# Presentation: 464550

## JSC SURVEILLANCE PLAN INITIATIVE

- Jimmy W. Hyde
- Johnson Space Center
- Procurement Policy and Systems Office
- 281-483-4163
- Jimmy.w.hyde1@jsc.nasa.gov

- Contract Surveillance

## Background	

- NASA HQ conducted Agency wide Review of Performance Based Contracts (PBC)
- Recommendations from review included increased emphasis on risk assessment and management and use of surveillance plans for contract management
- Non-conformance received on NQA audit regarding risk management and contract surveillance
- NASA HQ and JSC working on initiative to improve surveillance plan resources

- Contract Surveillance

## Audit Non-Conformance

- NQA TV01&A03-6 There is substantial focus on the oversight to procurement activities associated with the quality of the product from the supplier.  However, there does not seem to be an overall strategy to ensue that the process for supplying the product or service is evaluated/monitored commensurate with the potential risks associated with the process surrounding the product/service

- Contract Surveillance

## Contract Surveillance Survey

- Team conducted survey of major contracts at the center
- Organizations represented on team were SR&QA, The JSC ISO Office, and JSC Procurement
- Team surveyed 45 largest contracts
- Value of $5M or More
- Contracts represented over 90% of JSC Contract Value
- CO’s and COTR’s interviewed for each contract

- Contract Surveillance

## Areas of Survey Focus

- Methods of contract surveillance and management
- Use and oversight of contractor Quality System
- Risk assessment and documentation
- Responsibility of COTR and other Technical Representatives

- Contract Surveillance

## Survey Findings 

- Effective contract surveillance
- CO’s and COTR aware of and conscientious about  responsibilities
- Risk assessment done intuitively rather than formal approach
- High level of control
- Many contracts exhibit high degree of direct JSC involvement not supported by risk assessment or complexity of contract
- Personnel Turnover
- Frequent CO and COTR transitions occur
- Concern for continuity of contract management
- Concern that lack of documented surveillance plan can pose a disconnect at transition.

- Contract Surveillance

## Survey Findings (cont)

- Use of Technical Management Representatives (TMR) and Technical Managers (TM) to support COTR surveillance
- Responsibilities and authorities of these positions varied widely from contract to contract
- Assignments and responsibilities not documented on many contracts

- Contract Surveillance

## General Statistics

- Of the contracts surveyed:
- Over 50% have contractor ISO certification, another 15% working on it.
- Over 40% have _Full_ CO / COTR Quality System (QS) oversight
- About 38% have _Limited_ QS oversight
- Over 50% have documented surveillance plans
- Over 85% consider risk
- Only 17% document risk assessments

- Contract Surveillance

## Team Recommendations

- Clarify the use of TM’s and TMR’s across center
- Require formal documentation of responsibilities
- Require use of surveillance plan to document contract management
- Require documentation of risk assessment and management

- Contract Surveillance

## JSC Initiatives

- Formalize requirement for use of Surveillance Plans
- Change JSC Procurement Instructions (JPI) to reflect requirement for surveillance plan for all contracts above $1M
- Identify minimum requirements for plans
- Require SR&QA approval of plans

- Contract Surveillance

## JSC Initiatives

- Update JSC Surveillance Plan Web Page
- Done in conjunction with HQ contract surveillance effort
- Revised the SP template to allow greater flexibility
- Established separate pages for Risk, Surveillance Strategy, examples, QA references
- Provide links to other sites that provide information such as measurement techniques and approaches
- Provide tools such as Risk worksheet for identification and documentation of contract risks
- http://www4.jsc.nasa.gov/org/bd/jscbm/survplans.htm

- Contract Surveillance

## JSC Procurement Instruction

- JPI changed to reflect revised requirements for surveillance plans
- Plans required for contracts > $1M
- Minimum content requirements for plans
- JSC SR&QA approval required for plans

- Contract Surveillance

## Surveillance Plans

- Intended as _contract management_ plan rather than _quality control_ plan
- In addition to QA surveillance plans required by FAR
- Must integrate risk management, surveillance strategy, and contract management methods

- Contract Surveillance

## Surveillance Plan Requirements

- Surveillance strategy
- Insight – Use of contractor reports to provide status of work
- Oversight – Actual government oversight and involvement with work in progress
- Hybrid – A mixture where a specific part of a contract requires a different approach from other parts
- Strategy driven by requirements and the surveillance methods and techniques used for contract management
- Plan should identify strategy and provide the reason for utilizing that strategy

- Contract Surveillance

## Surveillance Plan Requirements

- Surveillance methods
- Techniques and tools used to obtain surveillance information
- Generally will be driven by identified risks
- Surveillance schedule
- Acceptable quality level (may be reference to SOW)
- Incorporation of and reference to QA delegations and surveillance plans from DCAA, SR&QA, etc.

- Contract Surveillance

## Surveillance Plan Requirements

- Risk Documentation
- Identification of Risks at all stages of acquisition
- Prioritization of Risks based on impact and probability
- Mitigation decisions for each risk
- Methods for tracking and analyzing risks through performance period

- Contract Surveillance

## Surveillance Plan Requirements

- Resources
- Identification of organizations providing surveillance
- List of surveillance positions (COTR, TMR, TM) with responsibilities and authority
- Equipment required

- Contract Surveillance