Attachment 4_DA_QASP Final.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Quality Assurance Surveillance Plan

Senior Document Analyst

1. PURPOSE:

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated non-personal services contract. This QASP explains the following:

The tasks to be monitored How monitoring will take place How monitoring will be conducted How monitoring efforts and results will be documented

This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

This QASP is a “living document” and the Government may review and revise it on a regular basis. However, the Government shall coordinate changes with the contractor. Updates shall ensure the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions will be provided to the contractor and Government officials implementing surveillance activities.

a. QASP RELATION TO THE SOLICITATION:

QASPs shall be developed at pre-award and appear with every solicitation, as well as the resultant service contract. The Government will retain the right to change the surveillance methods and Quality Assurance (QA) procedures, or to increase or decrease the degree of surveillance efforts at any time necessary to assure contract compliance.

b. REVISIONS TO THE QASP:

The QASP is a tool for use in Government administration of the Performance Work Statement (PWS) and remains subject to revision at any time by the Government throughout the contract performance period.

Revisions to this surveillance plan are the responsibility of the Contracting Officer’s Representative (COR).

Changes to the QASP shall be made unilaterally.

The contractor will assume responsibility for all tasks and deliverables in the PWS under this award. As the performance period progresses, the levels of surveillance may be altered for service areas in cases where performance is either consistently excellent or consistently unsatisfactory. If observations reveal consistently good performance, then the amount of surveillance may be reduced. If observations reveal consistent deficiencies, increased surveillance may be implemented.

2. GOVERNMENT ROLES AND RESPONSIBILITIES:

The following personnel shall oversee and coordinate surveillance activities.

a. Contracting Officer. The CO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The CO shall also assure that the contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

b. Contracting Officer’s Representative. The COR is designated in writing by the CO to act as his or her authorized representative(s) to assist in administering a contract/order. COR limitations are contained in the written appointment letter. The COR will be responsible for technical administration of the contract and shall assure proper Government surveillance of the contractor’s performance. The COR shall keep a COR file. At the conclusion of the contract or when requested by the CO, the COR shall provide documentation to the CO. A COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The contractor shall refer any changes they deem may affect contract price, terms, or conditions to the CO for action.

3. CONTRACTOR ROLES AND RESPONSIBILITIES:

The contractor shall appoint a single off-site point-of-contact to act as a central recipient of communication from the Government.

The contractor is responsible for delivering services in accordance with the Contract. The Contractor measures that quality through the Contractor’s own Quality Control Program (QCP). The Contractor’s QCP will set forth the procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS.

4. CONTRACT QUALITY REQUIREMENTS:

a. Contract quality requirements are the technical requirements in the contract relating to the quality of the service and those contract clauses prescribing inspection and other quality controls incumbent on the contractor, to assure that the service conforms to the contractual requirements. Government contract quality assurance shall be performed at such times and places as may be necessary to determine that the services conform to the contract requirements. Failure to meet or exceed the contract quality requirements is defined as a “nonconformance” on the part of the contractor. The contractor shall be held responsible for any identified nonconformance, and the government may require the work to be re-performed.

b. Per FAR Subpart 46.101, the Government’s contract quality assurance is defined as follows:

1. “Acceptance” means the act of an authorized representative of the Government by which the Government, for itself or as agent of another, assumes ownership of existing identified supplies tendered or approves specific services rendered as partial or complete performance of the contract.

2. “Conditional acceptance” means acceptance of supplies or services that do not conform to contract quality requirements, or are otherwise incomplete, that the contractor is required to correct or otherwise complete by a specified date.

3. “Minor nonconformance” means a nonconformance that is not likely to materially reduce the usability of the supplies or services for their intended purpose, or is a departure from established standards having little bearing on the effective use or operation of the supplies or services.

4. “Major nonconformance” means a nonconformance, other than critical, that is likely to result in failure of the supplies or services, or to materially reduce the usability of the supplies or services for their intended purpose.

5. “Critical nonconformance” means a nonconformance that is likely to result in hazardous or unsafe conditions for individuals using, maintaining, or depending upon the supplies or services;

or is likely to prevent performance of a vital agency mission.

c. Documentation:

1. Thorough documentation of unperformed or nonconformance is essential for tracking contractor performance throughout the period of performance. The COR will document deficient work by compiling facts describing the inspection methods and results. The COR will develop documentation to substantiate nonconformance with the Contract.

2. Remedial Action by the Contracting Officer:

(i) Shall use the DD Form 2772 Contract Discrepancy Report to notify the contractor in writing of the nonconforming service;

(ii) Shall request that the contractor perform the service, at no cost to the Government;

and

(iii) May accept consideration if offered. In accordance with FAR 52.246-[Insert FAR Inspection clause based on contract type]: the Government may require the contractor to re-perform any services that do not conform to contract requirements. If the defects cannot be corrected by re-performance, the CO may either require the contractor to take the necessary action to ensure that future performance conforms to the requirements, or the CO may reduce the Contract price to reflect the reduced value of the services performed. At an extreme decision point, penalties may include a decision not to exercise contract options. The CO will determine the penalty for nonconformance based upon his or her judgment and the severity of the nonconformance.

5. METHODS OF QUALITY ASSURANCE SURVEILLANCE:

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP. –

Regardless of the surveillance method, the COR shall always contact the contractor's point of contact inform the manager of the specifics of the problem. The COR shall be responsible for monitoring the contractor’s performance in meeting the contract’s quality requirements.

100 PERCENT INSPECTION ‐ This is only appropriate for infrequent tasks or tasks with stringent performance requirements, (e.g., when safety or health is a significant concern). With this method, performance is inspected/evaluated at each occurrence. One hundred percent inspection is expensive and should be used on a very limited basis.

PERIODIC INSPECTION: This method, sometimes called “planned sampling,” consists of the evaluation of tasks selected on other than a 100%, or random basis. It may be appropriate for tasks that occur infrequently, and when 100% inspection is neither required nor practicable. A predetermined plan for inspecting part of the work is established using subjective judgment and analysis of available resources to decide what work to inspect and how frequently to inspect it.

CUSTOMER INPUT: This method could be used as a primary inspection method when customers normally complain about poor contractor performance. Inspection is performed with each complaint by determining the root cause of the complaint and confirming that the contractor has not performed in accordance with the terms and conditions of the contract. This exception basis method of surveillance is the least preferred because it relies on the end user to uncover the contract deficiency rather than the contract administration team. It is usually more expensive and less helpful to correct the problem than it would have been to prevent the problem from occurring.

CONTRACTOR REPORTS ON PERFORMANCE: A monthly report from the contractor describing the work performed and the number of hours expended. This is the least preferred method of inspection because the Government should perform the inspection, not rely on the contractor’s assertions. The report alone is not a method of surveillance. If this method is used, the COR must independently verify the information in the report using one of the inspection methods noted above.

Surveillance results may be used as the basis for actions (to include payment deductions) against the contractor. In such cases, the Inspection of Services clause in the Contract becomes the basis for the CO’s actions.

6. FREQUENCY OF MEASUREMENT: During contract performance, the COR and QAEs shall periodically analyze whether the frequency of measurement is appropriate for the work being performed. Surveillance process audits shall, as a minimum, be conducted by the COR and QAEs on a quarterly basis. At the end of each assessment period, the assessment will be reviewed by the CO. The COR/CO will notify the Contractor of the results no later than seven days after the end of the assessment period:

Performance Objective/Deliverable Performance

Standard Acceptable Quality Level

(AQL)

Monitoring

Method

ALL PERSONNEL ON CONTRACT

Weekly case status update to include what examination activity has been completed, what examination activity remains, and a projected completion date for the case notes and laboratory report

Provide case status update to QDB Branch, 12 pm (EST) on Friday of each week.

Completed as required 98% of the time

Periodic Inspection, weekly

Satisfactory completion of an internal authorization test on the technical aspect(s) of the examination request and use of Laboratory Information Management System (LIMS)

Technically and administratively accurate final report and supporting case documentation.

Adherence to relevant Forensic Services Division internal policies.

Once, Completed within 30 days of contract award.

During course of contract, as required, within 15 days after government issuance of internal authorization test

100% Inspection

Technical records including case examination notes/worksheets, images, observations, and final report for technical and administrative reviews to ensure:

Conformance with proper technical procedures and applicable lab policies and procedures.

All results and conclusions are reported and are accurate and consistent with the data obtained from the tests and examinations.

Original observations, data and calculations were recorded at the time they were made.

Sufficient supporting documentation is present to support the conclusions.

All methods are properly listed in the test report.

Any associations are properly qualified in the test report.

The case record documentation possesses the necessary quality control information to validate conclusions.

The report is clear, accurate, and complete.

A Request for Examination or letter of request is documented in the case file.

Technically and administratively accurate final reports and supporting case documentation.

a. No more than one round of corrections during technical review

b. No more than two nonconformities that results in a Nonconformity Request (NCR).

Nonconformities may include, but are not limited to:

i. A quality program deficiency

ii. Internal or external audit finding

iii. Deviation from procedures not previously approved

iv. Instrumentation issues

v. Inappropriate application of technical procedures to casework

vi. Inappropriate interpretation of technical results for casework

vii. Proficiency test issues

viii. Documentation errors that affect case understanding

ix. Customer complaints.

100% Inspection

The report and case notes are grammatically correct and free from misspellings or typographical errors.

Original notes, charts and graphs are included in the case file.

The laboratory case number, examiners or lab staff initials/name, and date is present on all pages of the case notes.

The chain of custody is accurate and complete

All abbreviations are defined in the applicable abbreviation SOP or case notes.

c. Zero significant or systemic nonconformities that results in a Corrective Action Request

(CAR)

Stays informed of current research, trends, innovations, products, articles, books, manuscripts, standards related to forensic document examination through attendance at conferences and professional meetings

Resumé, certificate of completion for the Collaborative Testing Services 2022 Handwriting Examination Test.

Documentation is current 95% of the time

Periodic inspection, monthly