D15PS00125_Attachment9.docx

Quality Assurance Surveillance Plan (QASP)

For DARPA/MTO Scientific, Engineering, Technical and Administrative Support Contract Number: < upon award, enter contract number> Contractor’s name: < upon award, enter contractor name > (hereafter referred to as the contractor)

1. Purpose

This Quality Assurance Surveillance Plan (QASP) was developed to assist the Contracting Officer (CO), Contracting Officers Representative (COR), or any other duly authorized representative to ensure the Contractor’s performance meets the standards contained in the contract. The QASP establishes procedures on how the assessment/inspection process will be conducted, and provides a detailed process for a continuous oversight. This QASP will detail the following:

· What is to be monitored

· How monitoring will take place

· Who conducts the monitoring process

· How monitoring efforts and results will be documented

This QASP does not detail how the contractor accomplishes the work, but rather how we as the Government shall monitor the work performed by the Contractor. The contractor is responsible for implementing and delivering performance that meets contract standards by utilizing their own Quality Control Plan. This QASP will outlines the structure the government will follow during the surveillance process. Government evaluators must remain objective, fair, and consistent when evaluating the contractor performance. Furthermore, the COR and the Contracting Officer recognize that unforeseen and uncontrollable situations may occur. If a situation occurs beyond the control of the Contractor or Government control, the COR will immediate address this situation to the Contracting Officer (CO) for official direction.

This QASP is not part of the contract nor is it intended to duplicate or replace the Contractor’s quality control plan. Following the guidance detailed in this QASP, the COR should be able to ensure early identification and resolution of performance issues to minimize impact on mission performance.

This QASP is a “living document.” The Government should review and revise this plan as needed. This flexibility allows for increases or decreases in the surveillance level or manner as needed based on contractor performance. The Government will coordinate any changes with the Contractor prior to implementation. Updates shall ensure the QASP remains a valid, useful, and enforceable. To facilitate open communication, copies of the original QASP and revisions shall be provided to the Contractor and Government officials conducting surveillance activities.

2. Authority

Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provides for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the contracting officer or a duly authorized representative.

The following FAR clauses may apply depending on contract type:

52.246-4 Inspection of Services – Fixed-Price, 52.246-5 Inspection of Services – Cost-Reimbursement, or 52.246-6 Inspection of Services – Time-and-Material and Labor-Hour

3. Contract Purpose and Vision

The Defense Advanced Research Projects Agency (DARPA) Microsystems Technology Office (MTO) requires support services to assist this office in its program planning and technical analysis, program and financial management/analysis, conference and meeting planning, data management and control, to support work in the major areas of focus in the following fields: Electronic Spectrum, Decentralization, Information Microsystems and Globalization. In addition, Scientific, Engineering, and Technical Assistance along with administrative support services are required to support the MTO front office in the areas of broad agency announcements, internal and external websites, graphics, strategic planning, executive briefings, subject matter experts/consultants, and administrative management. All services described in this PWS shall be nonpersonal services. The contractor shall not perform any inherently governmental functions or activities.

4. Contract Mission

The Contractor is required have experience providing technical, programmatic/financial, and administrative support to DARPA/MTO for existing, planned, and yet to be defined areas of interest for DARPA/MTO programs. This experience must include Scientific, Engineering and Technical Assistance and administrative support for the following areas:

· Electromagnetic Spectrum - The electromagnetic spectrum is the heart of current and future warfare, but it remains highly contested and congested. The future of info-centric warfare will require electromagnetic access for collecting and distributing information.

· Decentralization - The ability to update underlying capabilities in large and massively complex systems inexpensively and quickly is crucial to avoid outdated and inferior electronics. The increasing complexity of our major military systems precludes rapid change so it is essential that we move towards a new model that allows for quick adoption of new and modern electronics.

· Information Microsystems - The need to process significantly more amounts of data, and at significantly more complex levels than previous required continues to increase even as the end of Moore’s Law quickly approaches (or is already here). Our computing systems must have the capabilities to handle this ever increasing demand in new ways, exploring new architectures, algorithms/signal processing, and hardware.

· Globalization - As our world becomes more globalized, fabrication must be on a grounded component base that we trust and believe will work when we need it. As the manufacturing of components abroad increases, we must embrace the global capabilities that will lead to affordable systems, while maintaining trust.

· Other Technical Areas - MTO may work on other technical areas that are not identified at this time.

5. Roles and Responsibilities. The following personnel shall oversee and coordinate surveillance activities.

Program/Project Manager (PM) – The PM provides primary program oversight, nominates the COR, ensures the COR is trained before performing any COR duties and supports the COR’s performance assessment activities. While the PM may serve as a direct conduit to provide Government guidance and feedback to the Contractor on technical matters, they are NOT empowered to make any contractual commitments or any contract changes on the government’s behalf.

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 ensure that the contractor receives impartial, fair, and equitable treatment under this contract. Determine the final assessment of the contractor’s performance.

Contract Specialist (CS) - The CS acts as an acquisition consultant and serves as liaison between the DOI, IBC and the requesting program office, as well as liaison between the contractor and the DOI, IBC contracting office.

Contracting Officer’s Representative (COR) - The COR is responsible for providing continuous technical oversight of the contractor’s performance. CORs assigned will use this QASP to conduct the oversight/surveillance process. The CORs shall keep a separate Quality Assurance Surveillance file that shall contain (1) a copy of the contract and all modifications, (2) a copy of this QASP, and (3) a copy of all Surveillance Reports, and (4) all documents, emails, memorandums, or other correspondences pertaining to the performance of this contract that accurately documents the contractor’s actual performance including official Customer Complaint Forms when applicable (attachment 2). The primary IDIQ COR, shall keep these documents on the IDIQ level, and any assigned TO COR (when applicable), will keep these documents on the TO level.

The Primary, IDIQ COR is responsible for reporting early identification of performance problems to the CO. The IDIQ COR is required to provide a monthly report to the CO (attachment 4) on the Contractor’s performance. Format and submission will be agreed upon between the CO and the COR. Additionally, the COR will submit a detailed annual performance assessment (PAR) Report (attachment 1) to the CO which will be used to officially document the Contractor’s past performance.

6. Performance Requirements and Method of Surveillance

Performance standards define the desired elements of the services provided. The Government performs surveillance to determine if the contractor exceeds, meets, or does not meet these standards. The Performance Requirements Summary Matrix below includes the requirements minimum performance standards acceptable. The Government shall use these standards to determine if the Contractor meets the minimum acceptable performance level.

6.1 - Contract Surveillance

The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The COR’s contribution is their professional, non-adversarial relationships with the CO, PM and the contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of contractor performance against contract requirements. The COR uses the methods contained in this QASP to ensure the contractor is in compliance with contract requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the contractor’s performance. Additionally, this QASP is based on the premise that the contractor, not the government, is responsible for management and QC/QA actions to successfully meet the terms of the contract.

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP. Regardless of the surveillance method, the COR shall always contact the CO and the Contractor's task manager or on-site representative when a deficiency is identified. The COR, with assistance from the CS, shall be responsible for monitoring the contractor’s performance in meeting a specific performance standard/AQL. 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.

6.2 - Surveillance Matrix

The Surveillance Matrix (Appendix 1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance the COR will use to validate and inspect these performance elements. Inspection of each element will be documented in the COR file.

Performance objectives define the desired outcomes. Performance Standards define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performs surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance element standards. The Performance Requirement Summary (PRS) should be used to form the foundation of the COR’s inspection checklist.

Performance Rating Definitions Performance Rating Criteria

7. Documenting Performance

a. Acceptable Performance.

The Government shall document performance. Any report may become a part of the supporting documentation. Acceptable performance will be documented on the Indefinite Delivery, Indefinite Quantity (IDIQ) level.

TASK ORDERS:

All Task Order (TO) Program Managers and/or CORs assigned shall receive a copy of this QASP, and any reporting documents required to complete and submit monthly reports to the Basic, IDIQ appointed COR for completion and incorporation into the overall performance report. TO monthly Reports (attachment 5) shall be submitted to the IDIQ appoint COR no later than the 5th working day of the next month.

IDIQ:

The Primary, IDIQ COR shall receive a signed copy of all TO Monthly Reports all for active TOs, including any additional documentation required to complete and submit the month Contracting Officer (CO) report for the Basic, IDIQ Contract. The CO’s monthly reports shall be submitted to the CO and the MTO ADPM no later than the 10th working day of each month.

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 task manager or on-site representative. A CDR template is attached to this QASP (attachment 3).

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 actions deemed necessary by the CO. During contract/order performance, the COR shall measure performance against the Performance Standards Summary Matrix (appendix 1) below.

1. Attachment 1: Performance Assessment (PAR) Report

2. Attachment 2: Customer Complaint Forms

3. Attachment 3: Contract Discrepancy Report (CDR)

4. Attachment 4: CO Monthly Report

5. Attachment 5: TO Monthly Report

· Performance Standards Summary Matrix (appendix 1)

QASP APPENDIX 1

Performance Standards Surveillance Matrix Frequency of Performance Assessment Meetings. The COR shall meet with the contractor as required necessary to assess performance; results of these meeting will be documented in the COR’s monthly report to the CO.

File reviews, periodic inspections, workload reviews, and random, observations, customer complaints

QASP ATTACHMENT 1

Performance Assessment (PAR) Report

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

4. QUALITY ASSURANCE PERSONNEL (QAP) SIGNATURE AND DATE

I. PERFORMANCE

7. |_| DEFICIENCY (CHECK ALL BOXES THAT APPLY)

|_| NEW

|_| REPEAT

|_| NO DEFICIENCY NOTED

8. SERVICES SUMMARY or SOW PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE |_| CONCUR |_| NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF QAP CITED DEFICIENCY

III. ACTION CORRECTED

14. |_| CONCUR |_| NON-CONCUR QAP SIGNATURE AND DATE

15. QAP REMARKS (REQUIRED)

16. CONTRACTOR REPRESENTATIVE REMARKS

Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT

Continuation Sheet (Number to correspond with applicable Item Number on reverse)

DEFENSE ADVANCED RESEARCH PROJECTS

AGENCY (DARPA)

MICROSYSTEMS TECHNOLOGY OFFICE (MTO)

Advisory and Assistance Services (AA&S) Scientific, Engineering, Technical, and Administrative (SETA) Support

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Performance Assessment Report (PAR)

Performance Assessment Report (PAR) Instructions

Block 1. Quality Assurance Personnel (QAP) enters contract or task order number.

Block 2. QAP enters contractor name.

Block 3. QAP enters type of services.

Block 4. QAP signs and dates.

Block 5. QAP enters telephone number.

Block 6. QAP assigns suspense date for Contractor Representative validation if a deficiency box was checked in Block 7.

Part I. Contractor Performance

Block 7. QAP checks all boxes that apply.

Block 8. QAP enters Services Summary or Statement of Work (SOW) paragraph item reviewed.

Block 9. QAP enters brief description of deficiency and tracking number if the deficiency box was checked in Block 7. Detailed description will be on Corrective Action Report (CAR).

Block 10. QAP enters a detailed performance assessment if the deficiency box in Block 7 was not checked.

Parts II and III will be used only if a deficiency was documented in Part I.

Part II. Contractor Validation

Block 11. Contractor Representative checks one box in response to QAP cited deficiency. If Concurrence is indicated, Contractor Representative continues to Block 12. If Non-Concurrence is indicated, continue to Block 13 and state reason(s) for Non-Concurrence with QAP cited deficiency and return PAR to QAP.

Block 12. Contractor Representative enters Estimated Completion Date of Corrective Action and continues to Block 13.

Block 13. Contractor Representative details Corrective Action and the Action Taken to Prevent Recurrence or Reason for Non-Concurrence of QAP cited deficiency.

Part III. Deficiency Corrected

Block 14. QAP checks appropriate block, signs, and dates.

Block 15. (Required Entry) QAP remarks regarding the Corrective Action and the Action Taken to Prevent Recurrence. If Non-Concur was checked, this block should be very detailed to explain why. Block 16. Contractor Representative enters remarks if further discussion is needed about QAP concurrence with Contractor’s Corrective Action and Action Taken to Prevent Recurrence.

Continuation Sheet. The Continuation Sheet is to be used to expand on any information that will not fit in the applicable numbered block.

QASP ATTACHMENT 2

Customer Complaint Forms

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

QASP ATTACHMENT 3

Contract Discrepancy Report (CDR)

CORRECTIVE ACTION REPORT (CAR)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY |_| MAJOR |_| MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

|_| ACCEPTED |_| REJECTED

12. CLOSE DATE

QASP ATTACHMENT 4

CO Monthly Report COR Monthly Report to Contracting Officer

This document is in accordance with FAR 52.246-4 Inspection of Services–Fixed-Price, 52.246-5 Inspection of Services–Cost-Reimbursement, or 52.246-6 Inspection of Services–Time-and-Material and Labor-Hour.

1. Contract Number/Service: ______________________________________________________

2. Contract Period of Performance: ________________________________________________

3. Contractor: _________________________________________________________________

5. Complete each of the following and provide detailed explanation. Attach documents if an explanation is long or supporting documentation is required.

b) Was the Contractor’s performance timely? ( ) Yes ( ) No

c) Is there any significate issues that should be brought to the Contracting Officer’s attention? (if yes, please explain) ( ) Yes ( ) No

d) Action being taken by Contractor to correct discrepancies.

( ) Yes ( ) No Discrepancies this month

6. CUSTOMER COMPAINTS:

a) Number of customer Complaints: ______________

b) Number of VALID customer complaints: ___________

7. Additional COR comments:

8. I hereby certify that services have been received and accepted.

Contracting Officer’s Representative Signature /Date

QASP ATTACHMENT 5

TO COR Monthly Report TASK ORDER PM Monthly Report IDIQ Assigned COR

This document is in accordance with FAR 52.246-4 Inspection of Services–Fixed-Price, 52.246-5 Inspection of Services–Cost-Reimbursement, or 52.246-6 Inspection of Services–Time-and-Material and Labor-Hour.

1. Contract Number/Service: ______________________________________________________ Task Order Number/Service: ____________________________________________________

2. Contract Period of Performance: ________________________________________________

3. Contractor: _________________________________________________________________

5. Complete each of the following and provide detailed explanation. Attach documents if an explanation is long or supporting documentation is required.

b) Was the Contractor’s performance timely? ( ) Yes ( ) No

c) Is there any significate issues that should be brought to the Contracting Officer’s attention?

(if yes, please explain) ( ) Yes ( ) No

d) Action being taken by Contractor to correct discrepancies.

( ) Yes ( ) No Discrepancies this month

6. CUSTOMER COMPAINTS:

c) Number of customer Complaints: ______________

d) Number of VALID customer complaints: ___________

7. Additional PM/COR comments:

8. I hereby certify that services have been received and accepted.

Task Order PM/COR Signature /Date