06_Solicitation - Attachment 1 - QASP.pdf

SOLICITATION – ATTACHMENT 1

Quality Assurance

Surveillance Plan (QASP)

OGC COMMUNICATIONS CENTER SUPPORT

Purpose

This Quality Assurance Surveillance Plan is a government-developed document used to determine if the contractor’s performance meets the performance standards contained in the contract. The QASP establishes procedures on how this assessment/inspection process will be conducted. It provides the detailed process for a continuous oversight process:

• What will be monitored

• How monitoring will take place

• Who will conduct the monitoring

• How monitoring efforts and results will be documented

The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan. The QASP provides the structure for the government’s surveillance of the contractor’s performance and their Quality Assurance/Quality Control (QA/QC) actions to assure they meet contract standards. It is the government’s responsibility to be objective, fair and consistent in evaluating contractor performance.

The QASP is not part of the contract nor is it intended to duplicate the contractor’s quality control plan. This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

The government may provide a copy of the QASP to the contractor to facilitate open communication. In addition, the QASP should recognize that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor.

Bottom line, the QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

1. 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.

2. Roles and Responsibilities

The following personnel shall oversee and coordinate surveillance activities.

Government Representatives

Program/Project Manager (PM) or Functional Services Manager (FSM) – The PM/FSM 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/FSM may serve as a direct conduit to provide Government guidance and feedback to the Contractor on technical matters, they are not authorized 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.

Contracting Officer’s Representative (COR) The COR is responsible for providing continuous technical oversight of the contractor’s performance. The COR uses the QASP to conduct the oversight/surveillance process. The COR shall keep a Quality Assurance file that accurately documents the contractor’s actual performance. The purpose is to ensure that the contractor meets the performance standards contained in the contract. The COR is responsible for reporting early identification of performance problems to the CO.

The COR is required to provide an annual performance assessment to the CO which will be used in documenting past performance. The QASP is the primary tool for surveillance of the contractor’s quality program and help the COR to document contractor performance.

The COR is not authorized to make any contractual commitments or to authorize any contractual change on the Government’s behalf.

Contractor Representative

The following employees of the contractor serve as the contractor’s Contract Manager for this contract. (Complete this section after the contract award)

Contract Manager - <upon award, enter name> Telephone: < upon award, enter number> Email: < upon award, enter address>

3. Performance Requirements and Method of Surveillance

3.1. 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.

3.2. Surveillance Matrix

The Surveillance Matrix (see sample at Appendix 1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance and frequency 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.

3.3. Performance Rating Definitions

The performance ratings below reflect definitions at FAR 42.1503 Table 42-1.

The COR will use these ratings to evaluate the quality of contractor’s performance.

Performance Rating

Definition

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.

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 were effective.

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.

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.

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.

4. Performance Reporting

4.1. Corrective Action Report (CAR)

Describes how discrepancies are reported and resolved (see sample CAR below).

4.2. Customer Complaint Form

(See sample customer complaint form below)

4.3. Performance Assessment Report (PAR) (See sample customer PAR below).

4.4. Methods of Quality Surveillance include but are not limited to:

* 100% Inspection by COR - This is an inspection method whereby all outputs are monitored. This method provides the best indication of contractor performance and the most documented basis for determining contract payment actions.

* Random Sampling - Random Sampling is a means of evaluation by observing or inspecting some part (a sample), but not all, of a population or lot of the contract requirements to assist the government with determining whether standards set forth in the contract have been met.

* Periodic Sampling - This method, sometimes called "planned inspection," consists of the evaluation of tasks selected on other than a 100 percent or random basis. A predetermined plan for inspecting part of the work is established using subjective judgment and analysis of agency resources to decide what work to inspect and how frequently to inspect it.

* Customer Feedback – The COR may design a customer survey questionnaire to be used to monitor contractor performance. Customers should be made aware of minimal contractor performance requirements to be sure that customer responses to surveys are valid indicators of actual contractor performance. The COR must investigate each customer complaint and validate the accuracy before any action is taken.

Appendix 1 - Surveillance Matrix

PERFORMANCE REQUIREMENT SUMMARY (PRS) TABLE

PWS

Task & Section

Deliverable and/or Time

Sensitive Requirement

Performance Standard

Acceptable Quality Level

(AQL)

Quality Surveillance

Method

Incentive

TASK 1: Managing and Controlling Legal Documents

2.4.1.c.i

Draft a comprehensive Statement of Procedures (SOP) for its processing of documents in accordance with the requirements and provide to the COR (Deliverable)

Deliver within 15 days of award.

85% compliance with initial submission, 100% Compliance prior to the given deadline or at COR discretion.

Submission approved with no more than two (2) revisions after first submission.

100% Inspection by COR and/or

Program Office

Technical Point of Contact

(TPOC)

Positive - Negative

Past Performance

Report

2.4.1.c.i

Provide a high-level processing guide that summarizes procedures within the SOP (Deliverable)

Deliver within 15 days of award.

85% compliance with initial submission, 100% Compliance prior to the given deadline or at COR discretion.

Submission approved with no more than two (2) revisions after first submission.

100% Inspection by COR and/or

Program Office

Technical Point of Contact

(TPOC)

Positive - Negative

Past

Report

2.4.1.c.ii

Cross Train Staff on SOP - The Contractor shall cross-train its personnel so that each Contactor employee is familiar with the procedures and can perform all required functions

Deliver within 15 days of SOP acceptance.

85% compliance with initial submission, 100% Compliance prior to the given deadline or at COR discretion.

Submission approved with no more than two (2) revisions after first submission.

Random Sampling -

Random Sampling is a means of evaluation by observing or inspecting some part (a sample), but not all, of a population or lot of the contract requirements to assist the government with determining whether standards set forth in the contract have been met which shall be performed by the COR designated inspector.

Positive - Negative

Past Performance

Report

TASK 2 - Services Related to Mail in Electronic, Hard Copy and Facsimile Format

2.4.2.a.vi.

Provide Hard Copy Document Processing Support Services

The Contractor shall complete uploading and indexing of hard copy documents within six (6) hours of receipt.

80% compliance with the specified deadline;

100% compliance within an additional business day after the specified deadline.

Customer (Program Office)

Feedback – The COR may design a customer survey questionnaire to be used to monitor contractor performance.

Customers should be made aware of minimal contractor performance requirements

Positive - Negative

Past to be sure that customer responses to surveys are valid indicators of actual contractor performance.

The COR must investigate each customer complaint and validate the accuracy before any action is taken.

2.4.2.b.iv. Process Cover Sheets

For documents which are delivered to OGC staff, on the same day that hard copy documents are received, the Contractor shall deliver to all OGC staff who receive the electronic image of the document a hard copy of the printed cover sheet

80% compliance with the specified deadline;

100% compliance within an additional business day after the specified deadline.

Customer (Program Office)

Feedback – The COR may design a customer survey questionnaire to be used to monitor contractor performance.

Customers should be made aware of minimal contractor performance requirements to be sure that customer responses to surveys are valid indicators of actual contractor performance.

Positive - Negative

Past

The COR must investigate each customer complaint and validate the accuracy before any action is taken.

2.4.2.c.i. Other Responsibilities

All documents regardless of format shall be processed and delivered by electronic means to the appropriate staff on the day the documents are received.

80% compliance with the specified deadline;

100% compliance within an additional business day after the specified deadline.

Customer (Program Office)

Feedback – The COR may design a customer survey questionnaire to be used to monitor contractor performance.

Customers should be made aware of minimal contractor performance requirements to be sure that customer responses to surveys are valid indicators of actual contractor performance.

The COR must investigate each customer complaint and validate the accuracy before any

Positive - Negative

Past action is taken.

2.4.2.e

Provide Package Processing Support Services

ii. The Contractor shall notify the appropriate staff member(s) immediately by e-mail that a package has arrived.

80% compliance with the specified deadline;

100% compliance within an additional business day after the specified deadline.

Customer (Program Office)

Feedback – The COR may design a customer survey questionnaire to be used to monitor contractor performance.

Customers should be made aware of minimal contractor performance requirements to be sure that customer responses to surveys are valid indicators of actual contractor performance.

The COR must investigate each customer complaint and validate the accuracy before any action is taken.

Positive - Negative

Past

iii. The Contractor shall upload and index all documents in delivered packages within two

(2) hours of receipt.

80% compliance with the specified deadline;

100% compliance within an additional business day after the specified deadline.

Customer (Program Office)

Feedback – The COR may design a customer survey questionnaire to be used to monitor contractor performance.

Customers should be made aware of minimal contractor performance requirements to be sure that customer responses to surveys are valid indicators of actual contractor performance.

The COR must investigate each customer complaint and validate the accuracy before any action is taken.

Positive - Negative

Past

TASK 3 - Administrative Duties

2.4.3.a-c Administrat-ive Duties

Refer to all requirements stated under Section 2.4.3 a through c

90% compliance with all requirements

Customer (Program Office) Feedback – The COR may design a customer survey questionnair e to be used to monitor contractor performance.

Customers should be made aware of minimal contractor performance requirements to be sure that customer responses to surveys are valid indicators of actual contractor performance.

The COR must investigate each customer complaint and validate the accuracy before any action is taken.

Positive - Negative Past Performan ce Report

TASK 4: Project Management

2.4.4.a

Provide Monthly Reports (Deliverable)

Within five

(5) business days after the completion of each month

85% compliance with initial submission, 100% Compliance prior to the given deadline or at COR discretion.

Submission approved with no more than two (2) revisions after first submission.

100% Inspection by COR and/or

Program Office

Technical Point of Contact

(TPOC)

Positive - Negative

Past Performance

Report

TASK 5 - Continuing Operations (COOP) Responsibilities

2.4.5 Continuing Operations

(COOP)

Responsibilities

Refer to all requirements stated under Section 2.4.5

100% compliance, No deviations permitted without acceptable documented explanation

100% Inspection by COR and concurrence by affected program area(s), as needed.

Positive - Negative

Past

TASK 6 – General/Miscellaneous

2.4.6.1.c

Provide a Transition- In/Out Plan.

(Deliverable)

Provide at Contract Kickoff Meeting

85% compliance with initial submission, 100% Compliance prior to the given deadline or at COR discretion.

Submission approved with no more than two (2) revisions after first submission.

100% Inspection by COR and/or

Program Office

Technical Point of Contact

(TPOC)

Positive - Negative

Past Performance

Report

2.4.6.1.d

Provide a Quality Control Plan (Deliverable)

Provide at Contract Kickoff Meeting

85% compliance with initial submission, 100% Compliance prior to the given deadline or at COR discretion.

Submission approved with no more than two (2) revisions after first submission.

100% Inspection by COR and/or

Program Office

Technical Point of Contact

(TPOC)

Positive - Negative

Past

0BCORRECTIVE ACTION REPORT (CAR)

1. CONTRACTOR 2. CONTRACT NUMBER 3. TYPE OF SERVICES

4. FUNCTIONAL AREA/TAKS 5. DATE 6. RESERVED

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.

5B8. QUALITY ASSURANCE PERSONNEL (COR)

6BTYPED NAME 7BSIGNATURE AND DATE

8B9. ISSUING AUTHORITY

9BTYPED NAME AND GRADE 10BSIGNATURE AND DATE

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

RECURRENCE

11. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE

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

1BPERFORMANCE ASSESSMENT REPORT (PAR)

1. CONTRACT/TASK ORDER

NUMBER

2. CONTRACTOR 3. TYPE OF SERVICES

2B4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND

DATE

3B5. COR PHONE

4B6.

DATE

SUSPENSE

11BI. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM

REVIEWED

9. BRIEF DESCRIPTION OF

DEFICIENCY BOX WAS CHECKED)

DEFICIENCY (IF 10. DETAILED PERFORMANCE ASSESSMENT

12BII. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE CONCUR

NON-CONCUR

12. CORRECTIVE

COMPLETION DATE

ACTION ESTIMATED

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR

REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

13BIII. ACTION CORRECTED

14. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS