Attachment J.2 - Quality Assurance Surveillance Plan (QASP).pdf

ATTACHMENT J.2 - QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1. PURPOSE.

This Quality Assurance Surveillance Plan (QASP) provides a systematic methodology to evaluate performance for the stated contract. This QASP discusses what will be monitored, how monitoring will take place, who is responsible for conducting the monitoring, how monitoring results will be documented, incentives, and, for unsatisfactory performance, corrective action plans.

This QASP does not detail how the Contractor accomplishes the work – that information is contained elsewhere in the contract. It is the Contractor’s responsibility to provide the overall management and quality control actions to satisfactorily meet the terms of the contract. It is the Government’s responsibility to provide monitoring and evaluation of Contractor performance in an objective, fair, and consistent manner.

This QASP is a “living document” and the Government and Contractor should continuously review the document throughout performance under the contract. The Contractor may make recommendations to the Contracting Officer’s Representative (COR) for changes to this QASP at any time. Based upon Contractor recommended changes or changes coordinated by the Government with the Contractor, the Government through the Contracting Officer (CO) may revise this QASP at anytime.

Updates or modifications to the QASP shall ensure that it remains a valid, useful, and enforceable document. Copies of the original QASP and revisions executed by the CO shall be provided to the Contractor and COR for implementing surveillance activities. It should be noted that surveillance including inspection requirements and/or activities provided elsewhere in the contract are also applicable under this QASP.

2. ROLES AND RESPONSIBILITIES.

The following personnel shall oversee and coordinate surveillance activities:

(a.) Contracting Officer (CO) - The CO will ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and safeguard the interests of the United States Government in the contractual relationship. The CO shall also assure that the Contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

(b.) Contracting Officer’s Representative (COR) - The COR is responsible for coordination of the technical administration under this contract and shall assure proper Government surveillance of the Contractor’s performance. The COR will execute these duties as authorized by the CO in the COR Designation and Appointment Memorandum. The COR is also required to keep a quality assurance file to maintain applicable surveillance and/or inspection documentation and correspondence as applicable herein. At the conclusion of the contract or when requested by the CO, the COR shall provide documentation to the CO. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf.

The Contractor shall refer any changes they deem may affect contract price, terms, or conditions to the CO for action.

(c.) Contractor Representative – The Contractor’s authorized representative, generally the Program Manager serves as the Contractor’s technical point of contact (POC) under this contract and is responsible for the required performance activities of the Contractor.

3. QUALITY CONTROL (QC) PLAN

The Contractor’s QC Plan provides the methodology the Contractor will use to assure services including deliverables as applicable are satisfactorily (as a minimum) provided. The QC Plan is provided as part of the Contractor’s proposal and is hereby incorporated by reference to this QASP following contract award.

4. PERFORMANCE STANDARDS

The Performance Measures, included in F.6 - Performance Objectives, provides information on the performance requirements, standards and method of surveillance that will be used under this contract. Additional details may be documented in the contract. The COR will use these standards to determine the quality results of the Contractor’s performance.

5. INCENTIVES/DISINCENTIVES

It has been determined by the CO that the Acceptable Quality Level (AQL) under this contract for all performance standards is 90-100% and an increase in quality or service levels will have little or no value to the Government. Therefore, no monetary incentives are provided.

However, the Contractor is cautioned that its performance at the AQL, at a minimum, is expected since performance at a lower level would result in a negative impact to the Contractor’s past performance rating(s) under this contract. Conversely, Contractor performance above the minimum AQL will have a positive impact to the Contractor’s past performance ratings under this contract. As may be provided elsewhere in the contract, surveillance results may be used as the basis for actions against the Contractor, as applicable. In addition, regardless of the surveillance method or incentive/disincentives used, results of the surveillance ratings may be used in developing the Contractor’s past performance report under the contract.

6. SURVEILLANCE METHOD(S) AND RATING DETAIL

The COR will be responsible for coordinating the monitoring the Contractor’s performance in accordance with this QASP, and Section E of the contract and to obtain the CO’s assistance, as needed and/or approval, as required in the contract. Regardless of the surveillance method, when a defect is identified, the COR will always contact the Contractor’s representative and inform the Contractor of the specifics of the problem (note CDR below).

7. RATINGS

The following ratings will be used by the COR to rate performance quality as to whether it “exceeds”, “meets”, or “does not meet” a performance requirement. The following ratings will be used:

ACCEPTABLE

EXCEPTIONAL: Performance significantly exceeds AQL

SATISFACTORY: Performance meets AQL.

UNACCEPTABLE UNSATISFACTORY: Performance does not meet AQL.

8. DOCUMENTING PERFORMANCE.

a. ACCEPTABLE PERFORMANCE Monthly Documentation: By signing the certification on the Contractor’s invoices the COR acknowledges the following:

1. Contractor’s performance over the billing period was in accordance with contract requirements

2. Contractor’s performance was reported on the associated monthly progress report

3. Contractor’s performance is recommended for acceptance

Annual Documentation: The COR will document, at least annually, both positive and negative performance, over the performance reporting period, by providing summary details to support the acceptable rating(s). The Performance Report (PR) shall be signed by the COR with copies provided to the CO and the Contractor. The Government will also enter this information into the Government’s CPARS. The Performance Report shall include the following, at a minimum:

PERFORMANCE REPORT (PR)

1. Contract Number

2. Prepared by: (Name of COR)

3. Performance Requirement:

4. Date and time of observation:

5. Observation:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results/Rating.

- Number of observations.

9. UNACCEPTABLE PERFORMANCE.

Whenever unacceptable (or deficient) performance occurs, the COR shall inform the Contractor.

This will normally be in writing. If circumstances necessitate verbal communication, such communication will be confirmed in writing. In any case the COR shall document the discussion, resolution, and results and place it in the COR file.

If unacceptable performance is not timely corrected by the Contractor, the COR should prepare a Contract Discrepancy Report (CDR), which is a formal written communication regarding the matter. The CDR should be prepared and presented to the Contractor's Representative with a copy to the CO.

The CDR will specify if the Contractor is required to prepare a corrective action plan (CAP) to document how the Contractor shall correct the unacceptable performance and avoid a recurrence.

The CDR shall also state how long after receipt of the CDR the Contractor has to present this corrective action plan to the COR. A CDR shall be signed by the COR and include, as a minimum, the following:

10. CONTRACT DISCREPANCY REPORT (CDR)

1. Contract Number

2. Prepared by: (Name of COR)

3. Date and time observed discrepancy:

4. Discrepancy or Problem: Describe in detail. Identify any attachments.

5. Corrective action plan: A written corrective action plan is / is not required

If a written corrective action plan is required include the following. The written Corrective Action Plan will be provided to the undersigned not later than ______. (COR SHALL INSERT

AMOUNT OF DAYS THE CORRECTIVE ACTION PLAN IS TO BE SUBMITTED BY THE

CONTRACTOR).

The Contractor shall acknowledge receipt of the CDR in writing with a copy to the CO within 3 (three) business days of date on CDR. The Contractor shall review the CDR and either provide the CAP or written rationale why the discrepancy should not be considered unacceptable to the COR with copy to the CO.

The COR shall request that the CO provide the required contractual action whenever agreement cannot be reached between the COR and Contractor regarding corrective actions to be taken, and/or when Contractor actions do not correct the current deficiency and/or future performance.

It should be noted that the COR is not authorized to extend the contract period of performance.

In the event deficient performance cannot be corrected prior to period of performance expiration the COR and Contractor MUST notify the CO in writing for a determination as to what contractual actions will be taken. As necessary, the CO will issue the formal notice of nonconforming services required under RFO FAR 46.407, RFO FAR 46.502, and provisions of RFO FAR clause 52.246-4.

The submission of the CAP and/or Government acceptance of the CAP shall in no way affect the rights of the Government under the Default Clause of the contract unless specifically provided for by the Contracting Officer.

Any CDRs may become a part of the supporting documentation for contract payment reductions, fixed fee deductions, award fee nonpayment, or other actions deemed necessary by the CO.

11. PAST PERFORMANCE REPORTING

Considering the procedures in RFO FAR Subpart 42.11, PR and CDR reports will be used in developing past performance evaluation reporting. The COR will provide, as a minimum, interim past performance evaluation annually or to support requests for option and/or extended performance under the contract; and, upon contract expiration.

The COR will be responsible for coordinating the monitoring the Contractor’s performance in accordance with this QASP, and Section E of the contract and to obtain the CO’s assistance, as needed and/or approval, as required in the contract. Regardless...