NNG07170222R

SUPPORT SERVICES FOR HYDROSPHERIC AND BIOSPHERIC SCIENCES (HBS)

government surveillance plan

ENCLOSURE 1

(For informational purposes only)

FOREWARD

Under performance-based contracts, such as this one, 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 activities, from total oversight at one end of the spectrum to total insight at the other end, used to determine the adequacy of a product and/or process to meet NASA’s needs as defined in the contract.  Oversight typically entails onsite, in-line involvement with the supplier’s processes and generally includes detailed monitoring of the process itself.  In contrast, insight typically entails monitoring a minimum set of product or process data to provide an adequate understanding of the product or process.  The surveillance strategy identifies where along the surveillance spectrum the program intends to perform its surveillance.  To develop an initial surveillance strategy, the Government needs to understand the risks involved in the Contractor’s activity and how the Contractor is managing those risks.

This Surveillance Plan has been prepared in accordance with NPR 8735.2, Management of Government Safety and Mission Assurance Surveillance Functions for NASA Contracts, to describe the Government’s surveillance of this contract.  It is a “living” document that will be tailored to reflect the final contract award.  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.

1.0	INTRODUCTION

1.1	Purpose

The purpose of this Surveillance Plan is to define the overall approach and identify specific techniques that NASA Goddard Space Flight Center (GSFC) intends to use to monitor Contractor performance under Contract TBD.  This plan defines the process the Government expects to follow to obtain data, evaluate the Contractor and determine if contract performance is acceptable.  The goal is to balance the level of Government surveillance with the perceived impacts and risks associated with performance hereunder.  The Government reserves the right to modify this Plan at any time during the contract.  

1.2	Scope

This plan identifies program requirements, strategy, resources, review and control processes, and surveillance activities for continuous measurement of Contractor performance under Contract TBD.  It 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.  The plan will be updated as required.  The surveillance program addresses all elements of the contract, including the following:

1.3	Program Definition and Contract Description 

The purpose of this contract is to provide support services to the Hydrospheric and Biospheric Sciences Laboratory within the Earth Sciences Division and other scientists and engineers in the Earth Sciences and the Solar Systems Exploration Divisions for all phases of biospheric and hydrospheric research from experimental concept and design, through instrument design and developing and data acquisition and reduction to data analysis and modeling.  This includes: research of radiation transfer through the land, ocean, and atmosphere; soil moisture and forest and plant canopy modeling; land surface heat and water balance modeling; the role of aerosols, trace gases, and pollutants in the Earth’s atmospheres; thermal structure, dynamics and heat balance of the planetary atmospheres; and global vegetation studies.  The contactor’s staff also support the design, development and implementation of remote sensing instruments, data processing systems, field experiments and networks of monitoring sites used to validate remotely sensed data products.

1.4    	Guiding Directives

The guiding documents for this surveillance effort include the contract's Statement of Work (SOW) and specific task order requirements.  The SOW identifies general requirements and the tasks identify specific objectives or results desired for each requirement.  In addition, the tasks identify specific performance standards, including deliverable requirements specified therein.

*TBD=To Be Determined

2.0      SURVEILLANCE STRATEGY DEFINITIONS

2.1	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, and the task orders issued therein, 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 	Oversight

Oversight as applied to this contract, and the task orders issued therein, 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 Contracting Officer's Technical Representative (COTR). 

3.0	RESOURCES

3.1	General

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

(a)	GSFC personnel from the Hydrospheric and Biospheric Sciences Laboratory, the Earth Sciences Division and the Solar System Exploration Division  (i.e., Contracting Officer's Technical Representative, task monitors, financial analyst(s));

(b)	GSFC Safety & Health and Security Personnel;

(c)	NASA Safety and Mission Assurance Lead (Code 300); and

(d)	Resident Office or Defense Contract Management Agency (DCMA) personnel at the Contractor’s facility (if appropriate).

3.2	Surveillance Team 

The surveillance team will be composed of key HBS Government personnel.  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 Contract (TBD).  The team will obtain information from various sources, including deliverable Contractor documents, communications with the Contractor, and reports by other personnel or representatives (i.e., task monitors, GSFC Health & Safety personnel, DCMA) who interact with the Contractor.

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 (COTR) will formally notify the Contracting Officer of situations where it is perceived that the Contractor has failed to take prudent corrective or preventive action, of situations perceived to increase risk, or of findings of continued contractual non-compliance. 

3.3	Defense Contract Management Agency (DCMA), if participating

A DCMA representative may be collocated with the Contractor.  The DCMA representative is tasked to provide the surveillance support in accordance with the provisions of the GSFC Letter of Delegation (LOD) and this plan.

4.0	SURVEILLANCE STRATEGY AND APPROACH

4.1	General
 
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.

GSFC will strive to use an insight-driven surveillance approach through the period of performance of Contract TBD.  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.

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.  They 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 COTR 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.

The COTR will annually complete a NASA Form 1680, entitled, “Evaluation of Performance”, which will also be reviewed by the Contractor, and become a part of the active GSFC Past Performance Data Base.

4.2	Forms of Surveillance

Under this contract, surveillance will take the following forms:

4.2.1	Communications

•	Informal discussions
•	Electronic mail
•	Surveillance team meetings
•	Progress reviews
•	Technical information meetings
•	Formal reviews
•	Other communication methods, as needed

4.2.2	Evaluation and Reporting

•	Review of deliverables from contract data requirements list
•	Review of task order-unique products/documentation
•	Documentation of problems, issues and concerns
•	Data collection reporting

5.0	SELECTED SURVEILLANCE ACTIVITIES

5.1	The following selected activities will be performed by various surveillance team members during applicable stages of contract performance.

Area of Risk Identified	Impact to  Government	Surveillance Team Activity		
Algorithm Development and Coding
(High/Med)	Failure to produce calibrated or correct data products	Review Contractor's software test plan to ensure that tests will be conducted under controlled conditions and test cases adequately verify requirements.  Review test results to verify that algorithms were correctly coded.		
Engineering

(High/Med)	Instrument or component failure	Review critical products and designs, and submit samples to standards experts.		
 Equipment Calibration
(High/Med)	Faulty and inaccurate data	Enjoin specific calibration guideline: GPR-8730.1.  Periodically review equipment for calibration labeling according ISO standards.	
	
Computer Systems & Network Administration
(High/Med )	Diminution of computing power	Review standard operating procedures (SOPs) for system and network administration, verify that SOPs are being followed and review performance metrics for computing systems and networks.		
Safety	Potential for lost or restricted workdays and injury to personnel; potential of loss or damage to equipment	The Government will evaluate the Contractor's Safety and Health Plan.  The surveillance team will conduct semi-annual walkthrough inspections to ensure compliance with safety and health requirements.		

Area of Risk Identified	Impact to  Government	Surveillance Team Activity		
Program/Project Operations and Data Acquisition
(High/Med)	Loss of data, cessation of operations, loss of instrument.	Review standard operating procedures for instrument operations and verify that these are being followed through periodic meetings with contractor staff responsible for instrument operations.		
Schedule Difficulties
(High/Low)	Analysis results, tests, plans, procedures and/or hardware not ready in time for milestones.	The surveillance team will review the well-defined performance metrics for each task. The team will review the schedule of activities leading to critical milestones.		
Cost Growth
(Medium/Low)	Failure to implement tasks within negotiated task value	The COTR and Task Monitors and the contracts financial analyst will evaluate and monitor costs incurred on a monthly basis resulting from NASA financial reporting requirements due from the Contractor.		
Information Technology
(Medium/Low)	Security breaches because of misuse of Government IT equipment and/or data	The surveillance team will review the Contractor's Surveillance Plan and IT Security Plan and Risk and FIPS 199 Assessments to ensure that they are compliant with NPR 2810.  Team will also meet with Directorate and Division IT security personnel to review IT security posture of systems administered by personnel on this contract. 		

Area of Risk Identified	Impact to  Government	Surveillance Team Activity		
Funding/Cost Risk
(Medium/Low)	Schedule delays, inability to complete task requirements	The COTR, the Task Monitors, and the financial analyst will evaluate and monitor costs incurred on a monthly basis resulting from NASA financial reporting requirements due from the Contractor on a monthly and/or quarterly basis. 		

Surveillance team members will have broad background and experience working with the HBS under Contract TBD.  They will participate in review meetings, such as those described in Section 4.0.  They will provide assistance, 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. 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.

5.1	Performance Verification

The term ‘Performance Verification’ in the context of this plan refers to the activities related to the insight activities.  Additionally, specific performance requirements are provided in the SOW and the task order SOW requirements.  Audits as described above may be considered necessary for performance verification.

5.2	Safety

The responsibility for meeting all safety engineering requirements rests with the Contractor.  Surveillance team safety personnel 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 Health and Safety Plan as required by this contract.

6.0     Summary

This Surveillance Plan describes the approach NASA Goddard Space Flight Center (GSFC) intends to use to monitor the HBS contract and assure that the Contractor performs in accordance with terms and conditions of the Contract.  GSFC anticipates using an insight surveillance approach.  The goal is to balance the level of Government surveillance with the perceived impacts and risks of mission failure.

As experience is gained with the Contractor, or new task orders are issued against this contract, the Government reserves the right to change this Surveillance Plan and the metrics used to evaluate Contractor performance.