   delays caused by be reduced by 1%.
  Management System   be analyzed in     database         
  (PMS) as needed.    accordance with    efficiency.      
  Daily backup        the QASP.          Random           
  capability is                          system/network   
  established. PDF                       tests will be    
  files stored on                        conducted using  
  another ATP server                     standard testing 
  can be retrieved                       techniques       
  and backed up                                           
  through same                                            
  management system.                                      
  A successful                                            
  operational                                             
  capability                                              
  demonstration (OCD)                                     
  will be performed                                       
  prior to full                                           
  implementation.                                         
  ------------------- ------------------ ---------------- ------------------

  ------------------- ------------------ ----------------- ------------------
  **Desired           **Performance      **Monitoring      **Incentive /
  Outcomes**          Standard**         Method**          Disincentive **

  Web-based interface 100% compliance is Software licenses Full payment shall
  for controlled      required for       reviewed for      be made for 100%
  viewing of images   customer           quantity          compliance. For
  for up to 80 named  satisfaction,      specifications.   each security
  users or 10         performance, and   Random system     breach detected,
  concurrent users.   utility. No        tests will be     1% of CLIN payment
  Role-based access   security breaches  conducted using   shall be withheld
  for viewing and     are detected. OCD  standard testing  until compliance
  printing controlled results will be    techniques.       is achieved. For
  by user name, using analyzed in                          each of the four
  information from    accordance with                      printing/logging
  ATP's Secured       the QASP.                            features (logging,
  Intranet and PMS.                                        copy number,
  Application                                              reporting, printer
  integrated with ATP                                      control) that is
  Secured Intranet                                         not fully
  (Cold Fusion).                                           functional, 10% of
  Printing logged by                                       CLIN payment shall
  user name in                                             be withheld until
  database with copy                                       compliance is
  number. Unique copy                                      achieved.
  number also printed                                      
  on each printed                                          
  copy. Tools                                              
  implemented so                                           
  system                                                   
  administrator can                                        
  create logical                                           
  access controls,                                         
  monitor and                                              
  generate reports of                                      
  printing by user                                         
  name and copy                                            
  number, and                                              
  restrict printing                                        
  to specific                                              
  printers. A                                              
  successful                                               
  operational                                              
  capability                                               
  demonstration (OCD)                                      
  will be performed                                        
  prior to full                                            
  implementation.                                          

  Existing images     99% of data        Random sample of  +/- 0.5% of total
  converted to Group  transferred to the converted images  CLIN price for
  IV TIFF, removing   new system suffers and index         each variance of
  Optika's            no conversion      database records  0.5% from the
  proprietary header. errors and is      will be           performance
  Existing index      usable when the    inspected.        standard.
  database migrated   new system is made                   
  to Oracle 8i and    available.                           
  populated with                                           
  existing                                                 
  information from                                         
  MS-SQL database                                          
  (version 6.5)                                            
  ------------------- ------------------ ----------------- ------------------

  ------------------- ------------------ ----------------- ------------------
  **Desired           **Performance      **Monitoring      **Incentive /
  Outcomes**          Standard**         Method**          Disincentive**

  Input Accel         100% compliance is Random system     Full payment shall
  produces Group IV   required for       tests will be     be made for 100%
  TIFF images with no customer           conducted using   compliance.
  proprietary header. satisfaction,      standard testing  
  Transaction         performance, and   techniques        
  processing to move  utility. OCD                         
  images and          results will be                      
  associated images   analyzed in                          
  from the capture    accordance with                      
  side (Input Accel)  the QASP.                            
  to the storage side                                      
  (the jukebox and                                         
  index and retrieval                                      
  database) allows                                         
  full                                                     
  interoperability                                         
  between the new                                          
  viewing system and                                       
  the existing                                             
  scanning system. A                                       
  successful                                               
  operational                                              
  capability                                               
  demonstration (OCD)                                      
  will be performed                                        
  prior to full                                            
  implementation.                                          

  Tool available to   100% compliance is Software licenses Full payment shall
  allow creation of a required for       reviewed for      be made for 100%
  self-contained      customer           quantity          compliance. For
  CD-ROM that         satisfaction,      specifications.   each security
  contains everything performance, and   Random system     breach detected,
  necessary (viewer   utility. No        tests will be     1% will be
  software, database, security breaches  conducted using   deducted from the
  index records, page are detected. OCD  standard testing  total
  data forms, etc.)   results will be    techniques.       firm-fixed-price
  to retrieve and     analyzed in                          until full
  display the         accordance with                      compliance is
  published data or   the QASP.                            achieved.
  images. Images on                                        
  the CD-ROM are only                                      
  viewable when a                                          
  valid user name and                                      
  password are                                             
  provided. Necessary                                      
  licenses are                                             
  procured for up to                                       
  20 CDs each year. A                                      
  successful                                               
  operational                                              
  capability                                               
  demonstration (OCD)                                      
  will be performed                                        
  prior to full                                            
  implementation.                                          
  ------------------- ------------------ ----------------- ------------------

  ------------------- ------------------ ------------------ ------------------
  **Desired           **Performance      **Monitoring       **Incentive /
  Outcomes**          Standard**         Method**           Disincentive**

  Documentation for   All functions      Review             Full payment shall
  the system          performed by the   documentation via  be made for 100%
  administrator is    system             independent        compliance. For
  accurate, complete, administrator,     verification and   each function
  and easy to use.    including future   validation to      overlooked by the
                      customization of   ensure functions   documentation, 1%
                      the system, are    and operations are of total
                      documented         properly           firm-fixed-price
                      accurately.        documented. Survey shall be withheld
                                         system             until compliance
                                         administrator(s)   is achieved.
                                         for ease of use.   

  System              The system         Proficiency tests  Training pricing
  administrator(s)    administrator(s)   and validated      may be adjusted by
  shall receive       trained can        calls to and       a percentage
  training            perform at the 85% response by system proportional to
  appropriate for     proficiency level  administrators;    the stated
  their intended use  at the end of      audit of training  performance
  of the new          training.          course by program  standard. Maximum
  software.                              manager.           price paid shall
                                                            be the task order
                                                            price for the
                                                            training CLIN;
                                                            minimum price
                                                            shall be 75% of
                                                            the price for the
                                                            training CLIN.

  Product             95% of service     User complaints/   The
  malfunctions and    equipment is       trouble tracking   firm-fixed-price
  failures for all    restored to        will be reviewed,  for this CLIN
  components of the   service within the noting delays      shall be reduced
  Document Management stated time.       caused by          by 2% if the
  System (those                          equipment being    performance
  listed in                              unavailable        standard is not
  Attachment 3 as                                           met.
  well as anything                                          
  procured to support                                       
  this contract)                                            
  shall be resolved                                         
  within one business                                       
  day of                                                    
  notification.                                             
  ------------------- ------------------ ------------------ ------------------

  ------------------- ------------------ ---------------- ------------------
  **Desired           **Performance      **Monitoring     **Incentive /
  Outcomes**          Standard**         Method**         Disincentive**

  All software that   95% of software is 100% inspection  The
  is part of the      updated to the     of product       firm-fixed-price
  Document Management most recent        versions.        for this CLIN
  system (that listed version within the                  shall be reduced
  in Attachment 3 as  stated time.                        by 2% if the
  well as that                                            performance
  procured to support                                     standard is not
  this contract)                                          met.
  shall be updated to                                     
  the most recent                                         
  release within one                                      
  week of that                                            
  release becoming                                        
  available.                                              

  Upgrade the         100% compliance is 100% inspection  Full payment shall
  operating system on required for       of product       be made for 100%
  all DMS components  customer           versions.        compliance.
  to Windows 2000 and satisfaction,                       
  upgrade all Input   performance, and                    
  Accel products to   utility.                            
  most recent                                             
  versions.                                               

  Software capable of The stated         100% inspection. Full payment shall
  performing the      delivery dates                      be made for 100%
  requisite functions shall be met                        compliance.
  shall be delivered  unless the                          
  in accordance with  Government and the                  
  the stated          Contractor agree                    
  schedule, including to a new                            
  shorter-term        completion date.                    
  milestones.                                             

  Image viewing       95% of ATP staff   Random sampling   
  system is easy to   can access         of users to      
  use, easy to learn  documents for      measure how      
  and adds to user    which they have    quickly they can 
  efficiency and      permission after   learn to use the 
  satisfaction        no more than one   system for basic 
                      hour of training.  access to        
                                         documents.       
  ------------------- ------------------ ---------------- ------------------

**[Attachment 2]{.underline}: Quality Assurance Surveillance Plan**

**Upgrading ATP's Document Management System**

**Objective:** The purpose of this plan is to provide a quality
surveillance plan for the upgrade of ATP's Document Management System.
This plan provides a basis for the Contracting Officer's Representative
(COR) to evaluate the quality of the Contractor's performance. The
oversight provided for in the contract and in this plan will help to
ensure that service levels reach and maintain the required levels
throughout the contract term. Further, this plan provides the COR with a
proactive way to avoid unacceptable or deficient performance, and
provides verifiable input for the required annual past performance
evaluations.

**Performance Standards:**

> A. **Quality Level:** By monitoring the Contractor, the COTR will
> determine whether the performance levels set forth in the contract
> have been attained. Quality standards (i.e. performance standards) for
> all tasks are specified in the Performance Work Statement, Section C.
>
> B. **Frequency:** Prior to contract award, the COTR will evaluate the
> current levels of performance, according to the standards set forth in
> this contract. During the performance of this contract, the COTR will
> take periodic measurements (i.e. conduct surveillance), as specified,
> and will analyze whether the negotiated frequency of measurement is
> appropriate for the work being performed. Adjustments may only be made
> by a modification to the contract.
>
> C. **Management Responsiveness:** The COTR will determine whether the
> Contractor has managed the contract effectively and efficiently, as
> specified in the quality standards set forth in Section C of the PWS.
> The COTR will confirm whether the Contractor has satisfactorily met
> all reporting requirements, including subcontracting reports when
> applicable.

**Evaluation Methods:** The COR will conduct performance evaluations
based upon Section \_\_\_ above and the required performance levels set
forth in the contract. The following techniques will be used to perform
surveillance:

> A. **System Performance Report**. The COR will review performance
> records of the Document Management System and Oracle databases to
> ensure that the required security, reliability, efficiency, and
> availability have been provided. Outages, problems, resolutions, etc.
> shall be noted and availability calculated as stated in the contract.
> Results shall be shared with the contracting officer.
>
> B. **Service Level Monitoring.** The Contractor is required to resolve
> product malfunctions and failures quickly. Customer feedback will be
> sought and the IRG service request logs shall be reviewed to ensure
> that reported problems are resolved as quickly and efficiently as
> possible.
>
> C. **Operational Capability Demonstration.** ATP staff will execute
> all functions in the Document Management System to verify that the
> functionality meets the acceptance criteria. ATP staff will also
> attempt to breach the DMS' security and perform other illegal
> operations. Results of the testing will be documented, and the COR
> will review these results for compliance with the contract.
>
> D. **Inspections.** ATP staff will conduct 100% inspections of
> software licenses and software versions, and will inspect random
> samples of converted images and datafiles. Documentation will be
> inspected for accuracy and completeness. Results of the inspections
> will be documented, and the COR will review these results for
> compliance with the contract.