2. Attachment 2 - QASP.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Tribal Home Visiting Resource Institute for Excellence (THRIVE) TA Center

Attachment 2

Program Office:

Office of Early Childhood Development (ECD) Administration for Children and Families (ACF) The Department of Health and Human Services (DHHS)

Contracting Activity:

Research and Knowledge-Based Services Office of Government Contracting Services (GCS) Administration for Children & Families (ACF) Department of Health and Human Services (DHHS)

DEPARTMENT OF HEALTH & HUMAN SERVICES

Administration for Children Families

GOVERNMENT CONTRACTING SERVICES

1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) was prepared in conjunction with the preparation of the Performance Work Statement (PWS) in accordance with FAR 46.401 and FAR 37.604. This QASP sets forth the procedures and guidelines which the Government will use to monitor the work which requires surveillance and the method(s) of surveillance. The use of this QASP will assist in maintaining contractor accountability relative to all performance requirements.

1.1 SCOPE

To fully understand the roles and the responsibilities of the parties, it is important to first define the distinction in terminology between the Quality Control Plan (QCP) and the QASP. The Contractor is responsible for management and quality control actions necessary to meet the quality standards set forth in the contract.

The Contractor develops and submits a QCP for Government approval in compliance with contract deliverables. Once accepted, the Contractor uses the QCP to guide and rigorously document the implementation of the required management and quality control actions to achieve the specified results.

Alternatively, the QASP is established to provide direction to Government personnel performing contract surveillance and oversight of the Contractor’s quality control efforts to assure they are timely, effective, and in accordance with contract requirements. The Government will include the QASP with the solicitation to support Offerors’ efforts in developing a QCP that will align with the Government’s plan, then incorporate it into the contract upon award. Personnel surveying contract terms and conditions and PWS requirements will periodically review and update the QASP as needed throughout the life of the contract.

1.2 PURPOSE

The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and resources needed.

The QASP provides a means for evaluating whether the contractor is meeting the performance standards or quality levels identified in the PWS, and ensuring that the Government receives the services in the contract.

This QASP defines the roles and responsibilities, identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor’s performance, describes Quality Assurance (QA) documentation requirements, describes the analysis of QA monitoring results, and provides a Performance Requirements Summary (Attachment 1) that includes the method used to improve contractor performance when appropriate.

1.3 PERFORMANCE MANAGEMENT APPROACH

The PWS structures the acquisition around “what” service or quality level is required, as opposed to “how” the contractor should perform the work (i.e., results, not compliance). This QASP will define the performance management approach taken by ACF GCS to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives communicated in the PWS are achieved. Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether expected outcomes for the project are being achieved by the contractor.

Performance management represents a significant shift from the more traditional QA concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and to what extent versus scrutiny of compliance with the processes used to achieve the outcome. A performance-based approach facilitates the contractor providing an innovative solution within the stated constraints that gives the Government the opportunity to receive outstanding results. A “results” focus provides the contractor flexibility to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved and/or the desired performance levels are being met.

1.4 PEFORMANCE MANAGEMENT STRATEGY

The Contractor is responsible for the quality of all work performed. The contractor shall develop and implement its own performance management system with processes to assess and report its performance to the designated Government representative. This QASP constitutes the Government’s approach to contractor performance.

Government representative(s) will monitor performance and review contractor products to determine how the contractor is performing against communicated performance objectives. The Government will use this information when completing the Contractor Performance Assessment Report (CPAR). The contractor shall be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2.0 ROLES AND RESPONSIBILITIES

2.1. Government Roles

The following definitions for Government resources are applicable to this plan:

2.1.1. Contracting Officer (CO). A person duly appointed with the authority to enter into, administer, or terminate contracts and make related determinations and findings on behalf of the Government.

2.1.2. Contracting Officer’s Representative (COR). An individual designated in writing by the CO to act as his authorized representative to assist in administering a contract. The source and authority for a COR is the CO. COR limitations are contained in the written letter of designation.

2.1.3. Technical Monitor (TM). An individual designated in writing by the Contracting Officer to act as support to the COR in monitoring Contractor performance and completion of the contract. The source and authority for a TM is the CO. TM limitations are contained in the written letter of designation.

2.2. Responsibilities

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

2.2.1. CO. The CO 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. The CO assures the Contractor receives impartial, fair, and equitable treatment under the contract, and is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

2.2.2. COR. The COR is responsible for technical administration of the project and assures proper Government surveillance of the Contractor’s performance.

The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. Any changes the Contractor deems may affect contract, price, terms, or conditions shall be referred to the CO for action.

2.2.3. TM. The TM is responsible for verifying that the Contractor performs the technical requirements of the contract in accordance with the contract terms, conditions, and specifications and performing surveillance of the Contractor’s performance. The TM is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The TM will record and report incidents of faulty or nonconforming work, delays, or problems to the COR and CO. In addition, the TM is to submit a monthly report concerning performance of services rendered under this contract to the COR. Any changes that the Contractor deems may affect contract, price, terms, or conditions shall be referred to the CO for action.

3.0 IDENTIFICATION OF REQUIRED PERFORMANCE

STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in the PWS and in Attachment 1, Performance Requirements Summary. If the contractor meets the required service or performance level, it will be paid for the time and materials. Failure to meet the required service or performance level will result in a negative past performance consulting.

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 SURVEILLANCE TECHNIQUES

In an effort to minimize the performance management burden, simplified surveillance methods will be used by the Government to evaluate contractor performance when appropriate. The primary methods of surveillance are:

4.1.1 Customer Feedback

Customer feedback may be obtained from random customer complaints/suggestions. Valid customer complaints must be in writing—clearly detailing the nature of the complaint—signed, and forwarded to the COR. The COR shall maintain a summary log of all formally received customer complaints as well as a copy of each complaint in the COR files. The COR shall also keep tabulated results of all customer satisfaction surveys, if utilized, on file.

NOTE: The customer always has the option to communicate complaints to the COR as opposed to the Contractor. The COR will accept and investigate all customer complaints.

4.1.2. 100% Inspection This level of inspection shall be accomplished by inspecting each and every deliverable to the fullest extent practicable. It is preferred for infrequent, low-quantity deliverables.

4.1.3. Periodic Inspection

Periodic inspections shall be conducted quarterly. For the potential tasks that have been identified so far in Attachment 1 included in this QASP, a COR typically performs the periodic inspection on a quarterly basis.

4.1.4 Random Monitoring/Sampling

For the potential tasks that have been identified so far in Attachment 1 included in this QASP, the random monitoring shall be performed by a COR.

4.1.5. Management Information Systems

Information will be collected through the Contractor Performance Reporting Application, which is a database managed by the Government, for evaluation by a COR to determine Contractor performance (timeliness and quality).

4.1.6. Observation of Performance

A COR will observe the Contractor’s ability to follow all policies and procedures to conduct the services contained in the PWS.

4.1.7. Trend Analysis

A COR will observe data over time to see differences in quality and timeliness via an analysis of changes in performance metrics.

4.2 CUSTOMER FEEDBACK

The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints.

Performance management drives the contractor to be customer-focused through initially and internally addressing customer complaints and investigating the issues and/or problems. However, the customer always has the option to communicate complaints to the ACF GCS CO, as opposed to the contractor.

Valid customer complaints must clearly set forth the detailed nature of the complaint, must be in writing and signed, and must be forwarded to the ACF Program Office COR. The ACF Program Office COR will receive those customer complaints and investigate them using the QA Monitoring Form: Customer Complaint Investigation, identified in Attachment 3.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

4.3 ACCEPTABLE QUALITY LEVELS (AQLs)

The AQLs included in the table in Attachment 1, Performance Requirements Summary, are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls. For certain critical activities, such as those involving the media campaign and events, the desired performance level is established at 100 percent. Other levels of performance are keyed to the relative importance of the task in relation to the overall mission performance at the Office of Child Care.

5.0 QA DOCUMENTATION

5.1 PERFORMANCE MANAGEMENT FEEDBACK LOOP

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the SOW and assessed using the performance monitoring techniques shown in Attachment 1.

5.2 MONITORING FORMS

The Government’s QA surveillance, accomplished by the ACF Program Office COR, will be reported using the monitoring forms in Attachments 2 and 3. The forms, when completed, will document the Government’s assessment of the contractor’s performance under the contract to ensure that the required results are being achieved.

The ACF Program Office COR will retain a copy of all completed QA monitoring forms.

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 DETERMINING PERFORMANCE

The Government will use the monitoring methods cited to determine whether the performance standards, service levels, and AQLs have been met. If the contractor has not met the minimum requirements, the contractor may be asked to develop a corrective action plan to show how and by what date it intends to bring performance up to the required levels. Failure to meet the AQL may result in a negative CPARS rating, and exceeding the AQL may result in a positive CPARS rating, as shown in Attachment 1.

6.2 REPORTING

After each inspection, the ACF Program Office COR will prepare a written report for the ACF GCS PM summarizing the overall results of the QA surveillance of the contractor’s performance. This written report, which includes the contractor’s submitted monthly report and the completed QA Monitoring Form (Attachment 2), will become part of the QA documentation. It will enable the Government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards, including technical/scheduling objectives.

6.3 REVIEWS AND RESOLUTION

The ACF Program Office COR may require the contractor’s project manager, or a designated alternate, to meet with the ACF GCS CO and other Government IPT personnel, as deemed necessary, to discuss performance evaluations. The ACF Program Office COR will define a frequency of in-depth reviews with the contractor including appropriate self-assessments by the contractor; however, if the need arises, the contractor will meet with the ACF Program Office COR as often as required or per the contractor’s request. The agenda of the reviews may include:

Monthly performance assessment data and trend analysis.

Issues and concerns of both parties.

Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis.

Recommendations for improved efficiency and/or effectiveness.

Issues arising from the performance monitoring processes.

The ACF GCS CO and COR must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance. The ACF GCS CO, ACF Program Office COR, and contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels and procedures will be incorporated as a contract modification.

ATTACHMENT 1

PERFORMANCE REQUIREMENTS SUMMARY

Required Tasks Performance Standards

Method of Surveillance (Quality Assurance)

Standard to be Met/ Allowable Deviation

Quality Assurance Contractor maintains high level of quality assurance such that all work products delivered under this contract are of high-quality.

COR and Contracting Officer monitoring and review of activities and deliverables.

COR makes no more than two written complaints for the period of performance.

Timeliness Contractor meets agreed upon timeframes for project activities and deliverables.

COR and Contracting Officer monitoring and review of activities and deliverables.

No more than one-week delay unless agreed upon, in writing, by COR in advance of the deadline/due date.

Contract Management

Contractor appropriately manages the project, including informing the COR of any challenges or issues in a timely manner and not after the fact.

COR and Contracting Officer monitoring of monthly progress reports, COR participation in regular project communication calls, and other ad hoc communication with the Contractor.

No instances of issues or problems being raised to the COR after the fact or after such time that no remedies are available.

Cost Control Contractor manages the project budget to avoid cost overruns within task and overall budget and notifies the COR in advance of any potential budget concerns.

COR and Contracting Officer monitoring of monthly progress reports, COR participation in regular project communication calls, and other ad hoc communication with the Contractor.

Contractor shall operate within the budget for each CLIN and have no instances of cost issues without raising to the COR in advance.

Written Products Contractor provides high-quality written

COR and other federal staff reviews of draft

Fewer than 4 (four) rounds of revision with minimal materials. and final products. rewriting, editing required; Product disseminated as planned.

ATTACHMENT 2

SAMPLE QUALITY ASSURANCE (QA) MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

ITEMS SAMPLED DURING SURVEY PERIOD:

ANALYSIS OF RESULTS:

Service Provider’s Performance (Check): Meets Standards Does Not Meet Standards Narrative of Performance during Survey Period:

PREPARED BY: _______________________ DATE: _________________

ATTACHMENT 3

QUALITY ASSURANCE (QA) MONITORING FORM – CUSTOMER

COMPLAINT INVESTIGATION

SERVICE or STANDARD:

SURVEY PERIOD:___________________

DATE/TIME COMPLAINT RECEIVED: _____________ ________AM/PM

SOURCE OF COMPLAINT: _______________________________

(NAME)

_______________________________ (ORGANIZATION)

_______________________________ (PHONE NUMBER)

_______________________________ (EMAIL ADDRESS)

NATURE OF COMPLAINT:

RESULTS OF COMPLAINT INVESTIGATION:

DATE/TIME SERVICE PROVIDER INFORMED OF COMPLAINT: _________

_______AM/PM

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER:

RECEIVED AND VALIDATED BY:

PREPARED BY: ___________________________________

DATE: ____________