Attachment 2 Specialized Laboratory Testing QASP (31 Jan 24).pdf

QUALITY ASSURANCE

SURVEILLANCE PLAN

FOR

Specialized Laboratory Testing

(31 Jan 24)

TABLE OF CONTENTS

Paragraph Description Page 1 Purpose 1 2 Authority 1 3 Roles and Responsibilities 1 4 Performance and Surveillance 2

Addendum 1 Service Delivery Summary Table 6

1. Purpose

1.1. This Quality Assurance Surveillance Plan (QASP) is a Government-developed document used to determine if the Contractor performance meets the performance standards contained in the Performance Work Statement (PWS) or Statement of Work (SOW). The QASP establishes procedures on how this assessment/inspection process will be conducted. It provides the detailed process for a continuous oversight process:

• What will be monitored

• How monitoring will take place

• Who will conduct the monitoring

• How monitoring efforts and results will be documented

1.2. The Contractor is responsible for implementing and delivering performance that meets contract standards and self-assessing that performance using its Contract Compliance Plan (CCP).

The QASP provides the structure for the Government’s surveillance of the Contractor’s performance to ensure it meets contract standards. It is the Government’s responsibility to be objective, fair and consistent in evaluating Contractor performance.

1.3. The QASP is not intended to duplicate the Contractor’s CCP. This QASP is a living document. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on Contractor performance. All surveillance documentation as a result of this QASP will be marked, “For Official Use Only”.

1.4. The Government may provide a copy of the QASP to the Contractor to facilitate open communication. In addition, the QASP should recognize that unforeseen or uncontrollable circumstances might occur that are outside the control of the Contractor.

2. Authority

2.1. Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provide for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the Contracting Officer or a duly authorized representative.

3. Roles and Responsibilities

3.1. Government and Contractor personnel have a part in ensuring the Contractor performance meets the standards set forth in the PWS/SOW and applicable documents.

3.2. Program/Project Manager (PM) – The PM provides primary program oversight from requirement generation to project termination. The PM reviews the COR’s performance assessment reports when either requested or contains unsatisfactory PWS/SOW performance. The PM may serve as a direct conduit to provide Government guidance or feedback to the COR and Contractor on technical matters, but the PM is not empowered to make any contractual commitments or any contract changes on the Government’s behalf.

3.3. Contracting Officer (CO) – The CO 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 CO shall also ensure that the Contractor accident. 4 receives impartial, fair and equitable treatment under this contract. The CO shall determine the final assessment of the Contractor’s performance.

3.4. Contracting Officer’s Representative (COR) – The COR is responsible for providing continuous surveillance of the Contractor’s performance and shall keep a record that accurately documents the Contractor’s performance. The COR is required to provide an annual performance assessment to the CO which will be used in documenting past performance. The COR is not empowered to make any contractual commitments or to authorize any contractual change on the Government’s behalf. The COR is the eyes and ears (not a voice) for the CO.

4. Performance and Surveillance

4.1. Contract Surveillance

4.1.1. The goal of the QASP is to ensure that Contractor performance is effectively monitored and documented. The COR uses the methods contained in this QASP to ensure the Contractor remains compliant with contract requirements. The COR is responsible for a wide range of surveillance requirements that effectively measure and evaluate the Contractor’s performance.

4.2. Service Delivery Summary

4.2.1. The Service Delivery Summary Table (Appendix 1) incorporates the major task subareas of the PWS/SOW as the basis for evaluation of the Contractor performance. For each area, the standard of service and threshold/Acceptable Quality Level (AQL) must be performed at the minimum level to successfully meet the requirement.

4.2.2. The Surveillance Method and Performance Measure show how the COR will accumulate data relating to the specific measures to assess overall Contractor performance. Inspection methodologies (Appendix B) provide more specific details the types and frequencies used in measuring performance.

4.3. Measuring Performance

4.3.1. Discrepancies in Contractor performance generally fall into one of the three categories below, and are used to differentiate between levels of impact of the shortfall.

4.3.1.1. Critical Nonconformance. IAW FAR 46.101, critical nonconformance is likely to result in hazardous or unsafe conditions for individuals using, maintaining, or depending upon the supplies or services; or is likely to prevent performance of a vital agency mission. Examples include, but are not limited to:

A. Failure to adhere to policies, procedures, or regulations which would have been the proximate cause of or did result in a reportable safety incident, unsafe operation, injury, or

B. Failure to adhere to policies, procedures, or regulations which would have been the proximate cause of or did result in a reportable environmental mishap or notice of violation.

C. Failure to adhere to policies, procedures, or regulations which would have been the proximate cause of or did result in a security incident or violation.

D. Failure to perform required tasks related to maintaining or failure in maintaining quality of fuel products.

E. Failure to provide and implement appropriate corrective actions for previously documented critical nonconformance within specified time frames.

4.3.1.2. Major Nonconformance. IAW FAR 46.101, major nonconformance is likely to result in failure of the supplies or services or to materially reduce the usability of the supplies or services for their intended purpose. Examples include, but are not limited to:

A. Failure to adhere to policies, procedures, or regulations resulting in customer impact.

B. Failure to adhere to policies, procedures, or regulations resulting in inventory supply chain failure or impact.

C. Failure to adhere to policies, procedures, or regulations resulting in facility, equipment or vehicle maintenance downtime or unnecessary repair.

D. Failure to meet a safety, environmental or security Performance Measure not otherwise identified as a critical nonconformance.

E. More than second-time consecutive repeat minor nonconformance.

F. Failure to provide and implement appropriate corrective actions for previously documented major nonconformance within specified time-frames.

G. Second-time consecutive repeat minor nonconformance discrepancies.

4.3.1.3. Minor Nonconformance. IAW FAR 46.101, minor nonconformance is not likely to materially reduce the usability of the supplies or services for their intended purpose, or is a departure from established standards having little bearing on the effective use or operation of the supplies or services. Examples include, but are not limited to:

A. Failure to adhere to policies, procedures, regulations or generally accepted practices or to meet a Performance Measure not otherwise addressed as a critical or major nonconformance.

B. First time consecutive repeat minor nonconformance Discrepancies.

C. Failure to provide and implement appropriate corrective actions for previously documented minor nonconformance within specified time frames.

4.3.2 Monthly Performance Rating Definitions

4.3.2.1. In evaluating the quality of Contractor’s performance, the following overall performance ratings and criteria will be used. The sub-factors used for each condition are specified in the Performance Requirements table below.

Performance Rating

Criteria (Monthly)

Exceptional No critical or major nonconformance; and all AQLs met; and no AQL’s missed.

Very Good No critical or major nonconformance; and all AQLs met and at least one AQL missed.

Satisfactory No critical nonconformance; and no major nonconformance A, B, C, D, E; and no more than one major nonconformance F, G; and all AQLs missed.

Marginal Not more than one critical nonconformance; and not more than one major nonconformance A, B, C, D, E; and no more than two major nonconformance’s F, G; or not all AQLs met.

Unsatisfactory More than one critical nonconformance or major nonconformance A, B, C, D, E; or more than two major nonconformance’s F, G; or any AQLs 1-6 not met.

4.3.3 Annual Contractor Performance Assessment Rating (CPAR)

4.3.3.1. The COR will use the monthly inspections as the basis for providing the annual CPARs assessment of the Contractor. The below table provides a rationale for the COR’s CPARs ratings which should be justified by the monthly ratings.

Performance Rating

Criteria (Annual)

Exceptional All monthly reports rated Exceptional, Very Good, or Satisfactory with more than half rated Exceptional

Very Good Does not meet the requirement for Exceptional; all monthly reports rated Satisfactory or above with more than half rated Very Good or above

Satisfactory Does not meet the requirement for Very Good; all monthly reports rated Marginal or above with more than half rated Satisfactory or above

Marginal Does not meet the requirement for Satisfactory; all monthly reports rated Marginal or above

Unsatisfactory Does not meet the requirement for Marginal; one or more monthly reports rated Unsatisfactory

4.3.4. Performance Reporting

4.3.4.1. Discrepancies or nonconformance may be identified through a variety of means including periodic or random checks by the COR, outside agency inspections or complaints. Observation, notification and correction is vital to ensuring mission support is maintained.

4.3.4.2. The CORs will prepare the monthly report and provide to the Contracting Officer by entry into Surveillance and Performance Monitoring located in the Procurement Integrated Enterprise Environment system in accordance with the appointing memorandum.

4.3.4.2.1. The COR should not wait to document findings from periodic or random inspections in a monthly report but should make every effort to notify the Contractor and other appropriate personnel as soon as possible to enable appropriate corrective actions to be taken. Initial verbal notification is acceptable with follow-up email/written notification to provide documentation and tracking. All nonconformance should be documented on appropriate forms and subsequently included in the COR monthly report.

4.3.4.2.2. Minor nonconformance and subsequent corrective actions to be taken will be documented by the COR in the appropriate performance assessment section of the monthly COR report.

4.3.4.2.3. Critical and Major Nonconformance and subsequent corrective actions to be taken will be documented by the COR on DD Form 2772, Contract Discrepancy Report and forwarded to the Contracting Officer for approval upon occurrence. No alternate forms may be used. These will subsequently be documented in the appropriate performance assessment section of the monthly COR report.

4.3.4.3. Outside agency inspection findings should be provided to the COR for validation and incorporation in the monthly COR report. Required responses should be developed by the Contractor and routed through the COR to the Contracting Officer prior to release to the inspecting agency.

4.3.4.4. As customer service is a primary focus of the Contractor performance, customer complaints are taken very seriously. The COR will furnish written instructions and/or customer training to each organization receiving the Contractor’s service. Any customer, who observes or receives unacceptable services, whether poor, incomplete, or not performed, should immediately contact the COR. When a complaint is received, the COR verifies the compliant with the customer and Contractor then validates the complaint. The COR must evaluate the complaints on a case-by-case basis. If any Government action or lack of action caused unacceptable performance, the complaint is not valid. If the complaint is valid, a Customer Complaint Record and DD Form 2772 will be annotated by the COR and the Contracting Officer will be notified.

4.3.4.5. For continued nonconformance or lack of implementation by the contractor of corrective action, the COR should continue to document discrepancies as noted above and notify the Contracting Officer and Service Control Point if the situation warrants for further action.

ADDENDUM 1

Service Delivery Summary (SDS) Table

A1.1. The Service Delivery Summary Table below incorporates the major task subareas of the PWS/SOW as the basis for evaluation of the Contractor performance.

A1.2. The threshold/Acceptable Quality Level (AQL) for each requirement performance standard measure is the same as that used for the overall monthly satisfactory rating: no critical nonconformance; and no major nonconformance A, B, C, D, E; and no more than one major nonconformance F, G. Thus the performance success criteria is more closely dependent on the severity or criticality of nonconformance rather than simply a number of discrepancies.

Requirement/

Contract Reference

Performance Standard

Performance Measure

Surveillance Method

1. Staffing Ensures staffing is provided and required to meet all

PWS/SOW

requirements.

- No mission impact due to staffing shortfalls or personnel lacking qualification.

- Periodic: Monthly COR review of samples and testing of received product.

2. Records Management

All records pertaining to services performed are kept.

- All records are accurately documented correctly and maintained.

- Periodic: Monthly COR sampling of logs, quality control records.

- Random: Spot checks

3. Equipment Calibration

Equipment in use must be calibrated.

- Verify calibration dates. - Periodic: Semi-annual COR will verify by checking equipment.

4. Turnaround Times

Turnaround times never exceed without written waiver.

- See PWS/SOW. - Periodic: Monthly COR sampling of logs, quality control records.

- Random: Spot checks

5. Performance Requirements

Meets all performance requirements in

PWS/SOW.

- Witnessing

- Testing Capabilities

- Periodic: Random Monthly COR review of laboratory operations and quality records.