RFP Attachment 6 - Quality Assurance Surveillance Plan (1) (1).pdf

Attachment D

47QFPA21K0005 Page 1

QUALITY ASSURANCE SURVEILLANCE

PLAN (QASP)

RESEARCH FOR PERSONNEL SECURITY, SUITABILITY AND

RELIABILITY SYSTEMS

in support of:

PERSONNEL AND SECURITY RESEARCH CENTER

(PERSEREC)

OFFICE OF PEOPLE ANALYTICS (OPA)

GSA R9 FAS AAS Acquisition ID #47QFPA21K0005

General Services Administration (GSA)

Federal Acquisition Service (FAS) Assisted Acquisition Services (AAS) Region 9

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

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1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) entitled Acquisition and Financial Support Services. This plan sets forth the procedures and guidelines R9 FAS AAS will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 PURPOSE

The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards or quality levels identified in the PWS and the contractor’s Quality Control Plan (QCP), and to ensure that the Government pays only for the level of services received.

This QASP defines the roles and responsibilities of all members of the Integrated Project Team (IPT), identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor’s performance, describes quality assurance documentation requirements, describes the analysis of quality assurance monitoring results, and provides a Performance Requirements Summary (Attachment 1) that includes the method used to improve contractor performance when appropriate.

1.2 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 R9 FAS AAS 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 Quality Assurance (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.

1.3 PERFORMANCE MANAGEMENT STRATEGY

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The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor’s own Quality Control (QC) program. QC is work output, not workers, and therefore includes all work performed under this contract regardless of whether the work is performed by contractor employees or by subcontractors. The contractor’s QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The contractor will develop and implement a performance management system with processes to assess and report its performance to the designated Government representative. This QASP enables the Government to take advantage of the contractor’s QC program.

The Government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The Government will make a determination regarding incentives based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2.0 ROLES AND RESPONSIBILITIES

2.1 Contracting Officer (CO)

The CO is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the Contracting Officer’s Representative (COR) and the contractor. The CO will designate one full-time COR as the Government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the contractor’s performance, and must be identified and designated by the

CO.

2.2 Contracting Officer Representative (COR)

The COR is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensures 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 that the contractor deems may affect contract price, terms, or conditions shall be referred to the CO for action.

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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, the contractor will be paid the monthly amount agreed on in the contract. Incentives are shown in attachment one.

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

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

a. Random sampling, which shall be performed by the COR.

b. 100% Inspection: Each month, the COR, shall review the generated documentation and enter summary results into the Quality Assurance Monitoring Form (Attachment 2).

c. Periodic Inspection: COR typically performs the periodic inspection on a monthly basis.

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 Contracting Officer (CO) or Contracting Officer’s Representative (COR) as opposed to the contractor.

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 COR. The COR will accept those customer complaints and investigate them using the Quality Assurance 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

The Acceptable Quality Levels (AQLs) included in Attachment 1, Performance Requirements Summary Table, for contractor performance are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls. For

47QFPA21K0005 Page 4 certain critical activities such as those involving Security, the desired performance level is established at 100 percent, or Zero Security Violations. Other levels of performance are keyed to the relative importance of the task in relation to the overall mission performance.

5.0 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

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

5.2 Monitoring Forms

The Government’s QA surveillance, accomplished by the 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 COR will retain a copy of all completed QA monitoring forms and post a copy of the monthly report in GSA’s online payment system called GSA ASSIST.

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 Determining Performance

The Government shall use the monitoring methods cited to determine whether the performance standards, service levels, AQLs have been met. If the contractor has not met the minimum requirements, it 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.

6.2 Reporting

At the end of each month, the COR will prepare a written report summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which includes the contractor’s submitted monthly report and the completed quality assurance monitoring forms (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 cost, technical, and scheduling objectives.

6.3 Reviews and Resolution

The COR may require the contractor’s project manager, or a designated alternate, to meet with the CO and other Government IPT personnel as deemed necessary to discuss performance evaluation. The 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

47QFPA21K0005 Page 5 meet with the COR as often as required or per the contractor’s request. The agenda of the reviews may include:

a. Monthly performance assessment data and trend analysis

b. Issues and concerns of both parties

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

d. Recommendations for improved efficiency and/or effectiveness

e. Issues arising from the performance monitoring processes.

The CO, COR must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

The CO, 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, procedures, and metrics will be incorporated as a contract modification.

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ATTACHMENT 1: PERFORMANCE REQUIREMENTS SERVICES SUMMARY

Required Services (Tasks)

Indicator Performance Standard

Acceptable Quality Level

Surveillance Method

Incentive

Cost Efficiency Initiatives:

Proactive in identifying, recommending and implementing cost efficiency initiatives

Quality Efficient and effective in meeting requirements.

Provides quality service and products;

Provides valuable recommendations

Cost efficiency initiative is identified and recommended to the Government for implementation annually.

Periodically to verify during Quarterly Program Management Reviews)

Monthly Evaluation, CPAR, Past Performance Rating

Product or Service Initiatives:

Proactive in identifying, recommending, and implementing improvement and new ideas, initiatives, and innovations

Contractor provides recommendations that are valuable and measurable

Recommendation is affordable, measurable and can be implemented

At least one (1) product or service, new and innovative tools and processes, business process improvement initiatives are identified and recommended to the Government for implementation quarterly

Periodic (submission of business process improvement report, Program Management Reviews);

Monthly Status Report

Monthly Evaluation, CPAR, Past Performance

Quality of Product or Service:

Contractor assures customer satisfaction

Quality, accuracy, timeliness

Customer questions must be resolved effectively and efficiently

No more than one (1) set of corrections required per month for any product provided for a given TO. All corrections submitted within one (1) working day of the negotiated suspense.

Customer Complaint

Monthly Evaluation, CPAR, Past Performance

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Schedule:

Services and deliverables are submitted on time

Timeliness, quality

Efficient and effective in meeting requirements.

No more than one (1) late deliverable per month. No deliverable late more than four

(4) working days

COR to verify all deliverables on a monthly basis

Monthly Evaluation, CPAR, Past Performance

Management of Personnel:

Maintain support continuity with no mission impact

Quality, Timeliness

Efficient and effective in meeting requirements.

Provides quality service and products;

Provides valuable recommendations

Workforce changes from the TOMP are in place within five (5) working days of negotiated date.

Customer Feedback and Complaint

Monthly Evaluation, CPAR, Past Performance

Compliance of Security Requirements:

Comply with security requirements

Critical Security Requirements

Efficient and effective in meeting requirements.

Provides quality service and products;

Provides valuable recommendations

Zero security violations and Zero internal Classified Message Incident (CMI) per year.

Periodic (COR to verify with Security Office on a monthly basis)

Monthly Evaluation, CPAR, Past Performance

Final Deliverables (not draft)

Timeliness, accuracy, quality

Final Deliverables submitted by due date and with zero errors

Not more than two deliverables can be submitted late or with errors monthly

Periodic inspection, daily review

CPAR

Monthly Progress Report

Timeliness, accuracy, quality

Reports submitted on time, PMR schedule

Not more than one error on report per month

100% review CPAR

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ATTACHMENT 2

SAMPLE QUALITY ASSURANCE 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

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Service Provider’s Performance (Check): ❒ Meets Standards

❒ Does Not Meet Standards

Narrative of Performance During Survey Period:

PREPARED BY: ___________________________________ DATE: _________________

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ATTACHMENT 3

QUALITY ASSURANCE 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:

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SERVICES SUMMARY