3. Attachment 3 QASP SLS FINAL 8_30_2011.docx

Quality Assurance Surveillance Plan Command Strategic Leadership Support Services

1. Purpose This Quality Assurance Surveillance Plan (QASP) is a Government-developed and applied document used to ensure systematic quality assurance methods are used in the administration of the performance-based service contract. This QASP has been developed pursuant to the requirements of the Performance-Based Statement of Work for solicitation number N00421-10-R-1051. The intent is to ensure the contractor performs in accordance with the performance metrics and the Government receives the quality of services called for in the contract.

The services to be obtained under this procurement include research and analysis; support on internal and external issues to NAVAIR leadership, its resource sponsors, and fleet partners; planning and implementation of various NAVAIR, Naval Aviation Enterprise (NAE), DOD, and DON mandated actions; planning, documentation and action identification required for implementing strategic initiatives; management staff support to NAVAIR executive leadership; and administrative and operational support staff to facilitate daily operations of the Washington Liaison Office (WLO), to include on-site administrative support, coordination and scheduling of meetings, workshops and conferences, scheduling, and allocation of workspaces and parking passes, equipment maintenance coordination, office security, technology support and transportation.

The period of performance for this requirement is anticipated to be 16 February 2012 through 15 February 2013, with the potential for two one-year option periods. The Government contemplates award of a Single Indefinite Delivery Indefinite Quantity (IDIQ) contract with Firm Fixed Price (FFP) task orders. A properly executed QASP shall assist the Government in achieving the objectives of this procurement.

2. Authority Authority for issuance of this QASP is provided under Contract Section E – Inspection and Acceptance, which provides for inspections and acceptance of the services and documentation called for in the task orders, to be executed by the Contracting Officer or a duly authorized representative.

3. Scope To fully understand the roles and responsibilities of the parties, it is important to first define the distinction in terminology between Quality Control Plan and the Quality Assurance Surveillance Plan. The contractor, and not the Government, is responsible for management and quality control actions necessary to meet the quality standards set forth by the award. The QASP, on the other hand, is put in place to provide Government surveillance oversight of the contractor’s efforts to assure they are timely and effective and delivering the results specified in the award.

4. Government Resources The following definitions for Government resources are applicable to this plan:

Contracting Officer - A person duly appointed with the authority to enter into (Procuring Contracting Officer (PCO)) or administer (Administrative Contracting Officer (ACO)) contracts and make related determinations and findings on behalf of the Government. The PCO for this contract is AIR 2.5.1.5. The ACO shall be designated in the resulting award. Contracting Officers are designated via a written warrant, which sets forth limitations of authority.

Contracting Officer Representative (COR) - An individual will be appointed in writing by the PCO to act as their authorized representative to assist in administering the contract. The COR will be appointed at the contract level. The limitations of authority are contained in a written letter of appointment.

Technical Point of Contact (TPOC) – The TPOC will designate an individual as the Technical point of contact to assist in administering and overseeing specific projects under this contract.

5. Responsibilities The following Government resources shall have responsibility for the implementation of this QASP:

Contracting Officer – The Contracting Officer ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract, and safeguards the interests of the United States in the contractual relationship. It is the Contracting Officer who assures the Contractor receives impartial, fair and equitable treatment under the contract. The Contracting Officer is ultimately responsible for the final determination of the adequacy of the Contractor’s performance Contracting Officer’s Representative (COR) – The COR is responsible for technical administration of the contract and assures proper Government surveillance of the contractor’s performance. The COR is not empowered to make any contractual commitments or authorize any changes on the Government’s behalf. Any changes the contractor deems may affect contract price, terms or conditions shall be referred to the Contracting Officer for action.

Technical Point of Contact (TPOC) – The TPOC assists the COR in performing technical administration of the contract and assuring proper Government surveillance of the contractor’s performance. The TPOC is not empowered to make any contractual commitments or to authorize any changes on the Government’s behalf. Any changes that the contractor deems may affect contract price, terms or conditions shall be referred to the Contracting Officer for action.

6. Methods of QA Surveillance

a. Contractor Performance Assessment Report System (CPARS) – The CPARS rating shall be one determinant in exercising an option. For this procurement, the Government shall address the quality of product or service, schedule, cost control, business relations, management, and other important areas. As this information may affect future source selections throughout DoD, as well as the continuation of the contract, the annual Government assessment shall be used appropriately as an additional performance oversight and communication tool with the QASP.

b. QASP – Multiple methods of surveillance will be used by the COR in the technical administration of this QASP. Monitoring methods used by the Government may include Government observation, review of reports, auditing, customer feedback and review of CDRLS. The COR will also meet regularly with the contractor’s Program Manager to discuss progress on required tasks, plans for upcoming tasks, and any problems. The COR will routinely assess the timeliness, completeness, and quality of problem identification, corrective action plans, proposal submittals, effective business relations, customer satisfaction, management of subcontracts, and risk mitigation plans. The COR will also routinely assess the extent to which the contractor demonstrates a sense of cost responsibility, as reflected by the efficient use of resources in each work effort.

7. Surveillance Enclosures (1) and (2) set forth the performance standards, incentives for option(s) exercise, and surveillance methods for the contractor and COR, while enclosure (3) provides the checklist and means for the COR to document the results of the surveillance. Enclosure (3) will be provided to the Contracting Officer on a quarterly basis.

8. Documentation In addition to providing a quarterly report to the Contracting Officer, the COR shall maintain a complete Quality Assurance file. The file shall contain copies of all reports, evaluations, recommendations, and any actions related to the Government’s performance of the quality assurance function, including copies of the Surveillance Activity Checklists. All such records shall be maintained for the life of the contract. The COR shall forward these records to the Contracting Officer at termination or completion of the contract.

9. Enclosures Enclosure (1) – Performance Standards Enclosure (2) - Incentives, Rating and Definitions Enclosure (3) – Monthly Surveillance Activity Checklist

ENCLOSURE (1): PERFORMANCE STANDARDS

Negative - Negative Past Performance marks will be reflected in CPARS and may lead to the option not being exercised.

1. Keeps documents current.

1. Employee training completed.

Negative - Negative Past Performance marks will be reflected in CPARS and may lead to the option not being exercised.

1. Appropriate employees fully knowledgeable in the technical use of new capability.

1. Participation of TPOC/COR in development and introduction of new capability

Positive - Positive Past Performance marks will be reflected in CPARS and lead to exercise of option.

Negative - Negative Past Performance marks will be reflected in CPARS and may lead to the option not being exercised.

1. TPOC/COR oversight Positive - Positive Past Performance marks will be reflected in CPARS and lead to exercise of option.

Negative - Negative Past Performance marks will be reflected in CPARS and may lead to the option not being exercised.

1. Employee feedback.

1. Peer reviews

1. Customer feedback

1. TPOC/COR oversight and feedback Positive - Positive Past Performance marks will be reflected in CPARS and lead to exercise of option.

Negative - Negative Past Performance marks will be reflected in CPARS and may lead to the option not being exercised.

1. Customer feedback Positive - Positive Past Performance marks will be reflected in CPARS and lead to exercise of option.

Negative - Negative Past Performance marks will be reflected in CPARS and may lead to the option not being exercised.

ENCLOSURE (2): INCENTIVES, RATINGS AND DEFINITIONS `

Incentives

Base:

(-) Does not meet the acceptable performance definition as a condition for exercise of Option I.*

Option 1:

(-) Does not meet the acceptable performance definition as a condition for exercise of Option II.*

Option 2:

(-) Negative performance marks which will be reflected in CPARS.

The QASP will be incorporated at the basic contract level, but will be applicable to each task order. Task orders will only be measured on applicable Performance Objectives from this QASP. Additional Performance Objectives may be incorporated at the task order level to supplement the QASP. For task orders, the following will apply:

· Orders without options:

· The Acceptable Performance for all measurement areas must be “Satisfactory” or above.

· The Incentive will be: (+) Positive performance marks which will be reflected in CPARS or (-) Negative performance marks which will be reflected in CPARS.

· Orders with options:

· The Acceptable Performance of all measurement areas must be “Satisfactory” or above for the Base and Option I, as applicable. Under Option II, if applicable, all areas must be at least “Satisfactory” and half or more measurements rated either “Very Good” or “Exceptional”.

· For orders with options, all incentives excluding the final year will be: (+) Meet the acceptable performance definition as a condition for exercise of Option or (-) Does not meet the acceptable performance definition as a condition for exercise of Option*. The incentive for the final year of the task order will be: (+) Positive performance marks which will be reflected in CPARS or (-) Negative performance marks which will be reflected in CPARS.

* The Government will not exercise options under the basic contract or under task orders unless all regulatory requirements are met and the contractor meets the acceptable performance definition as noted above.

All PBWS /CDRL tasks, including PBWS/CDRL sub-tasks, utilizing the following CPARS evaluation ratings, as applicable:

Quality of Product or Service – Assess the contractor’s effort to provide support services that conformed to the Performance Based Work Statement (PBWS). Assess how successfully the contractor meets program quality.

Schedule – Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, delivery schedules, administrative requirements, etc. Assess the contractor’s adherence to the required delivery schedule by assessing the contractor’s efforts during the assessment period that contribute to or affect the schedule variance. Also, address significance of scheduled events (e.g., design reviews), discuss causes, and assess the effectiveness of contractor corrective actions.

Cost Control – (Not Applicable for Firm-Fixed Price or Firm-Fixed Price with Economic Price Adjustment). Assess the contractor’s effectiveness in forecasting, managing, and controlling contract cost. Is the contractor experiencing cost growth or under-run? If so, discuss the causes and contractor-proposed solutions for the cost overruns. For contracts where task or contract sizing is based upon contractor provided person-hour estimates, the relationship of these estimates to ultimate cost should be assessed. In addition, the extent to which the contractor demonstrates a sense of cost responsibility, through the efficient use of resources in each work effort should be assessed.

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–This element is comprised of an overall rating and three sub-elements.

Management Responsiveness. Assess the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor's history of reasonable and cooperative behavior, effective business relations, and customer satisfaction. Consider the contractor’s responsiveness to the program as it relates to meeting contract requirements during the period covered by the report.

Subcontract Management. Assess the contractor’s success with timely award and management of subcontracts.

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

• 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.

Program Management and Other Management. Assess 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 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, or that cannot be captured elsewhere under the Management element.

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.

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

The CPARS evaluation ratings are as follows:

Exceptional – Performance meets contractual requirements and exceeds many to the Government's benefit. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

Very Good – Performance meets contractual requirements and exceeds some to the Government's benefit. The contractual performance of the element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the contractor were effective.

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

Marginal - Performance does not meet some contractual requirements. The contractual performance of the task and sub-task being assessed 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.

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

The CPARS evaluation ratings are as follows for the Utilization of Small Businesses evaluation area:

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.

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.

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.

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.

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.

ENCLOSURE (3): MONTHLY SURVEILLANCE ACTIVITY CHECKLIST

The COR, in coordination with the TPOC, will perform a monthly assessment of all areas within the PBWS as applicable utilizing the CPARS evaluation rating definitions listed in Enclosure (2).

Other Areas

TBD

TPOC oversight

TBD

Customer feedback TPOC oversight and feedback

TBD

Customer feedback

TBD