Att. B_QASP.pdf

Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF)

Quality Assurance Surveillance Plan (QASP)

Ammunition Disposal Service

Contract Number: TBD

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS). This plan sets forth the procedures and guidelines The Bureau of Alcohol, Tobacco, Firearms & Explosives’ (ATF’s), Asset Forfeiture and Seized Property Division’ Ammunition Disposal Services will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 Purpose

1.1.1 The purpose of the QASP is to describe the systematic methods used to monitor performance and identify required documentation and resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards/quality levels identified in the PWS and the contractor’s quality control plan (QCP), and ensure the government pays only for the level of services received.

1.1.2 This QASP defines the roles and responsibilities of all members of the integrated project team (IPT), 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.

1.2 Performance Management Approach

1.2.1 The Performance Work Statement (PWS) structures the acquisition around what service or quality level is required, as opposed to how the contractor should perform the work (i.e., results, not compliance). This QASP will define the performance management approach taken OPSRSO, PSD, to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives communicated in the PWS are achieved. Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether expected outcomes for the project are being achieved by the contractor.

1.2.2 Performance management represents a significant shift from the more traditional quality assurance (QA) concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and to what extent. This approach migrates away from scrutiny of compliance with the processes and practices used to achieve the outcome. A performance-based approach enables the contractor to play a large role in how the work is performed, if the proposed processes are within the stated constraints. The only exceptions to process reviews are those required by law (federal, state, and local) and compelling business situations, such as safety and health. A “results” focus provides the contractor flexibility to continuously improve and innovate over the course of the contract if the critical outcomes expected are being achieved and/or the desired performance levels are being met.

1.3 Performance Management Strategy

The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor’s quality control (QC) program. QC is work output, not workers, and therefore includes all work performed under this contract regardless of whether the work is performed by contractor employees or subcontractors. The contractor’s QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The contractor will develop and implement a performance management system with processes to assess and report its performance to the designated government representative. The contractor’s QCP will also set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. This QASP enables the government to take advantage of the contractor’s QC program. The government representative(s) will monitor performance and review system usage reports furnished by the contractor.

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer (CO)

The CO is responsible for monitoring contract compliance, contract administration, and cost control, and resolving any differences between observations documented by the Contracting Officer's Representative (COR) and the contractor. The CO will designate one full-time COR as the government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the contractor’s performance, and must be identified and designated by the CO.

2.2 The COR

The COR is designated in writing by the CO to act as their authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensures proper government surveillance of the contractor’s performance. The COR is not empowered to make any contractual commitments or authorize any contractual changes on the government’s behalf. Any changes the contractor deems may affect contract price, terms, or conditions must be referred to the CO for action. The COR will have the responsibility for completing QA monitoring forms used to document the inspection and evaluation of the contractor’s work performance. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required tasks, performance standards and/or quality levels are included in the PWS. If the contractor meets the required service or performance level, it will be paid the amount agreed on in the contract. Failure to meet the required service or performance level can potentially result in a deduction from the yearly amount.

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

To minimize the performance management burden, simplified surveillance methods shall be used by the government to evaluate contractor performance when appropriate. The primary methods of surveillance are:

• Random monitoring, which shall be performed by the COR designated inspector

• VALIDATED USER/CUSTOMER COMPLAINTS. Relies on the user of the service to identify deficiencies. Complaints are then investigated and validated. Highly applicable to services provided in quantity and where quality is highly subjective.

4.2 Customer Feedback

The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints.

Performance management drives the contractor to be customer focused through initially and internally addressing customer complaints and investigating the issues and/or problems, but the customer always has the option to communicate complaints to the CO or COR, as opposed to the contractor.

Customer complaints, to be considered valid, 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.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

4.3 Acceptable Quality Levels

The acceptable quality levels (AQLs) included in Attachment 1 below, for contractor performance are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls. There are no certain critical activities where the desired performance level is established at 100 percent. Other levels of performance are keyed to the relative importance of the task to the overall mission performance at OPRSO/PSD.

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes.

Performance standards are expressed in the PWS and assessed using the performance monitoring techniques shown in Attachment 1 below.

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.1.1 The government shall use the monitoring methods cited to determine whether the performance standards/service levels/AQLs 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. If the number of complaints/defects exceeds the performance threshold for any objective, the COR will determine the possible cause of this unacceptable performance. Government-caused complaints/defects will not be counted against the contractor. The same applies to any other requirement of the contract/task order when government-caused complaints/defects are the cause of unacceptable contractor performance. If the COR judges the contractor’s performance unacceptable for any requirement, he/she will document the discrepancy as a non-conformance and inform the CO (if needed) for resolution.

The COR must submit significant (major, non-conformance) performance deficiencies to the CO using a Contractor Discrepancy Report and include supporting documentation.

6.2 Reviews and Resolution

6.2.1 The COR must coordinate and communicate with the contractor to resolve issues and concerns.

6.2.2 The COR and contractor, if deemed necessary by the COR, should jointly formulate courses of action to rectify any issues or concerns. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels will be incorporated as a contract modification at the convenience of the procuring CO (PCO) or ACO.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

Required Services (Task)

Performance Standards

Acceptable Quality Levels

Methods of

Surveillance

Incentive (Positive and/or

Negative) (Impact on Contractor Payments)

The contractor shall provide certificate of destruction (COD) to COR or ACOR for all ammunition destruction activities

The contractor shall ensure the COD is provided within ≤ 10 business days as stated in the PWS. The Contractor shall ensure its personnel accomplish the assigned tasks within the agreed-upon schedule(s) and at an AQL defined by the QASP.

At least 98% of the time, the COD deliverables are provided ≤ 10 business days after receipt and award of the contract.

100% of destruction events have a corresponding COD submitted.

≥98% of CODs are accurate (no discrepancies in quantities, item descriptions, or dates).

100% of CODs are complete (all required fields and signatures included)

0 missing or unreported CODs

100% of COR or ACOR review of CODs using random sampling or as determined by

COR.

Cross-check of CODs against destruction logs and supporting documentation.

Verification of submission dates for timeliness.

Review for completeness and required signatures.

Failure to meet the requirements of this contract may result in early termination of this contract, withhold

CLIN

payment and adverse reporting of the contractor’s performance in CPARS.

The contractor shall submit a Destruction Plan for COR approval, conduct ammunition destruction in accordance with the

The contractor shall ensure complete destruction within ≤ 15 calendar days from section 1.9

At least 98% of the time, the ammunition deliverables are provided ≤15 calendar days after receipt and

Feedback from Government shall be used to assess sufficiency of the Contractor along with

Failure to meet the requirements of this contract may result in early approved plan, and provide a Certificate of Destruction (COD) documenting each destruction event.

of the PWS. The Contractor shall ensure its personnel accomplish the assigned tasks within the agreed-upon schedule(s) and at an AQL defined by the QASP.

award of the contract.

100% of destruction activities are conducted in accordance with the approved Destruction Plan.

100% of destruction events have a corresponding COD submitted sample checks and witness of ammunition destruction.

On-site observation of destruction activities (as needed or scheduled).

termination of this contract, withhold

CLIN

payment and adverse reporting of the contractor’s performance in CPARS.

The contractor shall perform intake confirmation for all ammunition deliverables upon arrival at the contractor’s facility for destruction and/or at the ATF-designated on-site location, as specified in each call/order for a mobile ammunition destruction.

The contractor shall ensure photos & sub-task order of ammunition is completed within section 1 of PWS is ≤ 3 business days. The Contractor shall ensure its personnel accomplish the assigned tasks within the agreed-upon schedule(s) and at an AQL defined by the QASP.

At least 98% of the time, the ammunition deliverables are provided ≤3 calendar days of receipt and award of the contract.

100% AFSPD

personnel review ammunition disposal request forms and send to contractor for processing via email.

Quarterly audits of intake records (random sampling or 100% review, as determined by the COR).

Review of timestamps to verify timeliness requirements.

Cross-check of intake records against shipping

Failure to meet the requirements of this contract may result in early termination of this contract, withhold

CLIN

payment and adverse reporting of the contractor’s performance in CPARS.

manifests and call/order documentation

The contractor shall ensure data integrity by maintaining accurate, complete and consistent data across all required systems and deliverables

The contractor shall maintain data integrity by ensuring all required data fields are accurate, complete, current, and consistent with source documentation and aligned across all systems of record with real-time access.

The Contractor shall ensure its personnel accomplish the assigned tasks within the agreed-upon schedule(s) and at an AQL defined by the QASP.

At least 98% of the data entries are free from errors, omissions, or inconsistencies

Performance will be assessed through quarterly audits of data records

Failure to meet the requirements of this contract may require a corrective action plan and result in early termination of this contract, withhold

CLIN

payment, and adverse reporting of the contractor’s performance in CPARS.

The contractor shall safeguard all ammunition deliverables against unauthorized access, loss, theft, or damage

The contractor shall implement and maintain physical security controls that restrict access to authorized personnel only and always protect

At least 100% of ammunition storage locations comply with approved physical security requirements, access points are controlled by alarms, card readers, or equivalent

Quarterly physical security audits and facility inspections.

Government shall be able to receive all access logs and alarm activity

The contractor shall notify the Government immediately of any loss, theft, or damage and submit a ammunition. This includes functioning intrusion detection systems, controlled access measures, and documented accountability procedures. The contractor shall maintain a current Physical Security Plan with facility details (addresses, layout/photos, and access control systems).

The Contractor shall ensure its personnel accomplish the assigned tasks within the agreed-upon schedule(s) and at an AQL defined by the QASP.

access-controlled systems; access is limited to authorized personnel with individual credentials; 0 incidents of unreported loss, theft or damage.

At least ≥ 98% compliance with all documentation and logging requirements reports (sampled or 100% review as required).

Validation of authorized access lists against personnel records.

Review and approval of the contractor’s Physical Security Plan (initial and updates).

Incident report reviews for any loss, theft, or damage events corrective action plan within 3 business days for any AQL failure.

The contractor shall implement corrective measures within a Government-approved timeframe as approved by

COR.

Failure to meet the requirements of this contract may result in early termination of this contract and adverse reporting of the contractor’s performance in CPARS.

The contractor shall designate and maintain a Point of Contact (POC) to support ATF AFSPD requirements for monitoring

The contractor shall provide a designated POC who is knowledgeable of contract requirements and

100% of the time, a primary POC (and alternate) is designated and current; POC contact information is accurate and

Quarterly audits of communication logs (emails, calls, task tracking systems).

Review of

Failure to meet the requirements of this contract may adverse reporting of ammunition requests, inquiries, and destruction activities.

authorized to coordinate, track, and respond to all ammunition-related requests, inquiries, and destruction activities. The POC shall be available during required business hours and ensure timely, accurate communication with ATF

AFSPD.

provided to Government.

≥95% of inquiries and requests are acknowledged;

within 2 business days.

≥98% of responses/actions are completed within required timeframes.

0 instances of missed critical communications impacting operations.

response times against timestamps.

Validation of

POC

designation and contact information.

Customer feedback from

ATF AFSPD

on responsiveness and coordination.

the contractor’s performance in CPARS.

The contractor shall prepare and submit monthly invoices and a Monthly Obligation Report in accordance with contract requirements within the PWS

The contractor shall submit accurate, complete, and timely monthly invoices electronically to ATF’s Finance Branch, with a copy to the COR.

The contractor shall also submit a Monthly Obligation Report to ATF AFSPD that accurately reflects projected obligations for the upcoming month.

100% of invoices are submitted electronically to the Finance Branch with a copy to the COR.

≥98% of invoices are accurate (no calculation errors, incorrect charges, or unsupported costs).

100% of invoices include all required supporting documentation.

100% of invoices are submitted within 7 business days after month-end.

≥98% of Monthly Obligation

Quarterly audits of invoices and obligation reports (random sampling or 100% review, as determined by the COR).

Review of invoices for accuracy, allowability, and completeness.

Verification of submission timestamps for timelines.

Cross-check of billed amounts against contract terms and supporting documentation.

The contractor shall implement corrective measures within a Government-approved timeframe as approved by

COR.

Failure to meet the requirements of this contract may result in early termination of this contract and adverse

Reports are accurate and complete.

100% of Monthly Obligation Reports are submitted no later than the 25th day prior to the upcoming month reporting of the contractor’s performance in CPARS.

ATTACHMENT 2: SAMPLE QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (check):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (check):

Monthly Quarterly As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Service Provider’s Performance (check): Meets Standards

Does Not Meet Standards

Narrative of Performance During Survey Period:

PREPARED BY: ___________________________________ DATE: _________________

Carter, Cynthia D. (ATF) Do we fill this out to show how often we will do this?

1.3 Performance Management Strategy