Attachment 4 - QASP.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Award PIID: TBD for ID/IQ Operational Support in support of Department of Defense (DoD), Defense Human Resources Activity (DHRA), Defense Personnel Analytics Center (DPAC), Office of People Analytics (OPA) Customer Support Center: GSA Contractor Name: TBD Contract Ordering Period:

Insert dates at award (Note: this QASP is active until performance ends on all task orders) Effective Date of QASP: Insert and update as QASP is revised NOTICE: This QASP revision supersedes the previous QASP version dated

(Note: this QASP is active until performance ends on all task orders) Effective Date of QASP: Insert and update as QASP is revised Signatures:

Table of Contents

1.0 - GENERAL INSTRUCTIONS

This Quality Assurance Surveillance Plan (QASP) establishes the process for surveillance of contract performance in support of DHRA OPA requirement for services, as detailed in the Performance Work Statement (PWS) for Operations Support. This is an overarching IDIQ level QASP that covers the plan for surveillance on all underlying task orders.

This QASP has been completed in fulfillment of requirements established under Federal Acquisition Regulation (FAR) Part 46. It details the surveillance roles and responsibilities of the contract administration team and describes the specific contract elements subject to surveillance. Further, this QASP establishes the methods of surveillance to be employed, as well as the frequency and timing of that surveillance. The documentation produced through implementation of this QASP will serve to inform the Quarterly Contracting Officer’s Representative (COR) Report in accordance with the Federal Acquisition Service (FAS) Policy and Procedure (PAP) Memo 2020-03, and as implemented via the associated ASSIST Quarterly COR Report module, as well as the applicable Contractor Performance Assessment Report (CPAR). This QASP is filed under Tab 47, Surveillance, of the Electronic Contract File (ECF), and the surveillance documents produced in accordance with this QASP are filed as described in the applicable sections below. In short, this QASP establishes what must be surveilled, how it must be surveilled, and when surveillance must occur. Note: The format of the Quarterly COR Report is provided via a template that is separate from this document.

This QASP is effective as of the date on the cover and supersedes all previous versions. In the instance of a conflict between this QASP and the associated contract, the contract shall prevail.

2.0 - PURPOSE

The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and 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 for ensuring 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 (QA) documentation requirements, describes the analysis of QA monitoring results, and provides a Performance Requirements Summary (PRS).

The contractor is responsible for implementing and delivering performance that meets contract standards using its overarching IDIQ contract level Quality Control Plan (QCP). The QASP provides the structure for the Government’s surveillance of the contractor’s performance and their QCP to assure they meet contract standards. It is the Government’s responsibility to be objective, fair, and consistent in evaluating contractor performance.

The QASP is not part of the contract, and it is not intended to duplicate the contractor’s QCP. This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance.

2.1 – 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 the General Services Administration (GSA) 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.

2.1.1 – PERFORMANCE MANAGEMENT STRATEGY

The contractor shall be responsible for the quality of all work performed. The contractor measures that quality through the contractor’s own Quality Control (QC) program. QC is applicable to all work performed under the contract and accordingly, for any contract featuring a prime contractor/subcontractor arrangement, the prime contractor’s QC program must also address how it will ensure the quality of all work that its subcontractors perform. The contractor’s QCP shall set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The contractor shall 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.

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 utilize performance data generated through surveillance in accordance with this QASP to manage contractual performance. Specifically, the Government will complete regular evaluations of contractor performance in accordance with the PRS. The Government will document those evaluations using the Quality Assurance Monitoring Form (QAMF) and the aforementioned Quarterly COR Report. These evaluations will inform the contractor’s rating in the applicable CPAR. Additionally, regular evaluations may lead to action by the Contracting Officer (CO), including, but not limited to, demands for Corrective Action Reports by the contractor, the issuance of Cure Notices, or the issuance of Show Cause letters. In summary, the surveillance completed and documented through implementation of this QASP will have real and meaningful impact upon the performance of the contract.

2.2 - SCOPE OF QASP

This section of the QASP describes the contractual effort to which the QASP applies. Additionally, this section addresses any applicable and special concerns, to include surveillance under Indefinite Delivery contracting methods.

2.2.1 – DESCRIPTION OF THE CONTRACTUAL EFFORT

The Office of People Analytics (OPA) requires requires operational support for the Health & Resilience and Retention & Readiness Centers’ (H&R and R&R) surveys to assess attitudes and opinions on a wide range of personnel issues across the entire Department of Defense (DoD) community, i.e., active-duty members, Reserve Component members, civilian employees, veterans, family members, and retirees. These surveys involve assembly/distribution activities as well as receiving/processing survey returns. The Contractor shall provide all personnel management, equipment and supplies as necessary to perform the requirements as detailed within the PWS. Contract support for the H&R and R&R program can be broken down into the following 7 key areas:

Program Management Support Survey Operations Support Project Plan Development/Maintenance Implement Computerized Survey Control System Develop and Test Web Surveys Assemble/Maintain/Store Materials Maintain Standard Administrative Specifications Support will generally be performed at the contractor site or remote via telework.

2.2.2 – SURVEILLANCE OF THE INDEFINITE DELIVERY VEHICLE EFFORT

Surveillance for this IDIQ contract is performed at the IDIQ contract level. This IDIQ level QASP will be used to surveil all underlying task orders with an active period of performance. There will not be separate QASPs written for each task order.

See Attachment 1 for the Contract File Index Memorandum that will be filed in Tab 47 for each underlying task order. The Contract File Index will indicate the surveillance documentation that is filed in the ECF for the IDIQ contract instead of with each individual task order (e.g. Quarterly COR Reports). Task order PWS deliverables will be filed within ECF Tab 47 for each task order, when they are approved for release to GSA from the Department of Defense.

3.0 - ROLES AND RESPONSIBILITIES

This section of the QASP specifies the roles and responsibilities of the applicable individuals regarding contract surveillance.

3.1 - 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 Client COR and the contractor. The CO will typically 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 said individuals must be identified and designated by the CO.

Assigned CO: Lissette Fernandez Organization or Agency: GSA APEX 3 Email: lissette.fernandez@gsa.gov Phone: (520) 241-0487

3.2 - CONTRACTING OFFICER’S REPRESENTATIVE (COR)

This IDIQ level QASP will utilize both a Client and GSA Dual COR. An Alternate (A) COR is assigned as backup for the GSA Dual COR. The CORs are designated in writing by the CO to act as their authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The CORs are responsible for technical administration of the project and ensure 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. The Client COR will have the responsibility for completing QAMFs used to document the inspection and evaluation of the contractor’s work performance. Additionally, the Client COR is responsible for completing the Quarterly COR Report per the established template and ensuring that completed reports are filed in Tab 47 of the ECF. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

Assigned Client COR: Jordan DeLisser Organization or Agency: DoD OPA DHRA Email: jordan.a.delisser.civ@mail.mil Phone: (240) 708-0554

Assigned GSA Dual COR: Shontae Williams Organization or Agency: GSA APEX 3 Email: Shontae.williams@gsa.gov Phone: (702) 553-7908

Assigned ACOR: Brandy Lane Organization or Agency: GSA APEX 3 Email: brandy.lane@gsa.gov Phone: (619) 759-0511

3.3 - CLIENT’S TECHNICAL POINT OF CONTACT (TPOC)

The CO may designate a TPOC for the technical administration of the contract. As a representative of the requiring activity, the TPOC may perform or assist in monitoring and assessing the contractor’s performance under the requirements of the PWS; inspecting and recommending acceptance of deliverables; reviewing invoices and recommending approval of payments; providing guidance and clarification of technical requirements, security-related issues, and Information Technology (IT) access.

The TPOC is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf which will:

Cause the contractor to perform work outside the scope of the contract.

Constitute a change as defined in FAR 52.243-1.

Cause an increase or decrease in the price of the contract.

Alter the period of performance or delivery dates.

Change any of the other express terms or conditions of the contract.

Assigned Client’s TPOC: Carol Newell, Operations Deputy Director Organization or Agency: DoD OPA DHRA Email: carol.e.newell2.civ@mail.mil

Assigned Client’s TPOC: Elizabeth (Lisa) Davis, Analytics Deputy Director Organization or Agency: DoD OPA DHRA Email: elizabeth.h.davis18.civ@mail.mil

3.4 - GSA PROJECT MANAGER (PM)

The GSA PM will rely on the Client COR (Jordan DeLisser) to perform the on-site monitoring of the contractor. An alternate PM is assigned as backup for the GSA PM. The GSA PM will stay in close contact with the COR (Jordan DeLisser) in monitoring the contractor’s performance. The PM 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.

Assigned GSA PM: Shontae Williams Organization or Agency: GSA AAS Region 9 Email: shontae.williams@gsa.gov Phone: (702) 553-7908 Assigned Alternate GSA PM: Brandy Lane Organization or Agency: GSA AAS Region 9 Email: brandy.lane@gsa.gov Phone: (619) 759-0511

4.0 - SURVEILLANCE PROCEDURE

4.1 - THE PERFORMANCE REQUIREMENTS SUMMARY (PRS)

The PRS is the “heart” of quality surveillance. The tasks, performance standards, and Acceptable Quality Levels (AQLs) in the matrix below are established in the contract PWS. The method of surveillance and frequency of surveillance are established by this QASP, and CPAR factors applicable to each task are annotated in this QASP PRS. These parameters have been chosen to ensure that contract surveillance supports and documents contractor performance.

The following provides a description of each column of the QASP PRS matrix.

Task: The tasks established in this QASP PRS are derived from those established in the contract PWS. The task provides a description of the work to be surveilled, as well as a PWS citation that associates the task with specific requirements.

Performance Standard: Performance standards established in the QASP PRS are derived from those established in the contract PWS. The performance standard describes the expected level of performance associated with a task.

Acceptable Quality Level (AQL): AQLs established in the QASP PRS are derived from those established in the contract PWS. The AQL provides a specific metric to allow the Government to determine whether contractor performance regarding a task is acceptable. For the purposes of this QASP, meeting the AQL for a task is commensurate with Satisfactory performance. Failure to meet an AQL constitutes Marginal or Unsatisfactory performance, depending upon the degree to which the AQL has been breached. Exceeding the AQL may constitute Very Good or Exceptional performance, but only if the Government realizes specific benefits, such as a higher quality deliverable or a reduction in contract cost. The IPT should exercise care when determining the AQL, and should avoid establishing perfection as the standard except in the rare instance when perfection is required.

Method: This QASP PRS establishes the method of surveillance for each task in the PRS matrix. The appropriate method is one that successfully compares the observed performance with both the performance standard and the AQL. Typical methods include 100 percent inspection, random sampling, periodic sampling/inspection, and customer/client feedback. However, the method selected is not necessarily limited to these options. Rather, the method selected may be tailored to a task to successfully determine whether observed performance meets the established standard and AQL. A best practice is to establish in the description of the method the individual(s) responsible for the surveillance (the “who”) as well as “how” surveillance will be accomplished. The contract CORs will utilize the QAMF, Section 4.2, established in this QASP to document completion of surveillance in accordance with the method described.

Frequency: This QASP PRS establishes the frequency of surveillance for each task in the PRS matrix. The frequency of surveillance must be tailored with respect to the task, performance standard, AQL, and method. The contract CORs will utilize the QAMF to document the date on which surveillance occurred to demonstrate compliance with the frequencies established in this QASP PRS. For example, a monthly status report to be surveilled via 100 percent inspection must be completed monthly.

Applicable CPAR Factor(s): This QASP PRS associates each surveillance activity with an applicable CPAR factor. Regular assessment of contractor performance using the CPAR Factors established in FAR 42.1503(h)(4) (e.g., Exceptional, Very Good) will support CPARs completed either annually, or at the conclusion of performance. IPTs should consult FAR 42.1503(h)(4) when determining which CPAR factors are applicable to a particular task and the associated surveillance.

Figure 1: THE QASP PRS MATRIX

STANDARD

ACCEPTABLE

QUALITY

LEVEL (AQL)

4.2 - THE QUALITY ASSURANCE MONITORING FORM (QAMF)

The Government will use the surveillance methods cited in the PRS to determine whether the performance standards and AQLs have been met by the contractor. The Client COR will document the Government’s quality assurance surveillance using the monitoring form using Attachment 2, QAMF Template. If the contractor has not met the AQLs, the contractor may be required to develop a Corrective Action Plan (Attachment 4) to show how and by what date it will bring performance up to the required levels. Note: Prior versions of quality assurance monitoring forms were used before this revised QASP was adopted and can be found in the IDIQ contract file.

The Client COR or GSA PM will upload a copy of the completed QAMF to the ECF as frequently as needed to comply with the PRS or at least once every three months (quarterly basis). Completed QAMFs will be uploaded to ECF Tab 47, Surveillance of each active task order.

4.3 - THE CLIENT COMPLAINT INVESTIGATION FORM

Performance management drives the contractor to be customer-focused through initially and internally reviewing the quality of performance. When a customer complaint arises, a customer may use the Client Complaint Investigation Form (Attachment 3). 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 COR. The COR will investigate the complaint, using the Client Complaint Investigation Form and will inform the contractor of the complaint. If corrective actions have been taken or are planned, the COR may document in the Contract Corrective Action Plan (Attachment 4). If a complaint is found to be valid and is investigated, a Client Complaint Investigation Form will be filed in ECF Tab 47 of the applicable task order(s). If a complaint is found to be invalid, a Client Complaint Investigation Forms will NOT be filed.

4.4 - THE QUARTERLY COR REPORT

A Quarterly COR report must be completed in accordance with FAS PAP 2020-03, and the controlling COR SOP. CORs should refer to the AAS Template for the Quarterly COR report, which is provided for by way of a separate document. Regular completion of the QAMF will support completion of the Quarterly COR Report and inform its contents.

Timing for completion and filing of the Quarterly COR Report is dependent upon the award date of the IDIQ contract. Quarterly COR Reports associated with this QASP will be completed by the final days of every third month following contract award, or as indicated in the COR Report module of the GSA ASSIST System.

Each Quarterly COR Report will be completed in accordance with the instructions provided in FAS PAP 2020-03 and filed under Tab 47, Surveillance, of the ECF for the IDIQ contract. Each Quarterly COR Report filed with the IDIQ will include the combined surveillance results of any active task orders during the quarterly period.

5.0 - ATTACHMENTS

5.1 - ATTACHMENT 1, TEMPLATE MEMORANDUM FOR DOCUMENTING SURVEILLANCE AT CONTRACT LEVEL

[TEMPLATE FOUND ON FOLLOWING PAGE]

MEMORANDUM TO FILE

SUBJECT: CONTRACT FILE LOCATION INDEX

I. Background

Federal Acquisition Regulation (FAR) Subpart 4.8 requires contract files to be established for all contractual actions. Each contract file should provide a standalone record of the background and history of the contract action and provide adequate documentation to support the decisions made regarding the contractual action.

II. Purpose

This memorandum to file serves as the file location index in accordance with GSAM 504.802(c)(2)(ii).

The purpose of this MTF is to provide an index for the identification of documentation filed outside of the electronic contract file (ECF) for each task order or in an ECF folder other than Tab 47 (such as Monthly Status Reports that are filed with invoices in Tab 34). This task order was issued off of single-award IDIQ # TBD. The Quality Assurance Surveillance Plan (QASP), Contracting Officer Representative (COR) letters, and Quarterly COR Reports are filed with the overarching IDIQ, not with individual task orders. The task orders consist of small integrally related projects and surveillance is conducted for all active projects on a periodic basis. The assessment of these projects is combined and reported at the IDIQ level.

III. Contract File Location Index

Type of Docs

5.3 - ATTACHMENT 2, QAMF TEMPLATE

Page of

AAS QASP Page 1 of 25

QUALITY ASSURANCE MONITORING FORM

Quality Assurance Monitoring Form

CITATION

8. Creation and Delivery of Data

5.4 - ATTACHMENT 3, CLIENT COMPLAINT INVESTIGATION FORM TEMPLATE

CLIENT COMPLAINT INVESTIGATION FORM

Service: (Insert a brief description of the service that is being reviewed)

Surveillance Period: (Insert date/time of the surveillance period) Month XX, 20XX through Month XX, 20XX Date/Time that Complaint was Received: (Insert date/time) Month XX, 20XX at 11:00 am Eastern Time (ET) (modify based on actual time that complaint was received) Source of Complaint: (Insert information regarding the source of the complaint) Name: _____________________________________________________ Organization or Agency: _______________________________________ Email Address: ______________________________________________ Phone Number: ______________________________________________

Nature of Complaint: (Insert a description of the nature of the complaint)

Result of the Investigation: (Insert a summary of the results of the complaint investigation)

Date/Time that Contractor was Informed of Complaint: (Insert date/time) Month XX, 20XX at 11:00 am ET (modify based on actual time that service provider was informed) Prepared by: ______________________________ Date: _______________ Received by: ______________________________ Date: ________________

5.5 - ATTACHMENT 4, CORRECTIVE ACTION PLAN TEMPLATE

Contract Corrective Action Plan A. Administrative Information

Contract Number/Task Order Number:

Report Number:

Issue to (Contractor, Name, Title):

Issue by (COR):

Date of Issue:

Area of Concern (PWS Section, PRS #):

Suspense Date:

B. Description of Area of Concern (Describe in Detail and Ref. PWS (choose one) Section)

Finding 1 Impact

Finding 2 Impact

C. Contractor Response Insert a written Corrective Action Plan that details the corrective action of the Areas of Concern cited. Include the cause and actions taken to prevent recurrence by Suspense Date.

D. Government Response and Actions Taken COR Response to Contractor Corrective Action Plan and Action Taken to Prevent Recurrence - Indicate Acceptance, Partial Acceptance, Rejection with Rationale.

Insert CO Action: (If applicable, reduced payment, cure notice, show cause, other) E. Closeout

Contractor Notified

Client Representative

COR/CO

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