Attachment 1 B08_QASP_ Seminar_ Services_v4 (1).DOCX

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Homeland Security Institute (HSI), Chief of National Guard Bureau (CNGB) Seminar Services i

TABLE OF CONTENTS

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QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Leadership in Homeland Security Program. This plan sets forth the procedures and guidelines that the Homeland Security Institute will use in ensuring the required performance standards or services levels are achieved by the contractor.

Purpose

1.1.1 The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and the 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 to ensure that 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.

Performance Management Approach

1.2.1. The 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 by the Homeland Security Institute 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.

Performance Management Strategy

1.3.1. The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor’s own 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 by 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 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.

1.3.2. The government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The government will make determination regarding incentives based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

ROLES AND RESPONSIBILITIES

The Contracting Officer The contracting officer (KO) is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the contracting officer's representative (COR) and the contractor. The KO 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 KO.

The Contracting Officer’s Representative The contracting officer’s representative (COR) is designated in writing by the CO to act as his or her 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 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 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.

Homeland Security Institute (HSI) Director The HSI Director provides primary program oversight, nominates the COR, ensures the COR is trained before performing any COR duties and supports the COR’s performance assessment activities..

Contractor Representatives Offerors shall provide necessary representatives to ensure successful contract performance and to perform the roles within the Contractor Performance Assessment Reporting System (CPARS).

IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in Attachment 1, “Performance Requirements Summary.”

METHODOLOGIES TO MONITOR PERFORMANCE

Surveillance Techniques In an effort 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 (include those that apply)

· Review of pre-course materials, schedules, and in-person observation of execution.

· Review of end of course reports.

Customer Feedback The contractor is expected to establish and maintain professional communication between its employees and customers. The HSI Seminar Services defines the customer as the attendees to the seminars.

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 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, investigate, document, and submit to the KO.

Customer feedback is a required report within the PWS. As such, the COR will gather the feedback obtained either from the results of the formal customer satisfaction surveys or in the event of a customer complaint.

QUALITY ASSURANCE DOCUMENTATION

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 are assessed using the performance monitoring techniques shown in Attachment 1.

Monitoring Forms

The government’s QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Attachments 2 and 3. The forms, when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure that the required results are being achieved. The COR will retain a copy of all completed QA surveillance forms.

ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

Determining Performance

Government shall 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.

Reporting

At the end of each month, the COR will prepare a written report for the Homeland Security Institute summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which includes the contractor’s submitted monthly report and the completed quality assurance monitoring forms (Attachment 2), will become part of the QA documentation. It will enable the government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards, including cost/technical/scheduling objectives.

Reviews and Resolution

The Homeland Security Institute may require the contractor’s project manager, or a designated alternate, to meet with the COR and other government IPT personnel as deemed necessary to discuss performance evaluation. The COR will define a frequency of in-depth reviews with the contractor, including appropriate self-assessments by the contractor; however, if the need arises, the contractor will meet with the COR as often as required or per the contractor’s request. The agenda of the reviews may include:

· Monthly performance assessment data and trend analysis

· Issues and concerns of both parties

· Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis

· Recommendations for improved efficiency and/or effectiveness

The COR must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

The COR and contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics will be incorporated as a contract modification at the convenience of the KO.

Waiver Process

6.4.1 The Homeland Security Institute or the contractor may require the contractor to deviate from the AQLs to meet mission based on external circumstances (e.g. Natural Disaster, Pandemic, etc..). In such event, a waiver may be granted by the Director but facilitated by the COR to allow deviation to the AQLs. All waivers shall be approved prior to execution of the seminar. The waiver shall be in Memorandum of Agreement (MOA) format found in AR 25-50 that is signed by both the contractor and HSI Director. The waiver shall include the seminar name, the task order number, a description of the deviation from the AQL, the justification for deviation, and impact (if any) to the seminar.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

PRS #1:

Contractor shall provide specified seminar services prepared and executed at the executive / doctorate level. The seminars shall foster networking between the interdepartmental leaders that attend. The contractor shall autonomously provide all logistical needs in order to coordinate, facilitate, and execute a successful seminar. Instructors and guest speakers shall be of a quality to ensure the level of discussion on key topics meet or exceed the executive / doctorate level.

Paragraph 1.4.7.4., 5.1 and 5.2

PRS#2:

Contractor should produce seminar content that is be based upon a ten case studies on desired topics outlined in the PWS.

Paragraphs 5.1 and 5.2

PRS#3:

Contractor should have a target of five, but shall have a minimum of three blocks of instruction/discussion facilitated by guest instructors / speakers.

Paragraphs 5.1 and 5.2

ATTACHMENT 2: SAMPLE QUALITY ASSURANCE MONITORING FORM

STANDARD: Contractor shall deliver required course at desired level of complexity and analysis.

SURVEY PERIOD: Example: Prior to execution of the seminar, course material is reviewed.

SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly x As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Narrative of Performance During Survey Period: