Attachment 3 QASP Fingerprinting Services.pdf

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ATTACHMENT 4: QUALITY ASSURANCE SURVEILLANCE PLAN (DRAFT)

For Defense Health Agency (DHA)

Contract Number: < upon award, enter contract number> Contract Description: Defense Health Agency (DHA) Finger Printing Support Services

Contractor’s name: < upon award, enter Contractor name > (hereafter referred to as the Contractor).

1. PURPOSE.

This Quality Assurance Surveillance Plan (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 to ensure that the QASP remains a valid, useful, and enforceable document. However, the Government will coordinate changes with the Contractor. Copies of the original QASP and revisions will be provided to the Contractor and Government officials implementing surveillance activities.

The following FAR clauses may apply depending on contract type:

52.246-4 Inspection of Services – Fixed-Price

2. GOVERNMENT ROLES AND RESPONSIBILITIES.

The following Government personnel are responsible for overseeing and coordinating surveillance activities.

a. Contracting Officer (CO) - The CO is responsible for ensuring performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and safeguard the interests of the United States in the contractual relationship. The CO is also responsible for ensuring that the Contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

Assigned Contracting Officer: Cherish D. Young Organization or Agency: Defense Health Agency Telephone: (703) 681-7270 Email: cherish.d.young2.civ@health.mil

b. Contracting Officer’s Representative (COR) - The COR is responsible for technical administration of the contract and is responsible for ensuring proper Government surveillance of the Contractor’s performance.

The COR is responsible for keeping a quality assurance file and at the conclusion of the contract, or when

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The Contractor shall refer any changes they deem may affect contract price, terms, or conditions to the CO for action.

Assigned COR: Vanessa Conklin Office: 571-425-8063 Email: vanessa.conklin.civ@health.mil

3. CONTRACTOR REPRESENTATIVES:

The following employees of the Contractor serve as the Contractor’s Program Manager and Task Manager for this contract. <Communication should occur with the Contractor as soon as possible after contract/delivery order award. It will help if they review the draft QASP and accept the final version.>

a. Program Manager - <upon award, enter name> Telephone: <enter number> Email: <enter address>

b. Task Manager - <upon award, enter name> Telephone: <enter number> Email: <enter address>

4. PERFORMANCE STANDARDS.

Performance standards define desired services. The Government performs surveillance to determine if the Contractor exceeds, meets or does not meet these standards.

The Performance Requirements Summary Matrix, paragraph 6.7.2 in the Performance Work Statement includes performance standards. The Government will use these standards to determine Contractor performance and will compare Contractor performance to the Acceptable Quality Level

(AQL).

Performance Objective (The Service required—usually a shall statement from Part 5)

PWS Reference Acceptable Quality Level (AQL) (This is the maximum error rate. It could possibly be “Zero deviation from standard”)

Method of Surveillance

Performance Requirements Summary (PRS) # 1.

The contractor shall provide classifiable fingerprints to DCSA

PWS Part 5. Section 5.1 Fingerprints should be of quality acceptable to DCSA 98% of the time

Reviewing submission reports from DCSA – 100 Percent Inspection

PRS # 2

The contractor shall properly transmit fingerprints to DCSA

PWS Part 5. Section 5.2 Fingerprints should be transmitted to DCSA using approved methods, there will be zero allowance for mislabeled mail transactions

Reviewing DCSA reports and audit of Contractor Dashboard – 100 Percent Inspection

5. INCENTIVES.

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The Government will use past performance as incentives. Incentives will be based on exceeding, meeting, or not meeting performance standards.

6. METHODS OF QA SURVEILLANCE.

Various methods exist to monitor performance. The COR will use the surveillance methods listed below in the administration of this QASP.

Regardless of the surveillance method, the COR will contact the Contractor's task manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COR, with assistance from the AM, will be responsible for monitoring the Contractor’s performance in meeting a specific performance standard/AQL.

a. DIRECT OBSERVATION. (Can be performed periodically or through 100% surveillance.)

All tasks will use this method.

b. PERIODIC INSPECTION. (Uses a comprehensive evaluation of selected outputs. Inspections may be scheduled [Daily, Weekly, Monthly, Quarterly, or annually] or unscheduled, as required.)

Tasks 3, 4, 5, 6, 8, 9, 10, and 11

c. Progress or status meetings.

All tasks will be revised at monthly progress meetings.

Surveillance results may be used as the basis for actions (to include payment deductions) against the Contractor. In such cases, the Inspection of Services clause in the Contract becomes the basis for the CO’s actions.

7. RATINGS.

Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. A rating scale shall be used to determine a positive, neutral, or negative outcome. The following ratings shall be used:

EXCEPTIONAL: Performance significantly exceeds contract requirements to the Government’s benefit.

SATISFACTORY: Performance meets contractual requirements.

UNSATISFACTORY: Performance does not meet contractual requirements.

8. DOCUMENTING PERFORMANCE.

a. ACCEPTABLE PERFORMANCE.

The Government will document positive performance. A report template is attached. Any report may become a part of the supporting documentation for fixed fee payments, incentive fee payments, or other actions.

b. UNACCEPTABLE PERFORMANCE.

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When unacceptable performance occurs, the COR will inform the Contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR will document the discussion and place it in the COR file.

When the COR determines formal written communication is required, the COR will prepare a Contract Discrepancy Report (CDR) and present it to the Contractor's task manager or on-site representative. A CDR template is attached to this QASP.

The Contractor will acknowledge receipt of the CDR in writing. The CDR 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 CDR will also state how long after receipt the Contractor has to present this corrective action plan to the COR. The Government shall review the Contractor's corrective action plan to determine acceptability.

Any CDRs may become a part of the supporting documentation for contract payment deductions, fixed fee deductions, incentive fee nonpayment, or other actions deemed necessary by the CO.

9. FREQUENCY OF MEASUREMENT.

a. Frequency of Measurement.

During contract/order performance, the COR will take periodic measurements, as specified in the AQL column of the Performance Standards Summary Matrix and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

b. Frequency of Performance Assessment Meetings.

The COR will meet with the Contractor monthly to assess performance and will provide a written assessment.

Prepared by: Vanessa Conklin

Signature – Contracting Officer’s Representative

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PERFORMANCE REPORT

< This template will be used to formally document surveillance. >

1. CONTRACT NUMBER: <insert number>

2. PREPARED BY: (Name of COR) <insert name>

3. DATE (and time observed discrepancy):

4. OBSERVATION:

<Examples of items to include in a report are:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results.

- Number of observations.>

Prepared by: <Enter COR’s name>

Signature – Contracting Officer’s Representative Date

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CONTRACT DISCREPANCY REPORT (CDR)

< This template will be used to formally document discrepancies. >

1. Contract Number: < insert number >

2. TO: (Contractor Task Manager or on-site representative) < insert name >

3. FROM: (Name of COR) < insert name >

4. DATE (and time observed discrepancy):

5. DISCREPANCY OR PROBLEM: < Describe in detail. Identify any attachments. >

6. CORRECTIVE ACTION PLAN: A written corrective action plan < is / is not > required.

< If a written corrective action plan is required include the following. > The written Corrective Action Plan will be provided to the undersigned not later than < # days after receipt of this

CDR. >

Prepared by: < Enter COR’s name >

Signature – Contracting Officer’s Representative Date

Received by:

Signature - Contractor Task Manager or on-site representative Date

< The COR may initiate a CDR at any time, including whenever the number of monthly recorded defects for a performance standard exceeds the allowable number of defects; anytime unacceptable performance is determined critical in nature and requires formal corrective action; and whenever an unfavorable trend is detected in contractor performance. >