J.05 Quality Assurance Surveillance Plan.doc

Quality Assurance Surveillance Plan (QASP)

1. Introduction

a. Since this is a Performance Based Contract, the CDC must effectively validate in a timely manner the performance of the Contractor in meeting the services required. This QASP provides a systematic surveillance method for the services, and describes the methodology by which the Contractor’s performance will be monitored.

b. The principal focus of the surveillance system is the Contractor’s performance of the indicators identified in the Performance-Based Matrix in Section C.5 of the Performance Work Statement. See Paragraph 8 for details.

c. The basic contract and each task order will be surveilled with this Quality Assurance Surveillance Plan. Additional surveillance may be added as needed by the program office.

d. The plan references the National Institutes of Health (NIH) Contractor Performance Report (CPR), which is accessible at http://cps.od.nih.gov/ and a copy is included in Paragraph 9. The NIH system allows the Contracting Officer or the Contracting Officer’s Representative to report Contractor and subcontractor performance on a national, easily accessible database. It requires the CDC to review the database prior to approving the use of a Contractor to ensure that the contractor or subcontractor has done a good job in the past. As a result, it is anticipated that the NIH system should help motivate the contractor, wishing future work in the Federal Sector, on the current contract toward superior performance.

e. This QASP:

i. Identifies the services and products that will be measured.

ii. Establishes the specific standards of performance for each required output.

iii. Establishes the responsibilities for performing the measurement.

iv. Defines the CDC role in overseeing the performance.

v. Provides for feedback to the contractor regarding quality, quantity, and timeliness of the service outputs.

vi. Establishes timeframes for communicating performance improvements.

2. Methods of Surveillance

a. The Performance Based Matrix in Paragraph 8 lists the services to be monitored and the standards to be applied.

b. This QASP is based on the premise the CDC desires to maintain a quality standard for services to conduct assessments, studies, research and demonstration projects, consultation and technical assistance, health education activities and related support services.

c. The contractor and not the CDC is responsible for management and quality control actions to meet the terms of the contract. The role of the CDC is quality assurance to ensure contract standards are achieved.

d. In this contract the contractor quality control program is the basis for service quality. The contractor is required to only deliver services that conform to the requirements of the contract as defined in each task order.

3. Roles and Responsibilities

a. The contractor’s primary responsibility is to ensure all requirements are met at the required quality level. The CDC shall ensure this responsibility has been met before payment is made to the contractor. The primary CDC team members are the Project Officer (PO) and the Contracting Officer (CO).

b. The CO has the overall responsibility for overseeing the Contractor’s performance. The CO is responsible for monitoring Contractor performance in the areas of contract compliance, contract management, and the resolution of all issues relative to the language of the contract.

c. The PO and the PO team are responsible for directly monitoring, assessing, recording, and reporting on the technical performance of the Contractor. The PO will have primary responsibility for signing off on all invoices and documenting the inspection and evaluation of the contractor’s performance.

d. The PO will work with staff and the Contractor to ensure good communication and resolve any problems not requiring the CO’s authority.

4. Surveillance

a. The PO will evaluate the performance objectives through periodic inspections during each service month.

b. All performance must be documented, whether acceptable or unacceptable. When unacceptable performance is documented, the PO or Technical Monitor shall take the following actions:

i. If the government actions caused the unacceptable performance, take steps to prevent it in the future.

ii. If the contractor’s performance is unacceptable, inform the contractor’s Program Director of the unacceptable performance and the reasons why is is unacceptable.

iii. If the contractor wants to dispute the results of the surveillance, refer them to the CO for resolution.

iv. Performance should not be determined unacceptable until all possible contributing factors have been considered.

v. For required tasks not shown on the Performance Based Matrix, the CDC still retains the right to inspect any item included int the contract. These services will be inspected periodically and the results provided to the CO.

5. Standards

a. All standards in the Performance Based Matrix must be met. All deliverable dates and other contractual completion dates must also be met. If any of the standards are not met, the CDC shall receive consideration from the contractor for breach of contract.

b. Late performance is un-excusable unless the contractor can justify all the following:

i. The delay was not the contractor’s fault

ii. The delay was not foreseeable.

iii. It was beyond the contractor’s control to avoid the delay.

c. All work shall be performed in accordance with the Performance Work Statement. The PO shall not consider the services complete until all deficiencies have been corrected.

d. The PO shall determine whether the failure was a minor non-conformance or a substantive non-conformance.

6. Procedures

a. The CDC will inspect performance requirements to ensure contractor compliance and record results of inspection. Unacceptable performance and complaints shall be referred to the CO for investigation and validation. The CO will investigate and validate the unacceptable performance or customer input. The contractor shall be given a reasonable amount of time after notification to correct the unacceptable performance and report to the CO that the deficiency has been corrected. If deficiencies are not corrected the PO will notify the CO and recommend a course of action.

b. The contractor’s overall Program Monthly Progress Report will be used to provide assurance that the contractor is working to maintain quality control and to keep on schedule.

7. Contract Performance Evaluation

a. FAR 42.15 – Contractor Performance Information establishes the CDC responsibility for recording and maintaining contractor performance information.

b. FAR 42.1501 – Past Performance information is relevant information for future source selection purposes, regarding a contractor’s actions under previously awarded contracts and task orders. It includes, for example, the contractor’s record of conforming to contract requirements and standards of good workmanship; the contractor’s record of forecasting and controlling costs; the contractor’s adherence to contract schedules, including the administrative aspects of performance; the contractor’s history of reasonable and cooperative behavior and commitment to customer satisfaction; and generally, the contractor’s business-like concern for the interest of the customers.

c. The general procedures to be used are addressed in FAR 42.1503: Agency procedures for the past performance evaluation system shall generally provide for input to the evaluations from the technical office, contracting office and, where appropriate, end users of the product or service. Agency evaluations of contractor performance prepared under this subpart shall be provided to the contractor as soon as practicable after completion of the evaluation. Contractors shall be given a minimum of 30 days to submit comments, rebutting statements, or additional information. Agencies shall provide for review at a level above the contracting officer to consider disagreements between the parties regarding the evaluation. The ultimate conclusion on the performance evaluation is a decision of the contracting agency. Copies of the evaluation, contractor response, and review comments, if any, shall be retained as part of the evaluation. These evaluations may be used to support future award decisions, and should therefore be marked “Source Selection Information.”

d. The NIH CPR form will be completed at least annually and more frequently if necessary to motivate or reward the contractor.

8. Performance Based Matrix

Indicators Standards-

Criteria for Acceptance

100% of work products are technically correct with no correction required by the government.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

2. Compliance

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

3. Accuracy

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

4. Timeliness

100% of work products are completed, in ready state, on time as specified by CDC customer.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

100% of work products are technically correct with no correction required by the government

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

2. Compliance

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

3. Accuracy

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

4. Format

100% of work products are in appropriate correspondence format, or as specified by CDC customer.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

1.c The contractor shall produce Task Order Type Service Product:

Conduct Research and Demonstration Projects

1. Work Quality

100% of work products are technically correct with no correction required by the government

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

2. Compliance

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

3. Accuracy

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

4. Format

100% of work products are in appropriate correspondence format, or as specified by customer.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

100% of work products are technically correct with no correction required by the government

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

2. Compliance

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

3. Accuracy

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

4. Format

100% of work products are in appropriate CDC correspondence format, or as specified by CDC customer.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

1. 100% of Task Order proposals are submitted on time.

Surveillance system will be primarily customer observations.

Failure to follow the Task Order Award Process may result in loss of winning Task Order

Surveillance system will be primarily customer observations.

Failure to follow the Task Order Award Process may result in loss of winning Task Order

1. 100% of the time the contractor demonstrates attention to cost control, without sacrificing work quality.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

2. Customer Satisfaction

2. 100% of the time the contractor staffing demonstrates reasonable and cooperative behavior, a commitment to customer satisfaction, and a concern for the interest of the customer.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

1. 100% of Task Order Award meetings are conducted within the specified time.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

1. 100% of Monthly Status reports are submitted on time.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

Surveillance system will be primarily customer observations.

1.Payment of contract fee for satisfactory service.

2. Contractor performance evaluated using the National Institutes of Health (NIH) contractor performance Report. The evaluation will be considered when future contract selections are made.

9. National Institute of Health Report

Standard

Contractor Performance Report

Evaluation Type: Interim _ Final _ (check one)

Additional or Alternate Contractor Name:

Requirement Description:

Ratings

Summarize contractor performance and check the number which corresponds to the rating for each rating category (See attached Rating Guidelines).

Quality of Product or Service

_0=Unsatisfactory _1=Poor _2=Fair

_3=Good _4=Excellent

_5=Outstanding

Government Comments for Quality of Product or Service (2000 characters maximum):

Cost Control (Rating and Comments for Cost Control are not required if contract type is Fixed-Price)

_0=Unsatisfactory _1=Poor _2=Fair

_3=Good

Government Comments for Cost Control (2000 characters maximum):

Timeliness of Performance

_0=Unsatisfactory _1=Poor _2=Fair

_3=Good

Government Comments for Timeliness of Performance (2000 characters maximum):

Business Relations

_0=Unsatisfactory _1=Poor _2=Fair

_3=Good

Government Comments for Business Relations (2000 characters maximum):

Additional Info

Subcontracts

Are subcontracts involved?

__Yes __No (Check one)

Government Comment on subcontracts (2000 characters maximum):

Contractor Key Personnel

Contractor Manager/Principal Investigator (name):

Government Comment on Contractor Manager/Principal Investigator (2000 characters maximum):

Contractor Key Person (name):

Government Comment on Contractor Key Person (2000 characters maximum):

Contractor Key Person (name):

Government Comment on Contractor Key Person (2000 characters maximum):

Small Business Subcontracting Plan

Did the contractor make a good faith effort to comply with its subcontracting plan consistent with the goals and objectives, reporting and other aspects of the plan?

_Yes _No _N/A (Check one)

If this is a bundled contract, did the contractor meet the goals and objectives for small business participation?

_Yes _No _N/A (Check one)

Government Comments on Small Business Subcontracting Plan (2000 characters maximum):

Small Disadvantaged Business Goals

Did the contractor make a good faith effort to comply with its subcontracting plan consistent with the goals and objectives, for small disadvantaged business (SDB) participation, monetary targets for SDB participation, and required notifications?

_Yes _No _N/A (Check one)

Government Comments on Small Disadvantaged Business Goals (2000 characters maximum):

Customer Satisfaction

Is/was the contractor committed to customer satisfaction?

_Yes _No (Check one)

Would you recommend the selection of this firm again?

_Yes _No (Check one) – FINAL REPORT ONLY Government Comments on Customer Satisfaction (2000 characters maximum):

Admin Info

Project Officer/COTR

Name:

Phone:

Fax:

E-mail Address:

Contractor Representative

Name:

Phone:

Fax:

E-mail Address:

Alternate Contractor Representative (Required to insure that at least one person is notified of evaluation) Name:

Phone:

Fax:

E-mail Address:

Contracting Officer:

Name:

Phone:

Fax:

E-mail Address:

Contractor Comments

Quality of Product of Service

___Contractor has elected not to comment

Contractor Comments for Quality of Product of Service (2000 characters maximum):

Cost Control

___Contractor has elected not to comment

Contractor Comments for Quality of Product of Service (2000 characters maximum):

Timeliness of Performance

___Contractor has elected not to comment

Contractor Comments for Timeliness of Performance (2000 characters maximum):

Business Relations

___Contractor has elected not to comment

Contractor Comments for Business Relations (2000 characters maximum):

Overall Comment

___Contractor has elected not to comment

Contractor Comments for Quality of Product of Service (2000 characters maximum):

Rating Guidelines

Quality of Product or Service

0 = Unsatisfactory 1 = Poor 2 = Fair 3 = Good 4 = Excellent 5 = Outstanding

Cost Control

0 = Unsatisfactory 1 = Poor 2 = Fair 3 = Good 4 = Excellent 5 = Outstanding

Timeliness of Performance

Business Relations