Attachment 2 QASP_Recapture Appraisals.pdf

US Department of Agriculture (USDA)

Quality Assurance Surveillance Plan Nationwide Recapture Appraisal Services

December 11, 2024

Contents Project Name Nationwide Recapture Appraisal Services Section 1: Introduction

1.1 Purpose

1.2 QASP Relation to the Contract

1.2.1 QASP Revisions

1.2.2 Surveillance of Performance Progression

1.3 QASP Relation to the Quality Control Plan (QCP)

Section 2: Performance Description

2.1 Performance Standards and Acceptable Quality Levels (AQLs)

2.1.1 Allowable Deviation

2.1.2 Substantially Complete

2.2 Non-Performance

2.2.1 Documentation

2.2.2 Remedial Actions

Section 3: Contractor and Government Responsibilities

3.1 Contractor Responsibility

3.2 Government Responsibility

3.2.1 Contracting Officer (CO)

3.2.2 Contracting Officer Representative (COR)

3.2.3 Customers

Section 4: Surveillance Methods to Perform Quality Assurance

4.1 Surveillance Methods

4.2 Performance Requirement Summary (PRS)

4.2.1 Performance Objectives

4.2.2 Performance Standard

4.2.3 Acceptable Quality Level

4.2.4 Method of Surveillance

4.2.5 Remedy

4.3 Performance Requirement Summary (PRS)

4.4 Analysis and Results

Appendix A: Example Discrepancy Report Appendix B: Customer Feedback Record Appendix C: Example Quality Assurance Monitoring Appendix D: Example Customer Complaint Investigation Appendix E: Example Surveillance Activity Checklist

Project Name Nationwide Recapture Appraisal Services

Section 1: Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Nationwide Recapture Appraisal Services. This plan sets forth the procedures and guidelines that the USDA, Rural Development (RD) office will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 Purpose

The purpose of the QASP is to describe the systematic methods used to measure performance and to identify the reports required and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards identified in the PWS. This QASP is designed to define roles and responsibilities, identify the performance objectives, define the methodologies used to monitor and evaluate the contractor’s performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

1.2 QASP Relation to the Contract

1.2.1 QASP Revisions

The Contracting Officer Representative (COR) may make revisions or changes to the QASP procedures and surveillance methods or increase or decrease the degree of surveillance methods at any time during the Task Order performance period. Changes to the Metric must be incorporated into the PWS, Performance Requirement Summary (PRS) and QASP by a bilateral modification to Task Order that is issued by the Contracting Officer (CO). A copy of the QASP is provided to the contractor to enable the contractor to enhance its Quality Control (QC) program to perform in accordance with its Quality Control Plan (QCP).

1.2.2 Surveillance of Performance Progression

As the performance period progresses, the levels of surveillance may be altered for service areas where performance is either consistently excellent or unsatisfactory. If consistently good performance, then the amount of surveillance may be reduced. If observations reveal consistent deficiencies, increased surveillance may be implemented.

1.3 QASP Relation to the Quality Control Plan (QCP)

The QCP is a required element of Task Order, and the Contractor shall adhere to its established quality control processes and procedures in managing and performing work as described in the Task Order. While the QCP represents the way in which the Contractor will ensure its quality and timeliness of services, as defined in the PWS, the QASP represents the way in which the Government personnel specified in Section 3: Contractor and Government Responsibilities, Paragraph 3.2, Government Responsibilities will evaluate the Contractor’s performance. The Contractor’s QC program and the residual organization’s QASP should be complementary programs that ensure successful Contractor performance.

Section 2: Performance Description Performance of the Contractor will be monitored through the surveillance methods described in Section 4:

Surveillance Methods to Perform Quality Assurance to assess the Contractor’s performance against PWS requirements.

2.1 Performance Standards and Acceptable Quality Levels (AQLs) For selected activities in the PWS, the PRS provides a performance standard and an AQL. A performance standard is the expected level of Contractor performance. An AQL defines the level of performance that is satisfactory. Depending on the service evaluated and the evaluation method selected, performance standards and AQLs may be stated as a number of occurrences or as a percentage. Performance standards and AQLs for random sampling and 100 percent inspection are generally stated as percentages. For periodic inspections, performance standards may be stated as either percentages or as absolute numbers.

The Task Order requires the Contractor to perform all work as specified. Any inaccuracies or omissions in services or products are referred to as “defects” on the part of the Contractor. The Contractor shall be responsible for all identified defects and may be required to perform the work at no cost to the government.

The AQLs take into account that in some instances an allowable level of deficiencies (deviations) is possible while overall performance continues to meet the government’s desired level of service.

2.1.1 Allowable Deviation

The AQLs define the level or number of performance deficiencies the Contractor is permitted to reach under this Task Order. AQLs take into account the difference between an occasional defect and a gross number of defects.

AQLs can be expressed as a percentage of or as an absolute number (e.g., three per month). There may be instances where 100 percent compliance is required, and no deviation is acceptable (e.g., where safety is involved).

2.1.2 Substantially Complete

In some cases, service outputs are evaluated using subjective values (e.g., excellent, satisfactory, unsatisfactory).

The criteria for acceptable performance and for defects must be defined for these service outputs. The concept of “substantially complete” should be the basis for inspections based on subjective scales. Work is considered “substantially complete” where there has been no significant departure from the terms of the Task Order and no omission of essential work. In addition, the Contractor has performed the work required to the best of its ability and the only variance consists of minor omissions or deficiencies.

2.2 Non-Performance

Non-performance occurs when the Contractor’s performance does not meet the AQL for a given requirement.

Requirements may contain multiple performance elements, and therefore, deficiencies may occur in one or more aspects of performance (e.g., timeliness, accuracy, completeness, etc.) or subject areas of effort.

When surveillance indicates that the Contractor's service output is not in compliance with the Task Order requirements, the Contracting Officer’s Representative (COR) must determine whether the Contractor or the Government caused the deficiency. If the cause of the defect rests with the Government, corrective action must be taken through Government channels. If the cause of the defect is due to action or inaction by the Contractor, the Contractor is responsible for correction of the problem at no additional expense to the Government.

2.2.1 Documentation

Documentation of work non-performed or unacceptable work is essential for tracking Contractor performance.

The COR will document deficient work by compiling facts describing the inspection methods and results and to substantiate nonconformance with the Task Order. A documentation reporting form is provided in Appendix A:

Discrepancy Report. The documentation, with any recommendations, will be forwarded to the CO. In the case of the Contractor, the COR will decide whether to elevate the problem to the CO for corrective action.

2.2.2 Remedial Actions

The Federal Acquisition Regulation allows for penalties in the event that the Contractor fails to perform the required services. Penalties are defined as those actions taken under the direction of the CO against the Contractor within the general provisions of the Task Order for nonconformance to the PWS and PRS.

Section 3: Contractor and Government Responsibilities

3.1 Contractor Responsibility

The Contractor is responsible for delivering products or services in accordance with the Task Order.

Implementing its QCP, which describes the Contractor’s methods for ensuring all products and services under the Task Order meet established performance standards and AQLs. Maintaining, and providing for audit, quality control records and reports and all records associated with the investigation and complaint resolutions.

Appointing a single quality control point-of-contact to act as a central recipient of communication from the COR or CO.

3.2 Government Responsibility

3.2.1 Contracting Officer (CO)

The CO is responsible for administering and monitoring Task Order compliance, Task Order administration, and cost control and for resolving any differences between the observations documented by COR and the Contractor’s performance. The CO may delegate various day-to-day contract administration duties to an Administering ACO (ACO) and/or the COR for performance management and administrative actions such as invoice approval and issuance of Contract Discrepancy Reports may be, and normally are, delegated by the CO to the COR. The CO shall approve any revisions to the QASP processes or standards.

3.2.2 Contracting Officer Representative (COR)

The COR, is designated in writing, by the CO. The COR will ensure that the QA function is properly executed, plays a key role in contract administration and performs the contract surveillance and monitoring. Some key contract administration duties include, but are not limited to, performs surveillance as required by this QASP;

make recommendations to the CO for issuance of Contract Discrepancy Reports or letters of commendation and acceptance or rejection of completed work and for administrative actions based on unsatisfactory or non-performed work, and revisions or changes to the QASP; and assists the CO in identifying necessary Task Order modifications and preparing reports of Contractor performance and cost.

The COR may use the form(s) included in the Appendices to perform the inspection or other forms as approved by the CO. The Contractor overall guidance is also provided by FAR clause 54.212-4 of the contract.

3.2.3 Customers

Customers or organizations/offices that the Contractor provided support may be requested to assist the COR in conducting QA to provide information relating to the Contractor’s performance through Customer Feedback.

Information gained from the Customer Feedback may be used in conjunction with other methods of observation to rate the performance of the Contractor.

Section 4: Surveillance Methods to Perform Quality Assurance

4.1 Surveillance Methods

The surveillance methods used in the QA process are the Government’s tools to monitor the Contractor’s products and services. The best means of determining whether the Contractor has met all contract requirements is to inspect the Contractor’s service products and analyze the results. Further, documented inspection results are an effective tool in contract administration that can confirm the successful achievement of all performance requirements or highlight areas where defects exist, and improvements are necessary.

4.2 Performance Requirement Summary (PRS)

The PRS details the methods of surveillance the COR will use to validate and inspect the Contractor’s performance. In addition, the PRS should be used to form the foundation of the COR’s inspection checklist. The PRS elements are described below:

4.2.1 Performance Objectives. Defines the desired outcomes.

4.2.2 Performance Standard. Defines the level of service required under the Task Order to successfully meet the performance objective.

4.2.3 Acceptable Quality Level. Defines the amount of variance from the performance standard allowed to still be considered acceptable.

4.2.4 Method of Surveillance. Defines how, when, and what will be assessed in measuring performance.

4.2.5 Remedy. Defines the steps utilized to correct unsatisfactory performance.

4.3 Performance Requirement Summary (PRS)

The following chart identifies the key performance objectives that will be verified as contractually compliant by Government personnel; however, inspection of any Task Order requirements are authorized. The chart will be updated at the Task Order level.

Performance Objective

Acceptable Quality Level (AQL)

Maximum Error Rate (MER)

Method of surveillance

Remedy

Delivery of all non-urgent appraisals within 20 business days of order.

AQL 98% accurate and timely.

2% Utilize Contractor online system or electronic source to view data response to process transaction services.

Discrepancy Report or Customer Feedback Record identifying the issue or other perceived performance issue. Report or Record is issued to Contractor. Contractor to provide remedy in formal Corrective Action Plan to be approved by Government. Monitoring of Contractor progress and adherence to the Corrective Action Plan.

If the contractor fails to deliver within the specified time, Liquidated Damages may be assessed in accordance with FAR 52.211-11, and in the amount(s) stated in the Task Order.

CPARs Ratings:

No instances = Exceptional First instance w/ acceptable contractor remedy = Very Good Second instance w/ acceptable contractor remedy = Satisfactory Over two complaints = Marginal / Unsatisfactory No satisfactory remedy provided = Unsatisfactory

Delivery of all non-urgent Subsidy Recapture appraisals within 20 business days of order after the 30-business day hold time to receive Capital Improvements by the borrower.

AQL 98% accurate and timely.

2% Utilize Contractor online system or electronic source to view data response to process transaction services.

Discrepancy Report or Customer Feedback Record identifying the issue or other perceived performance issue. Report or Record is issued to Contractor. Contractor to provide remedy in formal Corrective Action Plan to be approved by Government. Monitoring of Contractor progress and adherence to the Corrective Action Plan.

If the contractor fails to deliver within the specified time, Liquidated Damages may be assessed in accordance with FAR 52.211-11, and in the amount(s) stated in the Task Order.

CPARs Ratings:

No instances = Exceptional

Objective

Acceptable Quality Level (AQL)

Maximum Error Rate (MER)

Method of surveillance

Remedy

First instance w/ acceptable contractor remedy = Very Good Second instance w/ acceptable contractor remedy = Satisfactory Over two complaints = Marginal / Unsatisfactory No satisfactory remedy provided = Unsatisfactory

Problem Resolution - 4 hours to respond and 8 hours to complete resolution proposal acceptable to RD.

AQL 98% accurate

2% Utilize online system or electronic source to view data response to process transaction services.

Discrepancy Report or Customer Feedback Record identifying the issue or other perceived performance issue. Report or Record is issued to Contractor. Contractor to provide remedy in formal Corrective Action Plan to be approved by Government. Monitoring of Contractor progress and adherence to the Corrective Action Plan.

If the contractor fails to deliver within the specified time, Liquidated Damages may be assessed in accordance with FAR 52.211-11, and in the amount(s) stated in the Task Order.

CPARs Ratings:

No instances = Exceptional First instance w/ acceptable contractor remedy = Very Good Second instance w/ acceptable contractor remedy = Satisfactory Over two complaints = Marginal / Unsatisfactory No satisfactory remedy provided = Unsatisfactory

Delivery of all appraisals accurately based off delivery schedule.

AQL 99% accurate

1% Utilize online system or electronic source to view data response to process transaction services.

Discrepancy Report or Customer Feedback Record identifying the issue or other perceived performance issue. Report or Record is issued to Contractor. Contractor to provide remedy in formal Corrective Action Plan to be approved by Government. Monitoring of Contractor progress and adherence to the Corrective Action Plan.

If the contractor fails to deliver within the specified time, Liquidated Damages may be assessed in accordance with FAR 52.211-11, and in the amount(s) stated in the Task Order.

CPARs Ratings:

No instances = Exceptional First instance w/ acceptable contractor remedy = Very Good Second instance w/ acceptable contractor remedy = Satisfactory Over two complaints = Marginal / Unsatisfactory

No satisfactory remedy provided = Unsatisfactory

4.4 Analysis and Results

When the inspections and customer feedback validations have been completed, the COR will perform an analysis of the Contractor’s performance. The purpose of the analysis is to ensure Government is receiving high-quality products and services from the Contractor. The COR will review the results, rate the Contractor’s compliance with the performance standards and AQLs, and characterize the Contractor’s overall performance.

FOR INFORMATIONAL PURPOSES

Below are the attachments or exhibits the appropriate performance requirement summary, forms, checklists, etc. in the QASP that will be used during surveillance / monitoring for the applicable Task Order.

Appendix A: Example Discrepancy Report The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

DISCREPANCY REPORT 1. DISCREPENCY REPORT NO.

2. TO: (Contractor / Project Manager Name) 3. FROM: (Name of COR)

CONTRACT NUMBER: DATE:

PREPARED ORAL NOTIFICATION RETURNED BY CONTRACTOR ACTION COMPLETE

4. DISCREPENCY OR PROBLEM (Describe in Detail. Include PWS references. Attach Continuation Sheet if Necessary)

5. SIGNATURE OF COR

6. TO: (Name of COR) 7. FROM: (Contractor / Project Manager)

8. CONTRACTOR RESPONSE AS TO CAUSE, EFFECT, CORRECTIVE ACTION AND ACTIONS TO PREVENT RECURRENCE (Attach Continuation Sheet if necessary. Cite applicable Contractor QC program procedures or new QC procedures)

9. SIGNATURE OF CONTRACTOR REPRESENTIVE 10. DATE

11. GOVERNMENT EVALUATION (Acceptance, partial acceptance, or rejection. Attach Coordination Sheet if necessary)

12. GOVERNMENT ACTIONS (Cure notice, show cause, other)

CLOSE OUT

KTR NOTIFIED

NAME AND TITLE SIGNATURE DATE

COR

Appendix B: Customer Feedback Record The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

CUSTOMER FEEDBACK RECORD

DATE AND TIME OF COMPLAINT CONTRACT NUMBER/ OR PROJECT:

SOURCE OF COMPLAINT

ORGANIZATION

INDIVIDUAL

NATURE OF COMPLAINT

PWS REFERENCE

VALIDATION

DATE AND TIME CONTRACTOR INFORMED OF COMPLAINT NAME OF CONTRACTOR REPRESENTATIVE INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR (Responsible officer):

RECEIVED AND VALIDATED BY

Determination: Complaint Valid Complaint Invalid

Appendix C: Example Quality Assurance Monitoring The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

CONTRACT NUMBER: ______________________________________

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check the applicable item):

r Random Sampling r 100% Inspection r Periodic Inspection r Customer Complaint

LEVEL OF SURVEILLANCE (Check the applicable item):

r Monthly r Quarterly r As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Service Provider’s Performance (Check the applicable item):

r Meets Standards r Does Not Meet Standards

Narrative of Performance During Survey Period:

Prepared By: _______________________________ Date: ______________

Appendix D: Example Customer Complaint Investigation The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

CONTRACT NUMBER: _________________________

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

DATE COMPLAINT RECEIVED: ____________

SOURCE OF COMPLAINT: _________________________________________ (Name) _______________________________________________________________ (Organization) ___________________ (Phone No.) _________________________________ (Email Address)

NATURE OF COMPLAINT:

RESULTS OF COMPLAINT INVESTIGATION:

DATE SERVICE PROVIDER INFORMED OF COMPLAINT: _____________

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER:

Received and Validated By: __________________________________________ Prepared By: _____________________________ Date: _________________

Appendix E: Example Surveillance Activity Checklist The following document is only an example, which is not all inclusive, that can be revised and used, if applicable, in the QASP as attachments or exhibits.

Performance Requirement

Performance Standard

Method of Measurement

Metrics

Method of Surveillance

Date Accomplished

Compliance (Exceed, Met, Partial Met)