9O.__Enclosure_BB_-_Government_Quality_Assurance_Surveillance_Plan.pdf

RFP 80GSFC17R0018, ENCLOSURE BB

GOVERNMENT QUALITY ASSURANCE SURVEILLANCE

PLAN

Space Exploration Network Services Evolution (SENSE)

CONTRACT NO. TBD

NOVEMBER 2017

FOR INFORMATION PURPOSES ONLY (10/2015)

FOREWARD

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.

Space Exploration Network Services Evolution (SENSE)

GOVERNMENT QUALITY ASSURANCE SURVEILLANCE PLAN

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 [onsite and offsite] performance under the Space Exploration Network Services Evolution (SENSE) 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 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 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.

This plan is applicable to all services performed or products provided by the SENSE 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 SENSE Contractor and any and all of its subcontractors.

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

a. Engineering & Technology

b. Quality Assurance

c. Procurement/Subcontracting/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

Exploration and Space Communications Division (ESC) at GSFC enables scientific discovery and space exploration by providing innovative and mission-effective space communications and navigation solutions to the largest community of diverse users. ESC manages NASA’s operational geostationary communications satellites and ground networks to meet mission communications and navigation needs. This combination of space and ground infrastructure is designed to be fully capable of operating safely at ground station sites and in orbits positioned strategically in space to ensure adequate availability. Today, the operational portions of the ESC Systems consist of two operational networks - Space Network (SN) and Near Earth Network (NEN) – and the Network Integration Center (NIC). These networks currently are managed using separate management practices. It is the intention of the Government to migrate to integrated common management practices and network solution services where practicable under this contract.

1.3.2 Contract Goals and Objectives:

The GSFC goal for this SENSE contract is to enable mission success for every customer using SENSE services. Key objectives of the SENSE contract are to decrease cost and maintain or improve operational efficiency and reliability, while maintaining an acceptable level of risk and providing for safe operation of the missions.

The purpose of this Cost Plus Award Fee contract is to provide Program Management, Systems Engineering, and Operations, Maintenance, and Sustainment. The Contractor shall conduct specific activities and provide deliverables as specified in the contract.

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.

1.5 References and Applicable Documents

Applicable Documents

Document # Title CNSSI 7000 (classified*) Committee on national Security Systems Instruction (CNSSI) 7000, (U)

Tempest Countermeasures for Facilities (C) (classified*)

NASA CSOP (see CSOP-00, TOC.doc for current list)

(classified*)

NASA Central Office of Record Standard Operating Procedure (CSOP) (classified*)

NSA/CSS Policy Manual 3-16 (classified*)

NSA/CSS Policy Manual 3-16, Control of COMSEC(classified*)

ANSI/ESD S20.20-2014 Protection of Electrical and Electronic Parts, Assemblies and Equipment [Excluding Electrically Initiated Explosive Devices]

(http://webstore.ansi.org) ANSI/NCSL Z540.1-1994 Calibration Laboratories & Measuring & Test Equipment - General

Requirements (http://webstore.ansi.org) ANSI/NCSL Z540.3-2006 Requirements for the Calibration of Measuring and Test Equipment

(http://www.ncsli.org/)

HSPD-12

(https://www.hsdl.org/c/) Homeland Security Presidential Directive/HSPD-12, Policy for a Common

Identification Standard for Federal Employees and Contractors

HSPD-5

(https://www.hsdl.org/c/) Homeland Security Presidential Directive/HSPD-5, National Incident

Management System

HSPD-7

(https://www.hsdl.org/c/) Homeland Security Presidential Directive/HSPD-7, Critical Infrastructure

Identification, Prioritization, and Protection

HSPD-8

(https://www.hsdl.org/c/) Homeland Security Presidential Directive/HSPD-8, National Preparedness http://cryptome.info/nstissc-idx.htm

National Security Telecommunications and Information Systems Security Instruction (NSTISSI) 4000 Series on Communications Security https://a130.cio.gov/appendix3

OMB Circular A-130, Appendix III, Security of Federal Automated Information Resources https://www.cnss.gov/cnss Committee on National Security Systems Instruction (CNSSI) 4000 Series on Communications Security https://www.cnss.gov/cnss CNSSI TEMPEST/ 1-13, (U) RED/BLACK Installation Guidance https://www.cnss.gov/cnss Committee on National Security Systems Instruction (CNSSI) 4005 and

Amendment https://www.cnss.gov/cnss Committee on National Security Systems Instruction (CNSSI) 5000, (U)

Guidelines for Voice Over Internet Protocol (VoIP) Computer Telephony (U) https://www.cnss.gov/cnss Committee on National Security Systems Instruction (CNSSI) 5006, (U)

National Instruction for Approved Telephone Equipment (U) IEEE 730-2014 IEEE Standard for Software Quality Assurance Plans (http://www.ieee.org/)

IPC-J-STD-001FS Joint Industry Standard, Space Applications Electronic Hardware Addendum (except Chapter 10 of IPC-J-STD-001F) (https://www.ipc.org)

IPC/WHMA-A-620AS Requirements and Acceptance for Cable and Wire Harness Assemblies, Space Addendum (https://www.ipc.org)

ISO 17025-2005 General requirements for the competence of testing and calibration laboratories (http://www.iso.org/iso/catalogue_detail?csnumber=39883)

NASA FMM Volume 9000:

Principles and General Policies

NASA Financial Management Manual (FMM) Volume 9000 Chapter 9060 (https://www.hq.nasa.gov/fmm/fmmintro.htm)

NASA FMM Volume 9100:

Agency Coding Structure

NASA Financial Management Manual (FMM) Volume 9100 Chapter 9060 (https://www.hq.nasa.gov/fmm/fmmintro.htm)

NFS 1852.204-76 Security Requirements for Unclassified Information Technology Resources (https://www.hq.nasa.gov/office/procurement/regs/5200-

11.htm#sec1852_203_76)

NFS Part 1845 Government Property (https://www.hq.nasa.gov/office/procurement/regs/1845.htm)

NIAP PP National Information Assurance Partnership (NIAP) Protection Profiles (PP) (https://www.niap-ccevs.org/Profile/PP.cfm)

NIST SP 800-53 and -53A Recommended Security Controls for Federal Information Systems and Organizations https://web.nvd.nist.gov/view/800-53/home

SAE AS9100 Quality Systems - Aerospace - Model for Quality Assurance in Design, Development, Production, Installation and Servicing

(http://standards.sae.org/as9100d/) AC No: 70-1 Federal Aviation Administration Advisory Circular on Outdoor Laser

Operations ASTM E1527-13 Phase I Environmental Site Assessment CMMI-Dev V1.3 CMMIR For Development, Version 1.3

CMMI-Dev V1.3 Errata http://www.sei.cmu.edu/librar y/

CMMIR For Development, Version 1.3 Errata http://www.sei.cmu.edu/library/

CNSSP No. 11 National Policy Governing the Acquisition of Information Assurance (IA) and IA-Enabled Information Technology Products

Consldtd Lsr Rngng Frmt (CRD)_v1.01

Consolidated Laser Ranging Data Format (CRD) version 1.01 27 October 2009

CSFC Commercial Solutions for Classified (CSfC) Customer Handbook DHS -USCIUS Form I-9 Instructions for Employment Eligibility Verification

DI-IPSC-81427 Software Development Plan DI-IPSC-81431 System/Subsystem Specification (SSS) DI-IPSC-81432 System Design Description DI-IPSC-81433 System Requirements Specification (SRS) DI-IPSC-81434 Interface Requirements Specification (IRS) DI-IPSC-81435 Software Design Description (SDD) DI-IPSC-81436 Interface Design Description (IDD)

DOD-5220-22-M National Industrial Security Program Operating Manual (NISPOM) ECSS-E-10 Space Engineering System Engineering

ECSS-Q-ST-40-02 Space Product Assurance – Hazard Analysis ECSS-Q-ST-40 Space Product Assurance: Safety

ECSS-Q-ST-70-10 Qualification of Printed Circuit Boards Exec. Order 12114 Environmental Effects Abroad of Major Federal Actions

Fed Info Sec Mgmt Act of 2002 Federal Information Security Management Act of 2002 FISMA Public Law 113–283 Federal Information Security Modernization Act (FISMA) of 2014

GEIA-STD-0005-1 Performance Standard for Aerospace and High Performance Electronic Systems Containing Lead-free Solder

GEIA-STD-0005-2 Standard for Mitigating the Effects of Tin Whiskers in Aerospace and High Performance Electronic Systems

HSF CTN MORR Template Human Space Flight (HSF) Communications and Tracking Network (CTN) MORR Template

IC Tech Spec for ICD/ICS 705 (U)

IC Tech Spec for ICD/ICS 705 (U) Technical Specifications for Construction and Management of Sensitive Compartmented Information Facilities (U)

ICD 703 Intelligence Community Directive (ICD) 703- Protection of Classified National Intelligence, Including SCI

ICD 704 Personnel Security ICD 705 (U) Sensitive Compartmented Information

ICS 705-1 (U) Physical and Technical Security Standards For Sensitive Compartmented Information Facilities (U)

ICS 705-2 (U) Standards for the Accreditation and Reciprocal Use of Sensitive Compartmented Information Facilities (U)

IPS-J-STD-001F Requirements for Soldered Electrical and Electronic Assemblies ITS-HBK-2810.02-04 Security Assessment & Authorization: Continuous Monitoring – Security

Control Ongoing Assessments and Authorization TL-MAN-0002 United States Antarctic Program - Packing & Shipping Instructions

MIL-STD-2073-1 Standard Practice for Military Packing MIL-STD-961E Defense and Program-Unique Specifications Format and Content

NASA Form 1627

NASA Mishap Report Form

NASA-SP-2007-6105 NASA Systems Engineering Handbook NASA-SP-2010-3403 NASA Schedule Management Handbook

NASA-STD-2804 Minimum Interoperability Software Suite NASA-STD-2805 Minimum Hardware Configurations NASA-STD-6016 Standard Materials and Processes Requirement for Spacecraft

NASA-STD-8719.13 Software Safety Standard NASA-STD-8719.14 Process for Limiting Orbital Debris

NASA-STD-8719.7-1 (in three parts: Chapter 1 to 6, Chapter 7 to App C, and Appendix D)

Facility System Safety Guidebook

NASA-STD-8719.9 Lifting Standard NASA-STD-8729.1 Planning, Developing and Managing and Effective Reliability and

Maintainability (R&M) Program NASA-STD-8739.1 Workmanship Standard for Polymeric Application on Electronic Assemblies NASA-STD-8739.4 Workmanship Standard for Crimping, Interconnecting Cables, Harnesses, and Wiring w/Change 6 NASA-STD-8739.5 Workmanship Standard for Fiber Optic Terminations, Cable Assemblies, and

Installation NASA-STD-8739.6 Implementation Requirements for NASA Workmanship Standards NASA-STD-8739.8 Software Assurance Standard w/Change 1

NEPA National Environmental Policy Act NHPA, Section 106 Section 106 of the National Historic Preservation Act

NID 1600.55 Sensitive But Unclassified (SBU) Controlled Information NID 8000.108 Agency Risk Management Procedural Requirements NIST 800-30 NIST, Guide for Conducting Risk Assessments NIST 800-37 Guide for Applying the Risk Management Framework to Federal Information

Systems NIST 800-39 NIST, Managing Information Security Risk NIST 800-44 NIST, Guidelines on Securing Public Web Servers

NIST SP 800-88 NIST, Guidelines for Media Sanitization

NPD 1040.4 NASA Continuity of Operations (COOP) (Revalidated with Change 1, March 31, 2015)

NPD 1600.2 NASA Security Policy (Revalidated on 4/2/2015 w/Change 1) NPD 1600.4 National Security Programs (Revalidated with Change 1 on July 28, 2016) NPD 2190.1 NASA Export Control Program NPD 2570.5 NASA Electromagnetic Spectrum Management - Revalidated 9/13/16 NPD 2810.1 NASA Information Security Policy NPD 4100.1 Supply Support and Material Management Policy NPD 4200.1 Equipment Management

NPD 4300.1 NASA Personal Property Disposal Policy (Revalidated 5/2/2016 w/Change 2)

NPD 7500.1 Program and Project Life-Cycle Logistics Support Policy NPD 8720.1 Reliability and Maintainability (R&M) Program Policy NPD 8820.2 Design and Construction of Facilities NPR 1040.1 NASA Continuity of Operations (COOP) Planning Procedural Requirements

(revalidated on 9/13/2012) NPR 1600.1 NASA Security Program Procedural Requirements NPR 1600.2 NASA Classified National Security Information (CNSI) w/Change 2 (2/12/2014) NPR 1620.2A Facility Security Assessments (10/4/2012)

NPR 1660.1C NASA Counterintelligence (CI)/Counterterrorism (CT), (Revalidated w/Chg.1) (5/28/2015) NPR 2190.1B NASA Export Control Program NPR 2570.1 NASA Radio Frequency (RF) Spectrum Management Manual NPR 2810.1 NASA Security of Information Technology (Revalidated with Change 1, dated

May 19, 2011) NPR 2841.1 Identity, Credential, and Access Management (ICAM) NPR 4100.1 NASA Materials Inventory Management Manual (Revalidated

2/9/06) NPR 4200.1 NASA Equipment Management Procedural Requirements NPR 4300.1 NASA Personal Property Disposal Procedural Requirements NPR 6000.1 Requirements for Packaging, Handling, and Transportation for Aeronautical and Space Systems, Equipment, and Associated Components NPR 6200.1 NASA Transportation and General Traffic Management NPR 7120.5 NASA Space Flight Program and Project Management

Requirements w/Changes 1-15 NPR 7120.8 NASA Research and Technology Program and Project

Management Requirements (w/change 3 dated 04/18/13) NPR 7150.2 NASA Software Engineering Requirements NPR 8553.1 NASA Environmental Management System (Revalidated 8/28/2014) NPR 8580.1 NASA National Environmental Policy Act Management Requirements NPR 8621.1 NASA Procedural Requirements for Mishap and Close Call Reporting, Investigating, and Recordkeeping NPR 8715.3 NASA General Safety Program Requirements w/Change 9 dated 2/08/13) NPR 8800.15 Real Estate Management Program w/Change 1, February 24, 2015 NPR 8820.2 Facility Project Requirements (FPR) NPR 8831.2 Facilities Maintenance and Operations Management (Updated w/Change 1 on September 2, 2016) NPR 9130.1 NASA Financial Information Systems NPR 9501.2 NASA Contractor Financial Management Reporting NSF 01-151 Antarctic Conservation Act of 1978 NSF 08-47 United States Antarctic Program Participant Guide, 2016-2018 Edition

R.A. of 1973, Sec 508 Final FAR Rule For Implementing Section 508 of the Rehab Act Electronic and Information Technology Accessibility for Persons with Disabilities

SCaN-ADD Vol 1 Space Communications and Navigation (SCaN) Network Architecture Definition Document (ADD) Volume 1: Executive Summary

SCaN-ADD Vol 2 Space Communications and Navigation (SCaN) Network Architecture Definition Document (ADD) Volume 2: (ADD V2)

SGP-MGMT-PROC-0002 Space Geodesy Project Information and Configuration Management Procedure

TSG Standard 1 National Telecommunications Security Working Group TSG Standard 1- (U) Introduction to Telephone Security (U)

TSG Standard 2 And

NTSWG Standard 2a Supplemental

TSG Standard 2- (U) TSG Guidelines for Computerized Telephone Systems (U)

And NTSWG Standard 2a Supplemental

450-RFICD- X (SBU) 450-Radio Frequency Interface Control Documents (Sensitive But Unclassified) (Multiple: ACE_Near Earth Network_R1, BP_Space Network

Document Change Notice 002, CPOD_Near Earth Network, DSCOVR_Near Earth Network_Deep Space Network_Space Network_R1, GOES R-U_Near

Earth Network_D1, GPM_Space Network_Near Earth Network R1D1, GRACE-FO_Near Earth Network, GRACE-GN Document Change Notice 001, ICESat-2_Near Earth Network_Space Network (final), ICON_Near Earth Network_Space Network, JPSS-1_Space Network_Near Earth Network, JWST_Space Network_R1, MMS_Deep Space Network_Near Earth Network_Space Network_R1, MTRS_Space Network, NEOWISE_Space

Network Document Change Notice 002, OCO-2_Near Earth Network_Space Network_D3, RHESSI_Near Earth Network, SMAP_Near Earth

Network_Space Network_R1, STPSat-5_Near Earth Network, TESS_Space Network)

450-SNUG (SBU) Space Network Users Guide (SBU) Code760-FOR-015-20130717

MSN OPs ACC CON CHKLST (SBU), ACC Spreadsheet, and

ACC Spreadsheet Device Options

Internet Protocol Operational Network (IONet) Access Control Compliance Checklist, CHECKLIST-July 2004, Revision 3

(SBU), ACC Spreadsheet, and ACC Spreadsheet Device Options

NPR 1600.6 (restricted-SBU) NASA Communications Security (COMSEC) (restricted-SBU) NPR 1620.3 (SBU) Physical Security Requirements for NASA Facilities and Property (SBU)

NPR 1620.3A (SBU) Physical Security Requirements for NASA Facilities and Property (10/4/2012)

(SBU)

SN SCG Ver3 JUNE 2015 (SBU) Space Network Security Classification Guide dated June 5, 2015 (SBU)

400-PG-8621.1.1

Anomaly Notification System for Code 400 Programs and Projects

450_1-NOSP-X Network Operations Support Plan (NOSP) (Multiple: Aqua, Aura, Balloon Program, COSMIC, DSCOVR, FGST, GRACE, IRIS, Landsat-8, LRO, MetOp, MMS, NPP, NuStar, OCO-2, QuikSCAT, RBSP, SCaN Testbed, SMAP, Solar-B

(HINODE), SPTR-2, SWIFT, TDRS, THEMIS)

450-NRD-X 450-Network Requirements Document (Multiple: Balloon Program, DSCOVR, GOES-R, ICESat-2, ICON, JPSS-1, MMS, OCO-2, SMAP)

450-PG-1310.1.1 Networks Integration Process 450-PG-1310.1.3 Space and Near Earth Networks Priority List Process 450-PG-1410.2.1 450/ESC - Configuration Management Procedure 450-PLAN-0007 Exploration and Space Communications (ESC) Projects Division Risk

Management Plan (RMP) 450-PROC-CTP/SN/NEN Radio Frequency (RF) Compatibility Test Procedures between Spacecraft and the Space Network (SN) and/or Near Earth Network (NEN) 450-PSLA-X 450-Project Service Level Agreement (Multiple: COSMIC, DSCOVR, GOES-R, GRACE, GRACE-FO, HST, ICESat-2, ICON, JPSS-1, JWST, MMS, OCO-2, SMAP, Solar-B (HINODE), STPSat-5, SWIFT, TESS, Van Allen Probes)

450-SARD-X 450-Service Agreement Requirements Document (Multiple: AIM, Aura, CPOD, GOES_13-15, GPM, Landsat-7, RHESSI, SDO, SPTR-2)

450.1-LIST-NEN/Priority Near Earth Network (NEN) Priority List 450.1-LIST-SN/Priority Space Network Priority List

450.1-WI-1310.1.10 Networks Services Request Process 450.1-WI-1310.1.11 Radio Frequency Compatibility Test Plan/Report 450.1-WI-1310.1.12 Networks Integration Management Office (NIMO) Lessons Learned Process 450.1-WI-1310.1.13 Networks Integration Management Office (NIMO) Post-Mission Report

Process 450.1-WI-1310.1.1 Networks Integration Management Office (NIMO) Mission Set Maintenance 450.1-WI-1310.1.2 Project Service Level Agreement (PSLA) Process 450.1-WI-1310.1.4 Networks Integration Management Waiver Process 450.1-WI-1310.1.5 Network Operations Support Plan (NOSP) Process 450.1-WI-1310.1.6 Networks Feasibility Analysis 450.1-WI-1310.1.7 Mission Operations Readiness Review (MORR) Process 450.1-WI-1310.1.8 Network Requirements Document (NRD) Process 450.1-WI-1310.1.9 Networks Integration Scheduling 452-PLAN-SOAR Spacecraft On-orbit Anomaly Report (SOAR) Process

453-NENUG Near Earth Network (NEN) Users' Guide 453-UG-NEN-Scheduling Users’ Guide for Near Earth Network Scheduling

Alert_No. Alert Notices DRD002402 Monument Peak Use Permit thru 2020 GPD 7120.1 Goddard Space Flight Center (GSFC) Policy Directive (GPD): Space Asset

Protection Policy GPD 8500.1 GPD: Environmental Policy and Program Management GPR 1600.1 Goddard Security Requirements, (02/21/2014) GPR 1600.2 NASA Classified National Security Information (CNSI) (12/11/2013) GPR 1600.3 Protective Service Division Personnel Security (12/12/2013) GPR 1600.4 Identity and Credential Management (12/04/2013) GPR 1860.2 Laser Radiation Protection GPR 4100.2 Hazardous Material Data Management GPR 6400.1 Logistics Support GPR 7120.4 Risk Management GPR 7123.1 Systems Engineering GPR 8500.1 Environmental Planning and Impact Assessment GPR 8500.3 Waste Management GPR 8500.4 Air Quality Management Program GPR 8500.5 Water Management GPR 8500.8 Site Investigation and Remediation GPR 8700.6 Engineering Peer Reviews

GSFC 23-35 LU Laser Radiation Source Personnel Approval GSFC 23-6L Laser Radiation Source Use Approval (2 files - Monument Peak and

Greenbelt) IVS TOW 2105 VLBI Pre-Checks and Operations Manual

M4FR1 MOBLAS 4 Infrastructure Requirements MOBLAS 7 04-0034b GSFC 23-

28L 532nm

Request for Radiation Safety Committee Action – Laser Radiation Source Questionnaire: MOBLAS 7 04-0034b GSFC 23-28L

532nm NASA IT-HBK-2841-002 (Expires

3/2017) Identity, Credential, and Access Management (ICAM) Services

NENS-GN-LOP-0509 MGS Delta 2 Link XX Support Procedure NMO-POL-001-20100901 Internet Protocol Operational Network (IONet) Access Protection Policy and

Requirements, 290-004 NPR 1600.3 Personnel Security (Change 2, April 29, 2013) NPR 1600.4 Identity and Credential Management (08/1/2012)

NSLR-03-0001 (3 files) TLRS-3/4 Technical Manual (3 files) NSLR-03-0003 MOBLAS-4 through -8 Technical Manual NSLR-05-0001 Network Operating Procedures

NSLR-05-0002 (7 Files) Station Operating Procedures for TLRS-3/4 (7 files) NSLR-05-0003 MOBLAS-4 through -8 Operating Procedures NSLR-05-0004 MOBLAS-4 through -8 Preventative Maintenance Procedures NSLR-06-0012 SLR Safety Logbook NSLR-06-0013 SLR Safety Handbook

SCNS-NEN-LOP-0001 Regression Test Procedures for NENSE SCNS-NEN-LOP-0030 MGS JSOC JPSS Power-Down and Power-Up Procedures SCNS-NEN-LOP-0050 White Sands One (WS1) Hardware Control (HWCNTRL) Manual Load of

Ephemeris SCNS-NEN-LOP-0051 White Sands One (WS1) Hardware Control (HWCNTRL) Manual Loads and

Modifications to Schedules SCNS-NEN-LOP-0052 White Sands One (WS1) Range Receive Command Processor (RRCP) Failover

Procedure SCNS-NEN-LOP-0053 White Sands One (WS1) Standard Autonomous File System (SAFS)

Shutdown/Restart & Server Reboot Procedure SCNS-NEN-LOP-0054 White Sands One (WS1) Standard Autonomous File System (SAFS) Cluster

Manager Failover Procedure SCNS-NEN-LOP-0055 White Sands One (WS1) Standard Autonomous File System (SAFS) Backup &

Restore RMFT Configuration Settings Procedure SCNS-NEN-LOP-0056 White Sands One (WS1) Programmable Telemetry Processor (PTP) Routine

Maintenance Procedure SCNS-NEN-LOP-0100 Scheduling Operating Procedures SCNS-NEN-LOP-0372 Wallops Local Operating Procedures for the Operations Shift Supervisors SCNS-SLR-PLAN-0003 Laser Safety Plan SCNS-SLR-SRD-0001 SCNS SLR Operations Center System Requirements

SCNS-VLBI-KP-LOP-0001 VLBI KPGO Antenna System Maintenance Local Operating Procedure SLRSurvey1 SLRSurvey1: SLR site survey report example SN LOP X SN Local Operating Procedures (LOPs) as identified in SN Local Operating

Procedures Index Volumes I through XVII (note there is no Volume V), and Volume 5 (two files)

SN TSI-X TDRS Special Instructions (TSI) as identified in TOCC Special Instructions

Reference Documents

Reference Document # Title 450-CTP_R-X 450-Compatibility Test Plan/Report-(Multiple: MMS-3_Space Network, MMS-4_Space Network, Orb-2_Space Network Near Earth Network, SMAP_Space Network, Near Earth Network)

450-CTP-X 450-Compatibility Test Plan (Multiple: 2_BP-LCT2-5-SN Final NGIN, DSCOVR_Space Network, Near Earth Network, GRACE-FO_SCaN_Near Earth Network, ICESat-2-SN_Near Earth Network Addendum 1 Final NGIN, JPSS-1_Space Network, TESS_Space Network)

Reference Document # Title 450-CTR-X 450-Compatibility Test Report (Multiple: BP-LCT2-5-SN Retest Final

NGIN1, CPOD-Near Earth Network, GRACE-FO_Near Earth Network Final for NGIN, ICESat-2_Space Network, Near Earth Network Addendum 1 Final NGIN, JPSS-1_Space Network)

450.1 LIST-X 450.1 – NEN Priority List, SN Priority List

450-LLR-X 450-Lessons Learned Review (Multiple: DSCOVR, LRO, MMS, SMAP) 450-MORR Closeout-SMAP 450-MORR Closeout-SMAP 450-MORR-X 450-Mission Operations Readiness Review (Multiple: Balloon Program

SHC15, Balloon Program SHC16-17, DSCOVR, GOES-R, GPM, LADEE, MMS, OCO-2 (delta), SMAP)

450-MSG-X 450-Launch Briefing Messages, Atlas, GMP, MMS, OCO, SMAP 450-NAM-X 450 Network Advisory Message-TDRS-K, Atlas V, MAVEN, OA, Delta

IV, GPS IIF, Delta IV GPS-IIF, IRIS, LADEE 450-NRR-X 450-Networks Requirements Review (Multiple: Cryocube, DSCOVR, GLAST, GOES-R, GRACE-FO, ICESat-2, ICON, IRIS, iSAT, JPSS-1, LADEE, Minotaur V_LADEE, MMS, OCO-2, PONSFD (CPOD), SDO, SMAP, STPSat-5, TESS)

450-NTP-X 450-Network Test Plan (Multiple: DSCOVR, MMS, SMAP) 450-OPN-X Operations Notification – Atlas V GPS IIF, Atlas V OA, Delta II, OCO, Delta II SMAP, WGS, DSCOVR, IRIS< 450-PG-1310.1.3 Space and Near Earth Networks Priority List Process 450-PMR-X 450-Post Mission Report (Multiple: DSCOVR 4-27-15 Final, IRIS (Final), NPP (Final), RBSP Final 121712) 450-QLR-X 450-Quick Look Report (Multiple: Balloons LCT2-5, CPOD, DSCOVR, GRACE-FO, ICESAT-2, iSAT, JPSS-1, SMAP, TESS) 450-RM2TP-iSAT_NEN 450-Risk Mitigation 2 Test Report-iSAT_Near Earth Network 450-RMTP-JWST-SN 450-Risk Mitigation Test Plan (Multiple: JWST-SN, TUI SDR_Space

Network) 450-RMTR-X 450-Risk Mitigation Test Report (Multiple: CyroCube-1 Addendum-1

(NGIN), iSAT-Near Earth Network, JPSS-1-HRD X-band Final for NGIN, TUI SDR_Space Network)

450-SER-X Significant Event Report- Atlas V AFSCN, Atlas MMS, Atlas V OSIRIS, Atlas V WorldView, Atlas V SMAP, Delta IV AFSCN, Delta IV DPS IIF, Delta IV NROL, Delta IV OCO, DSCOVR, OCO, SMAP, CTL

450-SR-x Support Request- Atlas MMS, ATls V MUOS, Atlas V OSIRIS, Atlas V NROL, Atlas V OSIRIS, Delta II OCO, Delta II SMAP, Delta II AFSCN, DSCOVR, MMS, OCO, SMAP

450-TARS-Balloons Southern Campaign

450-Test and Analysis Report System (Multiple: Balloons Southern Campaign, 450-TARS-X 450-Test and Analysis Report System (Multiple: DSCOVR, GPM, IRIS, MMS, NEOWISE-R, OCO-2, SMAP, TDRS-L)

450-Work Instructions Networks Integration Management Office (NIMO) Lessons Learned Process, Network Requirements Document (NRD) Process, Networks Integration Scheduling, Metrics Collection Plan for the Networks Integration Management Office, Networks Integration Management Office (NIMO) Post-Mission Report Process, Radio Frequency Compatibility Test Plan/Report, Networks Services Request Process, Goddard Space Flight Center (GSFC) Mission Set Maintenance, Networks Feasibility Analysis, Networks Integration Management Office Reimbursable Process, Networks Integration Management Office Risk Management Plan

Reference Document # Title 453-PLNA-0003 NEN Risk Management Plan 453-Plan-0004 R1 NEN Project Plan AS2 SDR Alaska Station Replacement Systems Design Review all GSFC-STD-1000 Rules for the Design, Development, Verification, an Operation of Flight

Systems, Expires 06/30/2021 IEEE Standard 730-2014 http://standards.ieee.org/findstds/standard/730-2002.html LCS CDR Launch Communications Stations Development Project, Critical Design

Review Mission Manifests – Missions Requiring SN & NEN Provided Support

Manifest of Missions

NASA Fault Tree Handbook http://www.hq.nasa.gov/office/codeq/doctree/fthb.pdf NASA-STD 8719.24 NASA Expendable Launch Vehicle Payload Safety Requirements NASA-SSP-50038 Computer-Based Control System Safety Requirements, https://www.document-center.com/standards/show/NASA-SSP-50038 NEN SEMP Near Earth Network Systems Engineering Management Plan NSF McMurdo Participant Guide

United States Antarctic Program, Participant Guide 2014-2016 Edition

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 the SENSE 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 is conducted 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 Sofware Assurance Plan (QAP) and SAE 9100 compliant 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 defined by their QMS.

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) 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

2.2.1 General

Surveillance of SENSE contract, will be conducted on a non-interference basis and in a manner that will not unduly delay work being performed by the Contractor.

2.2.2 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 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.

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 Government’s involvement in the Contractor’s performance, through oversight, will be determined necessary by the COR.

2.3 Surveillance Organization and Resources

2.3.1 General

The activities detailed in this plan will be supported and performed by a group of individuals, 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 SENSE 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/input to the surveillance activities on SENSE 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:

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

2. GSFC’s Program Personnel (i.e., COR, Task Monitor(s) Task Monitor(s) and

Technical Monitor(s) 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 Defense Contract Management Agency (DCMA) personnel;

6. GSFC Safety and Mission Assurance Personnel;

7. SENSE Performance Evaluation Board

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 SENSE 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., Task Monitor(s); Safety, Health, or Security personnel; DCMA) who interact with the Contractor.

c. NASA 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 with regards to the SENSE contract may be applied in the form of technical consultants and/or providing assistance 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 by GSFC 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 SENSE Contracting Officer

SENSE 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/Project managers, COR, Safety, Health, GSFC Safety and Mission Assurance Office, SENSE Performance Evaluation Board, 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.

2.3.2.3 SENSE Contracting Officer’s Representative

SENSE COR responsibilities are as follows:

a. The COR is designated in writing by the CO 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/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 task order 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. The COR also trains SENSE Task Monitors 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 Task Monitors

GSFC Task Monitors are individuals appointed by the COR for developing Task Orders, reviewing the Contractor’s Task Plans and Task Order reports, and monitoring Task Order performance. Task Orders will include quantitative metrics, as appropriate. Task 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 Task Monitors may serve as a direct conduit to provide Government guidance and feedback to the Contractor on technical matters, the Task 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.

2.3.2.6 Systems Assurance Manager

The GSFC Safety and Mission Assurance Directorate (SMAD), Code 300, assigns a Chief Safety and Mission Assurance Officer (CSO) to provide surveillance support to assure that contractor and subcontractor(s) meet the SENSE contract requirements. The CSO is the principle interface between the ESC Division and SMAD and has leadership responsibility for accomplishing overall SENSE contract QA surveillance within the guidelines of this plan. The SMAD 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 SENSE 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 SENSE 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/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/individuals supporting the SENSE contract effort in order to obtain requested insight data. These groups/individuals may include the Contractor's Program/Business Management office and/or representatives, discipline engineers, Configuration Management representatives, etc.

2.3.2.8 SENSE Performance Evaluation Board

The SENSE Performance Evaluation Board (PEB) is made up of voting members appointed by the Fee Determination Official (FDO) to evaluate the Contractor's performance according to the standards and criteria stated in SENSE Performance Evaluation Plan. The PEB will submit an award fee letter to the FDO for signature, which addresses the PEB's findings and recommendations for each award-fee evaluation period.

2.4 Forms of Surveillance

2.4.1 General

Surveillance on SENSE contract will be performed 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.

c. Ad hoc information submitted by the COR and/or SENSE Task Monitors 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, 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 task order deliverables, products, and documentation

2.4.4 Engineering Peer Reviews

GPR 8700.6 will be used by GSFC to review products developed under the SENSE contract at critical milestones. The Engineering Peer Review process to review Contractor's readiness for a spacecraft launch, early orbit and operational support, including nominal and contingency/emergency as described in the contract deliverable. ESC Division 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 SENSE contract capabilities and external interfaces. The Contractor is required to facilitate GSFC insight into the contractor configuration management process. This process will be accomplished through GSFC participation in the Contractor configuration management process, and insight into Contractor configuration controlled documentation. ESC Division personnel monitor network performance and activities with metrics. These metrics are used to assess network and contractor performance as well as to ensure mission customer requirements are met.

3. SURVEILLANCE ACTIVITIES

3.1 General

There exist specific insight areas that the Government and the 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 System Maintenance and Availability

System downtime or loss of functionality could result in loss of service to the user community

Review Contractor-developed maintenance plan for improvements. Review data and trouble data. Review corrective action performance.

Information Technology (IT) Security

Computer Security: Potential corruption and loss of data;

disruption of schedule

Annual review of IT security plans and contingency test results and controls.

Review compliance with policies, firewalls, protection software, vulnerability scans and external systems.

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…