Attachment 1 Quality Assurance Surveillance Plan.pdf

ATTACHMENT 1

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Regional Innovation Clusters

Office of Investment and Innovation

Issued July 18, 2023

TABLE OF CONTENTS

1 INTRODUCTION

1.1 Purpose

1.2 Performance Management Approach

1.3 Performance Management Strategy

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

2.2 The Contracting Officer’s Representative

2.3 Program Officer

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

4.2 Acceptable Quality Levels

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

5.2 Monitoring Forms

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.2 Quarterly Reporting

6.3 Reviews and Resolution

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

ATTACHMENT 2: SAMPLE QUALITY ASSURANCE MONITORING FORM

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the Statement of Objectives (SOO) accompanying the fiscal year (FY) 2023 Regional Innovation Clusters Solicitation. This plan sets forth the procedures and guidelines SBA – Office of Investment and Innovation (OII) 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 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 SOO 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 key personnel, 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 SOO 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 SBA – OII to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives communicated in the SOO 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, as long as 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 as long as the critical outcomes expected are being achieved and/or the desired performance levels are being met.

1.3 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 (QCP). 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 SOO. 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 QCP.

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.

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

The contracting officer (CO) 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 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 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.

2.3 Program Officer

The program officer (PO) will work closely with the COR on monitoring the performance of the contractor and ensuring achievement of required tasks. The PO is not empowered to make any contractual commitments or to authorize any contractual changes on the government’s behalf. The PO will work with contractor to ensure they are integrated with the broader community of RICs and Entrepreneurial Support Organizations (ESOs) and make connections as appropriate across the RIC program and ESO community.

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in the SOO Section 5, “Performance Objectives, I.E., Required Results.” If the contractor meets the required service or performance level, it will be paid the monthly amount agreed on in the contract. Failure to meet the required service or performance level will result in a negotiation for corrective action plan which may result in deduction from the monthly amount or negotiations for discounted services.

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 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:

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

100% Inspection – COR, shall review the generated documentation and enter summary results into the Surveillance Activity Checklist.

Periodic Inspection – COR typically performs the periodic inspection as needed.

4.2 Acceptable Quality Levels

The acceptable quality levels (AQLs) included in SOO Section 5, “Performance Objectives, I.E., Required Results,” for contractor performance are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls. For the critical activities listed in Attachment 1, the desired performance level is established at 100 percent.

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

5.2 Monitoring Forms

The government’s QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Attachment 2. The forms, when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure that the required results for the Regional Innovation Cluster (RIC) are being achieved.

5.2.1 The COR will retain a copy of all completed QA surveillance forms.

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.1.1 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.

6.2 Quarterly Reporting

6.2.1 At the end of each quarter, the COR will prepare a written report for the CO 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.

6.3 Reviews and Resolution

6.3.1 The COR may require the contractor’s project manager, or a designated alternate, to meet with the CO/COR and other government 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.

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

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

Required Services (Tasks)

Performance Standards

Acceptable Quality Levels

Methods of

Surveillance

Impact on Contractor Payments

Collaborate with other clusters receiving SBA funding to share best practices, measure impact, and as appropriate, connect their cluster participants with other clusters – see SOO Section 5

Provide education, training, and business advising to small businesses and at least three of the following services to small businesses involved in the cluster: business training; business counseling/ consulting;

mentoring; technology transfer counseling/consulting;

commercialization of existing research and development (R&D) counseling/consulting;

export readiness counseling/consulting;

or other services relevant to small businesses – see SOO

Link small businesses with other small and large businesses, technology, development and financing opportunities, as well as initiatives to

Partnership formation should be ongoing and existing partnerships should be maintained throughout duration of contract.

Services should be provided on a regular basis, clearly advertised to new and ongoing cluster participants, and specific to the needs of the cluster participants in the region.

100%;

Contractor must continuously demonstrate new and ongoing partnerships must continuously provide all services

Quality Assurance Monitoring form, response/waiting times, periodic inspections of deliverables/reports, and random, observations response times/waiting, periodic inspections of deliverables/reports, response

If AQL is not achieved, it may result in contractor supplied corrective action plans and/or deduction from invoice payments or negotiations for discounted services.

If AQL is not achieved, it may result in contractor supplied corrective action plans and/or deduction from invoice payments or negotiations for discounted services.

establish mentoring, contract matchmaking, and networking opportunities with seasoned entrepreneurs to help potential high-growth small businesses – see SOO

Demonstrate through quarterly and annual reporting achievement of the required services and impact of cluster activities on the region’s economic growth and employment – see SOO Section 5

Respond to survey requests to evaluate the impact of the RICs program and encourage cluster participants and small businesses served to respond to survey requests

Services should be provided on a regular basis, clearly advertised to new and ongoing cluster participants, and specific to the needs of the cluster participants in the region.

Quarterly and annual reports include an overview of project activities and small business outcomes and regional economic outcomes as listed in SOO sections

5.2.1 and 5.2.2 and other statistics as requested by the

COR/ PO.

Survey response rate.

Contractor must continuously must continuously must respond to survey;

contractor should encourage survey response by cluster participants and small businesses served times/waiting, periodic inspections of deliverables/reports, response times/waiting, periodic inspections of deliverables/reports, response times/waiting, periodic inspections of deliverables/reports, and random, observations

If AQL is not achieved, it may result in contractor supplied corrective action plans and/or deduction from invoice payments or negotiations

If AQL is not achieved, it may result in contractor supplied corrective action plans and/or deduction from invoice payments or negotiations for discounted services.

If AQL is not achieved, it may result in contractor supplied corrective action plans and/or deduction from invoice payments or negotiations

ATTACHMENT 2: SAMPLE QUALITY ASSURANCE

MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection

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: _________________