Enclosure 1 - QASP - L1 Series SWIPS 12-20-2023.pdf

Effective Date: December 20, 2023 Expiration Date: December 20, 2028

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

L1SERIES-SWIPS-PLAN-0011, Revision - Space Weather Next Lagrange 1 (L1) Series Project, Code 493

Space Weather Next (SW Next) L1 Series Project

Solar Wind Plasma Sensor Quality Assurance Surveillance Plan (QASP)

Contract Number: XXX

U.S. Department of Commerce (DOC) National Oceanic and Atmospheric Administration (NOAA) National Environmental Satellite, Data, and Information Service (NESDIS) National Aeronautics and Space Administration (NASA)

GSFC SW Next L1 Series CMO

December 21, 2023

Released

L1 Series Project Solar Wind Plasma QASP L1SERIES-SWIPS-PLAN-0011, Revision-ii Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

L1 Series Project Solar Wind Plasma Sensor Quality Assurance Surveillance Plan

Signature/Approval Page

Prepared By:

Original signed on 12/20/2023 by:

David Bogart L1 Series Chief Safety and Mission Assurance Officer (CSO) SW Next L1 Series NASA Goddard Space Flight Center

Reviewed By:

Charles Hudson DeLee L1 Series Instrument Systems Manager

Approved By:

Brennan Nowak L1 Series Deputy Project Manager

Original signed on 12/21/2023 by:

J. Timothy Van Sant Project Manager, SW Next L1 Series iii Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

Preface

Under performance-based acquisitions such as this, the Contractor assumes more responsibility and greater risk in exchange for more flexibility and less direct Government involvement in contract activities. However, the Government still has a responsibility to conduct surveillance.

Surveillance spans a spectrum of Government involvement. Surveillance may be as simple as inspecting a delivered support or service at acceptance or as complex as continually monitoring contractor performance. To meet this responsibility, the Government needs to understand the risks involved in the Contractor's activity and how the Contractor is managing those risks.

This Government Quality Assurance Surveillance Plan has been prepared to describe the Government’s surveillance of this contract. It is a “living” document that will be tailored to the contractor selected. The Government welcomes suggestions for improving this Plan. Of particular interest are ideas on what information the Government should monitor (i.e., metrics) and how the Government can most cost-effectively obtain the relevant performance data it needs.

QASP Contract Requirements

FOR COST-TYPE CONTRACTS (From XXXX) L1 Series Magnetometer

Date: XX/XX/XXXX

A Government Quality Assurance Surveillance Plan (QASP) should be prepared in conjunction with the preparation of the Statement of Work and define the surveillance approach the Government expects to follow to obtain data, evaluate the Contractor, and determine if contract performance conforms to contract requirements. The preliminary QASP shall be included in the draft and final solicitations as an Enclosure clearly marked “For Information Purposes Only.”

After contract award, the Contracting Officer shall revise the QASP to reflect the approaches and risks associated with the successful proposal and provide a copy to the Contractor under separate cover for information purpose. This final QASP is a unilateral-Government tool and shall not be an attachment to the contract, but a copy shall be provided to the Contractor “For Information Purposes Only.”

Applicable Federal Acquisition Regulation (FAR) and National Aeronautics and Space Administration (NASA) Federal Acquisition Regulations (FAR) Supplement (NFS) Reference(s):

FAR 46.401(a). Government contract quality assurance shall be performed at such times

(including any stage of manufacture or performance of services) and places (including subcontractors' plants) as may be necessary to determine that the supplies or services conform to contract requirements. Quality assurance surveillance plans should be prepared in conjunction with the preparation of the statement of work. The plans should specify (1) All work requiring surveillance; and (2) The method of surveillance.

iv Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

NFS 1846.401(a)(iii). The quality assurance surveillance plan (QASP) contents may range from low-intensity, insight-only functions to high-intensity oversight functions depending on the acquisition’s criticality, complexity, contractor past performance, and other risk factors.

The project office prepares the QASP in conjunction with the statement of work and periodically adjusts it thereafter based on changing risk factors as the contract requirement progresses through acquisition planning, source selection, and contract administration. The QASP shall not be included in the contract.

NFS 1837.604, A Quality Assurance Surveillance Plan (QASP) must be developed for each contract for services, and also for supplies where higher-level contract quality requirements are required.

The template is a “read-only” file. In order to manipulate the data, save the template to your own desktop. Delete this page, prior to printout, so that the page numbers will be correct.

The red italic text in the template are contract specialist instructions that need to be deleted prior to printing the document and submitting for review.

Configuration Management

This document is a L1 Series Project signature-controlled document. Changes to this document require prior approval by the SW Next L1 Project Configuration Control Board (CCB) Chairperson or designee. Proposed changes shall be submitted in the L1 Series Project Technical Data Management System (TDMS) via a Signature Control Request (SCoRe) along with supportive material justifying the proposed change. Changes to this document will be made by complete revision.

All of the requirements in this document assume the use of the word "shall" unless otherwise stated.

Questions or comments concerning this document should be addressed to:

L1 Series Project Configuration Management Office Mail Stop: 493.0 Goddard Space Flight Center Greenbelt, Maryland 20771 v Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

Change History Log

Revision Effective Date Description of Changes

(Reference the CCR & CCB/ERB Approval Date) Rev - December 20, 2023 This was CCR L1SERIES-CCR-0042 to baseline the document and was approved on December 20, 2023.

vi Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

Table of Contents

1 INTRODUCTION

1.1 Purpose

1.2 Scope

1.3 Program Definition and Contract Description

1.3.1 Program Background and Definition

1.3.2 Contract Goals and Objectives:

1.4 Guiding Directives

1.5 References and Applicable Documents

2 SURVEILLANCE STRATEGY AND APPROACH

2.1 General

2.2 Surveillance Activity Limitations and Guidance

2.2.1 General

2.2.2 Insight

2.2.3 Oversight

2.3 Surveillance Organization and Resources

2.3.1 General

2.3.2 Surveillance Team

2.4 Forms of Surveillance

2.4.1 General

2.4.2 Communications

2.4.3 Management Reviews and Reporting

2.4.4 Engineering Peer Reviews

2.4.5 Participation in Contractor Configuration Management Processes

3 SURVEILLANCE ACTIVITIES

3.1 General

3.2 Surveillance Team Activities

3.2.1 Work Review and Performance Monitoring

3.2.2 Government Property Administration

3.2.3 Performance Monitoring

3.2.4 Safety

List of Tables

Table 1 Surveillance Insight Areas

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

1 INTRODUCTION

1.1 Purpose

The purpose of this Government Quality Assurance Surveillance Plan (QASP) is to define the overall approach that NASA Goddard Space Flight Center (GSFC) intends to use to monitor and survey Contractor offsite performance under the Lagrange 1 (L1) Series Solar Wind Plasma Sensor Contract No. TBD. 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 goal is to balance the level of Government surveillance with perceived impacts and risks associated with performance hereunder. The Government can change the QASP unilaterally at any time during the contract.

GSFC plans to utilize a surveillance team to evaluate Contractor performance and direct surveillance activities. The team will establish and rely on objective and subjective performance metrics based on the contract Statement of Work (SOW) and task orders issued thereunder to evaluate Contractor performance against requirements.

The QASP is a Government-developed surveillance tool prepared in accordance with FAR 46.4 and NFS 1846.4. It shall not be included in the contract, per NFS 1846.401(a)(iii), but provided to the Contractor for informational purposes only.

1.2 Scope

This QASP identifies the program requirements, strategies, resources, review and control processes, surveillance activities, and metrics for continuous measurement of Contractor performance. This plan provides effective and systematic surveillance methods for evaluating the Contractor services, processes, and products provided under this contract. The Government may evaluate work at any time during the Contractor’s work performance.

The intent of the QASP is to ensure that the Contractor performs in accordance with acceptable quality levels, and the Government receives the quality of services and products called for in the contract. This QASP does not detail how the Contractor accomplishes the work. Rather, the QASP is based on the premise that the contractor, not the Government, is responsible for managing its quality controls and ensuring that performance meets the terms of the contract. The role of the Government is quality assurance to ensure the achievement of contract standards.

The QASP is intended to be a “living” document from which resources and activities will evolve from one phase to another during the life of the contract. It will be updated as required and defined in this document.

This plan is applicable to all services the L1 Series Solar Wind Plasma Sensor Contractor(s) will perform or products they will provide. 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 L1 Series Solar Wind Plasma Sensor Contractor and any and all of its subcontractors.

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

The surveillance program shall be a collaborative and integrated effort that includes all areas of contract management, including the following:

a. Engineering and Technology

b. Quality Assurance

c. Procurement, Subcontracting, and Purchasing

d. Finance

e. Property

f. Environmental

g. Export Control

h. Safety and Health

i. Security

1.3 Program Definition and Contract Description

1.3.1 Program Background and Definition

The Space Weather Observations (SWO) Programs Division, L1 Series Project is a loosely coupled project under the National Oceanic and Atmospheric Administration (NOAA) National Environmental Satellite, Data, and Information Service (NESDIS) SWOPD. The Project goal is to provide critical, operational space weather data to the Space Weather Prediction Center (SWPC) of the National Weather Service (NWS).

The L1 Series Mission will procure a minimum of two (2) observatories that will provide NOAA with the continuity and resilience of solar wind data and coronal mass ejection (CME) imagery, which is the NWS highest priority for space weather observations. The L1 Series Observatories are targeted to launch as individual primary payloads, December 2028 and October 2032.

The L1 Series Project will procure a series of spacecraft and instruments necessary to meet the requirements. The instrument set will include a solar coronagraph instrument, a solar wind plasma instrument, a suprathermal ion senor, a magnetometer instrument, an X-ray irradiance instrument, and an instrument of opportunity. Two copies of the instruments, Coronagraph, Suprathermal Ion Sensor, Solar Wind Plasma Spectrometer, Magnetometer will be procured (fabricated).

1.3.2 Contract Goals and Objectives:

The GSFC goal and purpose for this L1 Series Magnetometer contract is to design, analyze, develop, and fabricate two Solar Wind Plasma Sensor Flight Models (FM) to fly on the L1 Series spacecraft. The L1 Series project team will then ship them to the L1 Series satellite integrator and support integration, test, launch operations, and observatory activation.

1.4 Guiding Directives

The guiding documents for this surveillance effort include the Contract SOW, performance standards, Performance Evaluation Plan, Task Order requirements as specified in issued Task Orders, and deliverable requirements. The contract identifies general requirements, and the Task Orders identify specific objectives or results desired for each issued Task Order requirement.

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

1.5 References and Applicable Documents

a. American National Standard Quality Systems - Model for Quality Assurance (QA) in Design, Development, Production, Installation and Servicing, American National Standards Institute (ANSI)/International Organization for Standardization (ISO)/American Society for Quality Control (ASQC) Q9001: 2000

b. American National Standard Quality Management System - Requirements, ANSI/ISO/ASQ Q9001: 2000

c. NASA Procedural Requirements (NPR) 7120.4, NASA Engineering and Program/Project Management Policy

d. NPR 7120.5, NASA Space Flight Programs and Project Management Requirements

e. NPR 7150.2, NASA Software Engineering Requirements

f. NPR 8735.2, Management of Government Quality Assurance Functions for NASA

Contracts

g. Goddard Procedural Requirements (GPR) 5100.2, Supplier Performance Evaluations

h. GPR 5100.4, Supplier Assessment Process

i. GPR 7120.4, Risk Management

j. GPR 7123.1, Systems Engineering

k. GPR 8700.6, Engineering Peer Reviews

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

2 SURVEILLANCE STRATEGY AND APPROACH

2.1 General

There exists a wide spectrum associated with surveillance, ranging from oversight to insight. The GSFC strategy and approach to surveillance for the L1 Series Solar Wind Plasma Sensor contract, as detailed in this plan, is one that concentrates primarily on insight as opposed to oversight. However, some limited areas do exist where oversight takes place, either via GSFC exercising approval authority on contract-deliverable documentation in critical areas of performance or participation in the Contractor's configuration management process. Regardless, the Government 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. As applicable, any and all oversight activities would be communicated and coordinated with the Contractor and subsequently documented within this QASP.

The level of risk and the impact of failure are major determinants in helping define the type of surveillance to be conducted. Clearly, if the impact of failure is minor and the level of risk is low, only a small amount of insight-driven surveillance would normally be needed. Conversely, if the impact of failure could be significant and the level of risk is high, more extensive surveillance (including possible oversight surveillance) is warranted.

This insight-based approach to surveillance will utilize and leverage the Contractor's Quality Assurance Plan (QAP) and Quality Management System (QMS). Definitions, requirements, and specifications contained in the contract, SOW, and referenced documents will establish a baseline for the surveillance activities. This insight-based approach will seek objective evidence and data that the Contractor's program and processes are functioning as intended in accordance with the terms of the contract. The focus will be on trusting the Contractor's QMS and verifying that the Contractor is performing according to the policies, procedures, plans, and processes that their QMS defines.

GSFC will strive to use an insight-driven surveillance approach throughout the performance of this contract. The overall surveillance goal will be to obtain objective evidence and data that enable the Government to determine whether the Contractor's program and processes are functioning as intended in accordance with the terms of the contract. The focus will be on prevention rather than detection, i.e., emphasizing controlled processes and methods of operation, as opposed to relying solely upon inspection and test to identify problems.

This insight-based approach to surveillance as applied to the contract will result in lower levels of Government intervention, thus allowing the Contractor to assume full accountability and responsibility for integrity of processes. Although less obtrusive than oversight, this insight-based approach to surveillance continues to provide the Government with visibility into the Contractor's programmatic processes, technical processes, progress, and issues at all levels.

As required by FAR 42.1502 and GPR 5100.2, Supplier Performance Evaluations, the Contracting Officer (CO), in collaboration with the Contracting Officer’s Representative (COR), will annually complete a Contractor Performance Assessment Reporting System (CPARS)

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

evaluation, which the Contractor will also review. It will then become a part of the Past Performance Information Retrieval System (PPIRS).

2.2 Surveillance Activity Limitations and Guidance

2.2.1 General

Surveillance of L1 Series Solar Wind Plasma Sensor contract will take place on a non-interference basis and in a manner that will not unduly delay work that the Contractor performs.

2.2.2 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 originate 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.

2.2.3 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 on-site involvement and/or inspection in the process and will monitor the process itself. The COR will determine the necessity of Government’s involvement in the Contractor’s performance through oversight.

2.3 Surveillance Organization and Resources

2.3.1 General

The L1 Series Project team will support and perform the activities detailed in this plan, many with differing levels of responsibilities, but all maintaining a level of consistency in terms of the surveillance strategy, approach, and activities in general. Specific entities supporting the L1 Series Solar Wind Plasma Sensor contract surveillance activities include the identified NASA GSFC personnel; Contractor QA Department personnel (including their subcontractors); and contractor support services and delegated agency personnel, if applicable. Each of these entities and their associated responsibilities and input to the surveillance activities on the L1 Series Solar Wind Plasma Sensor contract are described in the following paragraphs.

2.3.2 Surveillance Team

2.3.2.1 General Organization and Responsibilities

General organization and responsibilities of the Surveillance Team are as follows:

a. The surveillance team will be composed of key Government personnel. All surveillance activities will be implemented using NASA and NASA support-contractor personnel, a delegated agency (e.g., Defense Contract Management Agency (DCMA)), and/or a surveillance support contractor(s). The surveillance team may be composed of:

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

1. GSFC Procurement Personnel (i.e., CO, Contract Specialist)

2. GSFC’s and NOAA-NESDIS Program Personnel (i.e., COR, Technical Monitor(s), Subject Matter Experts (SMEs) and Resource/Financial Analyst(s));

3. GSFC Safety, Health, and Security Personnel (both physical and Information

Technology (IT) Security);

4. GSFC Property Administrator Personnel;

5. Resident Office or DCMA Personnel;

6. GSFC Safety and Mission Assurance Personnel.

b. The team’s primary purpose will be to provide direction for contract surveillance activities and to serve as the Government’s focal point in reviewing and evaluating overall Contractor performance under the L1 Series Solar Wind Plasma Sensor contract.

The team will obtain information from various sources, including deliverable Contractor documents, communications with the Contractor, and reports by other personnel or representatives, e.g., Technical Monitor(s); Safety, Health, or Security personnel;

DCMA, who interact with the Contractor.

c. GSFC has the responsibility for independently assuring that the Contractor's operations meet NASA's contract performance requirements and enable success. As such, surveillance team members will have open access to all areas in which this contract is being performed and will interface directly with their Contractor counterparts.

Government expertise regarding the L1 Series Solar Wind Plasma Sensor contract may be applied in the form of technical consultants and/or assisting at working group meetings, design/development and specification reviews, review board meetings, surveys, audits, program reviews, and as in-plant representatives. The team will document problems, concerns, and issues, and take note of Contractor accomplishments. They will collect performance metric data, where applicable, and will participate in Contractor review meetings, such as those described herein. Information will flow from individual team members through the COR to surveillance team representatives, who will present issues and achievements at surveillance team meetings. Information gained from these formal and informal exchanges of ideas and collection of data will be compiled and evaluated as a continuous measure of contract performance.

d. All available information will be evaluated, and any action that GSFC needs to take will be determined based upon the scope and magnitude of any particular issue or problem.

The surveillance team chairperson, the COR, will formally notify the CO of situations where it is perceived that the Contractor has failed to take prudent corrective or preventive action, of situations that increase risk, or of findings of continued contractual non-compliance.

2.3.2.2 L1 Series Solar Wind Plasma Sensor Contracting Officer

L1 Series Solar Wind Plasma Sensor CO responsibilities are as follows:

a. The CO is responsible for ensuring performance of all necessary actions for effective contracting, ensuring compliance with the terms of the contract, issuing task orders, and safeguarding the interests of the United States in its contractual relationships. Within the surveillance area, the CO takes inputs from the program or project managers, COR, Safety, Health, GSFC Chief Safety and Mission Assurance Office, and others to establish

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

the detailed surveillance requirements that NASA personnel will perform, will be delegated to another Federal agency via a GSFC Letter of Delegation, or that a surveillance support Contractor will perform under contract. 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.

b. The CO will complete an annual Contractor performance assessment report using the

CPARS that the Contractor will also review, which will in turn become a part of the

PPIRS.

2.3.2.3 L1 Series Solar Wind Plasma Sensor Contracting Officer’s Representative

L1 Series Solar Wind Plasma Sensor COR responsibilities are as follows:

a. The CO designates the COR in writing to act as his or 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 or 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 value, terms, or conditions, the Contractor shall refer to the CO for action. The COR’s limitations of authority are contained in the NASA Form 1634, COR Delegation.

b. The COR assumes full responsibility for directing the surveillance activities identified in this plan. The COR also trains Technical Monitor(s) on evaluation procedures for evaluating contractor performance.

c. The COR will assist the CO in the completion of the contract’s annual performance assessment report using CPARS.

2.3.2.4 Technical Monitors

GSFC Technical Monitors are individuals that the COR appoints for the oversight of specific technical work on the contract. Technical Monitors provide detailed technical oversight of the Contractor’s performance and report findings to the COR in a timely, complete, and impartial fashion. While the Technical Monitors may serve as a direct conduit to provide Government guidance and feedback to the Contractor on technical matters, the Technical Monitors are not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf.

2.3.2.5 Defense Contract Management Agency (DCMA)

A DCMA representative may be co-located with the Contractor. The DCMA representative is tasked to provide surveillance support in accordance with the provisions of the GSFC Letter of Delegation and this plan.

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

2.3.2.6 Chief Safety and Mission Assurance Manager (CSO)

GSFC’s Safety and Mission Assurance (SMA), Code 300 assigns a Chief Safety and Mission Assurance Officer (CSO) to provide surveillance support to assure that contractor and subcontractor(s) meet the L1 Series Solar Wind Plasma Sensor contract requirements. The CSO is the principal interface between the L1 Series Project Office and SMA and has leadership responsibility for accomplishing overall L1 Series Solar Wind Plasma Sensor contract QA surveillance within the guidelines of this plan. The SMA and its service support contractor are responsible for surveillance support of matters pertaining to hardware and software QA, systems reviews, system safety and reliability, parts, materials and processes, testing, and anomaly reporting/resolution. The SMA manages the collection of data and metrics from performance assurance, integration and test, fabrication, and system safety organizations and/or activities to facilitate the evaluation of the Contractor performance.

2.3.2.7 L1 Series Solar Wind Plasma Sensor Contractor Quality Assurance

It is expected that the Contractor will maintain a QA lead as part of its QMS. It is expected that the QA lead will perform QA-related activities for the L1 Series Solar Wind Plasma Sensor contract efforts. The Contractor's QA lead will serve a vital role in the success of the surveillance efforts detailed in this plan. In particular, it is expected that the Contractor will task its QA lead to serve as a focal point for the Government in several areas, including but not limited to provision of and access to all requested insight data and lifecycle-related assets and artifacts, as they pertain to the insight areas described in this plan, and all QA-related activities conducted by this group.

The Government expects that, as necessary and applicable, the QA lead may direct the Government to other groups or individuals supporting the L1 Series Solar Wind Plasma Sensor contract effort to obtain requested insight data. These groups or individuals may include the Contractor's Program/Business Management office and/or representatives, discipline engineers, Configuration Management representatives, etc.

2.4 Forms of Surveillance

2.4.1 General

Surveillance on L1 Series Solar Wind Plasma Sensor contract will take place using any of the primary surveillance forms applied to the insight areas described in Section 3 of this document, during applicable stages of the contract. These primary forms of surveillance are described below.

2.4.2 Communications

Communications is a general surveillance activity. Communications is a two-way process and includes both written and oral communication. Examples of written communications activities that may be used in conducting surveillance include:

a. Exchanges from the Contractor to the Government of plans, procedures, quality records, reports, etc., and/or provision of read-only access to repositories which retain these items

b. Exchanges from the Government to Contractor of letters, reports, review results, etc.

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

c. Ad hoc information that the COR and/or Technical Monitor(s) submit to the CO related to the Contractor’s electronic mail

Examples of oral communications activities that may be used in conducting surveillance include:

a. Informal telephone calls and teleconferences

b. Informal verbal inquiries, discussions, engineering consultations

c. Working group meetings, IPT participation, technical/status briefings, progress reviews, technical information meetings, and formal and informal reviews

d. Informal discussions

2.4.3 Management Reviews and Reporting

Examples of management review and reporting activities that may be used in conducting surveillance include:

a. Formal, process, and progress reviews

b. Review of contract deliverables

c. Documentation of problems, issues, and concerns

d. Data collection reporting

e. Review of deliverables, products, and documentation

2.4.4 Engineering Peer Reviews

GSFC will use the GPR 8700.6 to review products developed under the L1 Series Solar Wind Plasma Sensor contract at critical milestones. The Engineering Peer Review process will review Contractor's readiness for a spacecraft launch, early orbit, and operational support, including nominal and contingency/emergency as described in the contract deliverable. L1 Series Project personnel will also use the Engineering Peer Review process in the event that special evaluations of Contractor activities are required, such as investigations of significant failures, major equipment failure, etc.

2.4.5 Participation in Contractor Configuration Management Processes

NASA's GSFC Configuration Control Board (CCB) approval is required for changes that affect L1 Series Solar Wind Plasma Sensor contract capabilities and external interfaces. The Contractor is required to facilitate GSFC insight into the contractor configuration management process. This process will encompass GSFC’s participation in the Contractor configuration management process and insight into Contractor configuration-controlled documentation. L1 Series Project personnel monitor contractor performance and activities with metrics. These metrics are used to assess contractor performance as well as to ensure the successful completion of mission customer requirements.

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

3 SURVEILLANCE ACTIVITIES

3.1 General

The Government and the Contractor shall concentrate on specific insight areas during applicable stages of contract performance. Each of these insight areas and the Government’s expectations for these areas are described in Table 1.

Table 1 Surveillance Insight Areas

Area of Risk Identified Impact to Government Surveillance Team Activity Configuration Management (CM) Documentation

Uncontrolled models, hardware, software, or documents could lead to erroneous results, incompatible interfaces, wasted resources, and/or mission failure

Periodically sample current documentation, and active management documents to verify compliance with the Contractor’s CM System and CM Plan.

Property Management, Control, and Maintenance

Loss of or damage to equipment;

potential schedule impact

Review Contractor property management techniques, compliance with policies, and record-keeping.

Safety Loss of work-time or equipment, with schedule or cost impact

Evaluate compliance with the Contractor's Safety and Health Plan and safety requirements.

Technical Documentation and Control

Loss of knowledge of processes and results

Periodically sample documents (review for accuracy) and ensure they are under CM control.

Process Controls Degradation of work products;

increase in safety risk; potential schedule impact

Periodically monitor, with assistance from DCMA as needed, the Contractor’s adherence to key processes and their internal audit schedules/results.

Continuous Risk Management Technical, cost, schedule, safety, and program success

Periodically ensure that the Contractor is performing a Continuous Risk Management program that identifies, analyzes, tracks, mitigates, controls and reports on related risks.

Quality Management Technical, cost, schedule, safety, and program success

Monitor the Contractor’s internal and external audits for compliance with the Contractor’s established Quality Management Systems, including CMMI® or ANSI/ISO/ASQ Q9001:2000 or AS 9100.

Quality (and quantity) of Work Force

a. Inability to fill positions and meet commitments on scheduled deliverables or science results, including NASA Performance Metrics

b. Additional cost resulting from decreased productivity of other staff reliant on unfilled positions

c. Lack of expertise or inadequate experience in key areas

d. Delayed data delivery and/or poor data quality

a. Monitor time required to fill positions and evaluate Contractor efforts and approaches used to fill vacancies.

b. Assess Contractor efforts to train staff in areas of required expertise.

c. Evaluate Contractor technical performance

d. Monitor progress and timeliness and evaluate the quality of data received.

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

Area of Risk Identified Impact to Government Surveillance Team Activity Quality of Workmanship (End-Items)

a. Inability to meet commitments of scheduled deliverables

b. Additional cost and time resulting from rework, nonconforming, latent defects

a. Monitor and track schedules and delivery due dates.

b. Conduct/witness testing and inspections, when necessary. Ensure end-item deliverables conform prior to acceptance.

Schedule Services or products not provided in a timely manner can impact project schedule and cost

Monitor progress via management reviews and reporting.

Cost and Funding

Cost Overrun:

a. Inability to implement contract requirements within negotiated costs may lead to erosion of technical performance, delay, or deletion of work

b. Reduction of work due to funding limitations/fluctuations

Monitor and track costs incurred through the NASA Form 533, NASA Contractor Financial Management Report submitted on a monthly and quarterly basis.

Organizational Conflicts of Interest (OCI) Avoidance

Potential restrictions, ineligible to perform, and/or unfair competitive advantage on future work

Monitor submittal, enforcement, and compliance with the Contractor’s OCI Avoidance Plan.

Export Control Violation of International Traffic in Arms Regulations (ITAR)

Ensure the Contractor has Technical Assistance Agreements as required by the NASA Export Control Program.

TBD (as designated on individual Task Orders)

TBD (as designated on individual Task Orders)

TBD (as designated on individual Task Orders)

3.2 Surveillance Team Activities

The surveillance team members will participate in review meetings, if applicable. They will provide support, as necessary, with the development and approval of technical requirements;

flow-down of requirements; and with design, development, production, and test activities. They will also maintain insight into the Contractor’s compliance with relevant deliverables submitted under the contract and services performed. When the Government has concerns regarding Contractor performance, surveillance team members may conduct independent audits of the Contractor’s activities, processes, products, documentation, and data to provide assurance that the program follows all requirements and specifications. The Government will normally conduct these audits with advance notification and coordinate with the Contractor. However, the Government reserves the right to conduct unscheduled audits when evidence indicates that Contractor performance is deficient.

Various surveillance team members will perform the following selected surveillance team activities during applicable stages of contract performance:

3.2.1 Work Review and Performance Monitoring

The COR, with the assistance of the Technical Monitor(s), will perform the following functions to evaluate the Contractor's performance:

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

a. Reviews specific SOW areas with the Technical Monitor(s) to assure that work being performed, and deliverables are in accordance with the technical requirements of the SOW and timely.

b. Reviews the Contractor's monthly Progress Report for accuracy and completeness.

Consults with the Technical Monitor(s), as necessary, to assess the fidelity of reports.

c. Meets monthly, or more often if required, with the Contractor's Program Manager to discuss overall contract management and performance, review staffing and schedule issues, and review cost related issues.

d. Certifies the Contractor’s invoices for payment in accordance with NASA procedures.

e. Performs QA inspections and QA witnessing or monitoring of tests.

f. In the event of a discrepancy in the Contractor's performance, the COR promptly notifies both the CO and the Contractor's Program Manager and arranges a meeting to rectify the situation.

3.2.2 Government Property Administration

The COR will carry out the following functions:

a. Review Contractor's request to purchase controlled property and facilities and make recommendations to the CO.

b. Validate that no property or facilities are being acquired without the CO's prior approval.

c. Validate that the Contractor is maintaining records for all offsite Government-Furnished Property (GFP).

d. Review all requests to move IAGP to an offsite location for a period longer than 30 days ensure the required documentation has been properly completed and all required COR/CO signatures obtained on the GSFC 20-4, Transfer/Shipping Request.

3.2.3 Performance Monitoring

The COR will ensure that employer–employee relationships do not occur between Government and Contractor personnel. The following guidelines apply in the effort to achieve this:

a. Only the Contractor interviews prospective employees.

b. Only the Contractor’s Program Manager assigns work directly to the employees.

c. Only the Contractor approves timecards and absences.

d. Government personnel do not interfere with the Contractor regarding personnel and administrative prerogatives.

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

3.2.4 Safety

The responsibility for meeting all safety requirements rests with the Contractor. Surveillance team safety engineers and technical personnel will review Contractor-generated hazard analyses, safety compliance data packages or other safety-related documentation, as appropriate, to help ensure all safety requirements have been satisfied. Surveillance team personnel will also maintain insight into the Contractor’s safety activities through the review of the Contractor’s submitted Safety and Health Plan, and updates, as required by this contract.

Check the L1 Series CM tool Server at https://ipdtdms.gsfc.nasa.gov/frontmenu dsp.cfm to verify that this is the correct version prior to use.

Appendix A Abbreviations and Acronyms

CCB Configuration Control Board CM Configuration Management CME Coronal Mass Ejections CO Contracting Officer COR Contracting Officer’s Representative CPARS Contractor Performance Assessment Reporting System CSO Chief Safety and Mission Assurance Officer DCMA Defense Contract Management Agency FAR Federal Acquisition Regulations FM Flight Models GFP Government-Furnished Property GPR Goddard Procedural Requirements GSFC Goddard Space Flight Center IT Information Technology L1 Lagrange 1 NASA National Aeronautics and Space Administration NESDIS National Environmental Satellite, Data, and Information Service NFS National Aeronautics and Space Administration (NASA) Federal

Acquisition Regulations (FAR) Supplement NOAA National Oceanic and Atmospheric Administration NWS National Weather Service PPIRS Past Performance Information Retrieval System QA Quality Assurance QAP Quality Assurance Plan QASP Quality Assurance Surveillance Plan QMS Quality Management System SMA Safety and Mission Assurance SOW Statement of Work SWO Space Weather Observations SWPC Space Weather Prediction Center SWiPS Solar Wind Plasma Sensor