Enclosure 2 - Government Quality Assurance Surveillance Plan.pdf

ENCLOSURE 5

GOVERNMENT QUALITY ASSURANCE SURVEILLANCE PLAN

PROVIDED FOR INFORMATIONAL PURPOSES ONLY

RFP 80GSFC23Q0001

1.0 INTRODUCTION

1.1 Purpose

The purpose of this Government Quality Assurance Surveillance Plan (QASP) is to define the overall approach the NASA Goddard Space Flight Center (GSFC) intends to use to monitor and survey Contractor offsite performance under the Atmosphere Observing System-Inclined

(AOS-I) Atmospheric Lidar Instrument for Clouds and Aerosol Transport (ALICAT)

Receiver Telescope 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 QASP can be changed unilaterally by the Government at any time during the contract.

GSFC plans to utilize the Contracting Officer Representative (COR) expertise to evaluate

Contractor performance and direct surveillance activities. The COR will establish and rely on objective and subjective performance metrics based on the contract Statement of Work (SOW) to evaluate Contractor performance against requirements.

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, 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 contract standards are achieved.

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, and will be updated as required and defined in this document.

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

a. Engineering & Technology

b. Quality Assurance

c. Procurement/Subcontracting/Purchasing

d. Finance

e. Environmental

f. Export Control

g. Safety and Health

h. Security

1.3 Program Definition and Contract Description

1.3.1 Program Background and Definition

The Atmosphere Observing System-Inclined (AOS-I) Project, Code 612 at GSFC is responsible for the Atmospheric Lidar Instrument for Clouds and Aerosol Transport (ALICAT) Receiver

Telescope.

1.3.2 Contract Goals and Objectives:

The GSFC goal for this TBD contract is that the Contractor will provide engineering services to support the following requirements:

A) Engineering support and analysis to include but not limited to the following:

a. Engineering analysis of products and reports related to long-term spacecraft subsystem behavior, data trends and telemetry signature.

b. Engineering analysis of data or other issues related to previous spacecraft subsystem anomalies.

c. Consultation support for GSFC maintenance of ground-based spacecraft engineering development modules, test equipment and all other hardware/software components required to perform diagnostic testing.

B) Engineering support related to anomalies and recovery for return to operational science mode.

Support is limited to phone consultation only, however may require usage of remote telemetry monitoring capabilities.

This contract is a Cost Plus Fixed Fee with a base period of 2 years and options for the services indicated.

2.0 SURVEILLANCE STRATEGY AND APPROACH

2.1 General

There exists a wide-ranging spectrum associated with surveillance, ranging from oversight to insight. The strategy and approach to surveillance by GSFC for TBD contract, as detailed in this plan, is one that concentrates primarily on insight as opposed to oversight. As applicable, any and all oversight activities would be communicated and coordinated with the Contractor and subsequently documented within this QASP.

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 TBD 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 TBD

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) evaluation, which will also be reviewed by the Contractor, and become a part of the Past

Performance Information Retrieval System (PPIRS).

2.2 Surveillance Activity Limitations and Guidance

Insight will be used as 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, Contractor anticipation in working group sessions, and engineering solutions offered to maintain operations and minimize risk.

2.3. GSFC Contracting Officer

GSFC 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, and safeguarding the interests of the United States in its contractual relationships. Within the surveillance area the CO takes inputs from the COR and others to establish the detailed surveillance requirements to be performed by NASA personnel, delegated to another Federal agency via a GSFC Letter of Delegation, or to be performed under contract by a surveillance support Contractor. 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 will also be reviewed by the Contractor and become a part of the PPIRS.

2.4 Contracting Officer’s Representative

The COR responsibilities are as follows:

a. The COR is designated in writing by the CO to act as her 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/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 shall be referred 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.

2.4.1 Communications

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

a. Exchanges from the TBD 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 TBD Contractor of Email, review results of analysis and effectiveness of procedures and process to take corrective action or improve performance.

c. Information submitted by COR to the CO related to the Contractor’s performance.

2.4.2 Management Reviews and Reporting

Management review and reporting activities that will be used in conducting surveillance include:

a. Review of contract deliverables The general method that’s employed to monitor the TBD

Contract performance is weekly one on one tag-up between the COR and TBD POC and weekly tag-ups (Top Ten) with the Atmosphere Observing System-Inclined (AOS-I)

Atmospheric Lidar Instrument for Clouds and Aerosol Transport (ALICAT) Receiver

Telescope leads.

b. RESERVED

c. TBD is invited to all Configuration Control Board (CCB) Meetings for the FOT and Flight

Software (FSW) Maintenance Team (AFM)

d. TBD is a participant in all anomaly investigations that involve the spacecraft subsystems and select instrument anomalies if spacecraft performance could be affected

e. The COR will also conduct ad-hoc telecons as required if TBD is actively providing anomaly support or for time critical yearly analyses (Power System performance)

3. SURVEILLANCE ACTIVITIES

3.1 General

A) Engineering support and analysis to include but not limited to the following:

a. Engineering analysis of products and reports related to long-term spacecraft subsystem behavior, data trends and telemetry signature.

b. Engineering analysis of data or other issues related to previous spacecraft subsystem anomalies.

c. Consultation support for GSFC maintenance of ground-based spacecraft engineering development modules, test equipment and all other hardware/software components required to perform diagnostic testing.

B) Engineering support related to anomalies and recovery for return to operational science mode.

There exist specific insight areas that the Government and the TBD Contractor shall concentrate on 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

Quality of Work Force a. Inability to provide required expertise and meet commitments on scheduled deliverables.

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

c. Lack of expertise or inadequate experience in key areas

a. Monitor and evaluate Contractor efforts and approaches to maintain expertise.

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.

Cost and Funding

Cost variance:

a. Implement contract requirements within negotiated costs. Excess anomalies may challenge technical performance and cause an overrun.

Monitor and track costs incurred through the NASA Form 533, NASA

Contractor Financial Management

Report submitted on a monthly and quarterly basis.

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, in order to provide assurance that the program is being implemented according to all requirements and specifications. These audits will normally be conducted with advance notification and coordinated with the Contractor. However, the Government reserves the right to conduct unscheduled audits when evidence indicates that Contractor performance is deficient.