Attachment_9_Quality_Assurance_Surveillance_Plan.pdf

ATTACHMENT 9 – Quality Assurance Surveillance Plan (QASP)

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) for

DEFENSE ADVANCED RESEARCH PROJECTS AGENCY (DARPA)

DEFENSE SCIENCES OFFICE (DSO)

SETA SUPPORT

1. Purpose

This Quality Assurance Surveillance Plan (QASP) has been developed to ensure the performance of critical contract elements. The QASP serves as the plan for surveillance of performance and identifies the performance indicators, standards, inspection methods and procedures to be used in monitoring performance. The intent is to ensure that the contractor performs in accordance with the performance metrics and the Government receives the quality of services called for in the contract.

This requirement is for contractor services to provide technical, programmatic, financial, and administrative advisory and assistance services (A&AS)/Scientific, Engineering and Technical assistance (SETA) support for the Defense Advanced Research Projects Agency (DARPA), Defense Sciences Office (DSO). The resulting vehicle will be a performance based, multiple award Indefinite-Delivery, Indefinite-Quantity (IDIQ) contract. Resulting task orders will be issued as Cost-Plus-Fixed-Fee (CPFF). This contract is for five (5) years, during which time orders may be placed.

The objective of this surveillance plan is to provide a systematic method to evaluate the services the Contractor is required to furnish by the contract. The primary interest is in the final product/service that the Contractor is providing and not in the details of how the contractor accomplishes the task. The Contracting Officer’s Representative (COR) may evaluate work at any time during the Contractor’s work performance. This plan documents the methods to be used for measuring each contractor requirement, the scheduling of inspections, and the results of the surveillance program.

2. Responsibilities

The following Government resources shall have responsibility for the implementation of this

QASP:

Contracting Officer (CO) – The CO is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any difference between the observations documented by the COR and the contractor. The CO will designate one COR as the government authority for performance management.

Contracting Officer Representative (COR) – The COR is responsible for technical administration of the contract and assures proper Government surveillance of the contractor’s performance. The COR is not empowered to make any contractual commitments or to authorize any changes on the Government’s behalf. Any changes that the contractor deems may affect contract price, terms or conditions shall be referred to the CO for action.

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

3. Identified QA Surveillance Tasks

Attachment 1 sets forth the performance objectives, performance threshold and the surveillance method for the contractor and COR related to the requirements outlined in the PWS.

4. Methods of QA Surveillance

a. Surveillance Techniques – In an effort to minimize the performance management burden, simplified surveillance methods shall be used by the government to evaluate contractor performance when appropriate.

b. Customer Feedback – The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction, which is the most significant external indicator to the success and effectiveness of all services provided.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints. Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed and must be forwarded to the COR. The COR shall maintain a summary log of all formally received customer complaints as well as a copy of each complaint in a documentation file. The COR shall also keep the tabulated results of all customer satisfaction surveys on file.

c. Frequency of surveillance - The COR will evaluate the contractor’s performance through inspection of deliverables (monthly reports) and receipt of customer feedback. The government may inspect each task as completed or increase the number of quality control inspections if deemed appropriate because of repeated failures or customer complaints. Likewise, the COR may decrease the number of quality control inspections if performance dictates. Random monitoring shall be conducted if and when specified in individual task orders.

5. Analysis of Quality Assurance Assessment

a. Determining Performance – the Government shall use the monitoring methods cited to determine whether the performance standards have been met. If the contractor has not met the minimum requirements, it may be asked to develop a correction plan to show how and by what date it intends to bring performance up to required levels.

b. Reviews and Resolution – The COR may require the contractor’s program manager to meet with the CO, COR and other government IPT personnel as deemed necessary to discuss performance evaluation. At a minimum, this review will occur on a semi-annual basis.

However, if the need arises, the contractor will meet with the COR as often as required.

6. Revisions to QASP Revisions to the surveillance plan are the joint responsibility of the COR and the Contracting Officer.

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

Attachment A

PERFORMANCE REQUIREMENTS SUMMARY

Performance Objectives

PWS

Paragraph Performance Threshold

Surveillance/ Assessment Method

Appoint a single point of contact for the Government to manage all programmatic matters

2.1.1

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assign an effective mix of highly qualified personnel, to adequately support DSO

2.1.2

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Develop, deliver, and implement detailed phase-in and phase-out plans for seamless transition of SETA support services

2.1.3

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Effectively arrange travel for OD, DD, ADPM, PA, and PMs

2.2.1

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist in preparation and execution of successful DARPA and/or DSO events

2.2.2

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Track and coordinate all taskers/drills/exercises assigned to

DSO

2.2.3

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Provide timely and high quality support to Front Office briefings

2.2.4

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

Assist in monitoring and administering DSO tasks related to SBIR/STTR efforts to include creation/maintenance/tracking efforts

2.2.5

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Maintain DARPA/DSO website in accordance with current DoD and DARPA guidelines in a timely manner

2.2.6

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist in creation, coordination, review & tracking of all DSO PADs and other DARPA internal documentation

2.2.7

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Effectively place orders and maintain and track all DSO IT and related catalog assets

2.2.8

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Interface with DARPA Mission Services Office to facilitate DARPA badge and CAC issuances and renewals, office moves, and in/out processing of DSO staff to include DSO SETA staff

2.2.9

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Provide graphics support/web assistance

2.2.10

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Effectively maintain calendar(s) for supported DARPA staff

2.2.11

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist with the creation of MIPRs/PRs , verify approved funding, review MIPRs/PRs for accuracy and adherence to Comptroller and DSO guidelines, assist other financial SETA’s to

2.3.1

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

resolve MIPR issues, provide training and assistance with DAI tool, and monitor DARPA’s financial systems to verify commitment/obligation and expenditure status

100% of the time

Assist in forecasting, tracking, and updating commitment, obligation, and expenditure data for the DSO budget, create custom ad hoc financial reports, provide training to and lead the BFM’s, as well as assist with planning travel projections and travel expenditures

2.3.2

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Create and/or update documents to support meetings, reviews & taskers

2.3.3 complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist in the accurate preparation and timely submission of the RDDS for DSO, including updating the spreadsheets that track financial changes as well as compiling and reviewing PM input

2.3.4

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Maintain a comprehensive understanding of the PMs’ portfolios including approved programs, new initiatives, seedlings, and SBIRs/STTRs for all performers

2.3.5

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Maintain organized files to store program related briefings, documentation, contracts, reports, etc., to include tracking of all deliverables associated with the PMs’ efforts

2.3.6

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist the DARPA CMO in R&D acquisition efforts for pre-award, award, and post-award processes

2.4.1

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist in coordinating and managing the entire acquisition process to include all activities associated with various types of solicitations, evaluation of proposals, and award approval

2.4.2

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

process 100% of the time Provide expert input to the Program Managers (PMs) in support of concept development, assessment and risk identification, as well as recommendations for new programs, new program concepts, technologies and new starts; assist with Program Office Memorandum (POM) development, provide input related to carrying out associated technical and program management responsibilities

2.5.1

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Conduct timely technical analyses to help define, assess, and monitor new and emerging research opportunities, as well as potential new thrust ideas for DSO

2.5.2 complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist DSO in determining optimal program strategies, to include metrics, goals, and objectives of innovative technologies

2.5.3

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Provide subject matter expertise (SME) in areas that are pertinent to the new concepts/programs the office may be pursuing, including new programs, SBIR efforts, and STTR efforts

2.5.4 complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist the PMs by providing technical expertise with ongoing programs; provide recommendations to mitigate technical risk and potential program impact of failure; provide independent assessments of results of laboratory and other tests conducted by performers

2.5.5

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist in preparing briefings, reports, and other related taskers/drills/exercises to support the development and progress of research within the DSO portfolio

2.5.6

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Review, assess, define, and provide recommendations to mitigate technical risk

2.5.7

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

actions within 10 working days of receipt, 100% of the time

Provide SME support as needed in source selections and scientific reviews

2.5.8

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist in planning the annual POM to ensure the thrust areas have appropriate coverage and technology shortfalls are being addressed

2.5.9 complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Provide input into the RDDS narratives and the associated congressional staffer meetings

2.5.10

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist with the annual business operations briefing to the DARPA DIRO as well as other briefings required by DIRO

2.5.11

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Attend DoD and non-DoD senior-level meetings, committee reviews , and other forums on behalf of DSO and/or DARPA for the purpose of gathering information and/or presenting approved data/material, and assist with strategizing a path forward for new and ongoing efforts

2.5.12

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Plan, coordinate, and assist with testing and/or demonstrations as required by the various PMs, the OD and/or DD to support the objectives of the programs

2.5.13 complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist with independent assessments of results of laboratory and other tests conducted by the performers to help determine risk or risk mitigation strategies

2.5.14

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, Assist the PM, OD, and/or DD to 2.5.15 Contractor receives no more than 3 Contractor successfully

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

establish and maintain communication and coordination efforts with potential transition partners (internal and/or external to

DARPA)

formal substantiated customer complaints/corrective action requests in a 6 month period resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Provide personnel to organize and logistically support program-related meetings, new concept industry days/workshops, and other meetings as required

2.6.1

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Provide conference room facilities within 15 minutes walking distance of DARPA that shall hold up to 50 attendees. The contractor’s conference room shall provide adequate security for up to TOP

SECRET/SENSITIVE

COMPARTMENTED

INFORMATION (TS/SCI), level classified discussions

2.6.2

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Provide conference room/area equipped, at a minimum, with (a) writing boards, electronic overhead projection screens; (b) phone lines suitable for conference calls; (c) data lines suitable for high speed computer data transmission; and

(d) presentation computers with removal hard drives capable of unclassified and classified presentations

2.6.3

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Assist with providing overall contract management and oversight, including management of sub-contracts and consulting agreements

2.7.1

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Develop and implement a management plan to ensure personnel possess the required knowledge, skills, and abilities to perform assigned tasks. All personnel shall meet and stay current with the professional knowledge required of their position. The contractor shall provide training to all members of their team in order to remain proficient and effective in performing tasks required by this

PWS

2.7.2

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

Provide security support for the awardees’ team to ensure the awardees’ facilities, security clearances, and documentation are in compliance with the Government requirements

2.7.3

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Maintenance of appropriate contractor facilities, to include conference facilities

2.7.4

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10 working days of receipt, 100% of the time

Prepare and reconcile required reports and submit to DSO

2.7.5

Contractor receives no more than 3 formal substantiated customer complaints/corrective action requests in a 6 month period

Contractor successfully resolves validated customer complaints/corrective actions within 10

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

Attachment B

CORRECTIVE ACTION REPORT

CORRECTIVE ACTION REPORT (CAR)

(If More Space is Needed Use Reverse and Identify By Number)

1. CONTRACTOR

2. TO NUMBER

3. TYPE OF SERVICE

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL

NUMBER

7. MAJOR MINOR

FINDING:

FINDING IMPACT:

Please provide a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5.

8. CONTRACTING OFFICER’S REPRESENTATIVE (COR)

TYPED NAME SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. CONTRACTOR RESPONSE

ACCEPTED REJECTED

12. CLOSE DATE

Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

DARPA/DSO SETA SUPPORT

CORRECTIVE ACTION REPORT (CAR) INSTRUCTIONS

Block 1. Enter Contractor Name

Block 2. Enter Task Order (TO) Number

Block 3. Enter Type of Service

Block 4. Enter Functional Area of the TO

Block 5. Enter the assigned suspense date given the contractor to provide a response to the CAR.

Normal suspense time for contractor response is ten (10) working days.

Block 6.

a. All CARs will be tracked with a Control Number.

b. The CO is the Issuing Authority for all CARs.

c. The control number will be made up of the delivery order number; the last two digits of the calendar year and a three digit number starting with 001 and progressing upward throughout the calendar year (i.e. 10-001).

d. The COR will attach all CARs to their surveillance report.

Block 7.

a. Check the block that indicates whether the identified deficiency is a Major or Minor finding. Definitions of Major and Minor findings follow.

Major Finding. A condition having a significant adverse effect on the quality of the activity under review such as:

Failure to meet a Performance Threshold Significant mission degradation in any contractor operated function.

A situation that is likely to result in hazardous or unsafe conditions for individuals or any other Government resources coming into contact with the work.

Failure to provide adequate corrective action to preclude reoccurrence of Government identified findings.

Failure to provide corrective action to deficiencies identified within a prescribed suspense period.

Any failure to adhere to security regulations resulting in a security incident.

Minor Finding. A condition which is a departure from established standards having little bearing on service provided. However, if the same minor finding is repeatedly identified, it may be an indication that a major finding is occurring (failure to provide adequate corrective action to prevent reoccurrence of findings). In this case, the minor finding should be elevated to the level of a major finding and a new CAR initiated.

b. Clearly state the details of the finding followed by a reference to the stated contractual requirement. The reference must state the portion of the contract, part, Attachment 9 SOURCE SELECTION SENSITIVE

SEE FAR 2.101 AND FAR 3.104

section, paragraph and subparagraph and must make a brief but complete quotation of the contract reference.

c. State the impact that the finding has or could have on mission accomplishment.

Block 8. The COR initiating the CAR signs and dates the report.

Block 9. The CO or designee signs and dates the report.

Block 10. Upon review of the contractor’s reply, the initiator of the CAR will enter comments regarding acceptance or rejection of the contractor’s response. This block may also contain any comments regarding follow-on inspections conducted or needed at a later date to validate that the finding has not reoccurred.

Block 11. The COR accepts or rejects the contractor’s response.

Block 12.

a. The COR enters a close out date after acceptance of the contractor’s response.

b. The CO will forward the CAR to the contractor. The COR will attach copies and record results of any reports in an email to the CO. Copies of completed CARs will be maintained in the Surveillance folder.

c. If a CAR is not deemed closeable due to incomplete or unacceptable contractor response, the CAR will be returned to the contractor for additional information.