IAC QASP Rev - 01-28-2025.pdf

Inventor’s Assistance Center (IAC)

Quality Assurance Surveillance Plan

(QASP)

Table of Contents

1. INTRODUCTION

2. PURPOSE

3. SCOPE

4. CONTENT OF THE QASP

5. SUMMARY OF WORK TO BE PERFORMED

6. QASP ROLES AND RESPONSIBILITIES

6.1 USPTO Personnel

6.2 Contractor Personnel

7. QUALITY SURVEILLANCE PROCESS

7.1 Methods

8. STEPS IN THE SURVEILLANCE PROCESS

8.1 Scheduling Surveillance

8.2 Performing Surveillance

8.3 Resolving Performance Issues

8.4 Documenting Surveillance

9. SURVEILLANCE STANDARDS AND TOOLS

9.1 Quality Assurance Standards

9.2 Tools

10. OTHER QA COMMUNICATION AND REPORTING

11. RESOLVING QUALITY ASSURANCE ISSUES

11.1 Negative Incentives

11.2 Notification

11.3 Response

12. PERFORMANCE REQUIREMENTS SUMMARY

REVISION HISTORY

REVISION

NUMBER DATE REVISION DESCRIPTION

1. INTRODUCTION

The mission of the United States Patent and Trademark Office (USPTO) is to foster innovation, competitiveness, and job growth in the United States by conducting high quality and timely patent and trademark examination and review proceedings in order to produce reliable and predictable intellectual property rights; guide intellectual property policy, and improve intellectual property rights protection; and deliver intellectual property information and education worldwide. In support of this mission, under the administration of the Office of the Deputy Commissioner for Patents, Office of the Assistant Commissioner for Patents, Office of Patents Stakeholder Experience, Stakeholder Support Division the Inventor’s Assistance Center (IAC) provides information services to the public concerning general questions regarding patent examining policies and procedures. The IAC utilizes the USPTO’s Enterprise Contact Center (ECC) system. Any questions regarding a particular application and the prosecution of that particular application are directed to the Technology Center or Patent Examiner to which that particular application is assigned. The IAC is staffed by former Patent Examiners with signature authority of a Primary Patent Examiner, who are able to answer general questions concerning patent examining policy and procedures and the patent examining process.

The IAC shall provide comprehensive answers to questions relating to general patent examining policy and provide general information concerning patent examining rules, policies, and procedures. The IAC staff may provide assistance with filling out necessary forms, answering questions about rule interpretations, and help with general petition information and maintenance fee questions. Guidance on where to find forms, and other types of information relevant to filing a patent application, the prosecution of the application, along with how to use the USPTO website is also provided. Forms and additional information may be forwarded to stakeholders electronically when applicable.

This requirement is being fulfilled through a performance-based contract. The Contractor shall adhere to measurable performance standards to assess customer satisfaction with call center assistance, average wait times, and abandonment rates. The Contractor is also responsible for submitting a call log and monthly report. These deliverables will be assessed by the Contracting Officer’s Representative (COR) to confirm that they are submitted timely, and provide complete and accurate information as required by the Performance Work Statement (PWS).

Authority for issuance of this QASP is provided under Part 52.246-4 of the Federal Acquisition Regulation, Inspection of Services clauses, which provides for inspection, acceptance, and documentation of the service called for in the contract. This acceptance is to be executed by the Contracting Officer.

The USPTO will evaluate the deliverables of the IAC Services. The Contractor performance metrics are deliverable quality, timeliness, conformance to requirements, and cost. The Contractor’s Quality Staff and the USPTO will coordinate continuous monitoring of the IAC Services.

2. PURPOSE

This QASP sets forth standard surveillance for monitoring the performance-based contract and guidelines that the USPTO will use in evaluating the technical performance of the Contractor.

A copy of this QASP will be furnished to the Contractor so that the Contractor will be aware of the methods that the Government will employ in evaluating performance on this contract and address any concerns that the Contractor may have prior to initiating work. The Surveillance/Evaluation Methods identified in this QASP, in concert with the Contractor’s Quality Assurance Procedures (QAP), will assure the Government of satisfactory Contractor performance.

The QASP is intended to accomplish the following:

• Summarize the types of services to be performed and work products to be delivered that are covered under the contract and the desired outcomes associated with them.

• Define the specific Contractor and Government responsibilities for evaluating the performance of the Contractor in delivering the products and services covered by this contract.

• Describe the surveillance or evaluation methods to be used by the Government to confirm the Contractor’s performance.

• Provide initial surveillance draft formats of the reports to be used to evaluate and report on the Contractor’s performance.

• Describe the sequence and timing of the performance reporting process.

3. SCOPE

The QASP is a tool for use in Government administration of the contract and remains subject to revisions at any time by the USPTO throughout the contract performance. The USPTO retains the right to change the surveillance methods, metrics, and Quality Assurance (QA) procedures described in the QASP, or to increase or decrease the degree of surveillance efforts at any time necessary to assure contract compliance. The Contractor, and not the Government, is responsible for management and Quality Control (QC) actions to meet the terms of the contract.

4. CONTENT OF THE QASP

The content of the QASP is provided below:

• A summary of the work (Section 5)

• QASP roles and responsibilities (Section 6)

• QA surveillance methods (Section 7)

• The standards and tools applied to the Contractor’s QA activities (Section 9)

• Communication with USPTO QA stakeholders and reporting on contract QA activities

(Section 10)

• Resolving QA issues and concerns (Section 11)

• Training for employees on the QASP implementation

• Performance Requirements Summary (Section 12)

• RACI (responsible, accountable, consulted, informed) matrix (Section 13)

5. SUMMARY OF WORK TO BE PERFORMED

The objective of this contract is to provide guidance to the public, particularly to the inventor community, on general patent examining policies and procedures. The Contractor shall provide this information through the IAC Call Center. The Contractor shall equip the IAC with a staff that can respond to calls timely, knowledgeably, and with good customer service. The Contractor is also responsible for submitting call logs and monthly reports. If the optional task is exercised, the Contractor shall staff a booth representing the IAC at three USPTO events virtually or in-person at the USPTO campus in Alexandria, Virginia.

6. QASP ROLES AND RESPONSIBILITIES

6.1 USPTO Personnel

Contracting Officer (CO) The Contracting Officer (CO) has overall responsibility for the administration of the USPTO contract. The USPTO CO is part of the USPTO management team and is the only individual authorized to take actions on behalf of the Government to approve, or modify contract terms, conditions, requirements, specifications, details, and/or delivery schedules. Within that authority, the CO has the ability to delegate to the Contracting Officer’s Representative (COR) for the everyday administration of the contract. The CO, who is responsible for the overall administration and final closeout of the contract as it relates to the implementation of the QASP shall:

• Ensure compliance with contracting requirements.

• Negotiate and issue contract modifications.

• Resolve Contractor claims and disputes.

• Issue cure notices (notification that unless unacceptable performance is corrected, the

Government may terminate the contract for default, IAW FAR 49.607).

• Issue show-cause letters (following a cure notice, requesting facts bearing on the case).

• Terminate contracts.

Contract Specialist (CS) The USPTO CS is responsible for the day-to-day management of the USPTO contract. The USPTO CS is part of the USPTO management team. The CS serves as a liaison between the USPTO and the Contractor for issues relating to administration of the contract. The CS does not have the authority to modify the contract or obligate Government funds.

Contracting Officer’s Representative (COR) The USPTO COR is responsible for the day-to-day coordination of the USPTO contract. The USPTO COR is part of the USPTO management team.

In implementing the QASP, the COR responsibilities include managing Quality Assurance (QA) activities to ensure compliance and completeness by:

• Overseeing the quality aspects of projects.

• Serving as the technical liaison with the Contractor Quality staff.

• Responsible for the final inspection and acceptance of all reports.

• Other responsibilities as specified in the contract.

Government Point of Contact (POC) The USPTO Government POC is responsible for the day-to-day coordination of the USPTO contract. The USPTO Government POC is part of the USPTO management team.

In implementing the QASP, the Government POC responsibilities include managing Quality Assurance (QA) activities to ensure compliance and completeness by:

• Monitoring the quality aspects of projects.

• Serving as the first recipient for all deliverables.

• Responsible for the initial inspection and preliminary acceptance of all reports.

• Other responsibilities as specified in the contract.

6.2 Contractor Personnel

Program Manager (PM) The Program Manager shall be the central point of contact to respond to Government questions and concerns. The PM shall be responsible for quality control of all contract deliverables. The Program Manager shall:

• Provide metrics to the COR/ Government POC.

• Respond to discrepancy reports.

• Meet with the USPTO COR/Government POC on a monthly basis to review contract quality.

7. QUALITY SURVEILLANCE PROCESS

This section describes the various surveillance processes that may be used with this contract.

Surveillance Activity Frequency/ Schedule Description

Enterprise Contact Center (ECC) system (or any future system provided by the

USPTO).

Monthly / As required 100% inspection of ECC Call Report.

The USPTO COR/ Government POC assess deliverable timeliness, quality, and conformance to requirements upon receipt of a report.

Call Center Customer Survey Quarterly / As required 100% inspection of Call Center Customer Survey report.

The USPTO COR/ Government POC assess deliverable conformance to requirements upon receipt of a report.

Monthly and ad hoc Reports Monthly / As required 100% inspection of Contractor reports.

The USPTO COR/ Government POC assess deliverable timeliness, quality, and conformance to requirements upon receipt of a report.

Weekly and ad hoc status meeting

Weekly / As required 100% inspection of Contractor deliverables.

The USPTO COR/ Government POC assess deliverable quality, timeliness, and conformance to requirements during status meetings.

Vendor Invoice Monthly / As Required 100% inspection of Contractor invoices. The USPTO COR/ Government POC assess Program Management cost control.

7.1 Methods

The COR/ Government POC will perform evaluations using the methods outlined in the PRS table included in the QASP. The following methods and techniques are incorporated into the PRS to monitor contract performance. Each QASP must specify the appropriate methods that will be utilized on the contract.

100% Inspection This method is an inspection where specific characteristics of every performance unit are examined and tested to determine conformance with requirements. This surveillance method is preferred for tasks that occur infrequently, as well as for tasks that cannot be randomly inspected.

Random Surveillance Random Surveillance is a sampling method in which each unit of the population has an equal chance of being selected. This method is done to determine whether the Contractor’s performance of a particular task for a given period of time meets the performance requirement based on randomly selected samples of the task. This method is the most appropriate for frequently recurring tasks.

Periodic Surveillance Evaluates tasks selected using a methodology other than a 100% inspection or random inspection. It may be appropriate for tasks that occur infrequently and where 100% inspection is neither required nor practical. An example of periodic surveillance is weekly inspections when the COR/ Government POC chooses the location and time in other than a statistically random manner.

Customer Feedback This method is an independent evaluation of an activity or process to assess compliance with the contract’s terms and conditions. Customer Feedback may be necessary for certain types of tasks that do not lend themselves to random sampling of 100% inspection. Customer feedback may be obtained from the results of formal customer satisfaction surveys or from random customer complaints. The CO may use validated customer complaints as the basis for actions (other than payment deductions) against the Contractor. For a Customer Feedback form see section 14.

Contractor Metrics A Contractor metric is a performance or behavior measurement of an objective. Contractor metrics may identify performance levels and compare them against a target (also known as a Target Metric). Examples of Contractor metrics include employee turnover rate, number of suggestions of initiatives, and classifying complaints into picture charts to focus on problem areas. When using Contractor metrics as a method of surveillance, the Contractor is responsible for reporting on its own performance including measurements provided by the Government.

Trend Analysis This method is mostly based on Contractor’s metrics and the Government’s gathered data to track trends from all other evaluation sources and methods of which the trend analysis is based.

This method is used to periodically monitor the Contractor’s monthly and quarterly performance.

8. STEPS IN THE SURVEILLANCE PROCESS

Actual surveillance must be done and shall implement the methods identified in section 7.1 to include scheduling, performing, resolving performance issues discovered through surveillance, and documenting surveillance.

8.1 Scheduling Surveillance

The COR/ Government POC assigned to this contract is responsible for developing a monthly schedule of surveillance activities based on the QASP’s requirements. The schedule must be completed no later than five business days before the beginning of the period it covers.

Computer-generated or locally devised forms may be used. For a sample Quality Assurance Surveillance Schedule see section 14.

8.2 Performing Surveillance

Surveillance will be performed according to the methods described in this QASP and meeting the schedule established between the Contractor and the COR / Government POC. The Contractor shall provide whatever assistance is required in the surveillance procedures. For a sample Surveillance Activity Checklist see section 14.

8.3 Resolving Performance Issues

The USPTO and the Contractor may discover performance issues or deficiencies through the surveillance process. The COR/ Government POC will provide a list of any unresolved deficiencies to both the USPTO CO and the Contractor's PM. This will provide the Contractor with the opportunity to report ongoing problem resolution. If evidence is shown where the Contractor’s quality program has already documented the deficiency and timely corrective action is resolving the problem, the COR/ Government POC will follow up with the Contractor’s PM to ensure the deficiencies are remedied in a timely manner, in accordance with the PWS.

All deficiencies associated with performance requirements listed on the Performance Requirements Summary, whether remedied by the Contractor or not, will be included in the COR’s Status Report regardless of who identified the deficiency.

The COR/ Government POC and the Contractor (or representative) will meet monthly to discuss contract performance. The Contractor’s PM shall provide a copy of the meeting minutes to all attendees within five business days of the meeting. If there is a need for an urgent meeting because of unexpected performance issues, these meetings can be called by either the COR/ Government POC or the Contractor’s PM. For a Contract Discrepancy Report sample see section 14.

8.4 Documenting Surveillance

Documentation used and referenced to perform surveillance will consist of monthly reports, Contractor plans and procedures, schedules, customer feedback, and contract data requirements.

This documentation provides the CO with Contractor status as it applies to the performance criteria.

All records resulting from surveillance will be part of the surveillance documentation. The COR will maintain the surveillance documentation. The COR will provide the surveillance documentation for inclusion in the official contract file as directed by the CO.

Surveillance Folder

A surveillance folder must be developed and maintained by the COR, who is assigned to accomplish QA for a performance requirement. The folder is typically maintained in a hardcopy, but may be maintained in a computer database/file system/collaborative site provided there is adequate back up of the data to preclude accidental loss. For this contract, an electronic copy of the file is maintained in the Office of Patent Financial Management (OPFM) digital contract file on PTONet (or its successor.) The surveillance folder must contain at a minimum, the following documents:

• Appointments. COR/ Government POC nomination letters and a copy of the CO’s Appointment Memorandum to the Contractor appointing the new COR/ Government POC to the contract.

• Contract Documents. The Contract with all modifications, directive documents, references, pertinent terms defined by the contract, equipment listings, PWS, and QASP.

• Special Reports Documentation. Minutes of the monthly performance meetings that are held with the COR, Government POC, CO, and the Contractor will be recorded to encourage good communication and to resolve issues before they become significant challenges.

• Surveillance Paperwork. Documented surveillance inspections performed by the COR/ Government POC will be kept in this section. All paperwork that supports the documented surveillance will be kept in this section as well. The types of information that may be included are details of inspections or data gathering, conversations or meetings with the Contractor, and notes and comments that support the inspection paperwork. Quality Assurance Surveillance Reports will be kept in this section.

• Unacceptable Performance Documentation. In accordance with FAR 49.607, a section used for filing all documentation associated with contract quality assurance such as Customer Complaints (both active and resolved), notices of contract deficiencies, Customer Discrepancy Report, the CO’s inputs/determinations, Cure Notices, Show Cause, and all supporting documentation.

• Final Acceptance and Funding Issues. In this area, keep paperwork for future changes to the contract such as addendums and options that must be worked during the life of the contract.

SURVEILLANCE STANDARDS AND TOOLS

This section shows the types of evaluation standards and tools that will be used with this contract. The list will be based on the methods, standards, and tools described in the QASP.

Based on this information, the COR/ Government POC will assess the Contractor’s performance to ensure the Contractor is performing up to the specified standards. The performance standards in the Performance Work Statement (PWS) are further specified in the Performance Requirements Summary (PRS) table included in this QASP.

8.5 Quality Assurance Standards

The standards and conventions that shall apply to this contract are listed below:

• Task 1: Call wait times shall be measured based on the following standards if the monthly volume of calls is less than 2,500:

o Wait times shall measure a maximum of 2:00 minutes, 92% of time.

o The average wait time of all calls is a maximum of 1:30 minutes.

• Task 1: Call wait times shall be measured based on the following standards if the monthly volume of calls is between 2,500 and 3,500:

o Wait times shall measure a maximum of 3:00 minutes, 92% of time.

o The average wait time of all calls is a maximum of 2:00 minutes.

• Task 1: The call abandonment rate standard is less than 2% of all calls, if the monthly call volume is less than 2,500.

• Task 1: The call abandonment rate standard is less than 2.5% of all calls, if the monthly call volume is between 2,500 and 3,500.

• Task 2: The quarterly customer satisfaction rate, based on responses to the customer survey, will be 92% or greater.

• Task 3: The UCCMS monthly report is delivered to the COR timely by the first of the month, with all information as required by the PWS, 92% of the time. Ad hoc requests for the report shall be delivered to the COR within one business day, 92% of the time.

• Task 4: The monthly report is delivered to the COR timely by the first of the month, with all information as required by the PWS, 92% of the time.

8.6 Tools

The specific tools that will be used in monitoring performance under this contract are listed below:

• Enterprise Contact Center (ECC) Report

• Call Center Customer Survey

See section 14 for a quality assurance activity checklist of the time, date, and quality assurance activity used to perform surveillance and an audit check list that is utilized to perform audits.

9. OTHER QA COMMUNICATION AND REPORTING

All quality issues that may arise during the execution of the Section 8.5 tasks will be managed through the resolution methods defined in the QASP.

10. RESOLVING QUALITY ASSURANCE ISSUES

All quality issues that may arise during the execution of the Section 8.5 tasks will be managed through the resolution methods defined in the QASP.

10.1 Negative Incentives

If any of the performance requirements do not meet the Target Metric set in the PRS table, the COR will document the discrepancy(ies) and will notify the CO and Contractor promptly, on a monthly basis, for appropriate action. When performance is below the Target Metric standard, the Government may implement a negative incentive that includes increased surveillance and increased Contractor reporting requirements, as well as, documentation on the Contractor’s interim and annual Contractor Performance Assessment Reporting System (CPARS) (per FAR 42.15).

10.2 Notification

The COR will notify the Contracting Officer, in writing, of unacceptable quality levels. The Contracting Officer will provide written notification of discrepancies on a monthly basis, or immediately if the situation significantly affects the well-being of services. The Contractor will be given the opportunity to respond in writing to each discrepancy.

10.3 Response

The Contractor shall provide a written response to the cause and the corrective action to prevent recurrence within 10 business days after receipt of the Contracting Officer’s notification. The Contractor shall cite specific quality assurance program procedures or new procedures instituted to prevent recurrence.

11. PERFORMANCE REQUIREMENTS SUMMARY

The Performance Requirements Summary (PRS) is the culmination of quality planning for each specific task based on the PWS. The PRS converts the deliverables/objectives listed in the PWS into the specific requirements, expectations, and measures for each specific piece of work.

Each deliverable has an associated performance measure(s)/objective(s). Success in the performance measure/objective is defined by the target metric/performance standard.

Surveillance methods provide more substance relating to the acceptance criteria.

12.1 CONTRACTOR PERFORMANCE METRICS TABLE

ID Performance Item Performance Category Performance Measure Performance Level Standard 1 Contract

Deliverables Call Wait Time The monthly average time in minutes a caller is in queue waiting to speak with an IAC representative.

If the monthly volume of calls is less than 2,500, call wait time measures a maximum of 2:00 minutes. Average monthly wait time is 1:30 minutes or less.

If the monthly volume of calls is between 2,500 and 3,500, call wait time measures a maximum of 3:00 minutes. Monthly average wait time is 2:00 minutes or less.

2 Contract Deliverables

Call Abandonment Rate The number of callers per month who hang-up while in queue waiting to speak with an IAC representative.

The call abandonment rate standard is less than 2% of all calls, if the monthly call volume is less than 2,500.

The call abandonment rate standard is less than 2.5% of all calls, if the monthly call volume is between 2,500 and 3,500.

3 Contract Deliverables

Caller Satisfaction Customer feedback, using the customer satisfaction survey quarterly findings.

The quarterly caller satisfaction rate is 92% or greater.

4 Contract Deliverables

Timeliness Percentage of deliverables submitted early or by the due date.

Not to exceed one (1) business day or less after the deliverable due date for 92% of the deliverables.

5 Contract Deliverables

Quality Final deliverable is accepted with no comments from COR/ Government POC.

Not to exceed one (1) comment or less for 92% of the deliverables.

6 Contract Deliverables

Conformance to Requirements

Final deliverable is accepted with no comments from COR/ Government POC.

Not to exceed one (1) comment or less for 92% of the deliverables.

12.2 PRS Table

At a minimum, the following deliverables / specifications will be used by the COR to monitor timely progress on the awarded contract.

Deliverable/ Specification Item

Performance Measure/Objective Target Metric/ Performance Standard Surveillance Methods Deduction/Incentive Schedule (if applicable)

001- Task 1:

Call Wait Times

The monthly average time in minutes a caller is in queue waiting to speak with an IAC representative.

If the monthly volume of calls is less than 2,500, call wait time measures a maximum of 2:00 minutes. Average monthly wait time is 1:30 minutes or less.

If the monthly volume of calls is between 2,500 and 3,500, call wait time measures a maximum of 3:00 minutes. Monthly average wait time is 2:00 minutes or less.

Individual call wait time standards are met 92% of the time. Monthly average wait time is met 92% of the time.

100% inspection, using the monthly system reports.

CPARS

Performance Report

002 - Task 1:

Abandonment Rate

The number of callers per month who hang-up while in queue waiting to speak with an IAC representative.

The call abandonment rate standard is less than 2% of all calls, if the monthly call volume is less than 2,500.

The call abandonment rate standard is less than 2.5% of all calls, if the

100% inspection, using the monthly system reports.

Deliverable/ Specification Item

Performance Measure/Objective Target Metric/ Performance Standard Surveillance Methods Deduction/Incentive Schedule (if applicable) monthly call volume is between 2,500 and 3,500.

003 - Task 2:

Caller Satisfaction

Customer feedback, using the customer satisfaction survey.

The quarterly caller satisfaction rate is 92% or greater.

100% inspection of customer satisfaction survey quarterly findings.

CPARS

Performance Report

004 - Task 3:

UCCMS Call Report

The UCCMS monthly report is timely delivered to the COR with all information as required by the

PWS.

Timeliness

Quality

Approval by the COR

NLT ten (10) business days after the first business day of the month or as requested for ad hoc reports.

Percentage of deliverables submitted early or by the due date.

Not to exceed one (1) business day or less after the deliverable due date for 92% of the deliverables.

Final deliverable is accepted with no comments from COR/ Government

POC.

Not to exceed one (1) comment or less for 92% of the deliverables.

100% inspection of Contractor deliverables.

CPARS

Performance Report Documentation on the Contractor’s interim and annual past performance reviews.

Specification Item

Performance Measure/Objective Target Metric/ Performance Standard Surveillance Methods Deduction/Incentive Schedule (if applicable)

Conformance to requirements

Final deliverable is accepted with no comments from COR/ Government

POC.

Not to exceed one (1) comment or more for 92% of the deliverables.

005 - Task 4:

Monthly Report

The monthly report is timely delivered to the COR with will all information as required by the

PWS.

Approval by the COR.

NLT ten (10) business days after the first business day of the month or as requested for ad hoc reports.

Percentage of deliverables submitted early or by the due date.

Not to exceed one (1) business day or less after the deliverable due date for 92% of the deliverables.

Final deliverable is accepted with no comments from COR/ Government

POC.

Not to exceed one (1) comment or more for 92% of the deliverables.

Final deliverable is accepted with no comments from COR/ Government

POC.

100% inspection of Contractor deliverables.

CPARS

Performance Report Documentation on the Contractor’s interim and annual

Specification Item

Performance Measure/Objective Target Metric/ Performance Standard Surveillance Methods Deduction/Incentive Schedule (if applicable)

Not to exceed one (1) comment or less for 92% of the deliverables.

006- Kickoff Meeting Minutes

Approval by the COR.

Meeting Minutes due two (2) business days after Kickoff Meeting for 92% of the deliverables.

Final deliverable is accepted with no comments from COR/ Government

POC.

more for 92% of the deliverables

Final deliverable is accepted with no comments from COR/ Government

POC.

more for 92% of the deliverables.

100% inspection of Contractor deliverables.

Documentation on the Contractor’s interim and annual

13. RACI Matrix for the QASP The RACI for the QASP will be based on the PRS and reflect the responsibilities for implementing the defined quality approach on the specific Order.

The RACI matrix describes the participation by various roles in completing tasks or deliverables. RACI is an acronym derived from the four key responsibilities most typically used: Responsible, Accountable, Consulted, Informed.

This matrix outlines a typical sequence of steps during contract management and the key stakeholder groups and documents involved:

Legend R – Responsible. Has responsibility for this step

A – Accountable. Is ultimately accountable and gives formal approval

C – Consulted. Is a key member of the team that works to produce the quality process outputs?

I – Informed. Is kept informed about the process and will be affected by the outcome

Persons/Groups:

Action or step:

C on tra ct in g

O ff ic er

C on tra ct in g

O ff ic er

R ep re se nt at iv e

(C O

R

G ov er nm en t P

O on tra ct or

Scheduling Surveillance I A, R C C

Conduct Surveillance Activities I A R C Resolving Performance Issues R C C A Documenting Surveillance C A R I

14. QASP FORMS/CHECKLISTS

Customer Feedback Form Sample

Date and Time:

Source of Comment:

Line Office: USPTO

Branch:

Individual:

Nature of Comment:

Contract Reference:

Validation

Date and Time Contractor Informed of Comment:

Action Taken by Contractor:

Received and Validated By:

Quality Assurance Surveillance Schedule Sample Quality Assurance Surveillance Evaluator Schedule

Contract No.: Week of: Month/Year:

Day

Ta sk

: C al l W ai t T im es

Ta sk

: A ba nd on m en t R at e

Ta sk

: C al le r S at is fa ct io n

Ta sk

: U

C C

M S

C al l R ep or t

Ta sk

: M on th ly R ep or t

W ee kl y

St at us M ee tin g

Week Total

Contract Discrepancy Report Sample

CONTRACT DISCREPANCY REPORT

1. Contract No.: 2. Report No. for this Discrepancy:

3. To: (Contractor and Manager’s Name)

4. From: (Name of COR)

5. Date Prepared: Date Returned by Contractor:

Date Action Completed:

6. Discrepancy or Problem: (Describe in detail; include reference to PWS Directive; attach continuation sheet if necessary)

7. Signature of Contracting Officer:

8. To: (Contracting Officer) From: (Contractor)

9. Contractor response as to Cause, Corrective Action, and Actions to Prevent recurrence;

Attach continuation sheet if necessary. (Cite applicable quality control program procedures or new procedures)

10. Signature of Contractor Representative:

Date:

11. Government Evaluation (Acceptance, partial acceptance, rejection; attach continuation sheet if necessary)

12. Government Action (Reduced payment, cure notice, show cause, other)

CLOSEOUT

Name – Title Signature Date

Contractor Notified

Quality Assurance Surveillance Activity Checklist Sample

SURVEILLANCE ACTIVITY CHECKLIST

(To be performed Weekly/Monthly)

Contract No.:

Contract Requirement Contract Reference Method of Surveillance

Date Accomplished Compliance

Task 1: Call Wait Times

Task 1: Abandonment Rate

Task 2: Caller Satisfaction

Task 3: UCCMS Call Report

Task 4: Monthly Report

Weekly Status Meeting

Quality Assurance Surveillance Plan Checklist Sample

QUALITY ASSURANCE SURVEILLANCE PLAN CHECKLIST

QASP

No.

Review Steps Date Verified

Reviewer

1 Was the QASP reviewed and approved by the appropriate official?

2 Does the QASP include all appropriate tools such as the checklist?

3.a

3.b

3.c

3.d

3.e

Does the QASP establish:

• Performance measures based on performance standards in the PWS? All PWS functional areas for which performance standards were developed should be addressed.

• Methods of surveillance, including schedules, checklists, and customer satisfaction surveys?

• Level of surveillance?

• Acceptable quality levels?

• Inspection procedures that identify what will be checked?

4.a

4.b

4.c

Does the QASP stipulate:

• Methods of surveillance and inspection?

• Needed Government resources?

• Type and period of reports required?

5 Are there provisions to provide periodic updates to the Contracting Officer and contract administrator?

6 Does the plan adequately define the role of the key participants?