Attachment 8 - Quality Assurance Survelliance Plan.pdf

Enterprise Services Center (ESC)

FEDERAL AVIATION ADMINISTRATION

ENTERPRISE SERVICES CENTER (ESC)

FINANCIAL SERVICES

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

ATTACHMENT 8

01 March 2023

Version 1 ii

TABLE OF CONTENTS

Enterprise Services Center (ESC) ................................................................................................................i

1 INTRODUCTION

1.1 Purpose

1.2 Performance Management Approach

1.3 Performance Management Strategy ........................................................... Error! Bookmark not defined.

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

2.2 The Contracting Officer’s Representative (COR)

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

4.2 Customer Feedback

4.3 Acceptable Quality Levels

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

5.2 Monitoring Forms

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.2 Reporting

6.3 Reviews and Resolution

ATTACHMENT 1: PERFORMANCE MONITORING TECHNIQUES…………………………………………….5

ATTACHMENT 2: QUALITY ASSURANCE MONITORING FORM

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the Statement of Work (SOW) and Task Task Statement of Work (TSOW) entitled Financial Services. This plan sets forth the procedures and guidelines Enterprise Services Center (ESC) Financial Services Division (AMK-300) will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 Purpose

1.1.1 The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards/quality levels identified in the SOW and the contractor’s quality control plan (QCP), and to ensure that the government pays only for the level of services received.

1.1.2 This QASP defines the roles and responsibilities of all members of the integrated project team (IPT), identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor’s performance, describes quality assurance documentation requirements, and describes the analysis of quality assurance monitoring results.

1.2 Performance Management Approach

The SOW structures the acquisition around “how” the contractor should perform the work (i.e., compliance). It describes objectives, purpose, and requirements for the work to be accomplished.

1.2.1 This QASP will define the performance management approach taken by Enterprise Services Center (ESC) Financial Services Division (AMK-300) to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives communicated in the SOW are achieved. Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether expected outcomes for the project are being achieved by the contractor.

1.3 Quality Control (QC) Program

1.3.1 The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor’s own quality control (QC) program. QC is work output, not workers, and therefore includes all work performed under this contract regardless of whether the work is performed by contractor employees or by subcontractors. The Contractor Quality Control Plan (QCP) will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction and other customer performance within the SOW. The contractor will develop and implement a QCP with processes to assess and report its performance to the designated government representative. The contractor’s QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the SOW. This QASP enables the government to take advantage of the contractor’s QC program.

1.3.2 The government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The government will make determination regarding incentives based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in staffing and compliance to ensure performance is managed effectively.

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

The Contracting Officer (CO) is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the Contracting Officer’s Representative (COR) and the contractor. The CO will designate Primary COR and Task CORs as the Government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the contractor’s performance, and must be identified and designated by the CO.

2.2 The Contracting Officer’s Representative (COR)

The Contracting Officer’s Representative (COR) is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensures proper Government surveillance of the contractor’s performance. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. Any changes that the contractor deems may affect contract price, terms, or conditions shall be referred to the CO for action. The COR will have the responsibility for completing QA monitoring forms used to document the inspection and evaluation of the contractor’s work performance. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY

LEVELS

The required performance standards and/or quality levels are included in each SOW and in Attachment 8, Quality Assurance Surveillance Plan. If the contractor meets the required service or performance level, it will be paid the monthly amount agreed on in the contract based on productive hours.

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

In an effort to minimize the performance management burden, simplified surveillance methods shall be used by the Government to evaluate contractor performance when appropriate. The primary methods of surveillance are (include those that apply)

Random monitoring, which shall be performed by the COR designated inspector.

Percentage Inspection (e.g. 90%) – Each month, the COR, shall review the generated documentation and enter summary results into the Surveillance Activity Checklist (Attachment 2).

Periodic Inspection – COR typically performs the periodic inspection on a monthly basis.

Metric reports

Feedback from internal and agency POCs

4.2 Customer Feedback

The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints.

Performance management drives the contractor to be customer focused through initially and internally addressing customer complaints and investigating the issues and/or problems but the customer always has the option to communicate complaints to the CO or the COR, as opposed to the contractor.

Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the COR. The COR will accept those customer complaints and investigate using them using a transparent methodology and allowing the contractor the opportunity to dispute/clarify the incident. Valid complaints may be forwarded to the CO.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

4.3 Acceptable Quality Levels

The acceptable quality levels (AQLs) included in Attachment 1, Performance Requirements Summary Table, for contractor performance are structured to allow the contractor to manage how the work is performed while providing corrective action for tasks not met, which may result, in a negative CPAR for performance shortfalls. For certain critical activities such as those involving mandates (e.g. Office of Management and Budget), the desired performance level is established at 100 percent. Other levels of performance are keyed to the relative importance of the task deliverables to the overall mission performance within AMK-300.

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes.

Performance standards are expressed in the SOW and TSOWs and are assessed using the performance monitoring techniques shown in Attachment 1.

5.2 Monitoring Forms

The Government’s QA surveillance, accomplished by the COR will be reported using the monitoring form in Attachments 2. The form, when completed, will document the Government’s assessment of the contractor’s performance under the contract to ensure that the required results are being achieved.

5.2.1 The COR and CO shall retain a copy of all completed QA surveillance forms.

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.1.1 Government shall use the monitoring methods cited to determine whether the performance standards/service levels/AQLs have been met. If the contractor has not met the minimum requirements, it may be asked to develop a corrective action plan to show how and by what date it intends to bring performance up to the required levels.

6.1.2 Failure to meet the AQL may result in a negative CPARS as shown in Attachment 1.

6.2 Reporting

6.2.1 At the end of each month, the Task COR will prepare a written report for the CO summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which includes the contractor’s submitted monthly report and the completed quality assurance monitoring forms (Attachment 2), will become part of the QA documentation. It will enable the Government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards, including cost/technical/scheduling objectives.

6.3 Reviews and Resolution

6.3.1 The COR may require the contractor’s project manager, or a designated alternate, to meet with the CO and other Government IPT personnel as deemed necessary to discuss performance evaluation.

The CO will define a frequency of in-depth reviews with the contractor, including appropriate self-assessments by the contractor; however, if the need arises, the contractor will meet with the COR(s) as often as required or per the contractor’s request. The agenda of the reviews may include:

Monthly performance assessment data and trend analysis

Issues and concerns of both parties

Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis

Recommendations for improved efficiency and/or effectiveness

Issues arising from the performance monitoring processes

6.3.2 The COR must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

6.3.3 The COR and contractor with concurrence from the CO should formulate tactical and long-term course(s) of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented.

6.3.4 Changes to service levels, procedures, and metrics will be incorporated as a contract modification at the convenience of the ACO.

ATTACHMENT 1 – PERFORMANCE MONITORING TECHNIQUES

Task 1: Administrative Payments

Task Deliverable(s) Applicable

Standard(s) Acceptable Quality Levels (AQL)

Method of Surveillance

Corrective Actions / Disincentives if Outcome / Task Deliverables Not Met

Process AP transactions

AMKWI-310-

00002

Agency Specific Invoice Processing Procedures (as applicable)

Invoice Routing Rules (as applicable)

Prepping Invoice Work Instructions (as applicable)

Desk Procedures (as applicable)

Naming Conventions (as applicable)

Each accounting clerk will process a minimum of 200 transactions a month and up to 2,200 per month depending upon the payment desk assignment and the procedure of invoice entry

Following ESC’s SOP, contractor shall prevent duplicate payments. In the event a duplicate payment occurs, contractor shall work with federal staff to obtain funds paid in error.

ESC prefers ZERO duplicate payments; the acceptable level is less than 0.01% of total paid invoices are duplicate payments.

100% of improper invoices must be rejected timely.

Upon receipt of an improper invoice or rejection from the contracting officer (CO), process the rejection notice in accordance with

Count by resource will be included in the monthly metric package.

Duplicate payments will be included in monthly metric package.

Random audit and/or feedback on invoice.

Positive and negative performance shall be documented in

CPARS.

ESC’s SOP.

Provide quality customer service.

Commercial Invoice Payment Timeliness – 98% of commercial invoices (non-credit card) paid by Treasury within 30 calendar days after receipt by the customer accounting office.

Commercial Invoice Payment Interest Paid -less than 0.02% of the total dollar amount of all invoices is paid in interest/penalties.

Weekly follow up on outstanding items and escalate after third follow-up 100% of time

Feedback from agency points of contact (POCs).

Will be included in the monthly metrics package

Will be included in the monthly metrics package

100% review of interest invoices will include a review of followup emails.

Review of SOC1 audit findings.

Process Mail FY22 GC

DUTIES-WORK

INSTRUCTIONS

08242022

Mail is processed within 1 business day of receipt.

Monthly random inspection of mail room

Feedback from vendors for non-payment of invoices.

Positive and negative performance shall be

Scan Invoices FY22 GC

DUTIES-WORK

INSTRUCTIONS

08242022

99% of batches are scanned and available within 3 to 5 business days

Accounting tech, accounting clerk, financial specialist, and accountant

Positive and negative of receipt

99% of batches are scanned accurately; rework not required feedback

Business Analysts EDQ Administration

Internal and external feedback.

Positive and negative performance shall be

Accountants Accounts Payable

Accountants 08252022

Reconciliations, Hierarchy updates, Audit participation, reclasses, tax reporting are completed within established timeframes.

Based on activity performed and will include any surveillance methods identified in section 4.1

Internal and external feedback.

Positive and negative performance shall be

Financial Specialists

Data Analysis, software testing, interface activity, workload optimization completed within established timeframes.

Based on activity performed and will include any surveillance methods identified in section 4.1

Internal and external feedback.

Positive and negative performance shall be

TASK 2: Accounts Receivable Billing and Revenue Task Deliverable(s) Applicable

Standard(s) Acceptable Quality Levels (AQL)

Method of Surveillance

Corrective Actions / Disincentives if Outcome / Task Deliverables Not Met

Process Deposits Global Deposit Process

Accurately complete the recording of checks and cash received by mail – 100% of the time..

Process the checks and cash received by mail the same day received – 100% of the time.

Review of the daily check log for timeliness and accuracy.

Positive and negative performance shall be

Accountants Reconciliations, audit participation, software testing completed within the established timeframes.

Based on activity performed and will include any surveillance methods identified in section 4.1

Internal and external feedback.

TASK 3: Financial Reporting Analysis

Task Deliverable(s) Applicable

Standard(s) Acceptable Quality Levels

(AQL)

Method of Surveillance

Corrective Actions / Disincentives if Outcome / Task Deliverables Not Met

Reconciliations AMKWI-331- 332-0001

AMKWI-331-

332-0002

AMKWI-331-

332-0003

AMKWI-331-

332-0004

AMKWI-331-

332-0005

AMKWI-331-

332-0006

AMKWI-331-

332-0010

Complete reconciliations on or before the applicable due date each month 98% of the time.

Monthly review of reconciliation log.

Feedback from internal and external customers.

Positive and negative documented in CPARS.

Update Metrics Database

Accurately update metrics no later than the 15th calendar day of each month 98% of time.

Monitor reports in the ESC Financial Services Metrics Database each month to ensure metrics are updated timely.

Compare 100% of Metrics data to reconciliations each month to ensure accuracy.

Positive and negative

CFWG Meeting Attendance and Reconciliation Reporting

AMKWI-333-

334-335-00006

Attendance and participation by assigned contractor personnel (or designee) for each CFWG meeting 100% of the time.

Accurately report on assigned reconciliations and answer questions in a professional manner 100% of the time.

CFWG meeting sign in sheets.

Feedback from internal and external customers

Positive and negative

FSS Process – Run On Demand

AMKWI-333-

334-335-00010 Financial Statements

Run FSS process within 10 minutes of requested start time 100% of the time

Enter FSS parameters properly using the appropriate Fund Groups 100% of the time.

Capture all exceptions and report them to the appropriate Financial Statements Accountants 100% of the time.

Customer feedback

Random sampling of up to 20%

Positive and negative

SF-133 Preparation and submission

AMKWI-333-

334-335-00019

Compile and complete SF-133 for applicable treasury symbols.

Submit deliverable to OA no later than one

(1) business day PRIOR TO GTAS due date 100% of the time.

If (under circumstances beyond the contractor’s control) deadline of one business day PRIOR TO GTAS due date cannot be met, Contractor shall contact the ESC Section or Branch Manager to request and receive an extension PRIOR TO GTAS due date 100% of the time

Monitor all submissions to ensure timeliness.

Feedback from internal and external customers.

Positive and negative performance shall be documented in CPARS.

Journal Voucher Preparation, Review, and Approval

AMKWI-333-

334-335-00023

Accuracy: JV header data is populated with the correct information.

Completeness: Proper aprpovals are obtained by internal and external approvers.

Review process is completed and documented.

Feedback from internal customers

Random audit up to 20% of journal vouchers prepared by contractors each quarter to ensure that accuracy and completeness.

Positive and negative

TASK 4: Travel Voucher Audits

Task Deliverable(s) Applicable Standard(s)

Acceptable Quality Levels (AQL)

Method of Surveillance

Corrective Actions / Disincentives if Outcome / Task Deliverables Not Met

TSOW Description of Work

Travel Voucher Audits

Travel vouchers are audited using several tools/resources such as checklists, federal travel regulations, agency policies, agency union agreements, ESC standard operating procedures, e-mail templates and legal documents.

Travel Voucher Tracker

Travel vouchers audits must be completed within 7 business day.

If a travel voucher audit is determined to have a finding (example:

overpayment) the contractor must prepare a request to establish accounts receivable form and send directly to the applicable Accounts Receivable Section.

The federal employees may randomly select a 5% sample (1 in every 20) of all other travel vouchers and record errors for the month.

Any corrections detected may need to be amended within 5 days.

Monthly reports ran by the Federal section supervisor.

E-Travel System status of audit.

Positive and negative

QUALITY ASSURANCE MONITORING FORM

Observed Service Provider Performance Measurement Rate:

Service Provider’s Performance:

Narrative of Performance During Survey Period:

Task COR Signature:

Surveillance Method: ________________________

Other (Explanation):

Percentage of Items Sampled During Survey Period:

Analysis of Results thru

Task Number:

Level of Surveillance:

Surveillance Period:

Combine Quality Assurance Surveillance Monitoring Form