Attachment 6 - QASP.pdf

NOTE: This must be included for ALL services contracts, to include task and call orders issued against existing

IDIQs or GSA schedules

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Blue text are examples- Delete this text when completing the document.

Red text is guidance- Delete this text when completing the document.

1. Contract or Task Order Title Add contract/task order number at award:

Example: Mainframe Maintenance Service

2. 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. 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 (CO) – The CO shall ensure performance of all necessary actions for effective contract-ing, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the con-tractual relationship. The CO shall also ensure that the contractor receives impartial, fair, and equitable treat-ment 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 pro-cess. The COR shall keep a Quality Assurance file that accurately documents the contractor’s actual perfor-mance. 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 CO. The COR is re-quired to provide an annual performance assessment to the CO which will be used in documenting past perfor-mance. 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- (enter name or delete these lines if not applicable) This may include per-formance monitors, inspectors, technical experts, or others (i.e. users) who provide information that helps the

COR monitor contractor performance.

NOTE: This must be included for ALL services contracts, to include task and call orders issued against existing

4. Primary Method of Surveillance: Choose a method that best fits your requirement - surveillance method may be “with” or “without” extrapolated deductions supported by validated customer complaints, and/or unsched-uled inspections

Example: Random sampling is scheduled for Items 2, 3, 5 and 6. There will be 100% inspection for Items 1 and 4.

Example: The government evaluator will inspect all work tasks required by the delivery order to ensure con-tractor compliance with the appropriate paragraphs 1.1, 1.3, 1.4, 1.5, and/or 1.6 of the Statement of Work

(SOW) each time service is performed. Record results of inspection, noting the date and time of inspection. If inspection indicates unacceptable performance, notify the contract manager or QCI of the deficiencies and have

QCI correct. Contractor shall be given two hours after notification to correct the deficiencies. The evaluator shall not issue a receiving report accepting the services for the delivery/task order until all deficiencies have been corrected.

Acceptable surveillance methods include:

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, per-formance is inspected/evaluated at each occurrence. One hundred percent inspection is too expensive to be used in most cases.

Random Sampling. This is usually the most appropriate method for recurring tasks. With random sam-pling, 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. Computer programs may be available to assist in establishing sampling proce-dures.

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 fre-quency: 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 task-ing 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 ser-vice contracts.

Customer Input. Although usually not a primary method, this is a valuable supplement to more system-atic methods. For example, in a case where random sampling indicates unsatisfactory service, customer complaints can be used as substantiating evidence. In certain situations where customers can be relied upon to complain consistently when the quality of performance is poor, e.g., dining facilities, building services, customer surveys and customer complaints may be a primary surveillance method, and customer satisfac-tion an appropriate performance standard. In all cases, complaints should be documented, preferably on a standard form.

Unscheduled Inspection: Unscheduled (surprise) inspections are observations made at the times and places deemed appropriate by the contract monitors. In theory, such inspections provide an unbiased pic-ture of contractor performance because the contractor has no way of anticipating when they will occur.

Unscheduled inspection should be relied on only to provide a snapshot of an instance of contractor perfor-mance and not to provide a continuing performance picture. Therefore, unscheduled inspections should not be used as a primary surveillance method. They are effective, however, as a support method used when the primary surveillance method indicates problems.

NOTE: This must be included for ALL services contracts, to include task and call orders issued against existing

Surveillance Matrix

The Surveillance Matrix (Appendix 1) is the list of performance objectives and standards that must be per-formed by the contractor. This matrix details the method of surveillance the COR will use to validate and in-spect 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 re-quired 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 ele-ment standards. The ACL performance Standard Table should be used to form the foundation of the COR’s inspection checklist.

5. Performance Standards: Insert the Performance Standards listed in the PWS/SOW

Examples:

Mainframe processing availability must be 95% during the hours 0800 - 1600

Response times for maintenance calls should occur within 4 hours of placing a call

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, award/incentive fee payments, 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 2) 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. The COR shall document the discussion and place it in the COR file and provide a copy to the CO.

When the COR determines formal written communication is required, the COR shall prepare a Corrective Ac-tion Report (CAR). The CAR is forwarded to the CO for dissemination to the contractor. A CAR template is attached to this QASP (Appendix 3).

The contractor shall acknowledge receipt of the CAR in writing. The CAR will specify if the contractor is re-quired to prepare a corrective action plan to document how the contractor shall correct the unacceptable perfor-mance and avoid a recurrence. The CAR will also state how long after receipt the contractor has to present this corrective action plan to the CO and COR. The Government may withhold payment for services until correc-tive action is taken. The Government shall review the contractor's corrective action plan to determine accepta-bility. Upon Government acceptance of the corrected services the contractor will be permitted to invoice for the service fee.

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

7. Mandatory or regulatory compliance items: Discuss the monitoring of statutory or regulatory compliance items that are part of the contract such as combating trafficking in persons, EEO, wage determinations, intellec-tual property, subcontracting plan compliance, etc. (see the COR handbook). The COR must notify the Con-tracting Officer if there are any potential or actual non compliance issues with federal statues, laws, or regula-tions, since the CO is the only person that can resolve these noncompliance issues related to law or regulations.

NOTE: This must be included for ALL services contracts, to include task and call orders issued against existing

The COR will utilize the Combating Trafficking in Persons Checklist, throughout the period of performance of this task order.

Example: The contractor will provide initial proof of compliance with regulatory and compliance items con-tained in the contract. The Contracting Officer's Representative (COR) and the Contracting Officer (CO) 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 CO.

8. Acceptable Quality Level (AQL):

Example: The AQL for this project is 100% due to the critical support provided by mainframe operations.

9. Evaluation Method:

Example: The COR will document the time of verbal notification to the contractor. The COR will document the official time and date of notification on the Maintenance Call Record. The COR will review self-diagnostic systems logs, conduct a comparison with actual maintenance performance and otherwise verify and validate contractor performance. The contractor shall enter in the record the official time the system is restored to full operational status. The COR will confirm the date and time of problem resolution in the record.

10. Performance Rating

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

CPAR ratings).

(If your organization requires that you use a different rating mechanism, insert it here.)

Performance

Rating Criteria

Exceptional

Performance meets contractual requirements and exceeds many to the govern-ment’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with no problems and contractor actions were highly ef-fective.

Very Good

Performance meets contractual requirements and exceeds some to the government benefits. The contractual performance was accomplished with few minor problems for which corrective actions taken by the contractor were effective.

Satisfactory

Performance meets contractual requirements. The contractual performance con-tains some minor problems for which corrective actions taken by the contractor were satisfactory.

Marginal

Performance does not meet some contractual requirements. The contractual perfor-mance reflects a serious problem for which the contractor has not yet identified cor-rective actions. The contractor’s proposed actions appear marginally effective or were not fully implemented.

Unsatisfactory

Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

NOTE: This must be included for ALL services contracts, to include task and call orders issued against existing

Appendix 1 - Surveillance Matrix

Performance

Standards

Acceptable

Quality

Levels

Methods of

Calculation Surveillance Results/Ratings

IT Service In-tegration and

Delivery Per-formance

Management

High level of

(xyz) satisfac-tion with Con-tractor deliv-ery manage-ment of IT

Services (in-cludes the

Service Desk services and the SITEC service

Target Criteria:

90% of all survey respondents are

Satisfied, More

Than Satisfied, or very Satisfied

Minimum Ac-ceptable:

> 85% of all sur-vey respondents are Satisfied, More Than Satis-fied, or Very Sat-isfied with Con-tractor delivery management of all SITEC IT

Services

Calculation:

The number of us-ers who were Sat-isfied, More Than

Satisfied, or Very

Satisfied divided by the total num-ber of completed surveys returned.

At least XX(insert number) Govern-ment personnel must complete and return surveys for the results to have at least a

90% confidence factor with a 5% error rate.

Measurement Interval –

The Measurement Interval is three (3) months for the first year and then every six (6) months thereafter.

Measurement Period –

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

Source of Measurement

Data – Data will be col-lected from management surveys containing satis-faction criteria specified by

(xyz) that are either devel-oped internally by (xyz) personnel or by a (xyz) se-lected impartial 3rd party.

Method of Surveillance –

Customer feedback. The

Government will issue cus-tomer satisfaction surveys to designated Government

SITEC management repre-sentatives from (xyz)

(Contractors cannot partic-ipate), TSOCs, and survey responses will be tabulated to determine overall satis-faction with Contractor de-livery management of IT

Services using a five (5) category scale. The scale is: Dissatisfied, Less than

Satisfied, Satisfied, More than Satisfied, Very Satis-fied.

Timing of Measurement

Measurements are taken within five (5) days of the

(Exceptional

Very Good

Satisfactory

Marginal

Unsatisfactory)

(A rollup of assess-ment of the Surveil-lance Inspection Re-sults to develop an overall rating for this objective)

NOTE: This must be included for ALL services contracts, to include task and call orders issued against existing end of the Measurement

Period.

Reporting Frequency: -

Reporting to commence upon Contract Award and continue throughout the

Period of Performance.

Monthly reporting of SLA and / or QASP attainment to periods survey. Quar-terly survey reporting from

(xyz) during the first year, semi-annual thereafter.

NOTE: This must be included for ALL services contracts, to include task and call orders issued against existing

Appendix 2 – Performance Assessment Report

PERFORMANCE ASSESSMENT REPORT (PAR)

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

1. CONTRACT/TASK ORDER

NUMBER

2. CONTRACTOR 3. TYPE OF SERVICES

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

5. COR PHONE 6. SUSPENSE DATE

I. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT

APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM

REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY

BOX WAS CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

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

NOTE: This must be included for ALL services contracts, to include task and call orders issued against existing

Appendix 3 – Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUM-

BER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

NOTE: This must be included for ALL services contracts, to include task and call orders issued against existing

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 defi-ciency, 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