Attachment J8 -Quality Assurance Surveillance Plan.doc

Attachment J8

Quality Assurance Surveillance Plan (QASP)

Management Consultation and Technical Assistance (MCTA)Services Centers for Disease Control and Prevention (CDC)

1. Objective. This QASP serves as the principal basis for assessing overall performance quality associated with Task Orders issued under the MCTA contract. This document will be used by the Government to assess the effectiveness of the Contractor’s management and technical services. This QASP provides the methodology by which the Contractor’s performance will be monitored to determine compliance with established performance objectives and to establish performance benchmarks that ensure a quantifiable basis for measuring effectiveness. The plan is designed so that surveillance is limited to that which is necessary to verify the contractor is performing required services satisfactorily and relates directly to performance objectives delineatd in the SOW.

2. This QASP does the following:

-Identifies the services and products that will be measured.

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

-Establishes the responsibilities for performing the measurement.

-Defines the CDC role in overseeing the performance.

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

-Establishes timeframes for communicating performance improvements.

3. Surveillance

a. The Performance Based Matrix provided herein 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, consultation and technical assistance, 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.

4. 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), Technical Monitors (TMs) 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 TMs are responsible for directly monitoring, assessing, recording, and reporting on the technical performance of the Contractor. The TMs will have primary responsibility for signing off on all invoices and documenting the inspection and evaluation of the contractor’s performance.

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

5. Government Surveillance

a. The TMs will evaluate the performance objectives through various surveillance methods during each service month as noted herein. Surveillance of contractor performance is the method used by the Government to determine whether the contractor is effectively and efficiently complying with all terms and conditions of the task order. In addition to statistical analysis, the functional expertise of the Technical Monitor plays a vital role in adequately evaluating contractor performance. The below listed methods of surveillance shall be used in the administration of the QASP and the standards are delineated by the applicable SOW reference in the Performance Based Matrix Table.

(1) Demonstration. A qualification method that is carried out by operation aand relies on observable functional operation. It does not require the use of instrumentation or special test equipment.

(2) Analysis. A qualification method that is carried out by examining and assessing the application of techniques in order to determine if they are appropriate and sufficient. The quality of performance can be determined from government or contrator task-based or Management Information System (MIS) reports, contractor ISO 9000 techniques and procedures, or from government observation of completed tasks. In some instances, reports may be available in the form of informatin on a contractor’s performance against contract requirements. Reports generally provide information regarding various characteristics of tasks and can, therefore, be used to determine acceptability of a contractor’s performance.

(3) Inspection. A qualitative inspection may be accomplished through one of the following:

a. Random or Stratified Sampling: With random sampling, services are sampled to determine if the level of performance is acceptable. Random sampling works best when the number of instances of the services being performed is very large and a statistically valid sample can be obtained. Stratified sampling focuses on selected parts of total contractor output for sampling. Computer programs may be available to assist in establishing sampling procedures.

b. Periodic Inspection: Judgmental Inspection or Planned

Sampling: This method sometimes called “planned sampling” consists of the evaluation of tasks selected on other than a 100% or random basis.

b. All performance must be documented, whether acceptable or unacceptable. When unacceptable performance is documented, the TMs will 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 CO of the unacceptable performance and the reasons why is is unacceptable.

iii. If the contractor wants to dispute the results of the surveillance, the TMs will 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 in the contract. These services will be inspected periodically and the results will be documented and made available to the CO, as required.

6. Standards

a. All standards in the Performance Based Matrix must be met. All deliverable dates and other contractual completion dates specified in the task orders 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. Services will not be considered complete until all deficiencies have been corrected.

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

7. Procedures

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

b. The Government may require the Contractor to reperform the work determined unacceptable if the failure is due to deficiency by one or more the contractor’s employees.

c. 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.

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

9. Performance Based Matrix

Indicators Standards-

Criteria for Acceptance

1. The contractor shall produce the following Task Order Type Service Products:

a. Organize and Manage Processes

b. Provide Program Analysis and Recommenda-tions

c. Provide Technical Advise and Assistance

d. Perform Pre-award Assessments

1.Work Quality

2. Qualified Personnel

100% of work products are technically correct with no correction required by the Government (Ref: Section C, Performance Threshold for Tasks Performed).

Workforce provided meets the required qualifications to perform required services.

Random Sampling Planned Sampling

Demonstration Customer observations

Contractor will receive full payment for services rendered.

Contractor performance evaluated using the NIH Contractor Performance Report(CPR). The evaluation will be considered when future contract selections are made.

Compliance

100% of all work products are consistent with all applicable legislative mandates, respective CDC and Federal government regulatory and statutory guidelines (Ref: Section C, Performance Threshold for Tasks Performed).

Random Sampling

Contractor performance evaluated using the NIH CPR. The evaluation will be considered when future contract selections are made.

Accuracy

100% of all work products are accurate in presentation and adherence to accepted elements of style with no errors

Random Sampling Customer Observations Contractor performance evaluated using the NIH CPR. The evaluation will be considered when future contract selections are made.

Timeliness

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

Random Sampling

Contractor performance evaluated using the NIH CPR. The evaluation will be considered when future contract selections are made.

Demonstration

Contractor performance evaluated using the NIH CPR. The evaluation will be considered when future contract selections are made.

10. Centers for Disease Control and Prevention (CDC) 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):

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):

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):

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

Timeliness of Performance

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

Business Relations

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

FOR INFORMATION PURPOSES ONLY