Attachment 2 - QASP.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1. Contract or Task Order Title: Department of Defense (DoD) Secure Access File Exchange (SAFE) System

2. Purpose:

This QASP provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

· What will be monitored?

· How monitoring will take place.

· Who will conduct the monitoring?

· 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 premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

This QASP is a “living document” and the Government may review and revise it on a regular basis. Updates shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

3. Roles and Responsibilities:

The following personnel shall oversee and coordinate surveillance activities.

Program/Project Manager (PM) – The PM provides program oversight and supports the COR’s performance assessment activities.

Contracting Officer (KO) – The KO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The KO shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract. Determine the final assessment of the contractor’s performance.

Contracting Officer’s Representative (COR) – The COR is responsible for providing continuous technical oversight of the contractor’s performance. The COR uses the QASP to conduct the oversight/surveillance process. The COR shall keep a Quality Assurance file that accurately documents the contractor’s actual performance. The purpose is to ensure that the contractor meets the performance standards contained in the contract. The COR is responsible for reporting early identification of performance problems 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 QASP is the primary tool for documenting contractor performance. The COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government’s behalf.

Other Key Government Personnel- This may include performance monitors, inspectors, technical experts, workforce service division and center directorate level security personnel, requirements office, or others (i.e. users) who provide information that helps the COR monitor contractor performance.

4. Primary Method of Surveillance:

· 100 Percent Inspection. This is usually only the most appropriate method for infrequent tasks or tasks with stringent performance requirements, e.g., where safety or health is a concern. With this method, performance is inspected/evaluated at each occurrence. One hundred percent inspection is too expensive to be used in most cases.

· Periodic Inspection: These services are monitored weekly, monthly, quarterly, semiannually, annually, etc. Periodic types of activities are perfect for periodic inspection because not only are they infrequent, but there is normally a predetermined, specified time frame within which the tasks must be accomplished. Therefore, you know exactly when to conduct the evaluations. Periodic inspections automatically become 100 percent evaluations or "100 percent checks." Inspections should be divided and scheduled by frequency: annual, semiannual, quarterly, monthly, weekly and as required. Sometimes services are required for which the time or frequency cannot be predicted, such as accident investigations, one-time special tasking by higher headquarters, etc. These would be labeled "as required inspections." Others are known and predictable such as the quarterly status report or the monthly travel report currently included in some DISA service contracts.

Surveillance Matrix

The Surveillance Matrix (Appendix 1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance the COR will use to validate and inspect these performance elements. Inspection of each element will be documented in the COR file.

Performance objectives define the desired outcomes. Performance Standards define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performance surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance element standards. The AQL performance Standard Table should be used to form the foundation of the COR’s inspection checklist.

5. Performance Standards:

The Performance standards are captured in the table in Appendix 1.

6. Documenting Performance:

Acceptable Performance.

The Government shall document positive performance. A Performance Assessment Report (PAR) template is attached (Appendix 2). Any report may become part of the supporting documentation for fixed price payments, Contractor Performance Assessment Reporting System (CPARS) entries, or other actions. Government acceptance of services permits the contractor to invoice for the service fee.

Unacceptable performance.

Unacceptable contractor performance can be identified by customer complaints (Appendix 3) or upon schedule surveillance evaluations. When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication and may be through the PAR template (Appendix 2). The COR shall document the discussion and place it in the COR file and provide a copy to the KO.

When the COR determines formal written communication is required, the COR shall prepare a Corrective Action Report (CAR). The CAR is forwarded to the KO for dissemination to the contractor. A CAR template is attached to this QASP (Appendix 4).

The contractor shall acknowledge receipt of the CAR in writing. The CAR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CAR will also state how long after receipt the contractor has to present this corrective action plan to the KO and COR. The Government may withhold payment for services until corrective action is taken. The Government shall review the contractor's corrective action plan to determine acceptability. Upon Government acceptance of the corrected services the contractor will be permitted to invoice.

Any CAR may become a part of the supporting documentation for contract payment deductions, fixed fee deductions, award fee nonpayment, CPARS or other actions deemed necessary by the KO.

7. Mandatory or regulatory compliance items:

The contractor will provide initial proof of compliance with regulatory and compliance items contained in the contract. The Contracting Officer's Representative (COR) and the Contracting Officer (KO) will evaluate the initial submission and will conduct ad hoc reviews of the contractor's compliance throughout the remainder of the contract. The contractor will monitor compliance as required by FAR 52.222-50, Combating Trafficking in Persons, and report any issues to the KO.

8. Acceptable Quality Level (AQL):

The Acceptable Quality Levels are captured in the table in Appendix 1.

9. Evaluation Method:

The COR will evaluate deliverables in accordance with the Performance Standards found in Appendix 1 of this QASP under the third column of the table “Method of Surveillance”. The COR will check that deliverables are turned in on time and will rely on Subject Matter Expert (SME) to verify tests and inspections. All deliverables will be evaluated for depth and breadth of technical discussion and how they meet the requirements of the PWS.

10. Performance Rating:

In evaluating the quality of contractor’s performance, the following performance ratings may be used (same as CPAR ratings).

Appendix 1 - Surveillance Matrix

Task/Deliverable Content and Accuracy (All PWS Tasks):

Task/Deliverables are kept current and contain the most recent information.

Deliverables include accurate data and pertinent content; including the appropriate inclusion of analysis, recommendations, alternative solutions, and impact analysis, as required by the deliverable itself.

Minimum Acceptable: 95% of information contained in the respective task/deliverables are accurate, complete and include the required content, as required by each respective deliverable.

The Government requires a period not to exceed 30 calendar days after receipt of the final deliverable items for inspection and acceptance or rejection, unless otherwise specified. If the deliverable does not meet the specified criteria, it shall be returned. After notification that the deliverable did not meet the acceptance criteria, the Contractor shall re-submit the deliverable within 10 calendar days. Upon re-submission by the Contractor, the Government shall apply the same acceptance criteria. If the deliverable does not meet the acceptance criteria a second time, the Government will consider the contractor as having deficient performance with respect to the subject task. The contractor shall permit the Contracting Officer or designated representative access at any reasonable time to all records, data, and facilities used in the performance of services.

Measurement Interval: The measurement interval is monthly.

Measurement Period: The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00 on the last day of the month.

Method of Surveillance: 100% Inspection

Timing of Measurement: Measurements are taken within ten (10) days of the end of the Measurement Period.

Reporting Frequency: Reporting to commence upon the beginning of the contract Period of Performance, and continue through the life of the entire contract A rollup of assessment of the Surveillance Inspection Results will aid in the development of an overall rating for this objective.

Potential Overall Ratings:

Exceptional Very Good Satisfactory Marginal Unsatisfactory

Task/Deliverable Quality and Timeliness (All PWS Tasks):

Timely submission of Tasks/Deliverables

Minimum Acceptable: Acceptable "quality" performance delivered by specified delivery date at least 95% of time.

“Quality” for a task/deliverable is defined as meeting the task requirements in the PWS, applicable directives, required formats, and PWS “deliverables” requirements, which are identified after each task area. “On-time” for a task/deliverable is defined as being delivered on the due dates specified in the above deliverable tables.

Measurement Interval: The measurement interval is monthly.

Measurement Period: The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00 on the last day of the month.

Method of Surveillance: 100% Inspection

Timing of Measurement: Measurements are taken within 10 days of the end of the Measurement Period.

Reporting to commence upon the beginning of the contract Period of Performance, and continue through the life of the entire contract A rollup of assessment of the Surveillance Inspection Results will aid in the development of an overall rating for this objective.

Potential Overall Ratings:

Exceptional Very Good Satisfactory Marginal Unsatisfactory

Contract is staffed adequately to meet mission requirements:

Positions are not vacant in excess of 45 consecutive days.

Overall FTE vacancy rates not to exceed 20% in any given month.

Exceptions:

Government Clearance process delay.

Minimum Acceptable:

Positions:

Exceptional: 100% Very Good: >=85% Satisfactory: >=80% Marginal: >=71% Unsatisfactory: <70% Measurement Interval: The measurement interval is monthly.

Measurement Period: The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00 on the last day of the month.

Method of Surveillance 100% Inspection

Timing of Measurement Measurements are taken within 10 days of the end of the Measurement Period.

Reporting to commence upon the beginning of the contract Period of Performance, and continue through the life of the entire contract A rollup of assessment of the Surveillance Inspection Results will aid in the development of an overall rating for this objective.

Potential Overall Ratings:

Exceptional Very Good Satisfactory Marginal Unsatisfactory

If the application is not available for use or has greatly reduced functionality, the Service Manager shall be notified within 1 hour with a plan to fix or mitigate the issue.

Requests to the Tier 3 help desk shall be resolved or escalated to Tier 4 within:

Critical <= 30 Minutes High <= 4 Hours Medium <= 8 Hours Low <= 3 Business Days

Measurement Interval: The measurement interval is monthly.

Measurement Period: The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00 on the last day of the month.

Method of Surveillance: Periodic Inspections

Timing of Measurement: Measurements are taken within 10 days of the end of the Measurement Period

Reporting Frequency: Reporting to commence upon Contract Award and continue throughout the Period of Performance A rollup of assessment of the Surveillance Inspection Results will aid in the development of an overall rating for this objective.

Potential Overall Ratings:

Exceptional Very Good Satisfactory Marginal Unsatisfactory

Appendix 2 – Performance Assessment Report

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. |_| DEFICIENCY (CHECK ALL BOXES THAT APPLY)

|_| NEW

|_| REPEAT

|_| NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE |_| CONCUR |_| NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. |_| CONCUR |_| NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS

Appendix 3 – Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 4 – Corrective Action Report

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY |_| MAJOR |_| MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

|_| ACCEPTED |_| REJECTED

12. CLOSE DATE