RFQ_1605DC-19-Q-00010_Attachment_A_-_Quality_Assurance_Surveillance_Plan_(QASP).pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

For Childcare Subsidy Program Management Services

Contract Number: < upon award, enter contract number>

Contract Description: Childcare Subsidy Program Management Services

Contractor’s name: < upon award, enter contractor name > (hereafter referred to as the contractor).

1. PURPOSE

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

What will be monitored.

How monitoring will take place.

Who will conduct the monitoring.

How monitoring efforts and results will be documented.

This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance.

This QASP is a “living document” and the Government may review and revise it on a regular basis.

2. GOVERNMENT ROLES AND RESPONSIBILITIES

The following personnel shall oversee and coordinate surveillance activities.

a. 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 assure that the contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

Assigned CO: TBD Upon Contract Award

Organization or Agency: TBD

Telephone: TBD

Email: TBD

b. Contracting Officer Representative (COR) - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the contractor’s performance.

The COR shall keep a quality assurance file. At the conclusion of the contract or when requested by the CO, the COR shall provide documentation to the CO. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The contractor shall refer any changes they deem may affect contract price, terms, or conditions to the CO for action.

Assigned COR: TBD Upon Contract Award

Department of Labor

200 Constitution Ave., NW

Room C5517

Washington, DC 20210

c. Other Key Government Personnel – TBD

3. CONTRACTOR REPRESENTATIVES

The following employees of the contractor serve as the contractor’s program manager for this contract.

a. Program Manager -TBD

b. Other Contractor Personnel - TBD

Title: TBD

4. PERFORMANCE STANDARDS

Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets or does not meet these standards.

The Performance Requirements Summary Matrix, Technical Exhibit 1 of the Performance Work

Statement (PWS), defines the means by which the contractor must develop and maintain a quality control assurance plan. The Government shall use the standards below to determine contractor performance and shall compare contractor performance to the Acceptable Quality Level (AQL).

Performance Objective

Performance Standard Performance Threshold

Method of Surveillance

PRS #1: The contractor will prepare specialized reports for DOL.

(Task 5.1)

Specialized reports will be submitted to DOL within 2 business days of the initial request from the COR.

Services must be completed within 2 business days of initial request, 100% of the time.

The COR will evaluate the reports to ensure all requested information is accurate.

PRS # 2: The contractor shall develop and receive applications; comply with regulation, and evaluate eligibility.

(Task 5.2.)

Services including developing and receiving applications; complying with regulation, and evaluating eligibility must be accurately performed within established deadlines

(within 14 calendar days upon receipt of application).

Services must be completed within 14 calendar days upon receipt of application, 100% of the time.

Periodic evaluation of participant records by the

COR to ensure applications processed within deadlines.

PRS #3: The contractor will establish and provide policies and procedures to identify the eligibility requirements.

(Task 5.2.b)

Policies and procedures will be submitted within

14 calendar days after contract award.

completed on or before the deadline 100% of the time.

The COR will ensure the requested information is submitted on time.

PRS#4: Identify all documents required to complete the application process.

(Task 5.2)

Contractor must submit all required documents within 14 calendar days after contract award.

Services must be completed on or before the deadline 100% of the time.

The COR will ensure the requested information is submitted on time.

PRS #5: The contractor will have procedures in place that ensure no payments are made to providers prior to the service being provided, without approval from the OWLPP program manager.

(Task 5.2)

The contractor will submit written procedures to the COR within 14 calendar days after contract award.

Services must be completed on or before the deadline 100% of the time.

The COR will evaluate the procedures to ensure in compliance with OPM guidelines.

PRS # 6: The contractor shall pay monies to the childcare providers.

(Task 5.3)

Service (payment to the childcare provider) must be completed within the established 14 calendar days from date of receipt of invoice.

established deadline

100% of the time.

Periodic evaluation of participant records by the

COR.

PRS #7: The contractor shall prepare monthly reports for DOL.

(Task 5.4)

Monthly reports shall be submitted to DOL by the

5th of each month established deadline

100% of the time.

On a monthly basis, the

COR will evaluate reports to ensure all required information is accurate.

5. INCENTIVES

N/A

6. METHODS OF QA SURVEILLANCE

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP.

a. PERIODIC INSPECTION.

The COR will evaluate participant records to ensure applications processed within deadlines and to all required information is accurate.

b. 100% INSPECTION.

The COR will evaluate participant records to ensure applications processed within deadlines and to all required information is accurate.

7. RATINGS

Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. A rating scale shall be used to determine a positive, neutral, or negative outcome. The following ratings shall be used:

Performance

Element Description

Quality of Service

Assess the contractor’s conformance to contract requirements, specifications, and standards of good workmanship (e.g., commonly accepted technical, professional, environmental, or safety health standards).

Schedule

Assess the timeliness of the contractor against the completion of the contract, task orders, milestones, and delivery schedule, administrative requirements (e.g., efforts that contribute to or effect the schedule variance).

Business Relations

Assess the integration and coordination of all activities needed to execute the contract, specifically the timeliness, completeness and quality of problem identification, corrective action plans, proposal submittals, the contractor’s history or reasonable and cooperative behavior, customer satisfaction, timely award and management of subcontracts.

Management of Key

Personnel

Assess the contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel.

Cost Control Assess the contractor’s performance in cost increase/decrease on labor hours or materials.

Firm fixed price contract is not applicable for this element.

Performance

Rating Criteria

Exceptional

Performance meets contractual requirements and exceeds many of the government’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

Very Good

Performance meets contractual requirements and exceeds some of the government benefits. The contractual performance element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the contractor were highly 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 assessed reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

Unsatisfactory

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

8. DOCUMENTING PERFORMANCE

a. ACCEPTABLE PERFORMANCE

The Government shall document positive performance. Any report may become a part of the supporting documentation for any contractual action.

b. UNACCEPTABLE PERFORMANCE

When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR shall document the discussion and place it in the COR file.

When the COR determines formal written communication is required, the COR shall prepare a Contract

Discrepancy Report (CDR), and present it to the Contracting Officer (KO). CO will review the CDR and will address it to the contractor for further action.

The contractor shall acknowledge receipt of the CDR in writing. The CDR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CDR will also state how long after receipt the contractor has to present this corrective action plan to the COR. The Government shall review the contractor's corrective action plan to determine acceptability.

Any CDRs may become a part of the supporting documentation for any contractual action deemed necessary by the CO.

9. FREQUENCY OF MEASUREMENT

a. Frequency of Measurement.

During contract/order performance, the COR shall take periodic measurements, as specified in the AQL column of the Performance Standards Summary Matrix, and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

b. Frequency of Performance Assessment Meetings.

The COR shall meet with the contractor periodically to assess performance and shall provide a written assessment.

Prepared by: TBD

Signature – Contracting Officer’s Representative

PERFORMANCE REPORT

1. CONTRACT NUMBER: <insert number>

2. Prepared by: (Name of COR) <insert name>

3. Date and time of observation:

4. Observation:

<Examples of items to include in a report are:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results.

- Number of observations.>

Prepared by: <Enter COR’s name>

Signature – Contracting Officer’s Representative Date

CONTRACT DISCREPANCY REPORT (CDR)

1. Contract Number: <insert number>

2. TO: (Contractor Task Manager or on-site representative) <insert name>

3. FROM: (Name of COR) <insert name>

4. Date and time observed discrepancy:

5. DISCREPANCY OR PROBLEM:

<Describe in detail. Identify any attachments.>

5. Corrective action plan:

A written corrective action plan < is / is not > required.

< If a written corrective action plan is required include the following. > The written Corrective

Action Plan will be provided to the undersigned not later than < # days after receipt of this

CDR. >

Prepared by: <Enter COR’s name>

Signature – Contracting Officer’s Representative Date

Received by:

Signature – Contract Manager Date