A07-Attachment_11_Quality_Assurance_Surveillance_Plan_Base_IDIQ.docx

QASP

1.0 Quality Assurance Surveillance Plan (QASP)

1.1 Purpose: This Quality Assurance Surveillance Plan (QASP) defines the performance standards and performance measures of deliverables indicated in the Contract. The QASP also describes the procedures that WRAIR will use to monitor the contractor’s contract performance. It is important to note WRAIR’s primary concern is with the products and services provided by the contractor. Therefore, the QASP focuses on examining the products and services provided by the contractor. It is intended that the QASP be a tool to guide the Contracting Officer (KO) and the Contracting Officer’s Representative (COR) in assessing contractor performance.

1.2 QASP Relation to the Quality Control Plan (QCP): The QCP is a required element of the contractor’s technical proposal in response to the solicitation. While the QCP represents the way in which the contractor will ensure its quality and timeliness of services, as defined in the PWS, the QASP represents the way in which WRAIR will evaluate the contractor’s performance. The contractor’s QCP and the QASP should be complementary programs that ensure successful contract performance.

1.3 Revisions to the QASP: The QASP is a tool for use in Government administration of the PWS and remains subject to revision at any time by the Government throughout the contract performance period. Revisions to this surveillance plan are the responsibility of the COR. Changes may be made unilaterally and need not be announced to the contractor; the Government will provide informational copies to the contractor. The contractor will assume responsibility for all tasks and deliverables in the PWS under this award. All operational procedures and quality control measures will be tested and implemented. As the performance period progresses, the levels of surveillance may be altered for service areas in cases where performance is either consistently excellent or consistently unsatisfactory. If observations reveal consistently good performance, then the amount of surveillance may be reduced. If observations reveal consistent deficiencies, increased surveillance may be implemented.

1.4 Performance Standard: A performance standard is a level of performance the contractor must meet for each performance measure for each deliverable defined in the Contract. WRAIR is contracting to have all work performed as specified. Any inaccuracies or omissions in services or products are referred to as “defects” on the part of the contractor. The contractor shall be held responsible for all identified defects, and WRAIR may require the work to be re-performed. Performance standards take into account that in some instances an allowable level of deficiencies (deviations) is possible while overall performance continues to meet WRAIR desired level of service. Often deficiencies result from misunderstandings or inadequate communication between contractor, COR and customers. In general, these detected deviations can be quickly corrected and resolved by contractor through communication with COR and customer.

1.4.1 Allowable Deviation: The allowable deviation is the level or number of performance deficiencies the contractor is permitted to reach under this contract. Allowable deviations take into account the difference between an occasional defect and a gross number of defects. Allowable deviations can be expressed as a percentage of or as an absolute number (e.g., three per month).

1.4.2Non-performance: Non-performance occurs when the contractor’s performance does not meet the prescribed performance standard for a given requirement. Requirements may contain multiple performance elements, and therefore, deficiencies may occur in one or more aspects of performance (e.g., timeliness, accuracy, completeness, comprehensiveness, etc.) or subject areas of effort. When inspection and review indicates that the contractor's service output is not in compliance with the Contract requirements, the COR must determine whether the contractor or the Government caused the deficiency. If the cause of the defect rests with the Government, corrective action must be taken through Government channels. If the cause of the defect is due to action or inaction by the contractor, the contractor is responsible for correction of the problem at no additional expense to the Government.

1.5 Documentation: Thorough documentation of unperformed or poorly performed work is essential for tracking contractor performance throughout the period of performance. The COR will document deficient work by compiling facts describing the inspection methods and results. The COR will develop documentation to substantiate nonconformance with the Contract. The COR will make the KO aware of underperformance or poor performance.

1.6 Remedial Actions: Service contracts allow for penalties in the event that the contractor fails to perform the required services. Penalties are defined as those actions taken under the direction of the KO against the contractor within the general provisions of the Contract for nonconformance. In accordance with FAR 52.246-4: Inspection of Services-Fixed-Price, the Government may require the contractor to re-perform any services that do not conform to contract requirements. If the defects cannot be corrected by re-performance, the KO may either require the contractor to take the necessary action to ensure that future performance conforms to the requirements, or the KO may reduce the Contract price to reflect the reduced value of the services performed. At an extreme decision point, penalties may include a decision not to exercise contract options. The KO will determine the penalty for nonconformance based upon his or her judgment and the severity of the nonconformance.

1.7 Roles and Responsibilities: The purpose of Quality Assurance (QA) is to ensure that the customers are satisfied with the products and services received from the contractor and to ensure that the contractor is meeting its obligation to WRAIR. The roles and responsibilities of the stakeholders involved in QA are described below:

1.7.1 Contractor Responsibility: The contractor is responsible for delivering products or services in accordance with the Contract. The contractor is responsible for implementing a QCP, which is included as part of its technical proposal. The QCP describes the contractor’s methods for ensuring all products and services provided under this Contract meet established deliverables and performance standards. The contractor is responsible for producing, maintaining, and providing for audit, quality control records and reports and all records associated with the investigation. The contractor shall appoint a single quality control point-of-contact to act as a central recipient of communication from the Government.

1.7.2 Government Responsibility: The COR is responsible for oversight of QA for this requirement.

1.7.3 Contracting Officer: The KO has the authority to administer the WRAIR Contract. The KO may delegate many of the day-to-day contract administration duties to the COR. However, certain contractual actions such as negotiation and issuance of contract modifications, resolution of contractor claims and disputes, issuance of cure notices, issuance of show-cause letters, termination of the Contract, and Contract close-out functions are retained by the KO. Administrative actions such as invoice approval and issuance of contractor Deficiency Reports (CDR) may be, and normally shall be, delegated by the KO to the COR. All communication regarding questions or issues related to QA and inspection will be directed to the KO or the COR. The KO shall approve any revision to the QASP processes or standards.

1.7.4 Designated Government Representative: The COR shall be appointed upon award of this contract and shall serve as the first line manager of this contract. The COR represents the KO and is therefore the contractor's initial point-of-contact with the Government. If modifications to the Contract, or at the task/subtask level, are necessary, the COR will assist the cognizant KO in preparing and negotiating the modifications. If there are problems with contractor performance, the COR will inform the contractor of the problems and recommend to the KO that adverse contractual actions are appropriate (e.g., CDR, issuance of a cure notice or task/subtask closure) if the contractor fails to correct the problem. Also, the COR must refer differences of contract interpretation to the KO.

1.7.4.1 The COR will perform the actual contract surveillance and report to KO. Some of the key QA contract administration duties of COR include, but are not limited to, the following:

1.7.4.1.1 Complete surveillance as required by this QASP and the specific task/subtask, and make recommendations to the KO.

1.7.4.1.2 Make recommendations to the KO for the acceptance or rejection of completed work and for administrative actions based on unsatisfactory work or non-performed work.

1.7.4.1.3 Identify necessary changes to the contract, prepare WRAIR cost and/or staffing requirements estimates, conduct QA/contractor meetings, approve submittals of effort and/or reports, and maintain work files.

1.7.4.1.4 Promptly furnish the KO with any requests for changes, deviations, or waivers to the contract, with justifications/rationale.

2.0 Quality Assurance Methods:

2.1 The methods used in the QA process are the Government’s tools to monitor the contractor’s products and services. The means of determining whether the contractor has met all contract requirements will be by three approaches: COR review and approval and customer review. Reviews either confirm the contractor’s successful achievement of all performance requirements or highlight areas where defects exist and improvements are necessary. In cases of poor performance, WRAIR may increase the level of review and focus on known problem areas. In either case, the reasons for the change in review will be documented. In all cases, the applicable requirements shall be included in each task/subtask at issuance.

2.2 COR review and approval: COR review and approval provides a systematic way of looking at service outputs and forming conclusions about the contractor's level of performance in accordance with a planned schedule of deliverables.

2.3.2.2 Satisfactory Performance: When the contractor’s performance is satisfactory, performance meets the specified standard and the number of defects does not exceed the allowable deviation. Although the contractor’s performance may be deemed satisfactory, the COR may determine that an increased level of surveillance be used for individual products or services that show defect rates approaching the minimum performance standards. The contractor will be notified by the COR when performance is marginal or not in compliance with stated standards, SOPs, Industry or accreditation organization compliance, or approaching an unacceptable level in any area.

2.3.2.3 Unsatisfactory Performance: When the performance standard for any service has not been met, the contractor’s performance is unsatisfactory, and is, therefore, unacceptable. The following responses are available to the COR regarding that task/subtask:

2.3.2.3.1 The KO and/or COR meet with the contractor to discuss discrepancies, trends, and intended corrective measures;

2.3.2.3.2 The level of surveillance is increased until the contractor demonstrates acceptable performance over a period of time.

2.3.2.3.3 The KO issues a Contract Deficiency Report for each service that does not meet WRAIR’s performance standard;

2.3.2.3.4 Should deficiencies be significant and affect multiple tasks/subtasks, KO action such as a ‘Cure’ notice may be appropriate.

3.0 Performance Requirements Table: The following performance requirements will be used to measure the performance of the Service Provider. WRAIR Designated Government Representatives (COR) will monitor contractor performance as stipulated in the Contract under the performance based task assignments. By monitoring the Contractor, the COR will determine whether the performance levels set forth in the order have been attained. The following table outlines contractor responsibilities for performance metrics, performance standards, and surveillance methods:

4.0 AT/OPSEC Performance Standard.

4.1. For contracts that require OPSEC Training. Per AR 530-1, Operations Security, the contractor employees must complete Level I OPSEC Awareness training. New employees must be trained within 30 calendar days of their reporting for duty and annually thereafter.

4.2. For contractors requiring CAC. Before CAC issuance, the contractor employee requires, at a minimum, a favorably adjudicated National Agency Check with Inquiries (NACI) or an equivalent or higher investigation in accordance with Army Directive 2014-05. The contractor employee will be issued a CAC only if duties involve one of the following: (1) both physical access to a DoD facility and access, via logon, to DoD networks on-site or remotely; (2) remote access, via logon, to a DoD network using DoD-approved remote access procedures; or (3) physical access to multiple DoD facilities or multiple non-DoD federally controlled facilities on behalf of the DoD on a recurring basis for a period of 6 months or more. At the discretion of the sponsoring activity, an initial CAC may be issued based on a favorable review of the FBI fingerprint check and a successfully scheduled NACI at the Office of Personnel Management.

4.3. Army Training Certification Tracking System (ATCTS) registration for contractor employees who require access to Government information systems. All contractor employees with access to a Government info system must be registered in the ATCTS at commencement of services and must successfully complete the DoD Information Assurance Awareness prior to access to the information system and annually thereafter.

4.4. For IA/IT training. All contractor employees and associated subcontractor employees must complete the DoD IA awareness training before issuance of network access and annually thereafter. All contractor employees working IA/IT functions must comply with DoD and Army training requirements in DoDD 8570.01, DoD 8570.01-M, and AR 25-2 within six months of appointment to IA/IT functions.