A19-QASP.docx

QASP Template

Quality Assurance Surveillance Plan Template

NOTES ON USING THIS TEMPLATE:

This template has been developed to assist DOL requiring activities with creating a Quality Assurance Surveillance Plan (QASP). The purpose of the QASP is to provide the Government and contractor with evaluation criteria that determines whether or not the performance standards for a specific contract have been met.

TO FINALIZE THIS DOCUMENT:

Complete as much development of the QASP as possible before contract award. Since the winning offeror; their key staff; and final performance standards are not known until after award, the QASP will remain in draft form until the contract is awarded. Upon contract award, you should complete this QASP and perform the following steps.

This template should be TAILORED to meet your specific requirements. Before proceeding, please select a unique file name and save the file on your computer. The following guidelines are provided for using this template:

Instructions, explanations, and comments are embedded throughout this template in two forms:

AND

< User input guidance is in yellow between ‘<>” >

All instruction boxes and user input guidance must be removed before finalizing this document. To remove instruction boxes, click on the border of the box and press the ‘Delete’ key on your keyboard. Where user input guidance offers a choice or presents optional language, delete only those options that do not apply and remove the ‘< >’ markers and highlighting from the applicable choices.

For: DOL Childcare Subsidy Program Contract Number: < upon award, enter contract number> Contract Description: Childcare Subsidy Program Contractor’s name: < upon award, enter contractor name > (hereafter referred to as the contractor).

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

· What will be monitored?

· How monitoring will take place?

· Who will conduct the monitoring?

· 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 that 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.

<As the DOL makes greater use of performance-based service contracting, the contractor is given more freedom to become innovative in their ways to effectively and efficiently meet the Governments’ performance objectives. Therefore, it is imperative that there be ongoing coordination between the Government and contractor during QASP development.>

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 that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

The following FAR clauses may apply depending on contract type:

< Remove highlighting from applicable clause(s) below. Delete non-applicable clauses. >.

52.246-4 Inspection of Services – Fixed-Price, 52.246-5 Inspection of Services – Cost-Reimbursement, or 52.246-6 Inspection of Services – Time-and-Material and Labor-Hour

Government Roles and Responsibilities The following personnel shall oversee and coordinate surveillance activities.

a. Contracting Officer (CO) - 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.

Assigned CO: Emily Pyatigorsky Organization or Agency: Office of the Senior Procurement Executive (OSPE) Telephone: 215-446-3707 Email: Pyatigorsky.emily@dol.gov

b. Contracting Officer’s Representative (COR) - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the contractor’s performance. The COR shall keep a quality assurance file. At the conclusion of the contract or when requested by the CO, the COR shall provide documentation to the CO. The 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.

Assigned COR: Donna Childs-Speight Telephone: 202-693-7762 Email: childs-speight.donna@dol.gov

c. Other Key Government Personnel - Susan Allen Title: Branch Chief, Worklife Branch Telephone: 202-693-6677 Email: allen.susan@dol.gov

Contractor Representatives The following employees of the contractor serve as the contractor’s Contract Manager and Task Manager for this contract. <Communication should occur with them during QASP development. It will help if they review the draft QASP and accept the final version.>

a. Contract Manager - <upon award, enter name> Telephone: <enter number> Email: <enter address>

b. Task Manager - <upon award, enter name> Telephone: <enter number> Email: <enter address>

c. Other Contractor Personnel - <upon award, enter name or delete these lines if not applicable> Title: <enter title> Telephone: <enter number> Email: <enter address>

Performance Standards <Performance-based contracts include either a Performance Work Statement (PWS) created by the Government, or if a statement of objectives (SOO) is used, a government or contractor developed PWS. The QASP shall cite the same performance objectives and thresholds as stated in the Performance Requirements section of the PWS. If the requirement includes a statement of objectives (SOO), the QASP will be developed after contract award.> Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets or does not meet these standards.

The Performance Requirements Summary Matrix, paragraph <enter number> in the Performance Work Statement includes performance standards. The Government shall use these standards to determine contractor performance and shall compare contractor performance to the Acceptable Quality Level (AQL).

Performance Objective

Standard

Performance Threshold

PRS # 1

The contractor shall develop and receive applications; comply with regulation and evaluate eligibility.

(Task 5.2)

Services including developing and receiving applications; complying with regulation and evaluating eligibility must be accurately performed within established deadlines (14 calendar days).

Services must be completed within 14 calendar days 100% of the time.

PRS # 2

The contractor shall pay monies to the childcare providers.

(Task 5.3) Service (payment to the childcare provider) must be completed within the established 14 calendar days from date of receipt of invoice.

Services must be completed on or before established deadline 100% of the time.

PRS # 3

The contractor shall prepare monthly reports for DOL.

(Task 5.4)

Monthly reports shall be submitted to DOL by the 5th of each month

Services must be completed on or before established deadline 100% of the time.

PRS # 4

The contractor shall have written policies in place to notify participants of year-end reporting requirements which will include statement of a delayed payment due to year-end reporting requirement.

(Task 5.2.h)

Must complete processing of invoices within 14 calendar days after receipt. If invoices are not processed with the 14 calendar days, without sufficient cause, the COR will consult with appropriate officials to consider actions to remove the contractor.

Services must be completed on within 14 calendar days after receipt 100% of the time. Employees will be notified that processing of invoices for December will be delayed to year-end close-out requirement.

[Insert to who (I.e., COR, Program/ Project Manager) and where the deliverable is to be delivered]

1.10

Draft is required with the contractor’s quote.

Final plan is due 90 days after contract award.

Any changes to the plan must be submitted 5 business days prior to plan execution.

Email – Microsoft Word, PDF, or Excel Spreadsheet Attachment

-COR

-CO

1.6.7

Required before each employee begins work under this

1 per contractor employee

Email – Microsoft Word or PDF

-COR

1.6.9

10 calendar days after contract award

N/A

Teleconference or in-person meeting

N/A

-Childcare Subsidy Program Manager

- COR

5.3.d

Not more than 60 days after the end of the calendar year

TBD

TBD by the COR

COR

5.3.e

No more than quarterly

-DOL Invoice Mailbox -Childcare Subsidy Program Manager

- COR

5.4.a

Draft: Two weeks after contract award Final: Within 5 calendar days of receipt of DOL feedback.

-Childcare Subsidy Program Manager

- COR

5.4

By the 5th of each month

5.4.a

Draft: Two weeks after contract award Final: Within 5 calendar days of receipt of DOL feedback.

- COR

5.4

Annually, Mid-December. Date will be determined by the OHR/DWE Program Manager

- COR

5.5

Phase-In: Required with the contractor’s quote Phase-Out (Draft): Required with the contractor’s quote Phase-Out (Final): Required 30 calendar days after kick-off meeting

COR

-CO

5.4.d

Mid-December of each year

Incentives N/A Methods of QA Surveillance < After contract award, the contracting Officer’s Representative (COR) will need to review the Performance Standards Summary Matrix in the contract to determine if the selected monitoring methods are appropriate to monitor each performance standard. Within a QASP, multiple surveillance methods may be used. The method for any given task will depend on the performance standard and Acceptable Quality Level (AQL). > 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 task manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COR, with assistance from the CO, shall be responsible for monitoring the contractor’s performance in meeting a specific performance standard/AQL.

DIRECT OBSERVATION. (Can be performed periodically or through 100% surveillance.)

PRS #1

PERIODIC INSPECTION. (Uses a comprehensive evaluation of selected outputs. Inspections may be scheduled [Daily, Weekly, Monthly, Quarterly, or annually] or unscheduled, as required.)

PRS #1; PRS#2; PRS#3; and PRS#4

PROGRESS OR STATUS MEETINGS.

PRS#4

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.

Ratings Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. A rating scale shall be used to determine a positive, neutral, or negative outcome. The following ratings shall be used:

<State the method(s) that shall be used and delete other methods. Relate the method you select to one or more performance standards. The rating method may depend on the monitoring techniques you select. One rating method may be used for all standards or multiple methods may be used. Examples are shown below. However, other rating scales are acceptable and may be used. > Example 1:

Example 2:

<A numerical scale with numbers 1 through 10 where 1 is poor and 10 is excellent.>

Documenting Performance <Documentation must be accurate and thorough. Completeness, currency, and accuracy support both satisfactory and unsatisfactory performance.>

a. ACCEPTABLE PERFORMANCE The Government shall document positive performance. A report template is attached. Any report may become a part of the supporting documentation for fixed fee payments, award fee payments, or other actions.

b. UNACCEPTABLE PERFORMANCE.

When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR shall document the discussion and place it in the COR file.

When the COR determines formal written communication is required, the COR shall prepare a Contract Discrepancy Report (CDR), and present it to the contractor's task manager or on-site representative. A CDR template is attached to this QASP.

The contractor shall acknowledge receipt of the CDR in writing. The CDR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CDR will also state how long after receipt the contractor has to present this corrective action plan to the COR. The Government shall review the contractor's corrective action plan to determine acceptability.

Any CDRs may become a part of the supporting documentation for contract payment deductions, fixed fee deductions, award fee nonpayment, or other actions deemed necessary by the CO.

Frequency of Measurement

a. FREQUENCY OF MEASUREMENT.

During contract/order performance, the COR shall take periodic measurements, <enter how often> as specified in the AQL column of the Performance Standards Summary Matrix, and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

<It may help if the Government prepares a work sheet with a schedule. This work sheet shall be for Government use and shall not be shared with the contractor.>

b. FREQUENCY OF PERFORMANCE ASSESSMENT MEETINGS.

The COR shall meet with the contractor <enter how often> to assess performance and shall provide a written assessment.

<The incentive plan may determine the frequency of performance assessment meetings. COR must review the contract to determine if it includes incentives. If only past performance information is required, state when you will provide interim assessments (if required) or a final assessment. For an award fee plan, state the frequency you will provide input on the contractor’s performance to the award-fee evaluation board and the CO. For an incentive fee plan, state the frequency you will provide cost information. For other fee plans, state the frequency and type of information you will provide.>

Prepared by: Susan Allen __Susan Allen_______________ Signature – Program Manager

Performance Report

1. CONTRACT NUMBER: <insert number>

2. Prepared by: (Name of COR) <insert name>

3. Date and time of observation:

4. Observation:

<Examples of items to include in a report are:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results.

- Number of observations.>s

Prepared by: <Enter COR’s name>

QUALITY ASSURANCE SURVEILLANCE PLAN

Version – May 2018 image1.png