2.07 QASP NLEC Hogan N0018921QG042.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP) AND MATRIX

1.0 PURPOSE

This Quality Assurance Surveillance Plan (QASP) is a Government developed and applied document used to make sure that systematic quality assurance methods are used in the administration of the Performance Based Service

Contract (PBSC) standards included in this contract. The intent is to ensure that the Vendor performs in accordance with performance metrics set forth in the contract documents, that the Government receives the quality of services called for in the contract and that the Government only pays for the acceptable level of services received.

2.0 AUTHORITY

Authority for issuance of this QASP is provided under FAR 52.246-4, which provides for inspections and acceptance of the articles, services, and documentation called for in the contract to be accomplished by the

Contracting Officer or their duly authorized representative.

3.0 SCOPE

The Vendor, and not the Government, is responsible for management and quality control actions necessary to meet quality standards set forth by the contract. The QASP is put in place to provide Government surveillance oversight of the Vendor’s quality control efforts to assure that they are timely, effective and are delivering the results specified in the contract. The QASP is not a part of the contract nor is it intended to duplicate the Vendor’s Management

Plan. The Government may provide the Vendor an information copy of the QASP as an Attachment to the solicitation to support the Vendor’s efforts in developing its plan for maintaining the levels of quality anticipated to be delivered under the terms of the contract.

4.0 RESPONSIBILITIES

The Government resources shall have responsibilities for the implementation of this QASP as follows:

Contracting Officer – The Contracting Officer ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract and safeguards the interests of the United

States in the contractual relationship. It is the Contracting Officer that assures the Vendor receives impartial, fair and equitable treatment under the contract. The Contracting Officer is ultimately responsible for the final determination of the adequacy of the Vendor’s performance.

Contract Officer Representative (COR) – An individual designated in writing by the Contracting Officer to act as his authorized representative to assist in administering a contract. The source and authority for the

COR is the Contracting Officer. COR’s limitations are contained in the written letter of appointment.

Technical Point of Contact (TPOC) – An individual designated in writing by Naval Leadership and

Ethics Center to provide technical assistance, inspection, monitoring and support to the Contracting Officer

Representative (COR) in the administration of the contract. The TPOC does not have authority to take any direct action nor provide any technical direction or clarification to the contractor. The TPOC’s limitations are contained in the written letter of appointment.

5.0 METHODS OF QA SURVEILLANCE

The below listed methods of surveillance shall be used in the administration of this QASP. The QASP Matrix describes the methods of surveillance that may be used to monitor the services and deliverables to be provided under the contract.

COR Assessment – The COR will evaluate the timeliness, quality and accuracy of reports and presentations, contract deliverables and invoices.

Customer Feedback – Customer feedback may be obtained either from the results of formal customer satisfaction surveys or from random customer complaints. Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed and must be forwarded to the Vendor. The Vendor shall maintain a summary log of all formally received customer complaints as well as a copy of each complaint in a documentation file.

Random Checks/Inspections – Random checks will be conducted to ensure compliance with the Standard

Operating Procedures (SOP). In process reviews and random monitoring will be conducted.

6.0 IDENTIFIED QA SURVEILLANCE ITEMS

The PBSC items that have been identified for surveillance are identified in the Performance Work Statement (PWS).

7.0 DOCUMENTATION

The COR will maintain a complete Quality Assurance Surveillance file. The file shall contain such documents as copies of all receiving reports, evaluations, recommendations, and any other actions related to the Government’s performance of the quality assurance function. All such records will be retained for the life of this contract. At a minimum, the Quality Assurance Surveillance file shall contain:

Copies of letters of appointment for the COR

A copy of the contract and all modifications

A copy of the QASP and all subsequent revisions

The names and titles of individuals on the contract administration team

A record of all accepted receiving reports, required documentation with the submission of each receiving report.

Memoranda for the record or minutes of any pre-performance meetings or conferences.

Memoranda for the record or minutes of any meetings or discussions with the vendor, or others, pertaining to the contract or contract performance or changes to the PWS.

8.0 ANALYSIS OF VENDOR PERFORMANCE

The analysis of vendor performance shall be conducted at the end of each month and serves to provide a summary of the Vendor’s performance to the Contracting Officer and the Vendor. Overall performance is important in determining whether to increase, decrease or maintain the current level of surveillance and/or whether to initiate corrective action to bring the Vendor’s work up to the standards of the specification.

QASP Matrix

Performance Element Performance Requirement Method of

Surveillance

Acceptable

Quality

Level (AQL)

Procedures to be taken when performance standards are not met

PWS Compliance and

Fulfillment

Tasks/Services identified in

PWS performed/provided by

Vendor contain accurate information, are of high quality and meet agreed upon due dates.

COR review, customer feedback, complaints, Random

Checks/Inspections

98% compliance

Request corrective action from vendor in accordance with

Vendor Quality Assurance

Plan.

Contract Discrepancy Report may be completed.

Failure to comply may be documented in Contractor

Performance Assessment

Reporting System (CPARS) and in future requests for Past

Performance information

Complaints lodged against Vendor personnel

No more than 4 substantiated complaints lodged against vendor personnel within a 12 month period: no more than 3 substantiated complaints lodged against the same contract employee with in a 6 month period.

Complaints 98% compliance

Request corrective action from vendor in accordance with

Performance Assessment

Reporting System (CPARS) and in future requests for Past

Performance information

Information

Security/Privacy Act

Contractor shall fully comply with the Security Requirement

Section of the PWS

COR review, customer feedback, Random

Checks/Inspections

100% compliance

Request corrective action from vendor in accordance with

Performance Assessment

Reporting System (CPARS) and in future requests for Past

Performance information.

Failure to comply may result in loss of access to base or facilities for individuals.

OPSEC

Vendor shall fully comply with all Physical Security

Requirements outlined in the

PWS

COR review, customer feedback, Random

Checks/Inspections

100% compliance

Request corrective action from vendor in accordance with

Performance Assessment

Reporting System (CPARS) and in future requests for Past

Performance information.

Failure to comply may result in loss of access to base or facilities for individuals.

Invoicing

Monthly invoices per contract procedures are timely and accurate

Review and acceptance of the invoice

99%

Request corrective action from vendor in accordance with

Performance Assessment

Reporting System (CPARS) and in future requests for Past

Performance information

Overall Contract

Performance

Overall contract performance of sufficient quality to earn a

Satisfactory (or higher) rating in the COR’s annual report on

Contractor Performance)

Assessment by the

COR

100%

All performance elements as

Satisfactory (or higher)

Services Contract

Reporting (SCR)

Vendor shall ensure all required SCR data be reported no later than October 31 of each calendar year in accordance with the PWS

Review and

Inspection 98%

Request corrective action from vendor in accordance with

Performance Assessment

Reporting System (CPARS) and in future requests for Past

Performance information

FAR clause 52.232-50, Combatting Trafficking in Persons

In accordance with clause COR/ACOR/TA

Direct

Monitoring

Program

Random In accordance with clause

INCENTIVES/DISINCENTIVES:

The COR makes an annual report on Contractor Performance (CPARS or other annual report). The vendor’s failure to achieve satisfactory performance under the contract, reflected in the COR’s annual report, may result in termination of the contract and may also result in the loss of future Government contracts. Additionally, the vendor’s failure to achieve satisfactory performance under the contract may also result in the non-exercise of available options.

For each item that does not meet acceptable levels, the Government may issue a Contract Discrepancy Report (CDR).

CDRs will be forwarded to the KO and COR with a copy sent to the vendor. The vendor must reply in writing within

5 days of receipt identifying how future occurrences of the problem will be prevented. Based upon the vendor’s past performance and plan to solve the problem, the KO will determine if any further action will be taken.