Attachment F- Quality Assurance Surveillance Plan (QASP)(Rev1)(Amd 0003)(12.09.2025).pdf

Attachment F- Quality Assurance Surveillance Plan (QASP)[Rev1](Amd 0003)(12.09.2025)

Quality Assurance Surveillance Plan (QASP) UAC Legal Services

1. Purpose

The QASP provides a systematic method to evaluate performance for the stated contract. It does not detail how the Contractor accomplishes the work. Rather, the QASP is created with the premise that the Contractor is responsible for management and quality control actions to meet the terms of the contract. The QASP discusses what will be monitored, how monitoring will take place, who is responsible for conducting monitoring, and how monitoring results will be documented. 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.

The QASP is a “living document” and the Government may review and revise it on a regular basis. Updates will ensure that the QASP remains a valid, useful, and enforceable document.

The COR will provide the current QASP to the Contractor to inform its quality management.

2. Roles and Responsibilities

The following personnel will oversee and coordinate surveillance activities.

Contracting Officer (CO): The CO is responsible for ensuring performance of all necessary actions for effective contracting, ensuring compliance with the terms of the contract, and safeguarding the interests of the United States in its contractual relationships. The CO will also ensure that the Contractor receives impartial, fair, and equitable treatment under this contract.

Determine the final assessment of the Contractor’s performance. Primarily through the Contracting Officer Representative, the CO ensures Contractor compliance with contractual quality assurance requirements.

Contracting Officer’s Representative (COR): Appointed by the CO, the COR is responsible for providing continuous technical oversight of the Contractor’s performance. The COR uses the QASP to conduct the oversight/surveillance process. The COR will keep a Quality Assurance file that accurately documents the Contractor’s actual performance. The purpose of the COR’s surveillance is to monitor contract performance against contractual requirements and standards, monitor the effectiveness of the Contractor’s quality management, identify any non-conformances and not self-identified by the Contractor, drive Government-identified non-conformance corrective action when appropriate, and support the basis of invoice disposition.

The COR manages contract non-conformances in accordance with attachment 1 of the QASP.

The COR provides input to the CO for the Contractor’s annual performance assessment. The

COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government’s behalf. The COR may be assisted by Technical Points of Contact (TPOC) and program technical experts to both inform and assist with surveillance and performance oversight.

Program/Project Manager (PM): The PM provides program oversight and supports the COR’s performance assessment activities.

Other Key Government Personnel: This may include performance monitors, inspectors, TPOCs, other technical experts, and others who inform or otherwise assist the COR monitor Contractor performance.

3. Surveillance Matrix:

This QASP guides the surveillance activities associated with each discrete element of the Performance Work Statement (PWS). This will be tracked and managed using a separate MS Excel spreadsheet-based surveillance schedule. The surveillance schedule will illustrate the planned frequency and method of the Government surveillance of contract requirements and deliverables.

4. Continuous Assessment:

It is the Contractor’s responsibility to provide the overall management and quality control actions to meet the terms of the contact. It is the responsibility of the Government to monitor Contractor performance and the conformance of services and contract deliverables. The Government also evaluates Contractor performance in an objective, fair, and consistent manner.

Through its surveillance, the Government will continuously assess the Contractor’s performance.

The Government assesses surveillance-based contract performance using a rating system aligned with the Contractor Performance Assessment Reporting System (CPARS) ratings.

The Government’s surveillance-based assessments use CPARS-aligned ratings: Exceptional, Very Good, Satisfactory, Marginal, and Unsatisfactory as follows:

Rating Score Definition* Problems Corrective Actions

Exceptional 5

Surveilled item / service performance meets contractual requirements and exceeds many to the Government’s benefit.

Few Minor Highly Effective

Very Good 4

Surveilled item / service performance meets contractual requirements and exceeds some to the Government’s benefit.

Some Minor Effective

Satisfactory 3 Surveilled item / service performance meets contractual requirements.

Some Minor Satisfactory

Marginal 2 Surveilled item / service performance does not meet some contractual requirements.

Serious; Recovery Still Possible Marginally Effective

Unsatisfactory 1 Surveilled item / service performance does not meet most contractual requirements

Serious; Recovery Not Likely Ineffective

* See FAR 42.1503 Procedures, Table 42-1 for full description and for notes to assist with rating justifications

5. Performance Standards

The Performance Requirements Summary (PRS), PWS Section 12, in combination with the tasks and standards defined within the PWS, define performance standards and acceptable quality levels (AQLs). The Contractor is responsible for ensuring all contractual requirements and standards are met. The Government performs surveillance in accordance with the QASP and the surveillance matrix. The Government uses these standards and the requirements defined within this PWS to determine Contractor performance.

Definitions:

• Performance standard: See PWS Section 12

• Acceptable Quality Level (AQL): See PWS Section 12

Task/Objective PWS ref. Performance Standards Acceptable

Quality Levels

Duration 2.3 Contractor maintains services of former UAC under ORR custody where legal representation was initiated prior to the age of 18 on a -by-case basis as determined by ORR

N/A

Applicable Statutes, Regulations, and Policies

4.2 Provide support in a

systematic and uniform manner to ensure compliance with federal regulations and ORR policies and procedures

N/A

Personnel Qualifications 4.3 Ensure representation provided by personnel meeting requirements in Section 4.3

N/A

Interpretation, Translation and Accessibility

4.4 Provide services that meet

the requirements of Section 4.4

N/A

Attorney Ethics Conflicts Management

4.5 Provide deliverables and

services in accordance with Section 4.5 and Section 11 Table of Deliverables

N/A

Service Delivery Principles 4.7.b Provide services in a manner that follows the principles of Section 4.7.b

N/A

Legal Orientations 5.1 100% within 10 business days of notification of a UAC's admission or transfer to an ORR facility (except ORR long-term foster care or ORR transitional foster care)

95%

Legal Orientations 5.1 100% every six (6) months for unrepresented UAC who remain in ORR custody

95%

Legal Orientations 5.1.4 Orientation materials are accurate, multilingual, and developmentally appropriate as identified in Section 5.1.4 and Section 11 Deliverable Table.

N/A

Legal Consultations 5.2 100% within 10 business days of notification of a UAC's admission or transfer to an ORR facility (except ORR long-term foster care or ORR transitional foster care)

95%

Legal Consultations 5.2 100% every six (6) months for unrepresented UAC who remain in ORR custody

95%

Direct Legal Representation and Pro Bono

5.3 Offer direct legal

representation to the extent required by law, and subject to ORR’s discretion and available appropriations, with a minimum of the % (annually, specified at award) of the total cost of all direct representation services provided (in care and post release) delivered through pro bono counselOffer direct legal representation to the extent required by law, and subject to ORR’s discretion and available appropriations, with a minimum of 10% of the total cost of all direct representation services provided (in care and post release) delivered through pro bono counsel

N/A

Direct Legal Representation and Pro Bono

5.3 Manage a model for

recruitment and training of qualified pro bono attorneys and other legal representatives in accordance with the accepted plan and Section 5.3

N/A

Data Collection, Analysis, and Reporting

5.4 Collect, report and provide

metrics and data on all legal services activities.

Reports are timely, complete, accurate, and in defined or directed formats and delivery methods as specified in Section 5.4 and Section 11 deliverable table.

For API reporting, reporting must be within 7 calendar days.

Data Collection, Analysis, and Reporting

5.4 Provide analysis and

recommendations that are data-driven and support continuous improvement as specified in Section 5.4 and Section 11 deliverable table.

N/A

Data Collection, Analysis, and Reporting

5.4 Provide metrics and pro-

bono reporting as specified in Section 5.4 and Section 11 deliverable table.

N/A

Project Management, Quality Assurance, and Communication

6 Adhere to the management approach defined in the Project Management Plan for the recruitment, delivery, and execution of contract tasks

N/A

Monthly Progress reports 6.2 Provide monthly progress reports in accordance with Section 6.2 and Section 11 deliverable Table.

Reports are timely, complete, accurate, and in defined or directed formats and delivery methods

98% accuracy with no required changes by the

COR

1 day variance from timeliness requirement.

Weekly Subcontractor Reports 6.3 Provide weekly subcontractor reports in accordance with Section

6.2 and Section 11 deliverable Table.

Reports are timely, complete, accurate, and in defined or directed formats and delivery methods

98% accuracy with no required changes by the

COR

1 day variance from timeliness requirement.

Meetings 7 Attend, participate, provide input and deliverables for all meetings defined in PWS Section 7 and the Section 11 Deliverable Table.

1 day variance from timeliness requirement.

Travel 8 All travel plans submitted in accordance with Section

8. Pre-approved by COR prior to actual travel.

1 day variance from timeliness requirement.

Background Investigations & Suitability Determinations

9.1 Meet all requirements as

defined in Section 9.1 and Section 11 Deliverable Table.

N/A

Compliance with Regulations and Procedures

9.2b Meet all requirements as defined in Section 9.2

N/A

Security Requirements 9.5 Meet all requirements as defined in Section 9.5

N/A

Security Training 9.6 Meet all requirements as defined in Section 9.6

N/A

Records Management 9.7 Meet all requirements as defined in Section 9.7

N/A

(Specific surveillance methods for each task/objective identified to be determined by the COR based on Government assessed risk to contract performance. See Section 6 below.)

6. Surveillance Methods and Frequency

The COR will be responsible for coordinating and monitoring the Contractor’s performance in accordance with this QASP and the Contractor’s Quality Management Plan. The CO will assist the COR as needed and provide approvals as required in the contract. Regardless of the surveillance method, when the COR identifies a non-conformance/contract deficiency, the COR and the Contractor will follow the procedures at Appendix A, Non-Conformance Reporting.

The Government may use a variety of surveillance methods to evaluate the Contractor’s performance. These include, but are not limited to, risk management, random sampling of recurring services, periodic surveillance of the Contractor’s quality control program, Contractor Program Management and validated client or staff complaints. Surveillance may be in person or virtual. The Contractor is afforded the opportunity to rebut any surveillance finding within seven days of notification by the COR of any negative surveillance findings. The post‐rebuttal determination is the final determination after either the Government has responded to the Contractor’s rebuttal or the Contractor declines to submit a rebuttal.

Specific surveillance methods and frequency for each service/task/objective will be determined by the COR primarily based on Government assessed risk to contract performance.

7. Documenting Performance

The Government will document performance. Any report may become part of the supporting documentation for non-conformance reporting and Government remedies for performance issues, fixed price payments, CPAR, or other actions.

8. Mandatory or regulatory compliance items

The Contractor will be monitored to ensure compliance with statutory or regulatory compliance items that are part of the contract such as combating trafficking in persons, EEO, wage determinations, intellectual property, subcontracting plan compliance, etc. The COR will notify the Contracting Officer if there are any potential or actual noncompliance issues with federal statues, laws, or regulations.

Appendix A: Non-Conformance Reporting to

1. Definitions

a. Corrective Action Request (CAR): A formal request issued to a contractor to address and correct performance deficiencies.

b. Non-Conformance: A failure to meet specified requirements or standards in contract performance.

c. Performance Deficiency: Inadequate or substandard performance by a

Contractor under the terms of the contract.

2. Corrective Actions Requests (CAR)

The Office of Refugee Resettlement (ORR) will document all instances of a Contractor performance deficiency/contract non-conformance on a CAR (Attachment 1). The Contracting Officer’s Representative (COR) creates the CAR, obtains Contracting Officer (CO) approval for Level III and Level IV CARs, and then sends the CAR to the Contractor. ORR communicates with the Prime Contractor only – not directly with the subcontractors. The Prime Contractor is responsible for communicating with the relevant subcontractor(s) to resolve a CAR and the underlying deficiency/non-conformance.

3. Contractor Identified Deficiency When the Contractor self-identifies a deficiency in its processes, services, or deliverables and takes appropriate, timely, and effective corrective action, the Government will not issue further corrective action documentation unless the Government determines later the Contractor’s corrective action is ineffective. If the Contractor’s corrective action is ineffective and action to correct nonconformance either is not taken or is not satisfactory within an agreed upon timeframe, the COR will issue a CAR, coordinating with the CO as appropriate.

4. CAR Process

a. The Government will notify the Contractor of the contract deficiency prior to CAR issuance to ensure awareness of the contract noncompliance. This notification may be written or verbal (if verbal, the COR will follow up with written documentation).

b. All CARs will be communicated in writing – CARs will not be verbal.

c. The COR determines the initial deficiency level and will indicate in the

CAR whether the deficiency is a minor nonconformance (Level I or II), major nonconformance (Level III), or critical nonconformance (Level IV).

The Government makes this determination in accordance with FAR part 46, Quality Assurance.

https://www.acquisition.gov/far/part-46#FAR_46_101 https://www.acquisition.gov/far/part-46#FAR_46_101

d. The COR will provide the Contractor with technical direction to immediately address any critical deficiencies that impact safety or ORR mission.

e. Level I CARs do not require the Contractor to prepare a written Corrective Action Plan (CAP). Level II and higher CARs require the Contractor to prepare a written CAP.

i. CAPs for non-commercial items must include Root Cause and

Corrective Action (RCCA). The Legal Services contract is for commercial services; as such RCCA will not be required.

ii. CAPs for commercial items do not require a RCCA. A CAR issued for nonconforming product or service being tendered to the government for acceptance under FAR part 12, Acquisition of Commercial Products and Commercial Services, can only require the Contractor to identify actions taken to correct the specific product and/or service nonconformity.

f. For repeated CARs at any level, the Government will consider elevating the CAR to the next higher level.

g. The Contractor will provide a written response to CO/COR as required by the CAR letter and begin to develop the CAP. The Contractor and the COR/CO will discuss the CAP throughout the CAP development process.

COR/CO input during CAP development will ensure Government approval of the final version of the CAP.

h. The Contractor must provide the CAP to the Government within 15 calendar days of receiving the CAR.

5. Contractor’s CAR Response Requirements The Contractor’s response and CAP must include the following elements:

a. Root cause of the deficiency (not applicable to the Legal Services Contract)

b. Actions taken to correct the current specific deficiency

c. Corrective action taken or planned to eliminate the deficiency

d. Action taken to prevent recurrence of the deficiency

e. Determination of whether other processes are affected by the identified root cause

f. Determination of whether other costs, products, and/or services are affected by the identified root cause, including product already delivered to the customer

g. Action taken to correct the weakness that allowed deficient costs, products, and/or services to be provided to the government for acceptance

h. Target date(s) for implementation of planned actions

i. Corrective Action Approved Date (to be provided by the COR/CO) https://www.acquisition.gov/far/part-12 https://www.acquisition.gov/far/part-12

j. Corrective Action Implementation Date

6. Verifying the Contractor’s Corrective Action

The COR and CO will verify the Contractor’s implementation of corrective and preventive actions.

a. If the Government assesses that the Contractor is not implementing corrective actions in accordance with the accepted CAP, the COR will notify the Contractor in writing and request the Contractor submit a revised CAP within 10 calendar days.

b. If the Contractor fails to respond to the request for a revised CAP or the resubmitted response is still insufficient, the Government may escalate the CAR to the next higher CAR level.

7. Validating the Contractor’s Corrective Action To ensure full resolution of the deficiency, the COR will perform a validation review after the Contractor asserts that it completed the corrective actions.

If objective evidence establishes the Contractor’s corrective action is ineffective, the COR will reject the Contractor’s corrective action response and consider escalation of the CAR level. The rejection notification letter will be in writing and include evidence of the inadequacy.

8. Escalating a CAR to the Next Higher CAR Level The Government may escalate a CAR to the next higher level when the COR and/or CO determines that the Contractor is unwilling or unable to implement effective corrective action. When the Government escalates a CAR to the next higher level, the Government and Contractor will repeat the process outlined in section 4.

9. Closing a CAR When the Government is satisfied that the Contractor’s corrective actions resolved and are appropriate to prevent recurrence of the deficiency, the Government will close the CAR and the COR/CO will notify the Contractor in writing. The Contractor must continue any follow-up actions in accordance with the CAP.

Attachment 1: Corrective Action Request Format to Appendix A: Non-Conformance Reporting to

CAR required information:

TO: (Contractors Name/POC) _____________________________________ THROUGH: (COR Name ) ___________________________________

FROM: (CO) _________________________________________

SUBJECT: Corrective Action Request Contract/Order Number _______________

CAR LEVEL ISSUED: (I, II, II, IV )___________________________

Contract number/order: ___________________________________

Date deficiency observed: __________________________________

Location of Prime Contractor: ______________________________________

Name of Subcontractor (if applicable): _______________________________

Location of Subcontractor (if applicable): ____________________________

POC of Subcontractor (if applicable):________________________________

Contractual requirement reference(s): _______________________________

Deficiency/nonconformance description: _____________________________

Due date for contractor’s response ___________________________ [15 calendar days for initial response unless a different number of days is agreed-to between the COR/CO and the Contractor].

COR Signature and Signature Block

Disclaimer Statement: “Nothing in this CAR changes any terms or conditions of the contract or waives any rights the Government has under the contract or in law.