03 Att 3 QASP.pdf

Quality Assurance Surveillance Plan

Environmental Database Management Support:

Environmental Data Integration

1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) has been developed to comply with the Federal Acquisition Regulation (FAR) Subpart 37.6 – Performance Based Contracting. Section 37.602-2 states that agencies shall (1) develop surveillance plans that recognize the responsibility of the contractor to carry out its quality obligations and (2) contain measurable performance standards so that the Government receives the quality of the services called for in the contract.

This QASP is designed to define (1) the performance management approach, (2) roles and responsibilities, (3) methodologies used to monitor and evaluate contractor’s performance and (4) the performance standards from which the contractor will be measured. The client is the National Oceanic and Atmospheric Administration’s (NOAA’s) National Ocean Service (NOS)/Office of Response and Restoration (OR&R)/Assessment and Restoration Division (ARD).

2.0 IDENTIFICATION OF WORK TO BE PERFORMED

The Department of Commerce, NOAA, has a requirement for technical support services for

NOS/OR&R/ARD.

3.0 PERFORMANCE MANAGEMENT APPROACH

The contractor’s internal quality control system will set forth the staffing and procedures for the contractor to inspect its own quality, timeliness, customer satisfaction, and other performance requirements in the PWS.

The purpose of the QASP is to provide guidelines and procedures by which the contractor’s performance will be evaluated and assessed by the customer. The QASP is intended to be a “living” document that will be revised or modified as circumstances warrant, and is therefore provided for information only. The QASP is based on the premise that the contractor is responsible for quality control in the performance of its work, but it is the Government’s responsibility to surveil by periodically ensuring it receives the work what was contracted for.

4.0 ROLES AND RESPONSIBILITIES

Contracting Officer (CO). A person appointed in accordance with the Federal Acquisition Regulation (FAR) who has the authority to enter into, administer, and/or terminate contracts and make related determinations and findings.

Contracting Officer’s Representative (COR). An individual designated in writing by the CO to perform specific contract administration functions. The CO has the overall responsibility to ensure that all requirements of law and regulation are followed for this government contract. However, as the CO’s representative, the COR is delegated the authority to monitor compliance and performance of the contractor and its employees under this contract. The COR will attempt to resolve compliance or performance issues with the contractor or its employees, but failing resolution, will report them to the CO.

Other than the CO, the COR is the only government employee who may direct the flow of technical matters between the Government and the contractor. Therefore, while the COR can and must make technical decisions, the COR shall not take any action unless it is clearly authorized by the COR designation letter or by terms of this contract.

5.0 METHODOLOGIES TO MONITOR PERFORMANCE (SURVEILLANCE METHODS)

In an effort to minimize the contract administration burden, simplified methods of surveillance techniques shall be used by the Government to evaluate contractor performance. The primary methods of surveillance are described below. The Performance Requirements Summary (PRS) summarizes how the contract performance requirements shall be evaluated.

Customer Complaints:

Customer feedback may be obtained either from the results of the formal customer satisfaction surveys or from random customer complaints. Customer complaints, to be considered valid, must set forth in writing the detailed nature of the complaint, must be signed, and must be certified by the COR. The complaint will then be forwarded to the CO for review. If the CO determines that the complaint is valid, the contractor will be formally notified in writing. The contractor will have five business days to formulate a response detailing the actions taken to remedy the complaint filed.

100% Inspection:

Aprocesswhich requires theinspectionof eachindividualunitorcomponentreceived from the contractor to determinespecificationandqualitycompliance. This process is typically time-intensiveand used for items deemed critical for the successful performance of required services.

Periodic Inspection:

This monitoring is scheduled and will be conducted by the COR at specific intervals (e.g., monthly, quarterly).

Random Monitoring:

This monitoring is unscheduled and will be conducted by the COR at random intervals.

6.0 DOCUMENTATION

The COR shall maintain copies of all reports, evaluations, recommendations and any actions related to the Government’s performance of the performance assessment function in the COR file for this contract. All records shall be maintained for the life of this contract.

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TABLE 1: PERFORMANCE REQUIREMENTS SUMMARY

Performance Objective

Task Standard Maximum Allowable Deviation from Requirement

Incentive/Remedy Surveillance Method(s)

Frequency of Surveillance

Database Management Section 2.1

The contractor shall maintain high quality data and calculations. 5% of data

Any issues or errors shall be corrected as soon as possible, may impact CPARS rating.

Periodic Inspection Monthly or as needed

Field and Laboratory Data Collection and

Processing Tools

Task 2.2 The contractor shall maintain and improve data collection and integration tools 5% of templates

Any issues or errors shall be corrected as soon as possible, may impact CPARS rating.

Periodic Inspection Quarterly or as needed

Data Integration Task 2.3

All datasets will be reviewed and integrated with documentation of standardization and calculations when approved by NOAA 5% of data

Any issues or errors shall be corrected as soon as possible, may impact CPARS rating.

Periodic Inspection Quarterly or as needed

Major Spills Data Management Contingency

Task 2.4

Potentially all tasks will be performed in time critical response and NRDA situations 5% of data

Any issues or errors shall be corrected as soon as possible, may impact CPARS rating.

Periodic Inspection Quarterly or as needed

Confidentiality

The contractor shall guarantee strict confidentiality of the information/data when the

Government identifies Government Furnished

Information/data generated is of a sensitive nature.

0%

Non-compliance with this standard represents a potential for contract termination for cause.

100% Inspection

Continuous surveillance to ensure confidentiality of information and data are maintained.

7.0 RISK MITIGATION

Riskmitigationisintegraltoensuringworkperformancestandards.Totheextentthatproblemsarise,NOAAshallimplementoneormoreofthe following actions:

● Use alternative dispute resolution mechanisms available to NOAA. Disputes that arise will start with informal discussions between

NOAA’sProgramOfficeandtheContractor.IssuesthatcannotberesolvedreadilyamongthePM,COR,andContractorwillbeescalated to the Program Office’s Board and ultimately to the CO for recommendation and resolution. All disputes are to be memorializedand shared among affected parties.

● Totheextentthatdisputescanberesolvedwithoutsignificantlycompromisingoutcomes,NOAAwillgivetheContractoranopportunity tocorrectnonconformingservicesbutatnoincreaseincontractprice.ThatistosaythatNOAA,withCOconcurrence,willnotpayfor services that do not conform, do not meet performance standards, or have not been properly rendered.

● To the extent that disputes cannot be resolved without significantly compromising outcomes, NOAA has the following options available:

o Recommend termination of the contract with CO approval for the work contracted.

o Reflect non-performance of the Contractor and the nature of such non-performance in Contractor evaluations – on behalf of

NOAA or other agencies seeking recommendations.

o Consider, with CO guidance, not awarding the Contractor any further work in the future, and explore alternatives to work needed.

o Explore seeking remuneration or cost reductions from the Contractor if legally and practically feasible – informally or otherwise.

Payment for services rendered shall be made only after Contractor invoices have been submitted and reviewed by NOAA’s Program Office.

ContractorcostandperformanceissuesaresubjecttoanauditundertheauspicesofNOAA.AllContractormaterialsproducedshallbesubjectto NOAA record retention schedules.

Benjamin Shorr Date NOAA Project Manager and NOAA COR

NOAA Contracting Officer (CO) Date

ATTACHMENT 1: EXAMPLE SURVEILLANCE SHEET

WORK TASK: _____________________________________________________________________

SURVEY PERIOD: _________________________________________________________________

METHOD OF SURVEILLANCE: _____________________________________________________

EVALUATION OF CONTRACTOR’S PERFORMANCE: Meets/Does Not Meet Standard (Circle One)

Deviation (if applicable): ___________________________________________________________

NARRATIVE DISCUSSION OF CONTRACTOR’S PERFORMANCE DURING SURVEY PERIOD:

PREPARED BY: _____________________________________

DATE: _______________________________