Attachment B - QASP_Final.docx

Quality Assurance Surveillance Plan

Quality Management System (QMS) Program and Project Management Support Services

December 6, 2023

COR

Gail Hall

CONTRACTING OFFICER

Daryl Stewart

DATE

November 30, 2023

November 30, 2023

Solicitation 2031ZA24Q00040 Attachment B – QASP

SUMMARY OF REVISIONS

Original version Date: November 30, 2023

Original

COR

Gail Hall

TABLE OF CONTENTS

Subject Page Number

1. Overview

2. Description of Services/Supply/Product

3. Roles and Responsibilities

4. Contract Quality Requirements

5. Government Surveillance

6. Non-Conforming Performance

7. Data Analysis

8. Acceptance of Services

9. COR Status Report

10. Contractor Performance Assessment Reporting System (CPARS)

11. COR/Quality Assurance Surveillance Files

12. QASP Changes

1. Overview.

1.1. Purpose. The purpose of this Quality Assurance Surveillance Plan (QASP) is to identify the methods and procedures the Government will use to ensure it receives the services under this contract as identified in the Performance Work Statement (PWS).

1.2. Intent. The intent of this QASP is to: 1) ensure Contractor performance meets or exceeds contract terms, conditions and specifications; 2) hold the Contractor accountable for quality control; and 3) encourage the Contractor to take appropriate steps to control and improve quality. Accordingly, the Government will perform surveillance on the contract in accordance with this QASP, but reserves the right to monitor the contract in any manner necessary, at any times necessary, and at all places necessary to ensure that the rendered services conform to contract requirements. The Government also reserves the right to perform quality assurance at the Subcontractor level and perform quality assurance at the contractor's place of business, if applicable. Resolution of non-conforming services discovered at the Subcontractor level will be addressed with the prime Contractor.

2. Description of Services.

2.1. Scope of Work. The Bureau of Engraving and Printing (BEP) requires support in managing operations, for aspects of the BEP’s quality programs and ensuring documented information and decisional data within our ISO 9001:2015 certified Quality Management System (QMS) is managed in a continually improving manner.

2.2. Type of Contract. The Government anticipates the award of a Firm Fixed Price (FFP) contract.

3. Roles and Responsibilities.

3.1. Government.

3.1.1. Contracting Officer (CO). The CO is the only person with the authority to enter into, administer, and or terminate contracts, and make related determinations and findings on behalf of the Government. Note: The only individual who can legally bind the Government.

3.1.2. Contracting Officer’s Representative (COR). The (COR) will be identified by separate letter. The COR monitors all technical aspects of the contract and assists in contract administration. The COR is authorized to perform the following functions: assure that the Contractor performs the technical requirements of the contract: perform inspections necessary in connection with contract performance: maintain written and oral communications with the Contractor concerning technical aspects of the contract: issue written interpretations of technical requirements, including Government drawings, designs, specifications: monitor Contractor's performance and notifies both the Contracting Officer and Contractor of any deficiencies; coordinate availability of Government furnished property, and provide site entry of Contractor personnel. A letter of designation issued to the COR, states the responsibilities and limitations of the COR, especially with regard to changes in cost or price, estimates or changes in delivery dates. The COR is not authorized to change any of the terms and conditions of the resulting order.

3.1.3. Contract Specialist. The official Government representative delegated authority by the Contracting Officer to administer a contract. This individual is normally a member of the appropriate Contracting/Procurement career field and advises on all technical contractual matters.

3.2. Contractor. The Contractor will provide services in accordance with the requirements in the performance work statement (PWS).

3.2.2. Project Manager. Provide support and updates for the Quality Management System updates.

4. Contract Quality Requirements.

4.1. Contractor’s Quality Control Program. The Contractor’s quality control program is the means by which he assures himself that his work complies with the requirement of the contract. The Contractor shall ensure services are performed in accordance with this PWS. The Contractor shall identify, prevent, and ensure non-recurrence of defective services.

4.2. Government Quality Assurance. The Government shall evaluate the Contractor’s performance under this contract in accordance with this QASP. This plan is primarily focused on what the Government must do to ensure that the Contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance and minimum acceptable defect rate(s).

5. Government Surveillance.

5.1. Methods of Surveillance. The following Methods of Surveillance will be utilized in monitoring the Contractors’ performance:

5.1.1. 100% Inspection Reserved for the highest risk areas where consequence of failure is high (i.e. life or limb are threatened) or there is likelihood of mission failure.

5.1.2. Random Sampling - When a service is performed relatively frequently and a statistically valid sample can be selected for audit. The most appropriate method for frequently recurring tasks.

5.1.3. Periodic Inspection - Planned sampling of a service at specific predetermined dates and times. May be appropriate for tasks that occur infrequently.

5.1.4. Customer Feedback. The Customer Complaint Record, Attachment 2, will be used to document/record all complaints. The following procedures will be followed when a complaint is received.

· The COR will investigate and determine the validity of the complaint.

· If the complaint is determined to be invalid, the COR will inform the person who submitted the complaint of the reason(s) as soon as practical.

· For validated complaints that are true contractual non-conformances, the procedures in paragraph 6 below will be followed.

5.2. Surveillance Schedule. A Surveillance Schedule will be created each month utilizing the COR Surveillance Schedule, Attachment 3. The schedule is “FOR OFFICIAL USE ONLY” and is not releasable to anyone other than authorized Government personnel. A copy of the Surveillance Schedule will be filed and will become part of the CORs file.

5.3. Surveillance Instructions/Checklists. Surveillance Checklists, Attachment 4, will be utilized and completed when surveillances are conducted.

5.4. Surveillance Documentation. The applicable Surveillance Checklist(s) will be completed when/as Surveillances are conducted. Completed Surveillance Checklist(s) will be filed in CORs file. The file will have ready access to the BEP Office of Chief Procurement Officer (OCPO).

6. Non-Conforming Performance. Non-conformance occurs when a Contractor fails to meet Contract or Task Order terms, conditions and/or specifications. All instances of non-conformance will be documented and the Contractor will be notified. Resolution of non-conformance discovered at the Subcontractor level will be addressed with the prime Contractor. Non-conformance is classified as either: Level I (Minor); Level II (Major); or Level III (Critical).

6.1. Level I (Minor). Level I non-conformance is not likely to materially reduce the usability of services for their intended purpose or is a departure from established standards having little bearing on completing the contract requirement. Minor non-conformances can usually be corrected on the spot and can be issued to the Contractor through either a verbal or written Contract Discrepancy Report (CDR). However, the Government is still required to document verbal Level I CDRs. The COR may issue verbal Level I CDRs directly to the appropriate level of Contractor management. The COR will notify the CO as soon as practical when a verbal Level I CDR is issued and document them in their Monthly Reports. If the non-conformance cannot be corrected on the spot, the Contractor shall be given a suspense date to correct the deficiency. The CO will issue and sign written Level I CDRs, Attachment 5.

6.2. Level II (Major). Level II non-conformance is likely to result in failure of the services to meet contract requirements. Also, repeated discrepancies, a large number of documented Level I CDRs and trends indicating failure of the Contractor’s quality control program can be classified as Level II CDRs. The CO issues all Level II CDRs in writing, Attachment 5. The COR will notify the CO as soon as practical when a major non-conformance is identified.

6.3. Level III (Critical). Level III non-conformances result in hazardous or unsafe conditions due to the manner in which the services are performed; prevent or impact a vital agency mission as a result of performance; or are for repeated or uncorrected Level II CDRs. The Contracting Office Director or Deputy Director issues written Level III CDRs. The COR is responsible for notifying the CO immediately upon discovery of a critical non-conformance.

6.4. Documenting CDRs. Documentation, as a minimum, will include: the Contract or Task Order number; reference to the specific contract requirement; the specific discrepancy to the requirement; where it was discovered; the date and time it was discovered; Contractor representative who was notified; and the suspense date for Contractor response/corrective action.

6.5. Tracking and Resolving CDRs. All CDRs, verbal and written, regardless of issuer will be included in the COR’s Monthly Report. The COR and CO shall track CDRs to ensure the Contractor identifies and takes appropriate corrective action to the root cause and the specific non-conformance is corrected within the required timeline. The CO will make a final written determination of the Government’s remedies if the non-conformance is not corrected by the Contractor after receiving notice and a reasonable opportunity to correct the work.

7. Data Analysis. Data Analysis will be performed to identify trends in cost, schedule and/or performance risks. The results of Data Analysis will be documented in COR Status Reports and may be used to make adjustments to surveillance schedules, increase or decrease surveillance, if deemed appropriate. Negative trends noted using Government data/observations could result in issuing the Contractor a Contract Discrepancy Report. Trends noted using Contractor data will not result in a CDR unless the Contractor is not addressing the negative trend.

8. Acceptance of Services. When all services have been deemed acceptable and there is documented objective quality evidence to support acceptable performance the COR will accept the services provided and authorize payment of the Contractor. This is accomplished by approving the Contractor’s Receiving Reports via IPP.

9. COR Status Report. COR Status Reports will be submitted on a Monthly basis to the Contracting Officer. COR Status Reports will provide a synopsis of the Contractors performance for the inclusive dates of the report. The synopsis will contain a summary of: surveillances performed; Customer Feedback, if any; CDRs, if any; an analysis of the Contractors performance; recommended adjustments to surveillance schedules; and any other pertinent contract information. Completed Surveillance Checklists and CDRs, if any, will be included as attachments to COR Status Reports or uploaded separately in the Miscellaneous Documents Section of the CORs’ Online file.

10. Contractor Performance Assessment Reporting System (CPARS). Documented surveillance data (COR Status Reports, Completed Surveillance Checklists, Customer Feedback and CDRs, if any) will be used to support CPARS ratings.

11. COR/Quality Assurance Surveillance Files. The official COR/Quality Assurance Surveillance File will be maintained by the COR.

12. QASP Changes. This QASP is a living document and, as such, may be changed as needed based on Data Analysis (trends), contract modifications, etc. The COR will send any recommended changes to the Contracting Officer for approval and the Contracting Officer must approve all changes.

Attachments:

1 - Performance Requirements Summary (PRS) 2 - Customer Complaint Record 3 - Surveillance Schedule 4 - Surveillance Checklist(s) 5 - Contract Discrepancy Report

Attachment 1 – Performance Requirements Summary (PRS)

performance in CPARS

7.1.2 Planning Update Activities -

Develop a project plan

business days of start Positive or negative performance in CPARS

7.1.2 Determine the issues with the current documents and the specific updates needed.

Prepare updates, gather edits, and send out revisions for internal reviews.

Project Plan developed for QMS procedure updates.

Document results of meetings and workshops summarizing updates needed.

performance in CPARS

7.1.2 Conduct meetings, workshops with BEP personnel and SMEs to create a process map or to use an existing map as a basis to outline the new document.

Prepare drafts for review, gather inputs and edits, and send out drafts for internal reviews.

Submit new documents on the Business Manager (Team track) application, after consensus has been reached with SMEs on readiness to proceed. Track completion.

Word files transmitted with edits – additions and deletions for reviews

Meeting summaries and process map drafts and final

Word files drafts transmitted for reviews

Final consensus version submitted in the process for addition to the QMS. Tracking tool used to track status.

performance in CPARS

7.1.3 Review and confirm categorization of submitted change requests.

Conduct a comprehensive evaluation of the system: verify progress, contact personnel on individual change requests to identify stalled activities and assisting users in the resolution of tasks.

7.1.3 Submit work tasks to maintain the system, send inquiry emails for items that have been determined to be completed.

Keep CCB Chair and Administrator informed on a daily basis

Report on evaluation and status of active requests – monthly and emails sent as necessary

Work tasks and Emails

Agenda, meeting minutes prepared – monthly.

performance in CPARS

inconsistencies on a weekly basis to CCB Chair.

performance in CPARS

7.1.3 Analyze and identify inconsistencies in submitted CCB plans.

Prepare and update Metrics. Issue requested metrics packages for various meetings

Develop new metrics based on requests Submit procedure revisions to the CCB Chairperson as directed.

Issue metrics packages as required for various meetings throughout the week, month, or year CCB Database analyzed and metrics developed, as requested by Quality Directorate, CCB Administrator, or CCB.

Produce updated Word documents, as required.

performance in CPARS

7.1.4 Serve as the Material Review Board Administrator – maintain records and tracking system. Communicate with COR, Supervisors, Managers, MRB

Members, and Office Chiefs regarding suspected materials.

Generate a periodic report of all Requests for Urgent Release.

Record files, documents, emails generated and maintained on an ongoing basis.

Report of all Urgent Releases – monthly.

performance in CPARS

7.1.5 Support the analysis and administrative requirements of the NOD and CAPA programs:

* preparation and update of metrics

* Prepare slides for various metrics for presentations,

* analysis /evaluation of the effectiveness of NOD and CAPA programs NOD and CAPA or other quality reports, PowerPoint slides issuance by requested deadlines

Monthly issuance of NOD and CAPA meeting agendas and minutes by requested deadlines.

performance in CPARS

meeting agenda and minutes.

performance in CPARS

Metrics and issuance, compile slides and other materials related to Quality Meetings.

performance in CPARS

Updates to CAPA Documents, PowerPoint slides.

performance in CPARS

7.1.8 Digital Asset Management

System support Coordinate requirements and implementation, Analyze/refine systems requirements Plan and design systems architecture; Coordinating sub-contractors' work Implemented elements of the Digital Asset Management System.

performance in CPARS

7.1.8 Provide image management

support:

Support digital graphic reproduction, add to image database, Support the maintenance of digital graphic collections, and add engineering specifications, dimensional requirement to digital images.

Implemented elements associated Image libraries.

performance in CPARS

Attachment 2 - Customer Complaint Record

Attachment 3 - Surveillance Schedule

Attachment 4 - Surveillance Checklist(s)

Attachment 5 - Contract Discrepancy Report image1.png image2.emf image3.png image4.emf

Surveillance Schedule _.pdf

5. Planned Date for Surveillance

1. Contract:

3. Surveillance Month:

COR SURVEILLANCE SCHEDULE

2. Contractor:

4. COR:

BEP_OA_SS Rev#1_1-24-18

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COR Inspection Checklist.pdf

COR Inspection Checklist

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SURVEILLANCE ACTIVITY CHECKLIST.pdf

SURVEILLANCE ACTIVITY CHECKLIST

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TALLY CHECKLIST.pdf

BEP OA FORM 3437

TALLY CHECKLIST

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BEP_OA_CDR.pdf

CONTRACT DISCREPANCY REPORT

1. CONTRACT NUMBER 2. REPORT NUMBER FOR THIS DISCREPANCY

3. TO (Contractor and Manager's Name) 4. FROM (Name of COR)

5. DATES (YYYYMMDD)

a. DATE PREPARED b. CDR DATE RETURNED BY CONTRACTOR c. ACTION COMPLETE DATE

6. DISCREPANCY OR PROBLEM (Describe in detail. Include reference to PWS Directive; attach continuation sheet if necessary.)

7. SIGNATURE OF CONTRACTING OFFICER

8a. TO (Contracting Officer) b. FROM (Contractor)

9. CONTRACTOR RESPONSE FOR ADDRESSING ROOT CAUSE OF DEFICIENCY, ACTION TAKEN TO CORRECT THE SPECIFIC DEFICIENCY, ACTION TAKEN TO CORRECT AND PREVENT THE RECURRENCE OF THE ROOT CAUSE OF DEFICIENCY AND TARGET DATES FOR IMPLEMENATION OF IDENTIFIED CORRECTIVE ACTION. (Cite applicable Q.C. program procedures or new Q.C. procedures.

Attach continuation sheet(s) if necessary.)

10. SIGNATURE OF CONTRACTOR REPRESENTATIVE b. DATE (YYYYMMDD)

11. GOVERNMENT EVALUATION (Acceptance, partial acceptance, rejected. Attach continuation sheet(s) if necessary)

12. GOVERNMENT ACTIONS (Reduced payment, cure notice, show cause, other)

13. CLOSE OUT

NAME

(1)

TITLE

(2)

SIGNATURE

(3)

DATE (YYYYMMDD)

(4)

a. CONTRACTOR

b. COR

c. CO

BEP_OA_CDR_Rev#1_1-24-18

1 CONTRACT NUMBER:

2 REPORT NUMBER FOR THIS DISCREPANCY:

3 TO Contractor and Manager s Name:

4 FROM Name of COR:

a DATE PREPARED:

b C D R D AT E RETURNED BY CONTRACTOR:

c ACTION COMPLETE DATE:

6 DISCREPANCY OR PROBLEM Describe in detail Include reference to PWS Directive attach continuation s heet if necessary:

8a TO Contracting Officer:

b FROM Contractor:

9 CONTRACTOR RESPONSE FOR ADDRESSING ROOT CAUSE OF DEFICIENCY ACTION TAKEN TO CORRECT THE SPECIFIC DEFICIENCY ACTION TAKEN TO CORRECT AND PREVENT THE RECURRENCE OF THE ROOT CAUSE OF DEFICIENCY AND TARGET DATES FOR IMPLEMENATION OF IDENTIFIED CORRECTIVE ACTION Cite applicable QC program procedures or new QC procedures Attach continuation s heet s if necessary:

b DATE YYYYMMDD:

11 GOVERNMENT EVALUATION Acceptance partial acceptance rejected Attach continuation sheets if necessary:

12 GOVERNMENT ACTIONS Reduced payment cure notice show cause other:

13 CLOSE OUTRow1:

NAME 1a CONTRACTOR:

TITLE 2a CONTRACTOR:

DATE YYYYMMDD 4a CONTRACTOR:

NAME 1b COR:

TITLE 2b COR:

DATE YYYYMMDD 4b COR:

NAME 1c CO:

TITLE 2c CO:

DATE YYYYMMDD 4c CO: