Attachment E-Quality Assurance Surveillance Plan_9July2021.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

Systems Engineering and Technical Assistance (SETA) III Support Services

Solicitation Number: W900KK-21-R-0035

Contractor’s name: TBD

1. PURPOSE.

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; thus the QASP defines the Government’s expectations and provides Acceptable Quality Level (AQLs) for each rated element. 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 QASP is a tool for use in Government administration of the Performance Work Statement

(PWS) and remains subject to revision at any time by the Government throughout the contract performance period to ensure it remains a valid, useful, and enforceable document. Revisions to this surveillance plan are the responsibility of the Contracting Officer’s Representative (COR).

Changes to the QASP shall be made bilaterally and the Government must provide the contractor an opportunity to revise its Quality Control Plan accordingly. The QASP and AQL definitions will be reviewed with the contractor at the post-award conference.

The following FAR clauses apply based on contract type:

52.246-4 Inspection of Services – Fixed-Price

52.246-5 Inspection of Services-Cost-Reimbursement

2. GOVERNMENT ROLES AND RESPONSIBILITIES.

The following personnel shall oversee and coordinate surveillance activities.

a. Contracting Officer (KO) - A person duly appointed with the authority to enter into, administer and terminate contracts on behalf of the Government. The KO is the only person who can legally commit the Government and only the KO, as the Government’s agent, can modify the contract/order. The KO is the final authority for determining the adequacy of the Contractor’s performance. KO decisions arising under or relating to the contact are final. The KO 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 KO shall also assure that the contractor receives impartial, fair, and equitable

Quality Assurance Surveillance Plan treatment under this contract. The KO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

b. Contract Specialist (KS) - The KS acts as an acquisition consultant and serves as liaison between the requesting program office, the contractor, and the supporting contracting office.

c. COR - An individual designated in writing by the PCO to perform specific technical and administrative functions within the scope and limitations of their written appointment (e.g., surveillance of Contractor’s performance, accept services). The COR is not empowered to make any contractual commitments or authorize any changes to the order/contract or in any way obligate additional funds by the Government; such authority rests solely with the KO. The COR is also not authorized to delegate his/her appointed duties. The COR shall consolidate monthly

Alternate COR QASPs and provide a single monthly assessment to the KO via the Virtual

Contracting Enterprise’s COR Module (VCE-COR). The contractor shall refer any changes they deem may affect contract price, terms, or conditions to the KO for action.

d. Alternate CORs – An individual designated in writing by the PCO to perform specific technical and administrative functions within the scope and limitations of their written appointment (e.g., surveillance of Contractor’s performance, accept services). The ACOR is not empowered to make any contractual commitments or authorize any changes to the order/contract or in any way obligate additional funds by the Government; such authority rests solely with the

PCO. The ACOR is also not authorized to delegate his/her appointed duties.

In addition to the COR, each task order shall have a designated Alternate COR who shall provide oversight and technical direction, as relating, but not limited to the work statement, and shall monitor the progress and quality of contractor performance. The Alternate COR shall provide monthly surveillance documentation to the COR and maintain a copy in their file. At the conclusion of the contract or when requested by the KO, the Alternate COR shall provide documentation to the KO. The Alternate 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 KO for action.

3. CONTRACTOR REPRESENTATIVES.

The contractor shall implement and maintain a quality control program. The program shall include inspection, validation, evaluation, corrective action, and procedures necessary to achieve quality control. The adequacy of reports and documentation shall be the responsibility of the contractor. All quality control operations performed by the contractor shall be subject to

Government verification. Verification shall consist of monitoring the operations to determine that the practices and methods of the contractor’s procedures are properly applied. Contractor conformance to the requirements of this PWS will be measured in accordance with (IAW) the

QASP.

4. PERFORMANCE EVALUATION ELEMENTS.

Performance elements define desired services. The Government performs surveillance to determine if the contractor exceeds, meets, or does not meet these elements. This surveillance shall be measured IAW the AQL standards listed in Attachment A.

a. Quality of Service (PWS Paragraph 3. Requirements). The Government will assess the contractor’s conformance to contract/task order requirements, specifications and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, or safety and health standards). Included in the performance are the quality of the Contractor’s technical reports, the Contractor’s productivity and whether the service provided meets the specifications of the contract/ task order and measures up to commonly accepted technical or professional standards and to what degree of Government technical direction was required to solve problems that arise during performance.

b. Schedule (PWS Paragraph 6. Contract Data Requirements). The Government will 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 affect the schedule variance, deliverables).

c. Cost (PWS Paragraph 3.1.3. Program Management). Primarily related to Cost Reimbursable lines only, the Government will assess the Contractor’s effectiveness in forecasting, managing, and controlling contract cost, including whether the Contractor did anything innovative that resulted in cost savings, and their budgetary internal controls were adequate. In addition, the extent to which the Contractor demonstrates a sense of cost responsibility, through the efficient use of resources, in each work effort will be assessed.

d. Management Responsiveness (PWS Paragraph 8. Quality Control Requirement). The

Government will assess the integration and coordination of all activity needed to execute the contract/order, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals (especially responses to change orders, Engineering

Change Proposals (ECPs), or other Undefinitized Contractual Actions UCAs), 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. The

Government will assess the contractor’s risk management practices, especially the ability to identify risks and formulate and implement risk mitigation plans. If applicable, identify any other areas that are unique to the contract/order, or that cannot be captured elsewhere under the

Management element. The Government will assess the contractor’s responsiveness to the program as it relates to meeting contract/order requirements during the period covered by the report.

e. Program Management and Other Management (PWS Paragraphs 3.1.3 and 4). The

Government will assess the Contractor’s performance in selecting, retaining, supporting, and replacing personnel timely with appropriate skills and abilities that meet the task order requirements. The Government will assess the extent to which the contractor discharges its responsibility for integration and coordination of all activity needed to execute the contract/order; identifies and applies resources required to meet schedule requirements; assigns responsibility for tasks/actions required by contract/order; communicates appropriate information to affected program elements in a timely manner.

5. METHODS OF QUALITY ASSURANCE SURVEILLANCE.

Various methods exist to monitor performance. Regardless of the surveillance method, the COR shall always contact the contractor's task manager or on-site representative when unacceptable performance concerns are identified and inform the manager of the specifics of the problem. The

COR, with assistance from the Alternate CORs, shall be responsible for monitoring the contractor’s performance in meeting a specific performance standard’s AQL. Surveillance methods to be utilized include, but are not limited to, below and are provided for each element in

Attachment A.

a. Direct Observation.

b. Invoice Reviews.

c. Progress or status meetings or communications.

d. Analysis of contractor's deliverables (e.g., status reports, funds and labor hour expenditure).

e. Reviews at major milestone events.

6. RATINGS.

Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and AQL. A rating scale shall be used to determine a positive, neutral, or negative outcome.

Surveillance results may be used as the basis for actions (to include payment deductions) against the contractor. In such cases, the applicable Inspection of Services clause in the Contract becomes the basis for the KO’s actions. Additionally, surveillance results may be used to prepare Performance Assessment Reports through the Contract Performance Assessment

Reporting System (CPARS).

Performance will be documented using the CPARS standard Performance Assessments definitions, as follows and further defined in Attachment A:

a. Exceptional. Performance meets contractual requirements and exceeds many to the

Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

b. Very Good. Performance meets contractual requirements and exceeds some to the

Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with some minor problems for which corrective actions taken by the contractor was effective.

c. Satisfactory. Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

d. Marginal. Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being evaluated reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

e. Unsatisfactory. Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

7. DOCUMENTING PERFORMANCE.

a. Acceptable Performance. The Government shall document positive performance. The COR will document performance in the Procurement Integrated Enterprise Environment (PIEE) /

Surveillance and Performance Monitoring (SPM) via the monthly COR report and aggregated task order QASP. Additionally, surveillance results may be used to prepare Contractor

Performance Assessment Reports in CPARS.

b. Unacceptable Performance. An Issue Investigation and Resolution Record (II/RR) shall formally document unacceptable performance. This record shall be initiated and closed by the

Government and shall track a performance issue from initial indication through to concurrence that performance issue has been resolved. When unacceptable performance occurs at the contract level, the COR shall notify the KO and initiate the II/RR. When unacceptable performance occurs at the task order level, the Alternate COR shall notify the COR; either may initiate the II/RR. The II/RR shall state the performance issue and cite applicable contract reference. Formal notification to the contractor shall occur via a letter from the KO and accompanied by the II/RR; the letter shall provide a timeframe for a response. The contractor shall acknowledge receipt of the issue via the II/RR and, if necessary, prepare a corrective action plan to document how the unacceptable performance will be corrected and how a recurrence will be avoided. The Government shall review the contractor’s corrective action plan to determine acceptability and ultimately success. As appropriate all communication shall be written unless circumstances necessitate verbal communication. The Alternate COR and COR shall document the II/RR in their independent files. II/RRs and surveillance results may be used to prepare

Contractor Performance Assessment Reports in CPARS.

8. FREQUENCY OF MEASUREMENT.

a. Frequency of Measurement. During contract/task order performance, the COR shall take periodic measurements 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.

b. Frequency of Performance Assessment Meetings. At a minimum, the COR shall meet with the contractor on a bi-weekly basis to assess performance.

Attachment A

Exceptional Very Good Satisfactory Marginal Unsatisfactory

1 Quality of Service

Product or service exceeds all task order requirements. Highly effective corrective actions. Improved performance and quality.

Product or service exceeds all task order requirements. There are only minor corrective actions required and are resolved with no Government intervention.

Product or service meets all task order requirements. There are only minor corrective actions required and minimal Government intervention.

Product or service requires correction with significant

Government involvement. Meets task order requirements after Government intervention and guidance.

Products or services are unacceptable. They do not meet the task order requirements.

Direct observation, progress or status meetings or communications, analysis of contractor's status reports, and reviews at major milestone events established in the task order.

Schedule

(IAW CDRLs)

Product is delivered ahead of schedule to the Government's benefit.

Coordinated with the Government for early delivery.

Meets delivery schedule(s). Some early deliveries to the Government's benefit.

Meets delivery schedule(s). Minor issues resolved and did not effect delivery schedule.

Contractor does not meet the schedule, but did coordinate with the

Government for an extension or exception.

Delivers services after scheduled delivery date without coordinating with the Government for an extension or exception.

Direct observation, stated contract requirements (i.e., contract deliverables, major milestone events established in the task order).

3 Cost Control

Costs are below task order and contractor has identified efficiencies and innovations leading to the reduction of costs.

Costs are consistent with the task order. Some reduction in overall cost/price and uses innovative management techniques.

Costs are consistent with the task order. However, some costs exceed the task order. Full performance would require a contract modification.

Contractor does not meet costs/prices while meeting all contract requirements. No innovative techniques to bring overall expenditures within limits.

Contractor cannot perform task order as proposed and in order to perform would require a significant increase in cost.

COR and Alternate COR review of

Funds and Labor Hour Expenditure

Report upon submittal.

Management

Responsiveness

Responds to and exceeds Government requests within one business day with no oversight. Anticipates, identifies and recommends changes in technical and contractual matters.

Responds to Government requests within one business day with no oversight. Anticipates, identifies and recommends changes in technical and contractual matters.

Responds to Government requests within one business day.

Not responsive (within one business day, no more than 3 times per month) to Government requests (written or verbal communications, and data calls). Unnecessary change of proposals, untimely definitization of change proposals.

Not responsive (within one business day, more than 3 times in one month) to Government requests (written or verbal communications, and data calls). Significantly untimely definitization of change proposals.

Direct observation, progress or status meetings or communications, analysis of contractor's status reports, and reviews at major milestone events established in the task order.

Program

Management and

Other

Management

There are no vacancies exceeding 10 calendar days. Contractor responds to rapid recruitment requests.

Contractor personnel possess skills and abilities that exceed all or most

Task Order requirements.

There are no vacancies exceeding 10 calendar days. Contractor responds to rapid recruitment requests.

Contractor personnel possess skills and abilities that meet the Task Order requirements.

Provides personnel as proposed within 15 calendar days of task order award or departure of personnel.

Contractor personnel possess skills and abilities that meet the Task Order requirements.

Fails to provide qualified personnel as proposed within 15 calendar days of task order award or departure of personnel.

Fails to provide qualified personnel as proposed within 30 calendar days of task order award or departure of personnel.

Direct observation, progress or status meetings or communications, analysis of contractor's status reports, and reviews at major milestone events established in the task order.

Surveillance Method(s) Acceptable Quality Level (AQL)

Elements