Attachment G - Quality Assurance Surveillance Template.docx

Attachment G Page of

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Award PIID: 47QFCA24CXXXX for Submarine Workforce and Industrial Base in support of Office of the Under Secretary of Defense for Acquisition & Sustainment (OUSD A&S)

Innovation Capability & Modernization (ICAM) Office

Customer Support Center: AAS Contractor Name: TBD

47QFCA24CXXXX

Period of Performance (PoP): TBD Effective Date of QASP: XXXX XX, 2024

General Services Administration (GSA) Assisted Acquisition Services (AAS) APEX 4 1800 F Street, NW (QF0B) Washington, D.C. 20405

AAS Project ID 47QFCA23Z0061

Controlled by: justin.zerbato@gsa.gov

1.0 - General Instructions This Quality Assurance Surveillance Plan (QASP) establishes the process for surveillance of TBD performance in support of ICAM requirement for services, as detailed in the contract # TBD. This QASP sets forth the procedures and guidelines the Assisted Acquisition Services (AAS) will use to ensure the required performance standards or service levels are achieved by the contractor.

This QASP has been completed in partial fulfillment of requirements established under Federal Acquisition Regulation (FAR) Part 46. It details the surveillance roles and responsibilities of the contract administration team and describes the specific contract elements subject to surveillance. Further, this QASP establishes the methods of surveillance to be employed, as well as the frequency and timing of that surveillance. The documentation produced through implementation of this QASP will serve to inform the Quarterly Contracting Officer’s Representative (COR) Report in accordance with the Federal Acquisition Service (FAS) Policy and Procedure (PAP) Memo 2020-03, and as implemented via the associated ASSIST Quarterly COR Report module, as well as the applicable Contractor Performance Assessment Report (CPAR). This QASP is filed under Tab 47, Surveillance, of the Electronic Contract File (ECF), and the surveillance documents produced in accordance with this QASP are filed as described in the applicable sections below. In short, this QASP establishes what must be surveilled, how it must be surveilled, and when surveillance must occur. Note: The format of the Quarterly COR Report is provided for via a template that is separate from this document.

This QASP is effective as of the date on the cover and supersedes all previous versions. In the instance of a conflict between this QASP and the associated contract, the contract shall prevail.

2.0 - Purpose The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards or quality levels identified in the Statement of Work (SOW), and for ensuring that the Government pays only for the level of services received.

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 (QA) documentation requirements, describes the analysis of QA monitoring results, and details the requirements of a Performance Requirements Summary (PRS).

The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Management Plan (QMP). The QASP provides the structure for the Government’s surveillance of the contractor’s performance and its QMP to assure 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, and it is not intended to duplicate the contractor’s QMP. 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.

2.1 – Performance Management Approach The SOW structures the acquisition around “what” service or quality level is required, as opposed to “how” the contractor should perform the work (i.e., results, not compliance). This QASP will define the performance management approach taken by the General Services Administration (GSA) 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.

Performance management represents a significant shift from the more traditional QA concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and to what extent versus scrutiny of compliance with the processes used to achieve the outcome. A performance-based approach facilitates the contractor providing an innovative solution within the stated constraints that gives the Government the opportunity to receive outstanding results. A “results” focus provides the contractor flexibility to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved and/or the desired performance levels are being met.

2.1.1 – Performance Management Strategy The contractor shall be responsible for the quality of all work performed. The contractor measures that quality through the contractor’s own Quality Management (QM) program. QM is applicable to all work performed under the contract and accordingly, for any contract featuring a prime contractor/subcontractor arrangement, the prime contractor’s Quality Management Program (QMP) must also address how it will ensure the quality of all work that its subcontractors perform. The contractor’s QMP shall set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the SOW. The contractor shall develop and implement a performance management system with processes to assess and report its performance to the designated Government representative. This QASP enables the Government to take advantage of the contractor’s QM program.

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 utilize performance data generated through surveillance in accordance with this QASP to manage contractual performance. Specifically, the Government will complete regular evaluations of contractor performance in accordance with the PRS. The Government will document those evaluations using the Quality Assurance Monitoring Form (QAMF) and the aforementioned Quarterly COR Report. These evaluations will inform the contractor’s rating in the applicable CPAR. Additionally, regular evaluations may lead to action by the AAS Contracting Officer (CO), including, but not limited to, demands for Corrective Action Reports by the contractor, the issuance of Cure Notices, or the issuance of Show Cause letters. In summary, the surveillance completed and documented through implementation of this QASP will have real and meaningful impact upon the performance of the contract.

2.2 - Scope of this QASP This section of the QASP describes the contractual effort to which the QASP applies.

2.2.1 – Description of the Contractual Effort The Government is seeking to establish a contract with an Enterprise Integration Partner (EIP) that, on behalf of, and in close partnership with, the ICAM Office and the Navy, shall identify, develop, and deliver systemic, holistic solutions to regional and broader submarine industrial workforce and industrial base challenges. These solutions should cover the gamut of problem identification, solution design, and solution implementation at local, regional, and national levels. The EIP, in close partnership with the U.S. Government, will initiate, manage, and integrate these solutions and activities within and across U.S. regions, orchestrating and guiding all participating partners and stakeholders, including both respective Government and non-Government entities, necessary for successful implementation and execution of proposed solutions.

3.0 - Roles and Responsibilities This section of the QASP specifies the roles and responsibilities of the applicable individuals regarding contract surveillance.

3.1 - Contracting Officer (CO) The AAS CO is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the AAS COR and the contractor. The AAS CO will typically designate one full-time AAS COR 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 said individuals must be identified and designated by the AAS CO.

Assigned CO: Justin Zerbato Organization or Agency: AAS Email: justin.zerbato@gsa.gov Phone: 202-417-0732

3.2 - Contracting Officer’s Representative (COR) The AAS COR is designated in writing by the AAS CO to act as their authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The AAS COR is responsible for technical administration of the project and ensures proper Government surveillance of the contractor’s performance. The AAS 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 AAS CO for action. The AAS COR will have the responsibility for completing QAMFs used to document the inspection and evaluation of the contractor’s work performance. Additionally, the AAS COR is responsible for completing the Quarterly COR Report per the established template and ensuring that completed reports are filed in Tab 47 of the ECF. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

Assigned COR: TBD Organization or Agency: AAS Email: TBD@gsa.gov Phone: TBD

3.3 - Client’s Technical Point of Contact (TPOC) The AAS CO may designate a TPOC for the technical administration of the contract. As a representative of the requiring activity, the TPOC may perform or assist in monitoring and assessing the contractor’s performance under the requirements of the PWS; inspecting and recommending acceptance of deliverables; reviewing invoices and recommending approval of payments; providing guidance and clarification of technical requirements, security-related issues, and Information Technology (IT) access.

The TPOC is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf which will:

a. Cause the contractor to perform work outside the scope of the contract.

b. Constitute a change as defined in FAR 52.243-1.

c. Cause an increase or decrease in the price of the contract.

d. Alter the period of performance or delivery dates.

e. Change any of the other express terms or conditions of the contract.

Assigned Client’s TPOC: Erica Logan Organization or Agency: Navy/ICAM Email: erica.h.logan.civ@us.navy.mil Phone:

4.0 - Surveillance Procedure

4.1 - The Performance Requirements Summary (PRS) The PRS is the “heart” of quality surveillance. The tasks, performance standards, and Acceptable Quality Levels (AQLs) in the matrix below are established in the contract. The method of surveillance and frequency of surveillance are established by this QASP and CPAR factors applicable to each task are annotated in the PRS. These parameters have been chosen to ensure that contract surveillance supports and documents contractor performance.

The following provides a description of each column of the PRS matrix.

a. Task: The tasks established in the PRS are derived from those established in the contract PWS. The task provides a description of the work to be surveilled, as well as a PWS citation that associates the task with specific requirements.

b. Performance Standard: Performance standards established in the PRS are derived from those established in the contract PWS. The performance standard describes the expected level of performance associated with a task.

c. Acceptable Quality Level (AQL): AQLs established in the PRS are derived from those established in the contract PWS. The AQL provides a specific metric to allow the Government to determine whether contractor performance regarding a task is acceptable. For the purposes of this QASP, meeting the AQL for a task is commensurate with Satisfactory performance. Failure to meet an AQL constitutes Marginal or Unsatisfactory performance, depending upon the degree to which the AQL has been breached. Exceeding the AQL may constitute Very Good or Exceptional performance, but only if the Government realizes specific benefits, such as a higher quality deliverable or a reduction in contract cost. The IPT should exercise care when determining the AQL, and should avoid establishing perfection as the standard except in the rare instance when perfection is required.

The AQLs included in the PRS, are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls.

d. Method: The PRS establishes the method of surveillance for each task in the PRS matrix. The appropriate method is one that successfully compares the observed performance with both the performance standard and the AQL. Typical methods include 100 percent inspection, random sampling, periodic sampling/inspection, and customer/client feedback. However, the method selected is not necessarily limited to these options. Rather, the method selected may be tailored to a task to successfully determine whether observed performance meets the established standard and AQL. A best practice is to establish in the description of the method the individual(s) responsible for the surveillance (the “who”) as well as “how” surveillance will be accomplished. The AAS COR will utilize the QAMF, Section 4.2, established in this QASP to document completion of surveillance in accordance with the method described.

In an effort to minimize the performance management burden, simplified surveillance methods will be used by the Government to evaluate contractor performance when appropriate. The AAS COR will inspect, test, sample, evaluate, and document the contractor’s performance via the Random Sampling surveillance method. The AAS COR will randomly select and review 50 percent of deliverables during each inspection.

Inspection will occur quarterly.

e. Frequency: The PRS establishes the frequency of surveillance for each task in the PRS matrix. The frequency of surveillance must be tailored with respect to the task, performance standard, AQL, and method. The AAS COR will utilize the QAMF to document the date on which surveillance occurred to demonstrate compliance with the frequencies established in the PRS. For example, a monthly status report to be surveilled via 100 percent inspection must be completed monthly.

f. Applicable CPAR Factor(s): The PRS associates each surveillance activity with an applicable CPAR factor. Regular assessment of contractor performance using the CPAR factors established in FAR 42.1503(h)(4) (e.g., Exceptional, Very Good) will support CPARs completed either annually, or at the conclusion of performance. IPTs should consult FAR 42.1503(h)(4) when determining which CPAR factors are applicable to a particular task and the associated surveillance.

4.1.1 - Work Requiring Surveillance In accordance with the method of surveillance described in Section 4.1, the AAS COR will review the work as described in the PRS. The PRS includes a description of when, where, and how quality assurance will be performed by the Government to determine that the supplies and/or services conform to the contract requirements. A detailed description of all necessary work requiring surveillance as well as the associated method of surveillance for each item surveilled (e.g., Random Sampling) is also included in the PRS.

Figure 1: The PRS The figure below provides a sample PRS. The PRS is located in Section J as Attachment TBD.

STANDARD

ACCEPTABLE

QUALITY

LEVEL (AQL)

Submission of Deliverables – Timeliness Reports, Briefings, Technical Data, Training Materials

Submission of Deliverables – Quality Reports, Briefings, Technical Data, Training Materials

4.2 - The Quality Assurance Monitoring Form (QAMF) The Government will use the surveillance methods cited in the PRS to determine whether the performance standards and AQLs have been met by the contractor. The AAS COR will document the Government’s quality assurance surveillance using the monitoring form using Attachment 3, QAMF Template. If the contractor has not met the AQLs, the contractor may be required to develop a Corrective Action Plan (Attachment 5) to show how and by what date it will bring performance up to the required levels.

The AAS COR will upload a copy of the completed QAMF to the ECF within two business days after inspection is complete and as frequently as needed to comply with the PRS or at least once every three months. Completed QAMFs will be uploaded to ECF Tab 47, Surveillance.

4.3 - The Client Complaint Investigation Form Performance management drives the contractor to be customer-focused through initially and internally reviewing the quality of performance. When a customer complaint arises, a customer may use the Client Complaint Investigation Form (Attachment 4). Valid customer complaints must clearly set forth the detailed nature of the complaint, must be in writing and signed, and must be forwarded to the AAS COR. The AAS COR will investigate the complaint, using the Client Complaint Investigation Form and will inform the contractor of the complaint. If corrective actions have been taken or are planned, the AAS COR may document in the Contract Corrective Action Plan (Attachment 5).

4.4 - The Quarterly COR Report A Quarterly COR Report must be completed in accordance with FAS PAP 2020-03, and the controlling COR SOP. AAS CORs should refer to the Quarterly COR Report, which is provided for by way of a separate document. Regular completion of the QAMF will support completion of the Quarterly COR Report and inform its contents.

Timing for completion and filing of the Quarterly COR Report is dependent upon the award date of the applicable contract. As this TO was awarded on TBD, Quarterly COR Reports associated with this QASP will be completed by the end of the day TBD.

Each Quarterly COR Report will be completed in accordance with the instructions provided in the FAS PAP 2020-03 and filed under Tab 47, Surveillance, of the ECF.

4.5 - Reviews and Resolution The AAS COR may require the contractor’s project manager, or a designated alternate, to meet with the AAS CO and other Government IPT personnel, as deemed necessary, to discuss performance evaluation. The AAS COR 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 AAS COR as often as required or per the contractor’s request. The agenda of the reviews may include:

a. Monthly performance assessment data and trend analysis.

b. Issues and concerns of both parties.

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

d. Recommendations for improved efficiency and/or effectiveness.

e. Issues arising from the performance monitoring processes.

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

The AAS CO, AAS COR, and contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics will be incorporated as a TO modification.

5.0 - Attachments

5.1 - Attachment 1, Template Memorandum for Documenting Surveillance at Contract Level

[TEMPLATE FOUND ON FOLLOWING PAGE]

MEMORANDUM TO FILE

DATE:

a. This memorandum documents the performance of contract surveillance at the contract level for the subject contract. See the Quality Assurance Surveillance Plan (QASP) filed in Tab 47 of the order level Electronic Contract File (ECF) for details.

b. Surveillance products (e.g., deliverables, inspection reports) pertaining to contract surveillance are documented in accordance with the order level QASP.

Insert Date

COR

AAS

5.3 - Attachment 3, QAMF Template

QUALITY ASSURANCE MONITORING FORM

Quality Assurance Monitoring Form

CITATION

5.4 - Attachment 4, Client Complaint Investigation Form Template

CLIENT COMPLAINT INVESTIGATION FORM

Service: (Insert a brief description of the service that is being reviewed)

Surveillance Period: (Insert date/time of the surveillance period) Month XX, 20XX through Month XX, 20XX Date/Time that Complaint was Received: (Insert date/time) Month XX, 20XX at 11:00 am Eastern Time (ET) (modify based on actual time that complaint was received) Source of Complaint: (Insert information regarding the source of the complaint) Name: _____________________________________________________ Organization or Agency: _______________________________________ Email Address: ______________________________________________ Phone Number: ______________________________________________

Nature of Complaint: (Insert a description of the nature of the complaint)

Result of the Investigation: (Insert a summary of the results of the complaint investigation)

Date/Time that Contractor was Informed of Complaint: (Insert date/time) Month XX, 20XX at 11:00 am ET (modify based on actual time that service provider was informed) Prepared by: ______________________________ Date: _______________ Received by: ______________________________ Date: ________________

5.5 - Attachment 5, Corrective Action Plan Template

Contract Corrective Action Plan A. Administrative Information

Contract Number/Task Order Number:

Report Number:

Issue to (Contractor, Name, Title):

Issue by (COR):

Date of Issue:

Area of Concern (PWS Section, PRS #):

Suspense Date:

B. Description of Area of Concern (Describe in Detail and Ref. PWS (choose one) Section)

Finding 1 Impact

Finding 2 Impact

C. Contractor Response Insert a written Corrective Action Plan that details the corrective action of the Areas of Concern cited. Include the cause and actions taken to prevent recurrence by Suspense Date.

D. Government Response and Actions Taken COR Response to Contractor Corrective Action Plan and Action Taken to Prevent Recurrence - Indicate Acceptance, Partial Acceptance, Rejection with Rationale.

Insert CO Action: (If applicable, reduced payment, cure notice, show cause, other) E. Closeout

Contractor Notified

Client Representative

COR/CO

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