Attachment 2 -RCC QASP.docx

NOAA’s National Centers for Environmental Information (NCEI) Regional Climate Center (RCC) Support Services Quality Assurance Surveillance Plan (QASP) Version – May 26, 2020 For: Regional Climate Centers Re-Compete Contracts Contract Number: < upon award, enter contract number> Contract Description: Regional Climate Services Contractor’s name: < upon award, enter contractor name > (hereafter referred to as the contractor).

1. PURPOSE.

This Quality Assurance Surveillance Plan (QASP) is a Government developed and applied document used to make sure that systematic quality assurance methods are used in the administration of the Performance-based Indefinite Delivery Indefinite Quantity (IDIQ) contract and in subsequent additional work requirements issued thereunder. The intent is to ensure that the Contractor performs in accordance with performance metrics set forth in the contract documents, that the Government receives the quality of services called for in the contract and that the Government only pays for the acceptable level of services received.

This contract requirement is for contractor regional climate services to NOAA’s National Centers for Environmental Information. The resulting vehicle will be a performance-based IDIQ with the core requirements (Task Order 001) being FFP; while task orders may be issued as T&M, LH, or FFP. This contract is for a base period of 12 months with four, 12 month, option periods. A properly executed QASP will assist the Government in achieving the objectives of this procurement.

The Contractor shall perform all Project Management functions including contract, technical, personnel, administrative, logistical, quality, business, and other management functions that are necessary to execute the total effort required by this PWS.

2. GOVERNMENT ROLES AND RESPONSIBILITIES.

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.

Assigned CO: Sarah McKim Organization or Agency: Satellite and Information Acquisition Division Telephone: 301-628-1443 Email: Sarah.McKim@noaa.gov

b. Contracting Officer’s Representative (COR) - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the contractor’s performance. The COR shall keep a quality assurance file. At the conclusion of the contract or when requested by the CO, the COR shall provide this documentation to the CO. The 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.

Assigned COR: Robin Burress Telephone: 828-271-4695 Email: robin.burress@noaa.gov

c. Other Key Government Personnel – Tamara Houston Title: Program Technical Lead Telephone: 828-271-4266 Email: Tamara.Houston@noaa.gov

3. CONTRACTOR REPRESENTATIVES:

The following employees of the contractor serve as the contractor’s representatives for this contract. <Communication should occur with them during QASP development. It will help if they review the draft QASP and accept (not approve) the final version.>

a. Director - <upon award, enter name> Telephone: <enter number> Email: <enter address>

b. Director - <upon award, enter name> Telephone: <enter number> Email: <enter address>

c. Director - <upon award, enter name> Telephone: <enter number> Email: <enter address>

d. Director - <upon award, enter name> Telephone: <enter number> Email: <enter address>

e. Director - <upon award, enter name> Telephone: <enter number> Email: <enter address>

f. Director - <upon award, enter name> Telephone: <enter number> Email: <enter address>

4. PERFORMANCE STANDARDS.

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, Schedule of Deliverables, sections 7 and 8 in the Performance Work Statement, includes performance standards. The Government shall use these standards to determine contractor performance and shall compare contractor performance to the Acceptable Quality Level (AQL) in Section 7 of this document.

5. INCENTIVES.

Not Applicable.

6. METHODS OF QUALITY ASSURANCE SURVEILLANCE.

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP.

Partner Feedback - The Program Manager and/or Technical Lead shall obtain feedback from NCEI’s Partner’s in the region and appropriate federal and state partners who routinely engage with the contractor on activities covered by the contract. This feedback will be provided to the COR, who will create a summary of all formally received feedback.

Director Meetings – The Program Manager and/or Technical Lead and COR shall meet with the RCC Directors on a monthly basis. This level of monitoring shall promote accountability regarding the deliverables in the contract. The COR shall document the dates and agenda for the meetings, which will be provided by the Program.

Random Monitoring - The random monitoring shall be performed by the COR.

Contractor Performance Assessment Report System (CPARS) – The Government will evaluate the Quality of Service; Schedule; Cost Control, Business Relations, Management, and other important areas. As this information may affect future source selections throughout the Government, annual evaluations will be used appropriately as a complementary performance oversight and communication tool with the QASP.

QASP - The Quality Assurance Surveillance Plan, section 7, Enclosure (1), shall be used by the Government in the technical administration of this QASP. In addition to the below instruction, the form to be used for documentation of QA surveillance is the Surveillance Activity Checklist provided as Enclosure (2) below.

Regardless of the surveillance method, the COR shall always contact the Regional Climate Center Director when a defect is identified and inform the director of the specifics of the problem. The COR, with assistance from the CO, if needed, shall be responsible for monitoring the contractor’s performance in meeting a specific performance standard/AQL.

Additionally, surveillance results may be used as the basis for actions (to include payment deductions) against the contractor. In such cases, the Inspection of Services clause in the Contract becomes the basis for the CO’s actions.

7. QUALITY ASSURANCE SURVEILLANCE PLAN TABLE

Enclosure (1): Performance Requirements Summary

Section 7: Regional Services Requirements

Performance Measure Performance Standard (Acceptable Quality Level) Method of Performance Assessment*

Support Climate Monitoring Reports

Support Climate Impact and Outlook Summaries

Summary List of User Needs

Maintain and Deliver Inventory of products and services

Maintain and Deliver Prioritized List of User Needs

Develop and Deliver Summary Workshop Report(s)

Provide Security Audit Report

Develop and Maintain a Transition Plan

*PM: RCS Program Manager, COR: Contracting Officer’s Representative, RCSD: Regional Climate Services Director

Section 8: National Capabilities Requirements

Performance Measure Performance Standard (Acceptable Quality Level) Method of Performance Assessment*

*PM: RCS Program Manager, COR: Contracting Officer’s Representative.

All PWS tasks will be assessed focusing on the following:

Quality of Product or Service – Assess the contractor’s effort to transform operational needs and requirements into an integrated solution. Areas of focus may include the planning and management of program tasks, the quality of support provided throughout all phases of contract execution, the integration of program management specialties, management of interfaces, and the management of a totally integrated effort of all program management concerns to meet cost, performance, and schedule objectives. Assess how successfully the contractor meets program quality.

Schedule – Assess the contractor’s adherence to the required delivery schedule by assessing the contractor’s efforts during the assessment period that contribute to or effect the schedule variance. Also address significance of scheduled events (i.e., systems down-time), discuss causes, and assess the effectiveness of contractor corrective actions.

Cost Control – Cost control measures apply to non-firm-fixed price requirements.

Business Relations – Assess the timelines, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor’s reasonable and cooperative behavior, effective business relations, and customer satisfaction.

Management – Assess the contractor’s success with timely award and management of subcontracts, including whether the contractor met small/small disadvantage and women-owned business participation goals. Discuss the extent to which the contractor discharges its responsibility for integration and coordination of all activity needed to execute the contract; identifies and applies resources required to meet schedule requirements; assigns responsibility for tasks/actions required by contract; communicates appropriate information to affected program elements in a timely manner. Assess the contractor’s risk mitigation plans. If applicable, identify any other management areas that are unique to the contract.

Other Important Areas – Assess additional evaluation areas unique to the contract or that cannot be captured elsewhere.

8. RATINGS.

Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. A rating scale shall be used to determine a positive, neutral, or negative outcome. The following ratings shall be used:

9. DOCUMENTING PERFORMANCE.

a. ACCEPTABLE PERFORMANCE.

The Government shall document positive performance. A report template is attached. Any report may become a part of the supporting documentation for fixed fee payments, time and material, labor hour, or other contractual actions.

b. UNACCEPTABLE PERFORMANCE.

When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR shall document the discussion and place it in the COR file.

When the COR determines formal written communication is required, the COR shall prepare a Contract Discrepancy Report (CDR), and present it to the contractor's program manager or on-site representative. A CDR template is attached to this QASP.

The contractor shall acknowledge receipt of the CDR in writing. The CDR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CDR will also state how long after receipt the contractor has to present this corrective action plan to the COR. The Government shall review the contractor's corrective action plan to determine acceptability.

Any CDRs may become a part of the supporting documentation for contract payment deductions, fixed fee deductions, award fee nonpayment, or other contractual actions deemed necessary by the CO.

10. FREQUENCY OF MEASUREMENT.

a. Frequency of Measurement.

During contract/order performance, the COR shall take periodic measurements, quarterly, or as specified in the AQL column of the Performance Standards Summary Matrix, and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

Enclosure (2): Surveillance Activity Checklist

Measure

Other

Quarterly Progress Reports

PM, COR, appropriate RCSD and Partner Feedback Quarterly - No later than the 10th business day following the end of the fiscal quarter

Climate Impact and Outlook Reports

PM, COR, appropriate RCSD and Partner Feedback Quarterly – No later than Monday following the 3rd Thursday of March, June, September and December

Summary of User Needs

NCEI requirements tool, COR random Monthly through NCEI requirements tool – No later than 10th business day of the following month

Transition Plan

Annually - Three Months Prior to Contract Expiration

PM, COR

Updates and Corrections to Threaded Database

NCEI Operations, PM, COR Random Monitoring

Annually – No later than March 1

Error Reporting and Tracking Status Reports

PM, COR Random Monitoring

Monthly - No later than the 5th business day of the following month

Cooperative Observing Stations – Update Database Daily

NCEI Operations, PM, COR Random Monitoring, RCSD and Partner Feedback

Monthly NLT the following 5th business day

NWS COOP Support Reports

PM, COR Random Monitoring, RCSD and Partner Feedback

Monthly - No later than the 5th business day of the following month

b. Frequency of Performance Assessment Meetings.

The COR shall provide an interim written CPARS assessment annually, and a final written assessment at the end of the contract.

Prepared by: Robin Burress

Signature - Contracting Officer’s Representative Date

NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION (NOAA)

PERFORMANCE REPORT

1. CONTRACT NUMBER: <insert number>

2. Prepared by: (Name of COR) <insert name>

3. Date and time of observation:

4. Observation:

<Examples of items to include in a report are:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results.

- Number of observations.> Prepared by: <Enter COR’s name>

NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION (NOAA)

CONTRACT DISCREPANCY REPORT (CDR)

1. Contract Number: <insert number>

2. To: (Contractor Program Manager, Task Manager or on-site representative) <insert name>

3. FROM: (Name of COR) <insert name>

4. Date and time observed discrepancy:

5. Discrepancy or Problem:

<Describe in detail, including reference to contract requirement. Identify any attachments.>

6. Corrective Action Plan:

A written corrective action plan < is / is not > required.

< If a written corrective action plan is required include the following. > The written Corrective Action Plan will be provided to the undersigned not later than < # days after receipt of this

CDR. >

Prepared by: <Enter COR’s name>

Received by:

Signature - Contractor Program Manager, Task Manager or Date On-site representative

The COR may initiate a CDR at any time, including whenever the number of monthly recorded defects for a performance standard exceeds the allowable number of defects; anytime unacceptable performance is determined critical in nature and requires formal corrective action; and whenever an unfavorable trend is detected in contractor performance.

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