Section_J.13_ATTACHMENT_L_-_Notional_Task_Order_QASP_Plan_Rev._10-24-2018.pdf

J.13 ATTACHMENT L – NOTIONAL TASK ORDER-LEVEL QASP

REV. 10-24-2018

Month, Day, Year

BUREAU OF CONSULAR AFFAIRS

GLOBAL SUPPORT STRATEGY FOR

OVERSEAS CONSULAR SERVICES 2.0

(GSS 2.0)

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR TASK ORDER NO. XX (TITLE)

XXAQMMXXFXXXX

U.S. Department of State i GSS 2.0 QASP Version 1.0

TABLE OF CONTENTS

1.0 INTRODUCTION – GLOBAL SUPPORT STRATEGY (GSS) INDEFINITE

DELIVERY INDEFINITE QUANTITY (IDIQ) CONTRACT

2.0 GOVERNMENT QASP ROLES AND RESPONSIBILITIES

3.0 SURVEILLANCE PROCESS AND METHODS

3.1 SLA REVIEW PROCESS AND BACKGROUND

3.1.1 SLA Status Document

3.1.2 SLA Reconciliation Process

3.1.3 SLA Agreement Process (in case of discrepancies)

3.1.4 Service Improvement

3.2 ON SITE ISSUE RESOLUTION

3.3 BI-WEEKLY VENDOR MEETINGS

3.4 GSS SERVICE LEVEL AGREEMENTS (SLAS)

3.5 CUSTOMER SERVICE REPORT

3.6 CONTRACT DISCREPANCY REPORT

3.7 CURE NOTICE

4.0 TRACKING AND REPORTING DOCUMENTATION

4.1 GOVERNMENT DOCUMENTS

4.2 VENDOR REPORTS

5.0 PERFORMANCE EVALUATION PERIODS

5.1 INCENTIVES/DISINCENTIVES POOL DETERMINATION

5.2 INCENTIVES/DISINCENTIVES POOL CALCULATION

6.0 QASP REVISIONS

7.0 QUALITY ASSURANCE FILE

8.0 RECORD RETENTION

9.0 ORDER OF PRECEDENCE

10.0 GSS QUALITY ASSURANCE SURVEILLANCE CHECKLIST

APPENDIX A GOVERNMENT SAMPLE REPORTS............................................. APP A

APPENDIX B ACRONYMS AND TERMS ............................................................. APP B

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1.0 INTRODUCTION – GLOBAL SUPPORT STRATEGY (GSS)

INDEFINITE DELIVERY INDEFINITE QUANTITY (IDIQ)

CONTRACT

The Department of State (DoS) Bureau of Consular Affairs (CA) Global Support Strategy for Overseas Consular Support Services 2.0 (GSS 2.0) Indefinite Delivery Indefinite Quantity (IDIQ) contracts (base year with nine one-year options) were awarded to [Vendor(s)] on [Date] to provide support to CA to meet the following program objectives:

OBJECTIVE 1 – Provide business process support services for consular-related operations at U.S. embassies and consulates abroad under a performance-based arrangement, which will effectively and efficiently facilitate processing of all customers in accordance with existing procedures and business requirements. Anticipated services include, but are not limited to, the following activities:

a. Provide customers with accurate, up-to-date information regarding consular services and fees according to the population served by a given post, country, and/or region in the appropriate local language.

b. Provide customers with the ability to schedule appointments for consular services at their local U.S. embassy or consulate, in coordination with local consular management.

c. Collect consular fees from applicants prior to appointment scheduling and subsequently, timely, and accurately deposit these funds into a Government account.

d. Provide customers with the ability to submit required documentation and receive their issued travel documents at distributed points of service outside of their local U.S.

embassy or consulate.

e. Coordinate with local U.S. embassy or consulate staff to facilitate customer entry into and movement through U.S. embassy or consulate facilities.

OBJECTIVE 2 – Provide local, Offsite Facilitation Center (OFC) standalone facilities to offer a range of visa support services that either require and/or would benefit from the personal appearance of the visa applicant. In addition to potentially providing any or all of the services above, anticipated services include, but are not limited to, the following activities:

a. Capture visa applicants’ biometrics and facilitating secure transmission of captured data to the Government.

b. Provide visa applicants with the ability to schedule appointments at a standalone facility.

c. Deliver the physical documentation provided by a visa applicant to their local U.S.

embassy or consulate in advance of the applicant’s interview.

d. Provide visa applicants with the ability to receive their issued travel documents at standalone facilities.

OBJECTIVE 3 – Provide skilled oversight and management of worldwide operations for all contract customer support services. Anticipated services include, but are not limited to, the following activities:

a. Implement a comprehensive program, quality and risk management approach and methodology that is flexible and adaptable to allow for the implementation of GSS services in different regions around the world.

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b. Obtain and maintain all local licenses, permits, certifications, and other documentation to operate in foreign environments.

c. Ensure all services are provided in a manner that is consistent with U.S. foreign policy.

d. Provide service and performance related data to the Government to allow monitoring, auditing, oversight, and performance measurement of support services.

e. Provide the ability to transition services to/from another provider efficiently and with little or no impact to ongoing operations.

f. Provide a designated single point of contact who oversees contract customer operations for one or more posts and maintain designated on-site management personnel in all locations, as required by the Government.

g. Ensure that all personnel involved in providing or supporting services under the GSS program meet vetting requirements established by the Government.

h. Implement appropriate controls to prevent and detect cases of fraud, malfeasance, misfeasance, or other criminal or negligent activity and for notification to appropriate Government personnel.

i. Provide a robust capability to diagnose and correct the root causes for systemic and situational circumstances that result in sub nominal service delivery, while maintaining open and frequent communications and full transparency with the Government.

j. Conduct continuous improvement activities to realize improved service delivery capabilities and performance.

k. Implement appropriate security controls to protect employees, information, and physical assets (e.g., facilities, computers, etc.).

OBJECTIVE 4 – Provide customers with a positive experience by treating them professionally and with courtesy at all times, in an efficient manner. Anticipated services include, but are not limited to, the following activities:

a. Provide customer services (including standalone facility operation) at agreed upon times and in accordance with Government expectations for an appropriate customer experience.

b. Provide service accessibility to applicants who possess physical handicaps.

c. Provide customers with the ability to review accurate, real-time information on the status of in-transit documents, pending inquiries, and any service outage or degradation.

d. Provide a dedicated service support function to log and report on customer complaints and suggestions.

e. Provide customers with tailored notifications throughout a service lifecycle to maintain customer engagement and deliver timely information and reminders.

f. Implement a comprehensive quality control approach and methodology for all operational and customer-focused services provided, including a robust customer satisfaction assessment program.

OBJECTIVE 5 – Provide seamless delivery and integration of all contract support services via a robust and dynamic suite of underlying technologies that will be capable of enabling all objectives under this IDIQ, of interacting with consular technologies, and of adapting to changes as services and technologies evolve. Anticipated services include, but are not limited to, the following activities:

a. Maintain physical and logical security controls to ensure data security, integrity and availability for customers, consular staff, and other Government staff.

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b. Maintain compliance with minimum specifications as detailed in, but not limited to, Federal Information Processing Standards (FIPS) and Series 800 Special Publications (SPs) published by the National Institute of Standards and Technology (NIST), U.S.

Department of Commerce.

c. Provide a dynamic, customizable, management dashboard solution and reports for consular and contract managers.

d. Develop and continuously improve tools and techniques that will enhance the quality, efficiency, and overall performance of contract support processes and, to the extent possible, consular processes as well.

f. Enable continuous, up to and including real-time, interactions between consular and contractor technologies for data transfer, integration, and program support.

g. Maintain robust role-based access to separate permissions, at a minimum, by location and type of individual (e.g., Locally Employed Staff vs. Foreign Service Officer, etc.).

This Quality Assurance Surveillance Plan (QASP) establishes the performance surveillance process that will be used by the GSS program to manage the vendors’ compliance with and performance under XXAQMMXXFXXXX, GSS Task Order Number XX (Title). The Bureau of Consular Affairs, Office of the Executive Director, General Services Division (CA/EX/GSD) has the ultimate responsibility for:

a. Executing the QASP;

b. Maintaining the QASP over the task order life-cycle; and

c. Maintaining all required records and documentation to support surveillance activities and decisions.

The applicability and implied need for this document is [IDIQ Contract Number (to be updated upon award)] dated [Date] and Federal Acquisition Regulation (FAR) subpart 46.4 Government Contract Quality Assurance.

In accordance with Section E.5 of the IDIQ, the Government will perform those quality assurance procedures that may be necessary to verify that performance is in accordance with the terms of the contract and its task orders. Government quality assurance will be performed routinely by the Contracting Officer’s Representative (COR) and/or Government Technical Monitors (GTM); however other activities may be called upon to support this effort as required.

The Contracting Officer’s Representative will record all surveillance observations and will maintain a file of all inspection results. Successive months of unsatisfactory performance for any critical performance metric may result in other appropriate action(s) by the Contracting Officer in accordance with the Inspection of Services clause (ref FAR 52-246), including Termination for Default. Any action taken by the Contracting Officer as a result of surveillance will be in accordance with the terms of this contract.

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2.0 GOVERNMENT QASP ROLES AND RESPONSIBILITIES

This section defines the roles and responsibilities of key DoS personnel involved in quality assurance surveillance activities and quality assurance auditing.

2.1 Government Contracting Resources

The following DOS personnel are responsible for implementing government surveillance activities in association with the GSS Program:

a. Contracting Officer (CO). The CO ensures performance of all necessary actions for effective contracting and compliance with the contractual terms of the IDIQ Contract and its Task Orders and safeguards the interests of the United States in the contractual relationship. The CO will assure proper government surveillance of vendor performance and will ensure they receive impartial, fair, and equitable treatment under the contract.

The CO is ultimately responsible for approving the QASP and for the final determination of the adequacy of vendor performance on the GSS contract and also acts as the final adjudication authority for incentives and disincentives. No personnel other than the CO are empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. Any changes that the vendor deems may affect contract price, terms, or conditions shall be referred to the CO for action.

Assigned Contracting Officer: Tandra Jones Telephone: 703-875-6643 Email: JonesTA3@state.gov

b. Contracting Officer’s Representative (COR). According to DOSAR 642.270 and 14

FAH-2 Contracting Officer’s Representative Handbook, COs may designate technically qualified personnel as their authorized representatives to assist in the administration of contracts. As such, the COR is responsible for assisting the CO in administration of the GSS program and is appointed by the CO as the technical representative responsible for oversight, inspection, and acceptance of services, ensuring proper government surveillance of vendor performance. CORs are required to have completed adequate training and have the necessary experience and judgment to serve in the position. The COR is responsible for functions including, but not limited to, the following:

i. Monitoring the vendors’ technical progress and expenditures of resources;

ii. Performing inspection and accepting work on behalf of the U.S. Government;

iii. Informing the CO, in writing, of any performance or schedule failure;

iv. Resolving technical issues arising under the contract on behalf of the CO; and

v. Maintaining a COR file.

Contracting Officer’s Representative: TBD Telephone: TBD

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Email: TBD

c. Government Technical Monitors (GTMs). DOSAR 642.271 also stipulates that COs may appoint GTMs to assist CORs in monitoring performance. The CO may appoint a GTM because of physical proximity to the vendor’s work site, or because of specific skills or knowledge necessary for monitoring work. GTMs must also meet training requirements and be appointed in writing by the CO. GTMs are primarily responsible for:

i. Monitoring and inspecting the vendor’s progress and performance to assure compliance with the contract terms and conditions;

ii. Receiving deliverables (e.g. supplies, services, and/or reports) on behalf of the

Government; and

iii. Verifying satisfactory delivery of contract deliverables and preparing reports.

Government Technical Monitors: TBD

d. GSS Post/Mission Coordinator (GPMC): Each GSS consular post must designate a GPMC whose role is to provide feedback to the GSS Program Team on its level of customer satisfaction for services provided. The GPMC are designated by the consular section’s senior manager to serve as the local GSS point of contact and do not have any delegated authorities from the Contracting Officer. The GPMC can be either a consular officer or local employed (LE) staff. The GPMC duties are auxiliary in nature and consist of:

i. Providing local GSS vendors a single point of contact to address operational issues that require post’s input;

ii. Reviewing GSS vendor reports for accuracy and raise any questions to the GSS

Program Team; and

iii. Providing GSS Program team with input and feedback to assist in validating vendor’s performance and customer satisfaction.

GSS Post/Mission Coordinator: TBD

e. GSS Program Team Support Staff: The GSS program team may have staff members to assist in administrative and support functions.

f. COR Contractor Support Staff: The COR may have support staff to assist in administrative duties.

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3.0 SURVEILLANCE PROCESS AND METHODS

CA/EX/GSD and the GSS Program Team are committed to ensuring that quality assurance is embedded into the GSS program and its support services. This QASP focuses on monitoring the level of performance required by the IDIQ and this task order, and defines how the Government will assess vendor performance under this task order. The primary surveillance goal is to obtain objective evidence and data to enable the Government to determine whether the quality program and processes are functioning as intended, as well as to ensure that the vendor provides the Government with verifiable, quantifiable, and repeatable measures and objective evidence of its performance.

3.1 SLA REVIEW PROCESS AND BACKGROUND

CA/EX/GSD, with assistance from the GSS Program Office, will initiate SLA reviews as soon as the vendor submits the last SLA monthly report of the evaluation period. The vendors’ Monthly SLA Report contains performance data for the Task Order’s SLAs, as well as other operational, quality and risk data. The Report should be reviewed thoroughly to determine which SLAs are in the incentive, acceptable, and disincentive range for the period of performance under review.

For specific performance evaluation conditions, refer to the details of the Task Order.

SLA-related documents will be maintained by the Government.

3.1.1 SLA Status Document

The SLA Status document will show the latest status for the Task Order’s SLA review. The SLA Status document will be updated at each step of the SLA reconciliation process to reflect one of the following SLA statuses:

• Pending vendor analysis: Analysis of SLAs has not yet started and/or the vendor’s analysis has not yet been sent to CA/EX

• Pending internal analysis: Vendor analysis has been received, but the internal analysis has not been initiated (used for rare circumstances, e.g. TBD)

• Pending internal meeting: Internal and vendor analysis have been completed and will be presented to CA/EX

• Pending vendor meeting: The SLA analysis and incentive/disincentive amount have not yet been discussed with the vendor

• Pending payment: CA/EX and the vendor agree on an incentive or disincentive determination. The vendor has yet to invoice the government, or the disincentive process has not been completed

• Paid: The vendor has invoiced the Government, or the disincentive process has been completed

3.1.2 SLA Review Process

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The Government’s SLA reconciliation process is detailed in an internal version of this document.

3.1.3 SLA Agreement Process (in case of discrepancies)

The following process should be followed when there are discrepancies discovered during the SLA Reconciliation Process:

Meetings Purpose #1. Internal review of vendor’s self-reported SLA analysis

After vendor sends self-reported SLA analysis, review and compare with CA/EX analysis of vendor’s monthly reports, SLA Review (word document) and SLA Performance Review (excel spreadsheet), and GSS COR and GSS Point of Contact (POC) to discuss any discrepancies.

#2. Meeting with vendor

GSS POC holds conference call and/or meeting to discuss both CA/EX and vendor analysis. Determine incentive/disincentive, or request additional information from vendor if determination of incentive/disincentive cannot be made.

Meeting #1: Schedule meeting with GSS POC and GSS COR after review of vendor’s analysis (Action: TBD)

• Bring SLA Review and SLA Performance Review Spreadsheet

• Raise any issues and discrepancies between vendor’s analysis and CA/EX analysis

• Note if vendor and CA/EX agree or disagree on incentive/disincentive amount

• Schedule conference call and/or meeting with vendor and send SLA analysis to vendor

(Action: GSS POC)

Meeting #2: Schedule meeting with vendor to review vendor’s analysis and to discuss any issues (Action: GSS POC)

• Determine final incentive or disincentive with vendor. If outstanding issues remain, GSS POC will request additional information

• After incentive/disincentive amount is agreed upon with the vendor, the GSS POC will email the vendor with the agreed upon financial amount

3.1.4 Service Improvement

CA/EX/GSD, with assistance from GTM and GPMC, will monitor long-term performance against metrics by tracking scores over a six-month period. When a negative or downward trend in performance is identified through the SLA Reconciliation Process the COR will initiate a Corrective and Preventative Action Plan (CPAP) and request the Vendor perform a Root Cause Analysis (RCA) of the cause(s) underlying the downward trend. All CPAPs will include a remediation plan to address the issue, and detailed plan(s) to prevent future issues, all of which will be tracked by the COR.

3.2 ON SITE ISSUE RESOLUTION

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Consular section GPMC and local GSS vendors communicate on the day-to-day operational aspects of GSS services within the context of Task Order scope. For issues and questions that are not resolved locally, posts escalate the issue(s) to the GSS Program Team.

3.3 BI-WEEKLY VENDOR MEETINGS

The GSS Program Team may escalate an issue raised by posts, or through vendor reporting, in the bi-weekly vendor meetings, documented on the Vendor Quality Assurance Monitoring Status Report. This report is shared with the Contractor in advance of the meeting to allow for vendor response. The GSS Program Team also documents issues in its Operational Issues Register, to which the COR has access for review.

The use of the Vendor Quality Assurance Monitoring Status Report will provide the vendor opportunity to inform the Government of any background, constraints or circumstances that are impacting performance and potential compliance with contract terms and SLAs.

3.4 GSS SERVICE LEVEL AGREEMENTS (SLAs)

The COR and GSS Program Team review SLAs, which are included for this and all individual GSS Task Orders. (Note: The Performance Measures and Incentives are incorporated by reference into each awarded task order). The SLA process enables consistent measurement of vendor performance metrics against SLAs, facilitates consistent reporting on SLAs, enables accurate reporting of vendor performance, and drives service improvements for both the GSS Program and its customers. Questions regarding SLAs may also be addressed during the bi-weekly vendor meetings.

3.5 CUSTOMER SERVICE REPORT

For unresolved issues and/or service that are incomplete, not performed, poor quality, or otherwise concerning, the COR and GSS Program Team may draft Customer Service Reports.

Said reports will be submitted to the vendor for written response, to include corrective actions taken.

3.6 CONTRACT DISCREPANCY REPORT

The COR, in consultation with the GSS Program Team, may escalate reoccurring and/or unresolved issues to the Contracting Officer to submit a Contract Discrepancy Report to the vendor for written response. Written responses shall include corrective actions taken.

3.7 CURE NOTICE

Although the Department’s Office of Acquisition Management may issue a Cure Notice at any time, after three unsuccessful Contract Discrepancy Reports, the Contracting Officer will assess whether or not a Cure Notice is applicable.

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4.0 TRACKING AND REPORTING DOCUMENTATION

The Government and Contractor will document surveillance activities and include the specific status on performance for activities and associated performance metrics. Quality assurance surveillance documents that will be maintained over the task order life-cycle are presented below in Sections 4.1 and 4.2.

4.1 GOVERNMENT DOCUMENTS

The Government quality assurance surveillance team has and/or will develop the following surveillance documents:

a. QASP: The GSS COR is responsible for creating and updating the QASP with assistance from the GSS Program Office. The QASP describes the performance monitoring and assessment process in detail. It is the basis for estimating the vendor’s performance score for incentivized and non-incentivized metrics, bi-weekly GTM assessments, problem remediation, and for determining incentives and disincentives earned on the contract.

The approved QASP defines the Government’s expectations for the quality of service the vendor is expected to provide, the level of quality and timeliness of services, and the incentive and disincentive structure implementation. The QASP is a living document and should be reviewed at least annually to document potential process changes or improvements. Any updates to the QASP must be approved by the CO and should be briefed to vendor program managers before implementation.

b. Operational Issues Register: GSS Program Team members will utilize a database to track issues impacting the operation of the GSS Program. Risk and quality issues are also kept in the Operational Issues Register to assist the COR and GTMs in assessing vendor performance.

c. Vendor Quality Assurance Monitoring Status Report: Appropriate aspects of the Government’s QA surveillance will be reported to the vendor using a bi-weekly Vendor Quality Assurance Monitoring Status Report. The Report will document the Government’s assessment of and questions and follow up request regarding the Vendor’s performance under the Task Order. The Report will consist of new items and follow up items for the vendor to ensure that the required service levels are being achieved. The Reports will also track Government follow-up. The COR will retain a copy of all completed QA surveillance forms.

d. Customer Service Report (CSR): Government customers, to include GPMCs at overseas posts, who observe services that are incomplete, not performed, or poor quality or otherwise concerning, should immediately contact the GSS Program Team. The COR or designated GTM shall complete the appropriate sections of the Customer Service Report (Attachment A-3). The COR will submit the CSR to the vendor for a written response. The Government may request the vendor provide supporting documentation.

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The vendor will be required to respond to the CSR within ten (10) calendar days, or as otherwise agreed upon with the COR.

e. Contract Discrepancy Report (CDR): At the end of each performance evaluation period or as needed when significant issues remain unresolved after being addressed via a Customer Service Report, the COR will evaluate all surveillance information to determine those performance issues that are significantly impacting the GSS program.

The COR will prepare a Contract Discrepancy Report (CDR) (Attachment A-4) and issue it to the vendor. The CDR will make reference to the performance requirement and standard and state how the standard was not met. The vendor will be required to respond to the COR generated CDR within five (5) business days. The vendor response shall be in writing and explain why the performance deviated from the AQL, how the performance will be returned to acceptable levels and how a recurrence of the problem will be prevented in the future. The COR may issue a CDR for recurring failure to meet other contract performance requirements. The vendor shall respond in accordance with the requirement identified herein.

A copy of the CDR will be provided to the Contracting Officer within five (5) working days after the end of the evaluation period.

f. SLA Review Document: CA/EX/GSD staff will prepare a written analysis of the SLA data presented in the SLA Performance Review spreadsheet. It will include a summary of the Task Order’s characteristics, issues for discussion, an analysis of SLA performance for each evaluation period, and a breakout of incentive/disincentive financial information.

(Refer to 3.1.3 SLA Documents)

g. SLA Status Document: CA/EX/GSD staff will prepare the SLA Status document. The document will show the latest status for each task order’s SLA review. The SLA Status document should be updated at each step of the SLA reconciliation process. (Refer to

3.1.4 SLA Status Document)

4.2 VENDOR REPORTS

a. SLA-Related Deliverables: Per Section F.6.13 through F.6.15, for each individual Task Order, the vendor will develop and deliver the following SLA-related reports:

b. Monthly Operational, Quality, and Risk Report: The Contractor shall develop and deliver accurate, complete, and timely Monthly Operational, Quality, and Risk Report by the 15th calendar day of every month, broken down by country and post and provided to Government-designated points of contact via email, in a mutually agreed upon format.

The Report shall include, at a minimum:

i. A narrative summary of accomplishments, to include but not limited to overcoming significant events and disruption of services;

ii. Identification of any operational, quality, and risk issues with a root cause analysis of said issues;

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iii. Details of any TOM visits to serviced post and physical inspections of subcontractor operations;

iv. Service trends not captured in the dashboard reporting tools, to include but not limited to, number of calls to Interactive Voice Response (IVR); of those, how many calls went to call center agent; statistics on call length; the number of visits to websites; and the number of greeters required and supplied;

v. Any issues pending resolution, date which the issue started, aging of the issue by calendar days;

vi. Issue summary and resolution details, if the issue was resolved during the month;

vii. Any administrative or service-related item for which the Contractor is waiting on a response from the Government or a host country authority (e.g., Government approval of website content, host country permit, etc.);

viii. Actions taken in the previous month to address quality and risk issues (e.g., mitigations implemented, risks reassessed, etc. and improvement plans implemented, etc.) and the results of those actions;

ix. Actions planned for the following month to address operational, quality, and risk issues. Such plans should describe the technical approach, organizational resources, and management controls to be employed to address these issues and include a time bound and trackable approach to implementing corrective action;

and

x. Written follow-up audit(s), upon request by the Government.

c. Monthly Service Level Agreement (SLA) Report: The Contractor shall develop and deliver an accurate, complete, and timely Monthly SLA Report by the 15th calendar day of every month to Government-designated points of contact via email in a Government-provided template. The Report shall include, at a minimum:

i. Accurate, cumulative, and month-by-month summary of all performance metrics applicable to the respective Task Order, in aggregate and broken out by mission and post;

ii. A current snapshot of known SLA performance issues; and

iii. Details to support the calculation for all performance metrics.

d. Semi-Annual Service Level Agreement (SLA) Determination Report: The Contractor shall develop and deliver an accurate, complete, and timely Semi-Annual (twice per year) SLA Determination Report at a mutually agreed upon date to Government-designated points of contact via email in a Government-provided template. The Report shall include, at a minimum:

i. A narrative overview of the Contractor’s determination for its incentives and disincentives for each SLA under the respective Task Order;

ii. Accurate, cumulative, and month-by-month summary of all performance metrics applicable to the respective Task Order, in aggregate and broken out by mission and post; and

iii. Details to support the calculation for all performance metrics.

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5.0 PERFORMANCE EVALUATION PERIODS

The Government will evaluate vendor performance on a periodic basis as detailed in the Task Order to determine incentive dollars earned or disincentive.

5.1 INCENTIVES/DISINCENTIVES POOL DETERMINATION

The vendor’s proposal, incorporated into the award of this task order, details the Incentive Pool, and percentages allocated to each SLA.

5.2 INCENTIVES/DISINCENTIVES POOL CALCULATION

The following outlines the process for estimating the GSS task order incentive/disincentive and making the adjustment to invoices.

a. Evaluate performance against metrics. The vendor will receive a performance score for each SLA applicable for the evaluation period, estimated as the sum of performance scores for each SLA and associated Acceptable Quality Levels (AQLs) and relative weights. Where applicable, performance scores for each SLA will be averaged for an overall score.

b. Determine the incentive. The performance score for each activity will then be applied to the incentive/disincentive pool for the performance period.

c. Invoice for the approved performance payment earned. Once the Government determines the performance incentive/disincentive, the vendor will be notified of the results and issue an invoice for a positive incentive payment or a check to the Government for a negative incentive payment.

6.0 QASP REVISIONS

This document will be updated as necessary, at a minimum annually, following each performance review. The Government will assess performance-based metrics, oversight and surveillance processes, and responsibilities and revise the QASP as needed to reflect organizational realignments, new performance requirements, more effective surveillance methodologies, additional factors to better determine success, and new standards to more accurately predict outcomes. The vendor may also provide recommendations for the Government’s consideration during this process. The Government retains the right to change the surveillance methods and other QA procedures described in the QASP, or to increase or decrease the degree of surveillance efforts at any time necessary to help ensure contract compliance.

7.0 QUALITY ASSURANCE FILE

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The COR or designee will maintain a complete quality assurance file. The file will contain copies of all reports, evaluations, recommendations, surveillance checklists, and any actions related to the Government’s performance of the quality assurance functions.

8.0 RECORD RETENTION

All records will be retained for a period of six years and three months after final contract payment as required by FAR Part 4.805.

9.0 ORDER OF PRECEDENCE

Nothing in this Quality Assurance Surveillance Plan takes precedence over applicable statutes or regulations, including but not limited to Contract clauses, terms, and conditions; Task Order clauses, terms, and conditions; and regulatory (e.g. FAR, Department of State Acquisition Regulation – DOSAR) clauses, terms, and conditions applicable to this contract, regardless of whether such clauses were properly or improperly included in or excluded from the contract.

10.0 GSS QUALITY ASSURANCE SURVEILLANCE

CHECKLIST

Government QA surveillance will also utilize all or part of the GSS Quality Assurance Surveillance Checklist found in the Attachment A-2 electronic file (TBD) for higher level surveillance activities and/or periodic physical site inspections.

U.S. Department of State GSS 2.0 QASP

APPENDIX A

GOVERNMENT SAMPLE REPORTS

Attachment A – 1 Quality Assurance Monitoring Form Attachment A – 2 GSS Quality Assurance Surveillance Checklist Attachment A – 3 Customer Service Report Attachment A – 4 Contract Discrepancy Report

ATTACHMENT A-1: Vendor Quality Assurance Monitoring Status Report

Vendor: __________________________________

Task Order: _______________________________

Government Name: _________________________

Post/Country: _____________________________

Description: _______________________________

Action With: ______________________________

Vendor Response: __________________________

Resolution: _______________________________

ATTACHMENT A-2: GSS Quality Assurance Surveillance Checklist

See electronic file (TBD)

ATTACHMENT A-3: Customer Service Report

The Customer Service Report (CSR) will be processed in the following manner:

a. The customer that renders a vendor complaint will fill-out the CSR and submit the CSR to the COR or the Government Technical Monitor (GTM).

b. Upon receipt of the CSR, the COR or the GTM will validate the vendor complaint (when more than one CSR is received for the same service for the same time frame, from the same or different customers, the COR or the GTM will consolidate the report).

c. If the COR or the GTM is satisfied that the complaint is valid, they will submit the CSR to the Vendor’s Program Manager or designated representative.

d. The Vendor’s Program Manager or designated representative will respond in writing to the

CSR with information and evidence to determine why performance was non-compliant, and what actionable and time bound steps they will take to prevent the defect from recurring

e. The COR or the GTM will assess the vendor’s response, responding with follow-up questions as necessary to reach a level of acceptance.

f. Upon acceptance of the CSR, the COR will return a signed copy of the CSR to the vendor and retain a copy for the COR files.

g. Any non-compliant service which is not the fault of the Government will require follow-up action by the Vendor. Any subsequent non-compliant service in that specific area will be reported directly to the Contracting Officer.

h. The task order areas where unacceptable service was reported by CSR and determined to be valid by the COR and/or the GTM should be scheduled for future sampling to determine if the deficiency has been corrected.

i. The Program Team shall communicate back to the customer all findings, should the compliant be generated at the Post level.

CUSTOMER SERVICE REPORT

1. Date/Time of Complaint:

SOURCE OF COMPLAINT

2. Organization

3. Name 4. Phone No.

5. Nature of Complaint: Be specific. Clearly and legibly state what the problem is or the specific non-compliant service that was observed.

Specify the date and time the problem occurred or the defect was observed. Briefly describe the operational impact, if any. Attach photocopies or appropriate documentation.

6. Task Order Reference: Cite the section and paragraph number of the task order that the observed defect was not in compliance with.

7. COR Validation: Summarize the outcome of the validation of the complaint. The summary should include who was contacted, what was said, what processes and procedures were looked at (use of the Decision Table), and what results of the validation were including whether the vendor or the Government was at fault.

8. Date/Time Vendor Informed Of Complaint:

8a. Vendor Response Due By:

9. Action Taken By Vendor: Include an explanation why the non-compliant service occurred and what the Vendor will do to prevent the non-compliant service from recurring.

10. Received/Reviewed/Validated By: Signature of the COR or QAE receiving and validating the complaint.

Acceptable (circle one): Yes No

Customer Service Report (front-side)

Instructions for the Customer Service Report (CSR)

The following is an explanation of each block on the CSR form:

1. DATE/TIME OF COMPLAINT: Self-explanatory.

2. ORGANIZATION: Self-explanatory.

3. NAME: Name of customer submitting the complaint.

4. PHONE NO.: Phone number of customer submitting the complaint.

5. NATURE OF COMPLAINT: State the specific non-compliant event that was observed. Be brief but to the point. Specify the date and time, the non-compliant event was observed and briefly describe the operational impact (i.e. created backlog, caused delay in renewal notices, etc.) of the non-compliant service, if any. If the non-compliant material is not accompanying the CSR when submitted to the COR or the GTM, photocopies or appropriate documentation must be provided clearly outlining the non-compliant service (i.e., renewals processed incorrectly). If the customer corrects the non-compliant service, before and after samples must accompany the CSR.

6. TASK ORDER REFERENCE (IF KNOWN): Cite the section and paragraph number of the task order that the observed service was not in compliance with.

7. COR VALIDATION: Summarize the outcome of the validation of the complaint, and what the final results of the validation were, including whether the Vendor or the Government was at fault.

8. DATE/TIME VENDOR INFORMED OF COMPLAINT: Self-explanatory.

8a. VENDOR RESPONSE DUE BY: The COR will enter the date by which the vendor is expected to respond.

9. ACTION TAKEN BY VENDOR: The vendor shall include an explanation why the non-compliant service occurred and what the Vendor will do to prevent the non-compliant service from recurring.

10. RECEIVED/REVIEWED/VALIDATED BY: Signature of the COR or the GTM receiving and validating the complaint. If performance is unsatisfactory, forward to the Contracting Officer and state reasons.

Customer Service Report (back-side)

ATTACHMENT A-4: Contract Discrepancy Report

The CDR will be processed in the following manner:

a. When surveillance by the COR or the GTM indicates unsatisfactory performance, the COR or the GTM may initiate a CDR and submit it, along with the checklist recording the unsatisfactory performance, to the Contracting Officer.

b. The Contracting Officer shall evaluate the CDR and, if the Performance Requirements indicate unsatisfactory performance, sign and send it to the Vendor’s Program Manager or their designated representative.

c. The Vendor’s Program Manager or designated representative is then required to complete

Blocks 9 and 10 of the CDR explaining in writing why performance was unsatisfactory, how performance will be returned to satisfactory levels and how recurrence of the problem will be prevented in the future.

d. The CO, with COR and GTM assistance, shall evaluate the Vendor’s Program Manager or designated representative explanation and determine what further action, if any, is required. .

e. If the Vendor does not achieve satisfactory performance in that specific requirement by the end of the next month, the Contracting Officer will issue another CDR.

f. If a third CDR is issued, the Contracting Officer can consider issuing a Cure Notice or a

Show Cause letter if the reply to a Cure Notice is unsatisfactory.

CONTRACT DISCREPANCY REPORT

1. CONTRACT NUMBER

2. REPORT NO. FOR THIS DISCREPANCY

3. TO: (Vendor Organization and Program Manager Name)

4. FROM: (DoS Representative)

5. DATES

6. DISCREPANCY OR PROBLEM: (Describe in detail: include references to PWS/PRS)

7. SIGNATURE OF CONTRACTING OFFICER

8. TO: (Contracting Officer)

FROM: (Vendor)

9. VENDOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION AND ACTIONS TO

PREVENT RECURRENCE. ATTACH CONTINUATION SHEET. IF NECESSARY. (Cite applicable

QC program procedure or new QC procedures).

10. SIGNATURE DATE

11. GOVERNMENT EVALUATION (Acceptable, partial acceptance, rejection. Attach continuation sheet, if necessary.)

12. GOVERNMENT ACTIONS (Payment deduction, cure notice, show cause, other)

13. CLOSE OUT

14. NAME/TITLE

15. NOTIFICATIONS

VENDOR

COR

CO

Contract Discrepancy Report (front-side)

Instructions for the Contract Discrepancy Report (CDR)

The following is an explanation of each block on the CDR form:

1. CONTRACT NUMBER: Self-explanatory.

2. REPORT NO. FOR THIS DISCREPANCY: A unique number to identify the report.

Numbers should be in sequence for a specific contract/task order.

3. TO: Name of Vendor Organization and Program Manager.

4. FROM: Name of DoS Representative.

5. DATES: Specify the date and time, the unsatisfactory task order performance was observed.

6. DISCREPANCY OR PROBLEM: State the specific discrepancy or problem that was observed. Briefly describe the operational impact of the unsatisfactory service, if any.

Reference the task(s)/subtask(s) in the Performance Work Statement (PWS) that were not performed in a satisfactory manner.

7. SIGNATURE OF CONTRACTING OFFICER: Self-explanatory.

8. TO: Name of the Department of State Contracting Officer.

9. VENDOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION AND ACTIONS TO

PREVENT RECURRENCE: Vendor’s explanation on why performance was unsatisfactory, how performance will be returned to satisfactory levels and how recurrence of the problem will be prevented in the future.

10. SIGNATURE: Signature of the Vendor Program Manager or representative within the

Vendor’s Organization.

11. DATE: Self-explanatory.

12. GOVERNMENT ACTIONS: Contracting Officer’s decision related to the performance problem.

13. CLOSE OUT: Issue resolved and close out date.

14. NAME/TITLE: Name of person closing out the CDR.

15. NOTIFICATIONS: Dates various parties were notified of the close-out notification.

Contract Discrepancy Report (back-side)

APPENDIX B

ACRONYMS AND TERMS

Acronym Acronyms and Term

AQL Acceptable Quality Level CA Consular Affairs

CA/EX Office of the Executive Director CDR Contract Discrepancy Report CSR Customer Service Report CO Contracting Officer

COR Contracting Officer’s Representative CPAP Corrective and Preventive Action Plan DoS Department of State

DOSAR Department of State Acquisition Regulation FAR Federal Acquisition Regulation GSD General Services Division GTM Government Technical Monitor POC Point of Contact

QASP Quality Assurance Surveillance Plan RCA Root Cause Analysis SLA Service Level Agreement TBD To Be Determined