Attachment_1-Quality_Assurance_Surveillance_Plan_(QASP).docx

Enclosure (3)

Quality Assurance Surveillance Plan (QASP) For Engineering Products and Technical Services in Support of Air Traffic Control and Landing Systems (ATC&LS)

1. Purpose This Quality Assurance Surveillance Plan (QASP) is a Government developed and applied document used to make sure the systematic quality assurance methods are used in the administration of the performance based service order. The intent is to ensure that the contractor performs in accordance with the performance metrics and the Government receives the quality of services called for in the order.

This contract requirement is for program management and engineering support services to support NAWCAD Patuxent River, ATC Systems Division, Code 4.11.7, St. Inigoes. MD. More specifically the contractor shall provide support in the areas of technology assessment, system engineering, system performance analysis, system test and evaluation, system level procurement package development, training, local area network support and operational site maintenance tasks for the Navy, Marine Corps, and other DOD activities ATC&LS systems. This performance based task order will consist of a Cost-Plus-Fixed-Fee (CPFF) CLIN for labor and Cost CLIN’s for Other Direct Costs (ODC). The anticipated period of performance includes a 12 month base period with four (4) one year option periods commencing upon task order award. A properly executed QASP will 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 inspection and acceptance of the services and documentation called for in service contracts, 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 in the task order.

The QASP on the other hand, is put in place to provide Government surveillance oversight of the contractor’s efforts to assure that they are timely, effective and are delivering the results specified in the task order.

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 determination and findings on behalf of the Government. The PCO and ACO will be designated in the resulting task order. Contracting Officers are designated via a written warrant, which sets forth limitations of authority.

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

Alternate Contracting Officer’s Representative (ACOR) - An individual appointed in writing by the PCO to act as their authorized representative, in the absence of the COR, to assist in administering the task order. The ACOR will be appointed in the resulting task order. The limitations of authority are contained in a written letter of appointment.

Government Project Leads - The COR designates an individual Government Project Lead to assist in administering of specific efforts under the 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 that 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 Representative (COR) – The COR is responsible for technical administration of the task order and assures proper Government surveillance of the contractor’s performance. The COR 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.

Alternate Contracting Officer’s Representative (ACOR) – The ACOR is responsible for technical administration of the task order and assures proper Government surveillance of the contractor’s performance. The ACOR 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.

Government Project Leads – The Government Project Lead is responsible for assisting in administering of specific efforts under the task order. A Government Project lead cannot, in any manner, alter the scope of the contract, make commitments or authorize any changes on the Government’s behalf.

6. Methods of Surveillance

a. Contractor Performance Assessment Report System (CPARS): The Government will perform an evaluation that addresses quality, schedule, cost control, management, regulatory compliance, utilization of small business, and other important areas using the CPARS format annually covering the previous 12 months. The marketplace for integration, design and technical support services is very competitive; as such, the successful offeror has a vested interest in the Government generated CPARS under this contract. As this information may affect future source selections throughout DoD, and future orders, the annual Government assessment will be used appropriately as an additional performance oversight and communication tool.

b. QASP - The below listed methods of surveillance shall be used by the COR in the technical administration of this QASP. In addition to the below instructions, the Surveillance Activity Checklist, Enclosure 3, shall be used for the documentation of quality assurance surveillance.

7. Surveillance

Enclosures (1) and (2), set forth the performance based quality standards, data performance standards, incentives, and surveillance methods for the contractor and COR. Enclosure (3) provides a checklist and means for the COR to document, on a quarterly basis, the results of the surveillance process. The COR shall provide the surveillance document to the Contracting Officer on a quarterly basis.

8. Documentation

In addition to providing quarterly reports to the Contracting Officer, the COR will maintain a complete Quality Assurance file. The file will contain copies of all reports, evaluations, recommendations, and any actions related to the Government’s performance of the quality assurance function, including the originals of the Quality Assurance Checklists. All such records will 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 Enclosure (3) – Surveillance Activity Checklist Source Selection Information See FAR 3.104 and 2.101

PERFORMANCE BASED QUALITY STANDARDS

Required Service (Performance Requirements) Standard (Performance Standards) / Maximum Allowable Degree of Deviation Requirement (AQL)

Method of Surveillance (Quality Assurance)

Incentives

Required Service (Performance Requirements) Standard (Performance Standards) / Maximum Allowable Degree of Deviation Requirement (AQL)

Method of Surveillance (Quality Assurance)

Incentives

DATA PERFORMANCE STANDARDS

Method/Measure Incentives

Scientific and Technical Reports Technology Assessment Report A001

Basic Facilities Requirements (BFR) Documentation DD Form 1391 A002

Record of Meeting/Minutes Report A003

Training Documentation A004

Engineering Report Contractor’s Configuration Management Plan A005

Technical Report Systems Engineering Analysis Report A006

Contract Field Service Report Recommendations Report A007

Integrated Logistic Support Plan A008

Scientific And Technical Reports System Performance Analysis A009

System Implementation Plan A010

Test Plans/Test Procedures A011

Quality Assessment Report A012

Enclosure 2

Acquisition Tracking Report A013

Enclosure 2

Contract Field Service Report LAN Technical Report A014

Enclosure 2

Technical Assistance Activity Accomplishment Report FASFAC JAX Operational Site Maintenance Status Report A015

Enclosure 2

Contractor Progress Status and Management Report A016

Enclosure 2

Funds and Time Expenditure Report A017

Enclosure 2

Funds and Man Hour Expenditure Report Voucher Reconciliation Report A018

Enclosure 2

Material Tracking Report A019

Enclosure 2

Contract Field Service Report Trip Report A020

Enclosure 2

Operations Security (OPSEC) Plan A021

Enclosure 2

Segregation of Costs and Invoice Requirements A023

Enclosure 2

Non-Disclosure Agreement A024

Enclosure 2

Enclosure (1)

INCENTIVES

The following incentives shall apply to performance under this order.

(-) Does not meet the acceptable performance definition.

The following incentives shall apply to performance of the task orders under this order.

See below

(-) Does not meet the acceptable performance definition as a condition for exercise of option 1.*

See below.

(-) Does not meet the acceptable performance definition as a condition for exercise of option. 2.*

See below.

(-) Does not meet the acceptable performance definition as a condition for exercise of option. 3.*

See below.

(-) Does not meet the acceptable performance definition as a condition for exercise of option. 4.*

See below.

(-) Does not meet the acceptable performance definition which will result in a marginal or unsatisfactory final CPARS rating.*

* The government reserves the right to not exercise options unless all regulatory requirements are met and the contractor meets the acceptable performance definition.

All PBSOW/CDRL efforts will be assessed focusing on the following:

Quality– Assess the contractor’s conformance to contract/order requirements, specifications and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, or safety and health standards). Include, as applicable, information on the following:

Are reports/data accurate?

Does the product or service provided meet the specifications of the contract/order?

Does the contractor’s work measure up to commonly accepted technical or professional standards?

What degree of Government technical direction was required to solve problems that arise during performance?

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 affect the schedule variance).

This evaluation of the contractor’s adherence to the required delivery schedule should include the contractor’s efforts during the evaluation 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.

This element applies to contract/order closeout activities as well as contract/order performance. Instances of adverse actions such as the evaluation 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/order schedule and should, therefore, be noted in the evaluation.

Questions to consider include the following:

Is the contractor completing the design/engineering services activities in a timely manner? This includes administrative activities, as well as meeting all scheduled milestones in the design process.

Did the contractor adequately schedule the work?

Has the contractor met administrative milestone dates?

Has the contractor met physical milestone dates specified by contract or agreed to in the project schedule?

If the schedule has slipped through the contractor’s fault or negligence, has he taken appropriate corrective action of his own volition?

Has the contractor furnished all required deliverables on or ahead of schedule?

Is the contractor completing the construction activities in a timely manner? This includes administrative activities, as well as physical construction activities such as submittal of a management response to Request for Proposal (RFPs), etc.

Has the contract furnished updated project schedules on a timely basis?

Cost Control – Assess the contractor’s effectiveness in forecasting, managing, and controlling contract/order cost. If the contractor is experiencing cost growth or underrun, discuss the causes and contractor-proposed solutions for the cost overruns or underruns. For contracts/orders where task or contract sizing is based upon contractor-provided person hour estimates, the relationship of these estimates to ultimate task 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. Include, as applicable, the following information:

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?

Has the contractor provided a design that can be constructed with the available funds?

Has the contractor notified the Government and taken necessary corrective actions when the cost estimate exceeds available funds?

Evaluation information regarding performance under an Undefinitized Contract Action (UCA), including letter contracts and actions where price has not yet been negotiated, shall be included in the annual evaluation. If the final negotiated contract/order type is not a cost-type, cost information for the period the UCA was in effect shall be included under the Cost Control element. If the final negotiated contract/order type is a cost-type, cost information for the entire period of performance shall be included under the Cost Control rating element. The narrative shall fully explain the contractor’s performance during the UCA, including definitization of the contract/order. The contractor’s performance under the UCA shall be separately identified but considered in the overall annual ratings.

Management – 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, 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. 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 Furnished Property (GFP) if a substantial amount of GFP has been provided to the contractor under the contract/order.

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.Are the contractor’s management, on-site, and home office personnel exhibiting the capacity to adequately plan, schedule, resource, organize and otherwise manage the work? If not, describe and relate to other rated elements.

Utilization of Small Business – Assess the contractor’s success in utilizing and meeting small business goals/concerns.

Regulatory Compliance – Assess compliance with all terms and conditions in the contract/order relating to applicable regulations and codes. Consider aspects of performance such as compliance with financial, environmental (example: Clean Air Act, Clean Water Act), safety, and labor regulations as well as any other reporting requirements in the contract. Consider questions such as the following:

Has the contractor complied with all contract clauses and reporting requirements (e.g., FAPIIS, FAR Subsection 9.104-6, FAR Clause 52.209-9)?

Has the contractor complied with Cost Accounting Standards and disclosure statements (FAR Subpart 30.2, FAR Clauses 52.230-2, 52.230-3, 52.230-4, 52.230-5, 52.230-6)?

Has the contractor complied with the reporting requirements relating to recovered material content utilized in contract performance (see FAR Subpart 23.4)?

Has the contractor complied with contractual safety requirements and labor laws (see FAR Subsection 22.407, FAR Clauses 52.222-4, 52.222-34, 52.222-20)?

Perform engineering surveillance to assess compliance with contractual terms for schedule, cost, and technical performance in the areas of design, development, and production (FAR Subpart 42.302).

Has the contractor complied with Hazardous Material Identification and Material Safety Data (see FAR Subpart 23.3, FAR Clauses 52.223-3)?

Has the contractor complied with specifications or other contractual requirements requiring the delivery or use of environmentally preferable products, energy-efficient products, products containing recovered materials, and biobased products (FAR Subparts 23.2, 23.4, 23.7)? Monitor the contractor's environmental practices for adverse impact on contract performance or contract cost, and for compliance with environmental requirements specified in the contract.

Has the contractor implemented an effective safety program; one which minimizes/mitigates potential accidents (FAR Subsection 36.513, FAR Clause 52.236-13)?

Is the contractor complying with affirmative action and EEO compliance requirements (see FAR Subpart 22.8, FAR Clauses 52.222-26, 52.222-27)?

Has the contractor complied with combating trafficking in persons (see FAR Subpart 22.17, FAR Clause 52.222-50)?

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

The evaluation ratings are as follows:

Performance Based Evaluation: The Government will evaluate contractor performance based on their ability to complete work specified in the scope and PBSOW paragraphs 3.1 through 3.6. The contractor shall be evaluated using the following ratings:

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

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

Satisfactory Performance: Contractor’s 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: Performance does not meet contractual requirements. The contractual performance of the task and sub-task being assessed reflect 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.

Enclosure (2)

Unsatisfactory Performance: Contractor’s performance of most contract requirements is inconsistent and frequently does not meet acceptable standards. Quality, responsiveness, and timeliness in many areas require attention and action. Corrective actions have not been taken or are ineffective.

SURVEILLANCE ACTIVITY CHECKLIST

Quarterly Surveillance:

The COR will perform quarterly assessments of Quality, Schedule, Cost Control, Business Relations, Management, Utilization of Small Business, and Other Areas as applicable utilizing the CPARS evaluation rating definitions listed in enclosure 2.

Measure

Provide technical support in the following areas: Technology Assessment, System Engineering, System Performance Analyses, System Test and Evaluation Support, Level Procurement Package Development, Training, Local Network Support, and Operational Site Maintenance IAW PBSOW Para 3.1

Provide support for the test and evaluation of ATC&LS, subsystems or equipment in accordance with the government approved test plans and procedures IAW PBSOW Para 3.5

Provide technical support to translate technical requirements and program constraints on ATC&LS related systems into inputs for acquisition documentation IAW PBSOW Para 3.6

Provide IA support services for the ATC&LS designated systems including program initiation demonstration and validation, full scale engineering development, production, deployment, and maintenance IAW PBSOW Para 3.7

Scientific and Technical Reports Technology Assessment Report A001

Basic Facilities Requirements (BFR) Documentation DD Form 1391 A002

Record of Meeting/Minutes Report A003

Training Documentation A004

Engineering Report Contractor’s Configuration Management Plan A005

Technical Report Systems Engineering Analysis Report A006 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Contract Field Service Report Recommendations Report A007 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Integrated Logistic Support Plan A008 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Scientific And Technical Reports System Performance Analysis A009 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

System Implementation Plan A010 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Test Plans/Test Procedures A011 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Quality Assessment Report A012

100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Acquisition Tracking Report A013 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Contract Field Service Report LAN Technical Report

A014 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Technical Assistance Activity Accomplishment Report

FASFAC JAX Operational Site Maintenance Status Report

A015 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Contractor Progress Status and Management Report

A016 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Funds and Time Expenditure Report

A017 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Funds and Man Hour Expenditure Report

Voucher Reconciliation Report

A018 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Material Tracking Report

A019 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Contract Field Service Report Trip Report A020 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Operations Security (OPSEC) Plan A021 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Segregation of Costs and Invoice Reporting A023 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Non-Disclosure Agreement A024 100% Inspection by COR, ACOR, and/or Government Project Leads Quarterly Input

Quarterly Summary of Ratings:

Annual Surveillance:

The COR will perform an annual assessment of overall contract performance utilizing the evaluation rating definitions listed in enclosure 3. This annual assessment will occur at the midpoint of each year following the award of the contract and cover the previous 12 months, except for the first year of the contract which will cover only the previous 6 months.

Measure