Attachment_5_-_Quality_Assurance_Surveillance_Plan.pdf

AG-SPEC-S-16-0028

Attachment 5

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

ADMINISTRATIVE SUPPORT SERVICES CONTRACT

Revision 0

08/04/2016

TABLE OF CONTENTS

PURPOSE

ROLES AND RESPONSIBILITIES

CONTRACT PERFORMANCE STANDARDS

METHODS OF SURVEILLANCE

QUALITY ASSURANCE DOCUMENTATION

ATTACHMENT 1: CONTRACT LEVEL PERFORMANCE OBJECTIVES AND STANDARDS

ATTACHMENT 2: QUALITY ASSURANCE ACTIVITY DOCUMENTATION WORKSHEET

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

PURPOSE

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate if Contractor performance meets contractual requirements. This QASP addresses the following:

- What will be monitored;

- How monitoring will take place;

- Who will conduct the monitoring; and

- 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 principle that the Contractor is responsible for quality control and ensuring compliance with the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance by conducting quality assurance activities.

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 and useful document. Copies of the original QASP and revisions shall be provided to the Contractor and Government officials implementing surveillance activities.

The following FAR clause(s) related to inspection and acceptance apply to this contract:

52.212-4 Contract Terms and Conditions—Commercial Items. (May 2015)

(a) Inspection/Acceptance. The Contractor shall only tender for acceptance those items that conform to the requirements of this contract. The Government reserves the right to inspect or test any supplies or services that have been tendered for acceptance. The Government may require repair or replacement of nonconforming supplies or reperformance of nonconforming services at no increase in contract price. If repair/replacement or reperformance will not correct the defects or is not possible, the Government may seek an equitable price reduction or adequate consideration for acceptance of nonconforming supplies or services. The Government must exercise its post-acceptance rights—

(1) Within a reasonable time after the defect was discovered or should have been discovered; and

(2) Before any substantial change occurs in the condition of the item, unless the change is due to the defect in the item.

(i) Payment.—

(1) Items accepted. Payment shall be made for items accepted by the Government that have been delivered to the delivery destinations set forth in this contract.

(m) Termination for cause. The Government may terminate this contract, or any part hereof, for cause in the event of any default by the Contractor, or if the Contractor fails to comply with any contract terms and conditions, or fails to provide the Government, upon request, with adequate assurances of future performance. In the event of termination for cause, the Government shall not be liable to the Contractor for any amount for supplies or services not accepted, and the Contractor shall be liable to the Government for any and all rights and remedies provided by law. If it is determined that the Government improperly terminated this contract for default, such termination shall be deemed a termination for convenience.

(p) Limitation of liability. Except as otherwise provided by an express warranty, the Contractor will not be liable to the Government for consequential damages resulting from any defect or deficiencies in accepted items.

(q) Other compliances. The Contractor shall comply with all applicable Federal, State and local laws, executive orders, rules and regulations applicable to its performance under this contract.

ROLES AND RESPONSIBILITIES

During performance of this contract, the contractor shall be evaluated by the agency CO, the COR, and/or other designated personnel, in accordance with the overall level of compliance with the contract and the demonstrated quality and timeliness of the services provided. For each task order (TO), the identified stakeholders are responsible for the following required performance based contracting documentation:

(1) Performance Work Statement (PWS): The PWS is required to be drafted by the government and shall address requirements specifically required to ensure successful satisfaction of requirements.

(2) Quality Assurance Plan (QAP): The Contracting Officer shall require the contractor to submit a proposed Quality Assurance Plan (QAP) for each Task Order that shall demonstrate, at a minimum;

Quality, Timeliness, Safety, Conformance, and Management.

(3) Quality Assurance Surveillance Plan (QASP): The COR is required to develop a QASP in response to the vendor’s QAP for each Task Order. The QASP is not part of the contract and is not binding on the Contractor. The document is for the benefit of the Government and describes how oversight (surveillance) of Contractor performance may be conducted to determine if the Contractor is performing the work required and in a satisfactory manner (meeting performance standards).

The following Government personnel shall oversee and coordinate surveillance activities at the contract level:

Contracting Officer (CO): The CO has overall responsibility for ensuring both Government and Contractor compliance with the contract terms and safeguards the interests of the United States in the contractual relationship. The CO also assure that the Contractor receives impartial, fair, and equitable treatment under this contract. The CO is the only one who has ultimate authority and responsibility for determining if the Contractor’s performance meets contract requirements.

CO Name: Vicki Supler Organization: USDA Natural Resources Conservation Service Telephone: 337-291-3142 Email: vicki.supler@wdc.usda.gov

Contract Specialist (CS): The CS supports the CO and is responsible for administering the contract. The CS reports information and make recommendations to the CO. The CS does not have the final authority the CO does.

CS Name: Amber Paschal Organization: USDA Natural Resources Conservation Service Telephone: 817-509-3422 Email: amber.paschal@wdc.usda.gov

CONTRACT PERFORMANCE STANDARDS

The required performance standards and associated acceptable quality levels (AQLs) for each performance objective from the contract Performance Work Statement (PWS) are listed in Attachment 1 (Performance Objectives and Standards). Each performance objective listed in Attachment 1 also includes the method of surveillance to be used and frequency of surveillance. The methods of surveillance are defined in the section below.

METHODS OF SURVEILLANCE

Below are the methods of surveillance that may be used to evaluate Contractor compliance with the contract requirements. Surveillance results showing Contractor nonconformance may be used as the basis for actions (to include payment deductions or requiring re-performance) to be taken against the Contractor. In such cases, the inspection/acceptance clause in the contract becomes the basis for the CO’s actions.

Government surveillance (inspections and tests) shall not be unreasonably burdensome or cause unreasonable Contractor delay.

Direct Observation Can be performed periodically or through 100% surveillance.

Periodic Inspection Scheduled and unscheduled inspections are also acceptable methods of surveillance. This method sometimes referred to as “planned sampling” consists of the evaluation of tasks selected on other than a 100 percent or random basis. Using this method, a predetermined inspection schedule is established using subjective judgment to establish when and how often to inspect (daily, weekly, monthly, quarterly, or annually). The Contractor’s performance is then measured against the performance standards and acceptable quality levels identified in the PWS. With scheduled inspections the Contractor may know when the inspection will occur, while with unscheduled inspections the Contractor is not aware of the inspection event.

User Survey Combines elements of validated user complaints and random sampling. Random survey is conducted to solicit user satisfaction. Appropriate for high quantity activities that have historically been satisfactory.

May also generate periodic and 100% inspections.

Validated User/Customer Complaints Relies on the user of the service to identify deficiencies. The customer complaint measurement has traditionally been viewed as a secondary method of surveillance (not a primary method); however, use of customer complaint and/or feedback systems can be beneficial because it maximizes the Government’s resource potential. Although “customer feedback” can be an attractive method of performance assessment, the acquisition team must carefully plan if it is to be effective. One of the drawbacks to “customer feedback” is that the customer must be aware of the performance requirements and performance standards.

If they are not, the system is likely to produce complaints that are not pertinent to the Contractor’s performance obligations. Equally, to be considered valid, customer complaints must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the COR. The COR will accept those customer complaints and investigate.

100% Inspection Evaluates all outputs. This method should be reserved for those tasks with stringent performance standards or those with critical applications. Likewise those tasks that have health or safety consequences in the event of their failure would qualify as critical.

Periodic Sampling Variation of random sampling. However, sample is only taken when a deficiency is suspected. Sample results are applicable only for the specific work inspected. Since sample is not entirely random, it cannot be applied to total activity performance.

Random Sampling Random sampling is usually appropriate for recurring homogenous tasks. Services are sampled by the COR to determine if the level of the Contractor’s performance is acceptable. The key to the effective use of random sampling is the size of the population of tasks from which the sample will be selected. In other words, random sampling works best when the number of instances of the services being performed is very large and a statistically valid sample can be obtained.

QUALITY ASSURANCE DOCUMENTATION

All surveillance activities must be documented and retained. The CO may request such documentation at any time. Upon completion of the contract (unless requested earlier) all documentation must be forwarded to the CO for inclusion in the contract file. This documentation includes the surveillance conducted, notifications to the Contractor of nonconforming services, and the final resolution of nonconforming services.

Surveillance documentation must show the following:

- Performance objective(s) being evaluated/inspected;

- Corresponding performance standard;

- Corresponding acceptable quality level (if applicable);

- Method of surveillance; and

- The results of the inspection showing that performance was:

o Unsatisfactory/unacceptable (nonconforming);

o Satisfactory/acceptable (met contract requirements); or o Exceptional (significantly exceeds contract requirements to the Government’s benefit).

Attachment 2 (Quality Assurance Activity Documentation Worksheet) includes the worksheet that must be used to document surveillance conducted. Supporting documentation can be attached to the form if necessary.

When unacceptable performance occurs, the COR shall inform the Contractor and notify the CO simultaneously. This notice will normally be in writing unless circumstances necessitate verbal communication. The notification must cite the following:

- Performance objective(s) being inspected;

- Corresponding performance standard;

- Corresponding acceptable quality level (if applicable);

- Method of surveillance;

- The results of the inspection showing that performance was unsatisfactory/unacceptable

(nonconforming); and

- Action required:

o Reperformance (if possible) at no additional cost; or o No action required and referral will be made to CO for possible reduction in price.

Surveillance results showing Contractor nonconformance may be used as the basis for actions (to include payment deductions or requiring reperformance) to be taken against the Contractor. In such cases, the inspection/acceptance clause in the contract becomes the basis for the CO’s actions. Government surveillance (inspections and tests) must not be unreasonably burdensome or cause unreasonable Contractor delays.

Regardless of whether the notification was written or verbal, the COR shall document the notification and place it in the COR file. This type of documentation not only assists the CO in enforcing the contract requirements and ensuring we only pay for acceptable services, but also supports Contractor performance assessments when required.

If necessary, the CO, COR and/or the Contractor may request a meeting to discuss performance issues. The CO must be included in any such meetings regarding Contractor performance issues.

Attachment 1: Contract Level Performance Objectives and Standards

Performance Objectives/Tasks Performance Standards and Acceptable Quality Levels

Method of Surveillance Frequency of Surveillance (minimum)

1 Prepare and Submit Quarterly Activity Report of active Agency Orders to IDIQ Contract CO IAW PWS.

Accurate / data on each report is accurate.

Complete / each report is complete with no missing information.

Timely / performed within the timeframe required by policy 95% of the time.

Periodic Inspection (will review 10% of requests completed for the prior month.

Quarterly

2 Prepare and submit security documentation IAW with the PWS

Accurate / not more than 2 errors per file.

Acceptable/ employee is deemed acceptable by the agency 95% of the time.

Random Sampling (review of a random sampling of contract files for the preceding quarter).

Quarterly

3 The Contractor shall place employees within 20 Calendar days of TO Award, or later if authorized by TO - IAW PWS

Timely / performed within the timeframe required 95% of the time.

Random Sampling (review of a random sampling of contract files for the preceding quarter).

Quarterly

4 Meet Task Order Specific Deliverables and Performance Objectives

Deliverables and performance levels “Satisfactory” or above 95% of the time

Random Sampling (review of a random sampling of contract file, and Quality Activity Documentation Worksheets for the preceding quarter).

Quarterly

Attachment 2: Quality Assurance Activity Documentation Worksheet

Quality Assurance Activity Documentation Worksheet

Performance Objective(s) Evaluated:

[List the number(s) and short description(s) of each performance objective from the PWS]

Surveillance Period(s):

[Describe the period of time being assessed. For example, the period of time may be the prior months (May 1-

31) performance or deliverables.]

Surveillance Method(s) Used:

Random Sampling 100% Inspection Periodic Inspection Customer Complaint

Details of Surveillance Conducted:

[Describe the activities conducted to evaluate performance/deliverables. For example, describe how the deliverables/performance being assessed was selected for review, the quantities reviewed, how the documents were reviewed, etc.]

Narrative of Surveillance Results:

[Describe the results of the assessment. If errors (non-confirming) services were found describe what they are and specifically what contract requirement they do not comply with. Calculate and state the actual performance obtained below.]

Performance Standard:

AQL Required: [List the AQL required form the contract.] Actual Performance: [List the actual performance obtained.]

Contractor Performance:

Exceptional (significantly exceed contract requirements to the Government’s benefit).

Satisfactory/acceptable (met contract requirements).

Unsatisfactory/unacceptable (nonconforming).

Date Contractor and Contracting Officer Notified:

COR/Evaluator Information:

Name:

Signature:

Date: