Attachment B - QASP.pdf

Quality Assurance Surveillance Plan (QASP)

1. Purpose

This Quality Assurance Surveillance Plan is a government-developed document used to determine if the contractor’s performance meets the performance standards contained in the contract. 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

The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan. The QASP provides the structure for the government’s surveillance of the contractor’s performance to assure that it meets contract standards. It is the government’s responsibility to be objective, fair and consistent in evaluating contractor performance.

The QASP is not part of the contract nor is it intended to duplicate the contractor’s quality control plan. 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.

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.

Bottom line, the QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

2. Authority

Authority for issuance of this QASP is provided under FAR part 46 of the Federal Acquisition Regulation, Inspection of Services clauses, which provides 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, such as the Contracting Officer’s Representative (COR).

3. Roles and Responsibilities

The following personnel shall oversee and coordinate surveillance activities.

Program/Project Manager (PM) – The PM provides primary program oversight, nominates the COR, ensures the COR is trained before performing any COR duties and supports the COR’s performance assessment activities. While the PM may serve as a direct conduit to provide Government guidance and feedback to the Contractor on technical matters, they are not empowered to make any contractual commitments or any contract changes on the government’s behalf.

Assigned PM:

Organization or Agency: Bureau of Alcohol, Tobacco, Firearms, and Explosives Telephone:

Email:

Contracting Officer (KO) – The KO 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 KO shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract. Determine the final assessment of the contractor’s performance.

Assigned CO:

Organization or Agency: Bureau of Alcohol, Tobacco, Firearms, and Explosives Telephone:

Email:

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 process. The COR shall keep a Quality Assurance file that accurately documents the contractor’s actual performance. 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 KO. The COR is required to provide an annual performance assessment to the KO which will be used in documenting past performance.

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.

Assigned COR:

Organization or Agency: Bureau of Alcohol, Tobacco, Firearms, and Explosives Telephone:

Email:

Other Key Government Personnel - Title:

Organization or Agency: Bureau of Alcohol, Tobacco, Firearms, and Explosives

Telephone:

Email:

Contractor Representatives

The following employees of the contractor serve as the contractor’s Program Manager and Task Manager for this contract. (Complete this section after the contract award)

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

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

Other Key Contract Personnel - <upon award, enter name or delete these lines if not applicable> Title: <enter title> Telephone: <enter number> Email: <enter address>

4. Performance Requirements and Method of Surveillance

4.1. Contract Surveillance

The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The COR’s contribution is their professional, non-adversarial relationships with the KO, PM and the contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of contractor performance against contract requirements. The COR uses the methods contained in this QASP to ensure the contractor is in compliance with contract requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the contractor’s performance. Additionally, this QASP is based on the premise that the contractor, not the government, is responsible for management and QC/QA actions to successfully meet the terms of the contract.

4.2. Surveillance Matrix

The Surveillance Matrix (Attachment 1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance the COR will use to validate and inspect 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 required 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 performs surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance element standards. The Performance Requirement Summary (PRS) should be used to form the foundation of the COR’s inspection checklist.

4.3. Performance Rating Definitions

The performance ratings below reflect definitions at FAR 42.1503 Table 42-1. The COR will use the following performance ratings to evaluate the quality of contractor’s performance:

Performance Rating

Criteria

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

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 contains some minor problems for which corrective actions taken by the contractor were satisfactory.

Marginal Performance does not meet some contractual requirements. The contractual performance reflects a serious problem for which the contractor has not yet identified corrective 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.

Appendix 1 - Surveillance Matrix

PWS Paragraph Performance Objective

Standards / Acceptable

Quality Limits

Inspection Calculation / Ratings What How/

Method When/ Freq

4.1 Exercise Design and Development Rollup assessment of Performance Elements, to develop an overall rating for this objective.

<< If there is weighting, or other risk issues that influence the overall assessment, document them here. >>

4.1 b Develop exercise scenarios for all training locations.

100 % Compliance with the intent of the Department of Homeland Security’s Homeland Security Exercise Evaluation Program (HSEEP)

The Government Technical Representativ e and COR will make sure exercises are designed in accordance with HSEEP.

Through observation and document review

During each exercise

4.1 i Secure lodging for all exercise participants

100% of lodging is secured for participants

The Government Technical Representativ e and COR will verify lodging is secured

Through observation and document review

4.1 j Ensure all supplies and equipment are delivered to

97% supplies and equipment

The Government Technical

Through observation and

PWS Paragraph Performance Objective

Standards / Acceptable

Quality Limits

Inspection Calculation / Ratings What How/

Method When/ Freq exercise site timely.

delivered timely to exercise site.

Representativ e and COR will verify equipment is delivered document review

4.1 k Ensure all supplies and equipment are managed in the warehouse.

98% of supplies and equipment are maintained through ATF inventory control.

The Government Technical Representativ e and COR will verify equipment is managed in warehouse during inventory.

Through

ATF

inventory.

Annually

4.1 r Development and maintenance of external web site to promote Raven’s Challenge exercises

Website must be operational 98% of the time. Any down time shall be scheduled during off hours.

The Government Technical Representativ e and COR will monitor website activity.

Through observation and document review

4.2 Exercise Execution

4.2 Support the

conduct of Raven’s Challenge as specified and

100% The Government Technical Representativ

Through observation and

At the end of each

Objective

Standards / Acceptable

Quality Limits

Inspection Calculation / Ratings What How/

Method When/ Freq codified in exercise design and development documents and plans.

e and COR will monitor support.

document review

4.3 Exercise Documentation

4.3 Facilitate the

documentation process to ensure effective assessment of performance against exercise objectives and assist in identification and documentation of strengths and areas for improvement relative to core capabilities

100% The Government Technical Representativ e and COR will monitor exercise documentatio n.

Through observation and document review

At the end

4.4 Improvement Planning

4.4 Facilitate

development of an Improvement Plan that shall track to completion all corrective actions identified during conduct of

Maintain 92% Satisfaction on participant reviews

Continual monitoring

Through observation and document review

At the end

Inspection Metrologies:

M1: Inspection of Reports. All reports shall be reviewed upon receipt. The reviewer will report any flaws in the document and categorize the flaws (Editorial, Format, and/or Substance).

Objective

Standards / Acceptable

Quality Limits

Inspection Calculation / Ratings What How/

Method When/ Freq

Raven’s Challenge, ensuring that the exercise yields tangible preparedness improvements

4.5 After-Action Review and Report (AAR)

4.5.3 Publish final AAR

in HSEEP format within 75 days of exercise completion

100% The Government Technical Representativ e and COR will review documents submitted

Through observation and document review

At the end

5.1 Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

5.2 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 deficiency, 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

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