A40 Att 8 OG QASP Template.pdf

CUI//SP-PROCURE

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QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Credit Report Services

HS0021-XX-F-XXXX

DEFENSE COUNTERINTELLIGENCE AND SECURITY AGENCY (DCSA)

INSTRUCTIONS FOR COMPLETION OF QASP:

1 – Please update the title page (leave the task order number and KO undone) 2 – Please update section 2.2.2 COR Information 3 – Section 4 Performance Requirement Summary…If only doing one of the two tasks please delete the task highlighted in yellow and all of the gray highlights below then unhighlight the other task.

If you are doing both then just unhighlight both.

Written By:

FIRST M. LAST

Customer

Reviewed By:

Program Manager

Approved By:

Contracting Officer

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1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is created pursuant to the requirements listed in the performance work statement (PWS) for credit report services. This performance-based plan sets forth the procedures and guidelines the Defense Counterintelligence and Security Agency (DCSA) will use in ensuring the required performance standards/service levels are achieved by the contractor.

1.1 PURPOSE

The QASP is a Government-developed document used to determine if the contractor’s performance meets the performance standards contained in the contract. It establishes procedures on how the assessment/inspection process will be conducted. It provides detail for the conduct of a continuous oversight process, specifying what will be monitored, how the monitoring will take place, who will conduct the monitoring, and how monitoring efforts and results will be documented. Ultimately, the QASP provides a means for evaluating whether the contractor is meeting the performance standards/quality levels identified in the Performance Requirements Summary (PRS) 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 parties involved, identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor’s performance, describes quality assurance documentation requirements, and describes the analysis of quality assurance monitoring results. This QASP identifies and describes the systematic methods and procedures the Government will use to monitor and evaluate the contractor’s actions while performing the requirements in the PWS. It is designed to provide effective surveillance methods by monitoring contractor performance for each listed performance objective in the PRS (Section 4.0).

1.2 AUTHORITY

Authority for issuance of this QASP is provided under Contract Section E – Inspection and Acceptance, which provides for inspections and acceptance of the articles, services, and documentation called for in contracts/ orders to be accomplished by the Contracting Officer (KO) or his/her duly authorized representative. Authority from the Federal Acquisition Regulation (FAR) and the Defense Federal Acquisition Regulation Supplement (DFARS) can be found at FAR 37.604, FAR 46.401, and DFARS 246.401.

1.3 SCOPE

To fully understand the roles and the responsibilities of the parties, it is important to first define the distinction in terminology between the QCP and the QASP. The QCP is the driver for service quality. The contractor is required to develop the QCP, which is a comprehensive program of inspections and monitoring actions. The first major step to ensuring a “self-correcting” contract is to ensure that the QCP approved at the beginning of the contract provides the measures necessary to lead the contractor to success. The contractor develops and submits the QCP for Government approval in compliance with the contract. Once the QCP is approved, the contractor is responsible for implementing and delivering performance that meets contract

Version December 2021 CUI//SP-PROCURE Page 3 of 12 standards using the QCP. The contractor uses the QCP to guide and rigorously document the implementation of the required quality control actions to achieve the specified results.

The QASP provides the structure for the Government’s surveillance/oversight of the contractor’s performance and their quality control efforts to assure that they are timely, effective, and are delivering the results specified in the contract or order. The QASP is not a part of the contract, nor is it intended to duplicate the contractor’s QCP. The Government may provide a copy of the QASP to the contractor to facilitate open communication. Additionally, the QASP recognizes that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor.

This QASP has been designed to provide direction to all Government personnel performing surveillance/monitoring activities on this contract. Personnel surveilling contractor performance in accordance with contract terms and conditions and PWS requirements, will review the QASP throughout the life of the contract. Careful application of the process and standards presented in the remainder of this QASP will ensure a robust quality assurance program that promotes early identification and resolution of performance issues to minimize impact on mission performance.

2.0. ROLES AND RESPONSIBILITIES

2.1 GOVERNMENT ROLES

The following definitions for Government resources are applicable to this plan:

2.1.1 Contracting Officer (KO) - A person duly appointed with the authority to enter into, administer, and/or terminate contracts and make related determinations and findings on behalf of the Government.

2.1.2 Contracting Officer’s Representative (COR) / Alternative Contracting Officer’s Representative (ACOR) - An individual designated in writing by the KO to act as his/her authorized representative to perform specific technical or administrative functions (i.e. assist in administering a contract). The source of authority for a COR/ACOR is the KO. COR/ACOR limitations are contained in the written letter of designation.

2.2 RESPONSIBILITIES

The Government resources shall have responsibilities for the implementation of this QASP as follows:

2.2.1 KO – The KO ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract, and safeguards the interests of the United States in the contractual relationship. It is the KO that ensures that the contractor receives impartial, fair, and equitable treatment under the contract. The KO is ultimately responsible for the final determination of the adequacy of the contractor’s performance.

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KO: First M. Last Telephone: (XXX)XXX-XXXX Email: first.m.last.civ@mail.mil

2.2.2 COR - The COR is responsible for providing continuous technical oversight and surveillance of the contractor’s performance to ensure that the contractor meets the performance standards contained in the contract. The COR uses the QASP to conduct the surveillance/oversight process. The COR shall keep a QA file that accurately documents the contractor’s actual performance. The COR is responsible for reporting early identification of performance issues to the KO. The COR is required to provide an annual performance assessment to the KO which will be used in documenting past performance. The COR uses the methods contained in this QASP to ensure the contractor is in compliance with contractual requirements. The QASP is the primary tool for surveillance of the contractor’s QCP and aids the COR in documenting contractor 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 KO for action.

COR: First M. Last Organization: Office Telephone: (XXX) XXX-XXXX Email: first.m.last.civ@mail.mil

3.0 METHODS OF QA SURVEILLANCE

The goal of this QASP is to ensure that contractor performance is effectively monitored and documented. The COR’s contribution is their professional, non-adversarial relationships with the KO and the contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of contractor performance against contract requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the contractor’s performance.

The acceptable performance thresholds included in Attachment 1, Service Summary, for contractor performance, are structured to allow the contractor to manage how the work is performed while ensuring performance thresholders are met. All are directly tied to the relative importance of the task to overall mission performance.

3.1 The below listed methods of surveillance shall be used in the administration of this QASP.

3.1.1 100% Inspection – This level of inspection shall be accomplished by inspecting each and every deliverable to the fullest extent practicable. It is preferred for infrequent, low quantity deliverables.

mailto:first.m.last.civ@mail.mil

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3.1.2 Periodic Inspection – Periodic inspections shall be conducted if and when specified in individual contracts/orders. For the potential tasks that have been identified so far and included in this QASP, the appropriate COR typically performs the periodic inspection on a(n) monthly basis.

3.1.3 Random Monitoring/Sampling – Random monitoring shall be conducted if and when specified in individual contracts/orders. For the potential tasks that have been identified so far and included in this QASP, the random monitoring shall be performed by the COR.

3.1.4 Observation of Task Outputs – The COR will view and inspect the outputs of credit reports as opposed to the act of actually producing the outputs.

3.1.5 Observation of Performance – The COR will observe the credit reports, instead of the product or outcome that results.

4.0 PERFORMANCE REQUIREMENTS SUMMARY (PRS)

The following performance-based service contracting (PBSC) items are identified within the contract PWS and are to be monitored under this QASP. The related performance standards, performance thresholds, and methods of surveillance are detailed in Attachment I.

Task One: Single Credit Reports

The contractor will deliver Single Credit reports to the Government Information will be reliable and include a timely delivery of credit information from

TransUnion, Experian, and Equifax, The timelines for queries are as follows:

XML Webservice or Application Programming Interface (API) connections

Deliver single reports within 6 hours or less of initial query.

Batch or Connect Direct Exchanges *Batch files for the Single Credit Reports System are sent Monday-Friday, one day per week and ad-hoc as needed. Vendor will be made aware of batch requests in advance.

Deliver single reports within 24 hours of initial query.

Online/Web Interface Queries Deliver responses immediately Provided information will include:

o Tradeline information, o Collection information, o Public Records relating to civil judgments, tax liens, bankruptcies, o Subject income, o Consumer identification to include names, AKAs, current and prior addresses, employment history information, and date of birth, Version December 2021 CUI//SP-PROCURE Page 6 of 12 o Credit history identifying creditors, debt payment(s) performance, current and past due charge off, collection and collection factored accounts, balances and past due amounts, and status of accounts for the past 24 months, o A listing of inquiries within the last 12 months, o Overall score based on DCSA requirements.

The vendor will provide the following features as required within the vendor environment:

o XML or API format via web service, o Ability to accept batch files or 1-for-1 exchange of requests/results, o Single credit report from the three major reporting bureaus (TransUnion, Experian, and Equifax) as requested by Customer, o Credit inquiries should be recorded as soft hits, o Be accessible over the internet using appropriate access control security features such as passwords, secure sockets layers, etc.

o Be accessible over the internet with no software requirement needed, such as to be loaded on individual computers, in order to access the reports, o System accessibility 24 hours a day, o Allow for the assignment of an unlimited quantity of account managers and user roles in the credit report access portal, o System request/review consumer credit reports for single bureau reports, ability to print report, o Alerts of suspicious activity and/or changes in credit file information, o Provide a manifest of responses provided, o Electronic method for obtaining missing tradeline addresses, o Archive capability for DCSA requested Credit Reports for 60 days, o A test environment, to include test data to mirror production, with vendor testing support, o Written agreements with each of the three credit bureaus to document FCRA awareness, o Ability to provide detailed invoices and quality control reports.

Task Two: Tri-Merge Reports o The contractor will deliver Tri-Merge reports to the Government o Information will be reliable and include a timely delivery of credit information from TransUnion, Experian, and Equifax,

- Vendor will confirm that each tri-merge report includes information from all three bureaus.

o The timelines for queries are as follows:

XML Webservice or Application Programming Interface (API) connections

Deliver tri-merge reports within 6 hours or less of initial query.

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Batch or Connect Direct Exchanges *Batch files for the Tri-Merge Reports System are sent Tuesday-Saturday. Work may be received Saturday and the response will need to be returned same day or NLT 6am the following designated work day as per COR.

Deliver tri-merge reports within 24 hours of initial query.

Online/Web Interface Queries Deliver responses immediately o Provided information will include:

- Tradeline information,

- Collection information,

- Public Records relating to civil judgments, tax liens, bankruptcies,

- Subject income,

- Consumer identification to include names, AKAs, current and prior addresses, employment history information, and date of birth,

- Credit history identifying creditors, debt payment(s) performance, current and past due charge off, collection and collection factored accounts, balances and past due amounts, and status of accounts for the past 24 months,

- A listing of inquiries within the last 12 months,

- Overall score based on DCSA requirements (tri-merge).

o The vendor will provide the following features as required within the vendor environment:

- XML or API format via web service,

- Ability to accept batch files or 1-for-1 exchange of requests/results,

- Ability to identify and document Errors in a summary report and re-process Errors via access to the DCSA NP2 Portal,

- Tri-Merge (3 in 1) credit report from the three major reporting bureaus (TransUnion, Experian, and Equifax),

- Credit inquiries should be recorded as soft hits,

- Be accessible over the internet using appropriate access control security features such as passwords, secure sockets layers, etc.

- Be accessible over the internet with no software requirement needed, such as to be loaded on individual computers, in order to access the reports,

- System accessibility 24 hours a day,

- Allow for the assignment of an unlimited quantity of account managers and user roles in the credit report access portal,

- Alerts of suspicious activity and/or changes in credit file information,

- Provide a manifest of responses provided,

- Electronic method for obtaining missing tradeline addresses, Version December 2021 CUI//SP-PROCURE Page 8 of 12

- Archive capability for DCSA requested Credit Reports for 60 days,

- A test environment, to include test data to mirror production, with vendor testing support,

- Written agreements with each of the three credit bureaus to document FCRA awareness,

- Ability to provide detailed invoices and quality control reports.

The Government expects the contractor to establish 24 hours a day system accessibility. The contractor, at all times, shall maintain an adequate workforce for the uninterrupted performance of all tasks defined within this PWS when the Government facility is not closed for the below reasons.

Performance Objective PWS Paragraph Performance Threshold Method of

Surveillance

SS # 1

Requests for single credit reports and/or tri- merge credit reports, must be provided back to the Government, in the requested format.

2.1, 2.2 Results are to be provided as described in the PWS 98% of the time.

The system shall be available 24 hours a day 7 days a week.

100% Inspection

SS # 2

Reports shall be operational, accessible and without system errors.

2.1, 2.2 Results are to meet the standard 98% of the time.

Results must be readable, legible, error free, and timely.

100% Inspection

SS # 3

The contractor shall notify the COR of any unplanned outages which impact system availability.

6.10.1 0 instances of system outage without COR notification.

For unplanned system outages the contractor will notify the COR in writing and via phone within 2 hours.

As reported by COR

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4.1 Quality Control Program (QCP)

The contractor, and not the Government, is responsible for management and quality control actions to successfully meet the terms of the contract. The role of the Government in quality assurance (QA) is to ensure contract standards are achieved.

5.0 DOCUMENTATION

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and are assessed using the performance monitoring/surveillance methods listed in Attachment I.

The Government’s QA surveillance will be accomplished using the monitoring forms included in Attachments II and III. The forms, when completed, will document the Government’s assessment of the contractor’s performance under the contract to ensure that the required results/quality levels are being achieved.

The COR will, in addition to providing documentation to the KO, maintain a complete QA file.

The file will contain copies of all reports, evaluations, recommendations, and any actions related to the Government’s performance of the QA function, including the originals of all completed attachment forms. All such records will be retained for the life of the contract. The COR shall forward these records to the KO at termination or completion of the contract, or upon KO request.

6.0 REVISIONS TO QASP

Revisions to this surveillance plan are the joint responsibility of the Requiring Activity and the KO. Modification requests that impact the performance of this contract must be submitted with a revised draft QASP or a statement that indicates the performance of the contract will not be impacted by the modification.

7.0 PERFORMANCE RATINGS DEFINITIONS

The performance ratings below reflect definitions at FAR 42.1503 Table 42-1, which will be utilized to evaluate the quality of the contractor’s performance in conjunction with Attachment I.

7.1 Exceptional – Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

7.2 Very Good – Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub-element being evaluated was accomplished with some minor problems for which corrective actions taken by the contractor were effective.

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7.3 Satisfactory – Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

7.4 Marginal – Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being evaluated reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

7.5 Unsatisfactory – Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

8.0 REMEDIES FOR FAILURE TO PERFORM

The Government will use the monitoring methods cited to determine whether the performance standards 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. The contractor may receive deductions or even termination based on failure to perform. The following criteria apply for determining appropriate action:

8.1 Notifications

Consistent with FAR Part 49, the KO shall notify the service provider of failure to meet performance standards through QA monitoring forms, cure notices, or show cause notices and shall inform the service provider, project manager, or designated alternate of such notices.

8.2 Termination

If the KO determines that the contractor has failed to perform to the extent that a termination for default is justified, the KO shall issue a notice of termination, consistent with FAR Part 49.

9.0 ATTACHMENTS

Attachment I – Quality Assurance Monitoring Form Attachment II – Quality Assurance Monitoring Form – Customer Complaint Investigation

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ATTACHMENT I

QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

Click here to enter text.

SURVEY PERIOD: Click or tap to enter a date. to Click or tap to enter a date.

SURVEILLANCE METHOD (Check):

☐ Reports

☐ Customer Input/Feedback

☐ 100% Inspection

☐ Periodic Inspection

☐ Random Monitoring/Sampling

☐ Management Information Systems

☐ Observation of Task Outputs

☐ Observation of Performance

☐ Trend Analysis

☐ Contractor Metrics

☐ Other (specify)

LEVEL OF SURVEILLANCE SELECTED (Check):

☐ Monthly

☐ Quarterly

☐ As needed

ANALYSIS OF RESULTS:

OBSERVED SERVICE PROVIDER PERFORMANCE MEASUREMENT RATE:

Click here to enter text. %

SERVICE PROVIDER’S PERFORMANCE:

☐ Meets Standards ☐ Does Not Meet Standards

NARRATIVE OF PERFORMANCE DURING SURVEY PERIOD:

PREPARED BY:

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ATTACHMENT II

QUALITY ASSURANCE MONITORING FORM –

CUSTOMER COMPLAINT INVESTIGATION

SERVICE or STANDARD:

Click here to enter text.

SURVEY PERIOD: Click or tap to enter a date. to Click or tap to enter a date.

DATE/TIME COMPLAINT RECEIVED: Click or tap to enter a date. at Click here to enter text. AM / PM

SOURCE OF COMPLAINT: Click here to enter text. (NAME)

Click here to enter text. (ORGANIZATION)

Click here to enter text. (PHONE NUMBER)

Click here to enter text. (EMAIL ADDRESS)

NATURE OF COMPLAINT:

Click here to enter text.

RESULTS OF COMPLAINT INVESTIGATION:

DATE/TIME SERVICE PROVIDER INFORMED OF COMPLAINT:

Click or tap to enter a date. at Click here to enter text. AM / PM

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER:

RECEIVED AND VALIDATED BY: Click here to enter text. (NAME)

PREPARED BY:

DATE PREPARED: