Attachment 4_ Quality Assurance Surveillance Plan (QASP).pdf

NATIONAL INSTRUMENTS

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Attachment 4

IDIQ Number 80NSSC21D0004

April 2021

NASA NATIONAL INSTRUMENTS

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1.0 INTRODUCTION

1.1 Purpose

The purpose of this Government Quality Assurance Surveillance Plan (QASP) is to define the overall approach the NASA intends to use to monitor and survey Contractor performance under the NASA National Instruments IDIQ No. 80NSSC21D0004. This Firm-Fixed-Price IDIQ contract provides for all products, maintenance, technical support, and services that fall under the National Instruments portfolio.

The QASP is a Government-developed surveillance tool prepared in accordance with FAR

46.601 and NFS 1846.401. It is not part of the contract, per NFS 1846.401(a)(iii), but provided to the Contractor for informational purposes only.

1.2 Scope

This QASP has been developed to evaluate Contractor actions while implementing the Attachment 3, Bill of Materials. It is designed to provide an effective surveillance method of monitoring Contractor performance, services, processes, and products provided under this IDIQ.

This QASP defines the process the Government expects to follow to obtain data, evaluate the Contractor, and determine if contract performance conforms to contract requirements. The Contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract.

The role of the Government is quality assurance to ensure contract standards are achieved. In this contract the quality control program is the driver for product quality. The Contractor is required to develop a comprehensive program of inspections and monitoring actions. The first major step to ensuring a “self-correcting” contract is to ensure that the quality control program approved at the beginning of the contract provides the measures needed to lead the Contractor to success. Once the quality control program is approved, careful application of the process and standards presented in the remainder of this document will ensure a robust quality assurance program.

This plan is applicable to all services performed or products provided by the NATIONAL INSTRUMENTS Contractor(s). Throughout this QASP, the term “Contractor” is used. In terms of this plan, it should be known that unless explicitly stated, the term “Contractor” is applicable to both the NATIONAL INSTRUMENTS Contractor and any and all of its subcontractors.

2.0 FORMS OF SURVEILLANCE

There exists a wide-ranging spectrum associated with surveillance, ranging from oversight to insight. The strategy and approach to surveillance by NASA for the National Instruments IDIQ, as detailed in this plan, is one that concentrates primarily on insight as opposed to oversight.

However, NASA reserves the right to initiate additional surveillance activities (insight or oversight) on an ‘as-needed’ basis, based upon circumstances and data collected (adverse trends, negative data points, lack of corrective action, etc.) via the surveillance activities defined in this plan.

2.1 Surveillance Strategies

Insight

Insight is an assurance process that uses performance requirements and if definable, performance metrics to ensure process capability, product quality and end-item effectiveness. Insight relies on gathering a minimum set of product or process data that provides adequate visibility into the integrity of the product or process. The data may be acquired from Contractor records, usually in a non-intrusive parallel method.

Insight as applied to this contract will result in lower levels of Government surveillance and allow the Contractor to assume increased responsibility and accountability for the integrity of processes. Insight will rely heavily on evaluating planned contract deliverables, performance standards, and existing Contractor procedures and working documents, if available.

Oversight

Oversight as applied to this contract will result in higher levels of Government surveillance. The Government will gather information pertaining to the Contractor's process through involvement and/or inspection in the process and will monitor the process itself. The Government's involvement in the Contractor's performance, through oversight, will be determined necessary by the Contracting Officer's Representative (COR), if one is assigned, or by Technical Points of Contact at the order level.

The Government may use a variety of surveillance methods to evaluate the Contractor's performance. Government surveillance will be conducted on a non-interference basis and in a manner that will not unduly delay work being performed by the Contractor.

2.2 Surveillance Team

All surveillance activities will be implemented using NASA and NASA support-contractor personnel and/or a surveillance support. The surveillance team may be composed of:

• NASA Procurement Personnel (i.e., Contracting Officer (CO), Administrative

Contracting Officer (ACO), Contract Specialist)

• NASA’s Program Personnel (i.e., COR, ACOR, Technical Point of Contact)

The National Instruments CO is responsible for ensuring performance of all necessary actions for effective contracting, ensuring compliance with the terms of the contract, issuing IDIQ Task Orders, and safeguarding the interests of the United States in its contractual relationships. The CO will also assure that the Contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

The National Instruments COR is designated in writing by the CO to act as his/her authorized technical representative to assist in administering the contract. The COR monitors the technical work performed under the contract, evaluates Contractor performance, serves as the primary interface for the Contractor and the CO for all technical matters, reports on contract status to Program/Project Management, and recommends corrective action when necessary. The COR is not empowered to make any contractual commitments, authorize any contractual changes on the Government’s behalf, or in any way direct the Contractor to operate in conflict with the contract terms and conditions. Any changes that the Contractor deems may affect the contract or IDIQ Task Orders price, terms, or conditions shall be referred to the CO for action. The COR’s limitations of authority are contained in the NASA Form 1634, COR Delegation.

2.3 Communications

• Electronic mail

• Informal Discussions

• Other communication methods, as required

2.4 Evaluation and Reporting

• Inspection of deliverable items

2.5 Work Review and Performance Monitoring

The Government will evaluate the Contractor's accomplishment of the technical objectives through the following:

• Preparation and submission of Contractor Performance Annual Reporting System

(CPARS) reports for orders meeting CPARS requirements at the IDIQ level or if needed for any IDIQ Task Orders that deemed appropriate for its own evaluation.

• Conduct inspection and acceptance of the Contractor's deliverable items.

• Validate that Contractor is performing according to IDIQ Task Orders by confirmation of delivery of service or product.

2.6 Record Keeping and Documentation

The COR is responsible for maintaining accurate and complete records of the Contractor’s performance. The COR is responsible for collecting the performance evaluation documentation and maintaining any other material that reflects the quality of the Contractor performance. Even though the Contractor is responsible for ensuring performance compliance under their quality control requirements, the Government will give the Contractor prompt notice of defects observed by the COR. This does not imply that the Government is obligated to carry out quality control inspections for the Contractor, but that on discovering a problem, the Government will inform the Contractor in detail of the incident. The COR will keep CO informed of any issues brought to the attention of the Contractor by the COR.

If performance issues arise, they will be discussed immediately between the CO, COR, and Contractor. Corrective action plans will be developed, and resolutions tracked for closure by the Contractor and Government.

During the course of the contract, the COR shall retain a copy of all surveillance documentation.

At the end of the surveillance period, these records shall be forwarded to the Contracting Officer for inclusion in the contract file. However, when a specific service or deliverable item becomes unsatisfactory during a surveillance period, a copy of the documentation supporting the unsatisfactory performance shall be forwarded to the Contracting Officer for action between the Government (CO and COR) and Contractor.

2.7 Contract Administration

Contractor maintains effective communication within its own organization, including subcontractors. Problems, technical issues, and programmatic changes are promptly communicated to all concerned. Prime Contractor communication with subcontractors is seamless and transparent to the customer.

3.0 CRITERIA FOR EVALUATING PERFORMANCE

The Contractor's performance in all of the areas listed above will be monitored to assure that ineffective or wasteful methods are not being used. As required by FAR 42.1502 the CO, in collaboration with the COR, will annually complete a Contractor Performance Assessment Reporting System (CPARS) evaluation, which will also be reviewed by the Contractor. In the event of a finding that will require immediate attention, the COR will notify the CO of the situation for necessary action. The Contractor will be required to submit a written response and any corrective action steps needed.

3.1 Performance Measurement:

Performance will be measured in accordance with the following table:

Performance Element

Performance Requirement

Surveillance Method

Frequency Acceptable Quality Level

Incentives/ Disincentives

Contract Deliverables

Contract deliverables furnished as prescribed in the PWS, attachments, IDIQ Task or Delivery Orders, etc., as applicable.

Inspection by the COR or Technical Customer

100% inspection of all contract deliverables.

>97% of deliverables submitted timely per the delivery schedule and customer inquiries term and without defects.

Timely:

Software products no later than 7 business days after receipt of an order.

Hardware products no later than 20 business days after receipt of an order

Positive or negative CPARs rating (Quality, Schedule)

Responsiveness to Correspondence

Contractor is required to make reasonable effort to provide an 8-hour response time for all customer inquiries for the life of the contract by the next business day.

Inspection by the CO and COR

100% inspection of all contract Correspondence.

>97% of correspondence is responded to by the next business day.

Positive or negative CPARs rating (Management)

Overall Contract Performance

Overall contract performance of sufficient quality to earn a Satisfactory (or higher) rating in the COR’s annual report on Contractor Performance

Assessment by the COR

Annual at the IDIQ level

All CPARS elements (Quality, Schedule, Management, Regulatory Compliance rated Satisfactory (or higher)).

Positive or negative CPARs rating (Quality, Schedule, Management, Regulatory Compliance)

Invoicing Per IDIQ Task or Delivery Order and

Review & acceptance of the invoice

When an invoice has been submitted for an order

100% accuracy Positive or negative CPARs rating contract procedures ae timely and accurate

(Regulatory Compliance)

Measured performance for the above elements will be documented in the appropriate CPARS element (Quality, Schedule, Management, Regulatory Compliance).

Performance Rating

Exceptional – Performance is above the describe acceptable quality level in the chart above, contract requirements have been met and exceeded, and a significant benefit to the government has been realized.

Very Good - Performance is above the describe acceptable quality level in the chart above, contract requirements have been met, and a benefit to the government has been realized.

Satisfactory – Performance is within the describe acceptable quality level in the chart above and contract requirements have been met.

Marginal – Performance is below the describe acceptable quality level in the chart above and some of the contract requirements have not been met and corrected actions have not yet been identified or not fully implemented.

Unsatisfactory – Performance is significantly below the describe acceptable quality level in the chart above and most of the contract requirements have not been met and recovery is not likely in a timely manner or corrected action was ineffective.

4.0 SUMMARY

This Government Quality Assurance Surveillance Plan describes the approach NASA intends to use to monitor the NATIONAL INSTRUMENTS IDIQ contract and assure that the Contractor performs in accordance with the terms and conditions of the contract. NASA anticipates using an insight surveillance approach. The goal is to balance the level of Government surveillance with the perceived impacts and risks of mission failure.

Signature Page

Contracting Officer’s Representative Signature

Contracting Officer Signature