Attachment 5 Quality Assurance Surveillance Plan Chapter 7.pdf

Source Selection Information – FAR 2.101 and 3.104 For Official Use Only

Quality Assurance Surveillance Plan

1. Objective. This Quality Assurance Surveillance Plan (QASP) serves as the principal basis for assessing overall performance quality associated with USTPs Statement of Work (SOW) for Chapter 7 Audit Services. This document will be used by the Government to assess the effectiveness of the Contractor’s quality with respect to management and technical services provided. This QASP provides the methodology by which the Contractor's performance will be monitored to determine compliance with established performance objectives and to establish performance benchmarks that ensure a quantifiable basis for measuring effectiveness. The plan is designed so that surveillance is limited to that which is necessary to verify the Contractor is performing management and technical services satisfactorily and relates directly to performance objectives of the performance objectives delineated in the SOW.

The contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The role of the Government is quality assurance to ensure contract standards are achieved.

2. Government Surveillance. The Contracting Officer’s Representative (COR) will serve as the administering authority for this contract, and his authority will be limited to administering specific technical aspects of the contract. The COR will not provide direction that is outside the scope of responsibilities delineated under this contract and task orders and will defer any conditional interpretations to the Contracting Officer. The COR will:

• Maintain a detailed knowledge of the technical requirements of the contract;

• Document Contractor performance in accordance with the QASP;

• Identify and immediately forward notifications of deficient, or non-compliant performance to the Contracting Officer;

• Approve priorities of support, resources, and associated schedules.

3. Surveillance Methods. Surveillance of Contractor performance is the method used by the Government to determine whether the contractor is effectively and efficiently complying with all terms and conditions of the contract. In addition to statistical analysis, the functional expertise of the COR plays a critical role in adequately evaluating contractor performance. The below listed methods of surveillance shall be used in the administration of this QASP:

Demonstration - A qualification method that is carried out by operation and relies on observable functional operation. It does not require the use of instrumentation or special test equipment;

Inspections - A qualitative inspection can be accomplished through one of the following techniques:

• Random/Stratified Sampling: With random sampling, services are sampled to determine if the level of performance is acceptable. Random sampling works best when the number of instances of the services being performed is very large and a statistically valid sample can be obtained. Stratified sampling focuses on selected parts of total contractor output

Source Selection Information – FAR 2.101 and 3.104 For Official Use Only for sampling. Computer programs may be available to assist in establishing sampling procedures.

• Periodic Inspection, Judgmental Inspection or Planned Sampling: This method, sometimes called "planned sampling”, consists of the evaluation of tasks selected on other than a 100% or random basis.

100% Inspection: Each month, the COR shall review all generated documentation and deliverables enter summary results into the Surveillance Activity Checklist.

Customer Feedback - A qualitative method to measure Customer satisfaction as an indicator of the success and effectiveness of all services provided and can be measured through customer complaints. Customer feedback can highlight issues and/or problems with performance that require further investigation. Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

4. Performance Requirements Summary (PRS):

*Note: Deliverables are not counted as late when, on a case-by-case basis, the COR (or GTM) approves a later deliverable submission. The COR’s approval of a late deliverable submission or failure to strictly enforce delivery requirements will not be deemed as a waiver of the applicable delivery requirements for future deliverables.

Service SOW Reference Performance Standard Acceptable

Quality Level Method of

Surveillance Incentive / Penalty

Audits completed as required by the Contract

SOW para 2.0

Audits meet general requirements.

100% Completion

100% Inspection

-CPARS ratings -Contract Deficiency Report (CDR)

Accuracy and timeliness of Deliverables required by the Contract

SOW para 2.0

Audits meet general requirements and field work and delivery of final reports are in accordance with schedule, unless extension is granted.

100% Completion

100% Inspection

-CPARS ratings -Contract Deficiency Report (CDR)

Overall Management of Tasks

SOW para

3.0 – 10.0

Coordinate with the CO and designated Government Point of Contact (GPOC), supervise field work and personnel resources appropriately

Meets all requirements.

Problems encountered are minor and resolved in a satisfactory manner

Customer input / random sampling / COR review

-CPARS ratings -Contract Deficiency Report (CDR)