QASP_with_CPARS_ATL.docx

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QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

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Tab 1

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QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1. Introduction

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

· What will be monitored.

· How monitoring will take place.

· Who will conduct the monitoring.

· How monitoring efforts and results will be documented.

This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur..

The plan will use the Contractors Performance Assessment Reporting System (CPARS) to electronically process interim and final contractor performance assessments at www.cpars.gov. At a minimum, interim contractor performance assessments will be conducted every 12 months until the end of the contract. CPARS allows the Contracting Officer’s Representative or Contracting Officer, to report Contractor and subcontractor performance on a national, easily accessible database. It requires the Contracting Officer to review the database prior to approving the use of a Contractor to insure that the Contractor or subcontractor has done a good job in the past. As a result, it is anticipated that CPARS should help motivate the Contractor, wishing future work in the Federal sector, on the current contract toward superior performance.

2.0 Roles and Responsibilities:

The Contractor’s primary responsibility is to ensure all requirements are met at the required quality level. The Government shall ensure this responsibility has been met before payment is made to the Contractor. The primary Government team members are the the Contracting Officer’s Representative (COR), and the Contracting Officer (CO).

The following personnel shall oversee and coordinate surveillance activities.

a. Contracting Officer (CO) - The CO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The CO shall also assure that the contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

b. The COR will be responsible for technical administration of the contract, and shall assure proper Government surveillance of the contractor’s performance. The COR shall maintain a quality assurance file. A COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The contractor shall refer any changes they deem may affect contract price, terms, or conditions to the CO for action.

3.0 Surveillance:

Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets or does not meet these standards.

The Performance Requirements Summary Matrix, shown in Table 1 below and contained in the Performance Work Statement (PWS) for this includes performance standards. The Government shall use these standards to determine contractor performance and shall compare contractor performance to acceptable quality levels.

Disincentives

2. Rating in the Contractor Performance Assessment Reporting System (CPARS) commensurate with performance. The evaluation will be considered when future contract selections are made.

Customer Satisfaction

98% 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

1. Payment of contract price satisfactory service

2. Rating in the Contractor Performance Assessment Reporting System (CPARS) commensurate with performance. The evaluation will be considered when future contract selections are made.

2. Rating in the Contractor Performance Assessment Reporting System (CPARS) commensurate with performance. The evaluation will be considered when future contract selections are made.

4.2 All performance must be documented, whether acceptable or unacceptable. When unacceptable performance is documented, the COR shall take the following actions:

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

4.2.2 If the Contractor’s performance is unacceptable, inform the Contractor’s on site representative of the unacceptable performance and the reasons why it is unacceptable.

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

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

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

5.0 Standards: 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 Government shall receive consideration from the Contractor for breach of contract.

5.1 Late performance is un-excusable unless the Contractor can justify all of the following:

5.1.1 The delay was not the Contractor’s fault.

5.1.2 The delay was not foreseeable.

5.1.3 It was beyond the Contractor’s control to avoid the delay.

5.2 All work shall be performed in accordance with the PBPWS. The COR shall not consider the services complete until all deficiencies have been corrected.

5.3 The COR shall determine whether the failure was a minor non-conformance or a substantive non-conformance.

6.0 Procedures: The Government will inspect performance requirements to ensure contractor compliance and record results of the surveillance, noting the date and time 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 and/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 COR will notify the CO and recommend a course of action.

7.0 Contract Performance Evaluation

7.1 FAR 42.15 - Contractor Performance Information establishes the Government responsibility for recording and maintaining contractor performance information. This requirement does not apply to procedures used in determining incentive awards or other incentive systems, although the two systems should be mutually supporting.

7.2 FAR 42.1501 - Past performance information is relevant information for future source selection purposes, regarding a contractor's actions under previously awarded contracts. It includes, for example, the contractor's record of conforming to contract requirements and to 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.

7.3 The general procedures to be used are addressed in the following FAR section.

42.1503 Procedures:

(a) 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. (b) 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 CO 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”.

7.4 The CPARS contractor performance assessment will be completed at least annually and more frequently if necessary to motivate or reward the contractor.

TAB 1 – CONTRACTORS PERFORMANCE ASSESSMENT REPORTING SYSTEM (CPARS) RATINGS

Block 18a - Quality of Product or Service. Assess the Contractor's conformance to contract requirements, specifications and standards of good workmanship (e.g. commonly accepted technical, professional, environmental, or safety and health standards). MANDATORY.

· For example: Are reports/data accurate? Does the product or service provided meet the specifications of the contract? Does the Contractor's work measure up to commonly accepted technical or professional standards? Assess the degree of Government technical direction required to solve problems that arise during performance.

· For Operations Support: Assess how successfully the Contractor meets program quality objectives such as ability to produce, reliability, maintainability and ability to inspect. The Assessing Official must be flexible in how Contractor success is measured; e.g. using data from field reliability and maintainability and failure reports, user comments and acceptance rates, and scrap and rework rates. These quantitative indicators may be useful later, for example, in source selection evaluations, in demonstrating continuous improvement, quality and reliability leadership that reflects progress in total quality management. Assess the Contractor's control of the overall production process to include material control, shop planning and control, and status.

Block 18b - Schedule. Assess the timeliness of the Contractor against the completion of the contract, task orders, milestones, delivery schedules, and administrative requirements (e.g. efforts that contribute to or effect the schedule variance). MANDATORY.

· This assessment of the Contractor's adherence to the required delivery schedule should include the Contractor's efforts during the assessment period that contributes to or effect the schedule variance. This element applies to contract closeout activities as well as contract performance. Instances of adverse actions such as the assessment of liquidated damages, or issuance of Cure Notices, Show Cause Notices, and Delinquency Notices are indicators of problems which may have resulted in variance to the contract schedule and should therefore be noted in the evaluation.

Block 18c - Cost Control (Not required for Firm Fixed Price or Firm Fixed Price with Economic Price Adjustment). Assess the Contractor's effectiveness in forecasting, managing, and controlling contract cost. MANDATORY.

· For example, does the Contractor keep within the total estimated cost (what is the relationship of the negotiated costs and budgeted costs to actuals)? Did the Contractor do anything innovative that resulted in cost savings? Were billings current, accurate and complete? Are the Contractor's budgetary internal controls adequate?

Block 18d - Business Relations. Assess the integration and coordination of all activity needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor's history of reasonable and cooperative behavior (to include timely identification of issues in controversy), customer satisfaction, timely award and management of subcontracts. MANDATORY Include, as applicable, information on the following:

· Is the contractor oriented toward the customer?

· Is interaction between the contractor and the government satisfactory or does it need improvement?

· Include the adequacy of the contractor's accounting, billing, and estimating systems and the contractor's management of Government Property (GFP) if a substantial amount of GFP has been provided to the contractor under the contract.

· Address the timeliness of awards to subcontractors and management of subcontractors, including subcontract costs. Consider efforts taken to ensure early identification of subcontract problems and the timely application of corporate resources to preclude subcontract problems from impacting overall prime contractor performance.

· Assess the prime contractor's effort devoted to managing subcontracts and whether subcontractors were an integral part of the contractor's team.

Block 18e - Management of Key Personnel (For Services and Information Technology Business Sectors only - Not Applicable to Operations Support).. Assess the Contractor's performance in selecting, retaining, supporting, and replacing, when necessary, key personnel. MANDATORY.

· For example, how well did the Contractor match the qualifications of the key position, as described in the contract, with the person who filled the key position? Did the Contractor support key personnel so they were able to work effectively? If a key person did not perform well, what action was taken by the Contractor to correct this? If a replacement of a key person was necessary, did the replacement meet or exceed the qualifications of the position as described in the contract schedule?

Block 18f - Utilization of Small Business. FAR Subpart 19.7 and 15 U.S.C. 637 contains statutory requirements for complying with the Small Business Subcontracting Program. Assess whether the contractor provided maximum practicable opportunity for Small Business (including Alaska Native Corporations (ANCs) and Indian Tribes) (including Small Disadvantaged Businesses (which also includes ANCs and Indian Tribes), Women Owned Small Businesses, HUBZone, Veteran Owned, Service Disabled Veteran Owned Small Business, Historically Black Colleges and Minority Institutions and ANCs and Indian Tribes that are not Small Disadvantaged Businesses or Small Businesses) to participate in contract performance consistent with efficient performance of the contract.

Assess compliance with all terms and conditions in the contract relating to Small Business participation (including FAR 52.219-8, Utilization of Small Businesses and FAR 52.219-9, Small Business Subcontracting Plan (when required). Assess any small business participation goals which are stated separately in the contract. Assess achievement on each individual goal stated within the contract or subcontracting plan including good faith effort if the goal was not achieved.

It may be necessary to seek input from the Small Business specialist, ACO or PCO in regards to the contractor's compliance with these criteria. For DoD in cases where the contractor has a comprehensive subcontracting plan, request DCMA Comprehensive Subcontracting Plan Manager to provide input including any program specific performance information.

For contracts subject to a commercial subcontracting plan, the Utilization of Small Business factor should be rated "satisfactory" as long as an approved plan remains in place, unless liquidated damages have been assessed by the contracting officer who approved the commercial plan (see FAR 19.705-7(h)). In such case, the Utilization of Small Business area must be rated "unsatisfactory".

This area must be rated for all contracts and task orders that contain a small business subcontracting goal.

Ratings for the Utilization of Small Business evaluation area will be in accordance with the definitions described below. Ratings for the other CPAR evaluation areas will be in accordance with the ratings described in Block 18 Evaluation Areas.

In accordance FAR 19.705-2(e) a contract may have no more than one subcontracting plan. Evaluations of the Utilization of Small Business are required for contracts and orders placed against basic ordering agreement (BOA) and blanket purchase agreement (BPA) if a subcontracting plan is required. Evaluations of Utilization of Small Business for single-agency task orders and delivery orders (to include FSS) are not required and shall not be accomplished unless the contracting officer determines that such evaluations would produce more useful past performance information for source selection officials than that contained in the overall contract evaluation. Execution of any subcontracting plan may be addressed in block 20.

· Exceptional. Exceeded all negotiated subcontracting goals or exceeded at least one goal and met all of the other negotiated subcontracting goals for the current period. Had exceptional success with initiatives to assist, promote, and utilize small business (SB), small disadvantaged business (SDB), women-owned small business (WOSB), HUBZone small business, veteran-owned small business (VOSB) and service disabled veteran owned small business (SDVOSB). Complied with FAR 52.219-8, Utilization of Small Business Concerns. Exceeded any other small business participation requirements incorporated in the contract, including the use of small businesses in mission critical aspects of the program. Went above and beyond the required elements of the subcontracting plan and other small business requirements of the contract. Completed and submitted Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate and timely manner.

Note: To justify an Exceptional rating, identify multiple significant events and state how they were a benefit to small business utilization. A singular benefit, however, could be of such magnitude that it constitutes an Exceptional rating. Ensure that small businesses are given meaningful, innovative work directly related to the project, rather than peripheral work, such as cleaning offices, supplies, landscaping, etc. Also, there should have been no significant weaknesses identified.

· Very Good. Met all of the negotiated subcontracting goals in the traditional socio-economic categories (SB, SDB and WOSB) and met at least one of the other socio-economic goals (HUBZone, VOSB, SDVOSB) for the current period. Had significant success with initiatives to assist, promote and utilize SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB. Complied with FAR 52.219-8, Utilization of Small Business Concerns. Met or exceeded any other small business participation requirements incorporated in the contract, including the use of small businesses in mission critical aspects of the program. Endeavored to go above and beyond the required elements of the subcontracting plan. Completed and submitted Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate and timely manner.

Note: To justify a Very Good rating, identify a significant event and state how they were a benefit to small business utilization. Ensure that small businesses are given meaningful, innovative work directly related to the project, rather than peripheral work, such as cleaning offices, supplies, landscaping, etc. There should be no significant weaknesses identified.

· Satisfactory. Demonstrated a good faith effort to meet all of the negotiated subcontracting goals in the various socio-economic categories for the current period. Complied with FAR 52.219-8, Utilization of Small Business Concerns. Met any other small business participation requirements included in the contract. Fulfilled the requirements of the subcontracting plan included in the contract. Completed and submitted Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate and timely manner.

Note: To justify a Satisfactory rating, there should have been only minor problems, or major problems the contractor has addressed or taken corrective action. There should have been no significant weaknesses identified. A fundamental principle of assigning ratings is that contractors will not be assessed a rating lower than Satisfactory solely for not performing beyond the requirements of the contract.

· Marginal. Deficient in meeting key subcontracting plan elements. Deficient in complying with FAR 52.219-8, Utilization of Small Business Concerns, and any other small business participation requirements in the contract. Did not submit Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate or timely manner. Failed to satisfy one or more requirements of a corrective action plan currently in place; however, does show an interest in bringing performance to a satisfactory level and has demonstrated a commitment to apply the necessary resources to do so. Required a corrective action plan.

Note: To justify Marginal performance, identify a significant event that the contractor had trouble overcoming and how it impacted small business utilization. A Marginal rating should be supported by referencing the actions taken by the government that notified the contractor of the contractual deficiency.

· Unsatisfactory. Noncompliant with FAR 52.219-8 and 52.219-9 and any other small business participation requirements in the contract. Did not submit Individual Subcontract Reports and/or Summary Subcontract Reports in an accurate or timely manner. Showed little interest in bringing performance to a satisfactory level or is generally uncooperative. Required a corrective action plan.

Note: To justify an Unsatisfactory rating, identify multiple significant events that the contractor had trouble overcoming and state how it impacted small business utilization. A singular problem, however, could be of such serious magnitude that it alone constitutes an Unsatisfactory rating. An Unsatisfactory rating should be supported by referencing the actions taken by the government to notify the contractor of the deficiencies. When an Unsatisfactory rating is justified, the contracting officer must consider whether the contractor made a good faith effort to comply with the requirements of the subcontracting plan required by FAR 52.219-9 and follow the procedures outlined in FAR 52.219-16, Liquidated Damages-Subcontracting Plan.

NOTE 1: Plus or minus signs may be used to indicate an improving (+) or worsening (-) trend insufficient to change assessment status.

NOTE 2: For subcontracting plans under the DoD Comprehensive Small Business Subcontracting Plan (Test Program), DFARS 252.219-7004, the ratings entered in CPARS shall mirror those assigned by the Defense Contract Management Agency who is responsible for monitoring such plans.

NOTE 3: Generally, zero percent is not a goal unless the Contracting Officer determined when negotiating the subcontracting plan that no subcontracting opportunities exist in a particular socio-economic category. In such cases, the contractor shall be considered to have met the goal for any socio-economic category where the goal negotiated in the plan was zero.

Block 18g - Other Areas. Specify additional evaluation areas that are unique to the contract, or that cannot be captured elsewhere on the form. More than one type of entry may be included, but should be separately labeled. If extra space is needed, use Block 20.

If the contract contains an award fee provision, enter "award fee" in the "Other Areas" block (18g). The Assessing Official should translate the award fee earned to adjective ratings, which could prove more useful for using past performance to assess future performance risk in upcoming source selections. If award fee information is included in the CPAR, use block 20 to provide a description for each award fee. Include the scope of the award fee by describing the extent to which it covers the total range of contract performance activities, or is restricted to certain elements of the contract.

If any other type of contract incentive is included in the contract (excluding contract shareline incentives on fixed price or cost-type contracts), it should be reported in a manner similar to the procedures described above for award fee.

Use Block 18g in those instances where the Assessing Official believes strongly, either positively or negatively, regarding an aspect of the Contractor's performance, but cannot fit that aspect into any of the other blocks on the form.

Tab 2 – Contracting Officers Representative (Cor) Evaluation Report

1. Contract paragraph number(s): (identify the contract paragraph surveilled)

1. Review interval: (indicate the review period covered by this report)

1. Date of the report:

1. Contact Information: (identify the name and phone number of the individual to contact for follow-up information on the report)

1. Recommendations:(identify the high priority recommendations for this report period; use a supporting document to supplement this summary information)

1. Current interval QA activities: (describe the major quality assurance activities accomplished during this reporting period)

1. Planned activities for the next review period: (describe planned activities for the next review interval)

1. Risk assessment and trends:(describe the observed and identified risk areas within the project and the trend of that risk (improving, worsening, no change) as well as impacts of the risks; identify the steps or action to address the trends)

9.0 Outstanding QA issues: (describe the new and unresolved issues from previous reports)