B08_SOL_Attachment_4_QASP_WFLMS_Training___Support.doc

AQD Quality Assurance Surveillance Plan (QASP) template NOTE: This document is a template to demonstrate the recommended format and content of a QASP. A QASP must be specifically tailored for the requirements of each particular acquisition. It is not acceptable to simply cut and paste the language below into your QASP.

For <enter contract title> Contract Number: < upon award, enter contract number> Contract Description: < enter contract description >

Contractor’s name: < upon award, enter Contractor’s name > (hereafter referred to as the Contractor).

1. PURPOSE.

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

· What will be monitored?

· How monitoring will take place?

· Who will conduct the monitoring?

· How monitoring efforts and results will be documented?

This QASP does not detail how the Contractor accomplishes the work. Rather, the QASP is created with the premise that the Contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

This QASP is a “living document” and the Government may review and revise it on a regular basis. However, the Government shall coordinate changes with the Contractor. Updates shall ensure that the QASP remains a valid, useful and enforceable document. Copies of the original QASP and revisions shall be provided to the Contractor and Government officials implementing surveillance activities.

The following FAR clauses may apply depending on contract type:

< Remove highlighting from applicable clause(s) below. Delete non-applicable clauses. >.

52.246-4 Inspection of Services – Fixed-Price, 52.246-5 Inspection of Services – Cost-Reimbursement, or

52.246-6 Inspection of Services – Time-and-Material and Labor-Hour

Any FAR clauses related to award or incentive fees

2. Government Roles and Responsibilities.

The following personnel shall oversee and coordinate surveillance activities.

a.) Contracting Officer (CO) - The CO 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 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.

Assigned CO: <enter name> Organization or Agency: <enter organization or Agency name> Telephone: <enter number>

Email: <enter address> b.) Contracting Officer’s Technical Representative (COTR/COR) - The COTR/COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the Contractor’s performance. The COTR/COR shall keep a quality assurance file. At the conclusion of the contract or when requested by the CO, the COTR/COR shall provide documentation to the CO. The COTR/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 and / or terms or conditions to the CO for action.

Assigned COTR/COR: <enter name> Telephone: <enter number> Email: <enter address> c.) Other Key Government Personnel - <enter name or delete these lines if not applicable. This may include Performance Monitors, Inspectors, etc. who act on behalf of the COTR/COR to monitor performance.

Title: <enter title> Telephone: <enter number> Email: <enter address>

3. Contractor Representatives.

The following employee of the Contractor serves as the Contractor’s Program Manager for this contract. <Communication should occur with them during QASP development. It will help if they review the draft QASP and accept the final version.> a.) Program Manager - <upon award, enter name> Telephone: <enter number> Email: <enter address> The designated Program Manager shall notify the government when expended funding is approaching 80% overall.

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

4. Performance Standards.

Performance standards define desired services. The Government performs surveillance to determine if the Contractor exceeds, meets or fails to meet these standards.

The Performance Requirements Summary Matrix, paragraph <enter number> in the Performance Work Statement, includes performance standards. The Government shall use these standards to determine Contractor’s level of performance. The Government shall compare the Contractor’s performance to the Acceptable Quality Level (AQL) that is established in the PWS.

<Insert matrix from the Performance Requirements section in the Performance Work Statement for this effort.>

5. Incentives.

The Government shall use <insert award fee, incentive fee, past performance or other method> as incentives. Incentives shall be based on exceeding, meeting or not meeting performance standards. Information about incentives can be found in <insert section or paragraph> of the contract.

6. Methods of QA Surveillance.

Various methods exist to monitor performance. The COTR/COR shall use the surveillance methods listed below in the administration of this QASP.

Regardless of the surveillance method, the COTR/COR shall always contact the Contractor's Program Manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COTR/COR, with assistance from the PM, shall be responsible for monitoring the Contractor’s performance in meeting a specific performance standard/AQL.

The COTR/COR shall also inform the Contracting Officer of any defect that has been identified.

a.) DIRECT OBSERVATION. (Can be performed periodically or through 100% surveillance.)

<Insert performance standard(s) or delete this method.> b.) MANAGEMENT INFORMATION SYSTEMS (MIS). (Evaluates outputs through the use of management information reports. Best used for general surveillance and may need to be supplemented by periodic inspections.)

<Insert performance standard(s) or delete this method.> c.) PERIODIC INSPECTION. (Uses a comprehensive evaluation of selected outputs. Inspections may be scheduled [Daily, Weekly, Monthly, Quarterly, or annually] or unscheduled, as required.)

<Insert performance standard(s) or delete this method.> d.) USER SURVEY. (Combines elements of validated user complaints and random sampling. Random survey is conducted to solicit user satisfaction. Appropriate for high quantity activities that have historically been satisfactory. May also generate periodic and 100% inspections.)

<Insert performance standard(s) or delete this method.> e.) VALIDATED USER/CUSTOMER COMPLAINTS. (Relies on the user of the service to identify deficiencies. Complaints are then investigated and validated. Highly applicable to services provided in quantity and where quality is highly subjective.)

<Insert performance standard(s) or delete this method.> f.) 100% INSPECTION. (Evaluates all outputs. Most applicable to small quantity, but highly important services. May be used where there are written deliverables and stringent requirements such as tasks required by law, safety, or security.)

<Insert performance standard(s) or delete this method.> g.) PERIODIC SAMPLING. (Variation of random sampling. However, sample is only taken when a deficiency is suspected. Good follow-up to MIS analysis. Sample results are applicable only for the specific work inspected. Since sample is not entirely random, it cannot be applied to total activity performance.)

<Insert performance standard(s) or delete this method.> h.) RANDOM SAMPLING. (Designed to evaluate the outputs of the award requirement by randomly selecting and inspecting a statistically significant sample. Highly recommended for large quantity repetitive activities with objective and measurable quality attributes.)

<Insert performance standard(s) or delete this method.> i.) Progress or status meetings.

<Insert performance standard(s) or delete this method.> j.) Analysis of contractor's progress reports. (Evaluate cost, schedule, etc.)

<Insert performance standard(s) or delete this method.> k.) Performance reporting. (Evaluate metrics for a specific time period. Develop metrics or use metrics found in MIS.)

<Insert performance standard(s) or delete this method.> Surveillance results may be used as the basis for actions (to include payment withholdings) against the Contractor. In such cases, the Inspection of Services clause in the contract becomes the basis for the CO’s actions.

7. Ratings.

Metrics and methods are designed to determine if performance exceeds, meets, or fails to meet a given standard and AQL. A rating scale shall be used to determine a positive, neutral or negative outcome. The following ratings shall be used:

Example 1:

Example 2:

<A numerical scale with numbers 1 through 10 where 1 is poor and 10 is excellent.>

8. DOCUMENTING PERFORMANCE.

a.) Acceptable Performance.

The Government shall document positive performance. A report template is attached. Any report may become a part of the supporting documentation for fixed fee payments, award or incentive fee payments or other actions.

b.) Unacceptable performance.

When unacceptable performance occurs, the COTR/COR shall inform the Contractor and the Contracting Officer. Notice to the Contractor will normally be in writing unless circumstances necessitate verbal communication. In any case the COTR/COR shall document the discussion and place it in the COTR/COR file.

When the COTR/COR determines formal written communication is required, the COTR/COR shall prepare a Contract Discrepancy Report (CDR) and present it to the Contractor's Program Manager or on-site representative. A copy of all CDRs shall be forwarded to the Contracting Officer and maintained in the official contract file. A CDR template is attached to this QASP.

The Contractor shall acknowledge receipt of the CDR in writing. The CDR will specify if the Contractor is required to prepare a corrective action plan to document how the Contractor shall correct the unacceptable performance and avoid a recurrence. The CDR will also state how long after receipt the Contractor has to present this corrective action plan to the COTR/COR. The Government shall review the Contractor's Corrective Action Plan to determine acceptability.

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

10. Frequency of Measurement.

a.) Frequency of Measurement.

During contract/order performance, the COTR/COR shall take measurements, <enter how often> as specified in the AQL column of the Performance Standards Summary Matrix, and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

b.) Frequency of Performance Assessment Meetings.

The COTR/COR shall meet with the Contractor <enter how often> to assess performance and shall provide a written assessment.

Prepared by: <Enter name>

Signature – Contracting Officer’s Representative

Performance Report

CONTRACT NUMBER: <insert number> Prepared by: (Name of COTR/COR) <insert name> Date and time of observation:

Observation:

<Examples of items to include in a report are:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results.

- Number of observations.> Prepared by: <Enter COTR/COR’s name>

Signature – Contracting Officer’s Representative

Date

Contract Discrepancy Report (CDR)

Contract Number: <insert number> TO: (Contractor’s Program Manager or on-site representative) <insert name> FROM: (Name of COTR/COR) <insert name> Date and time observed discrepancy:

DISCREPANCY OR PROBLEM:

<Describe in detail. Identify any attachments.>

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 < # days after receipt of this CDR. >

Prepared by: <Enter COTR/COR’s name>

Signature – Contracting Officer’s Representative

Date

Received by:

Signature – Contractor’s Program Manager or on-site representative Date

As AQD makes greater use of Performance-Based Acquisition, the Contractor is given more freedom to become innovative in their ways to effectively and efficiently meet the Governments’ performance objectives. Therefore, it is imperative that there be ongoing coordination between the Government and Contractor during QASP development.

Performance-Based Acquisitions include either a Performance Work Statement (PWS) created by the Government, or if a Statement of Objectives (SOO) is used, a Government or Contractor developed PWS. The QASP shall cite the same performance objectives and thresholds as stated in the Performance Requirements section of the PWS. If the requirement includes a Statement of Objectives (SOO), the QASP will be developed after contract award.

After contract award, the Contracting Officer’s Technical Representative (COTR/COR) will need to review the Performance Standards Summary Matrix in the contract to determine if the selected monitoring methods are appropriate to monitor each performance standard. Within a QASP, multiple surveillance methods may be used. The method for any given task will depend on the performance standard and Acceptable Quality Level (AQL).

Place the performance standard(s) after the description of the method. Delete any methods that are not required.

State the method(s) that shall be used and delete other methods. Relate the method you select to one or more performance standards. The rating method may depend on the monitoring techniques you select. One rating method may be used for all standards or multiple methods may be used. Examples are shown below. However, other rating scales are acceptable and may be used.

Documentation must be accurate and thorough. Completeness, currency, and accuracy support both satisfactory and unsatisfactory performance.

It may help if the Government prepares a work sheet with a schedule. This work sheet shall be for Government use and shall not be shared with the Contractor.

The incentive plan may determine the frequency of performance assessment meetings. COR must review the contract to determine if it includes incentives. If only past performance information is required, state when you will provide interim assessments (if required) or a final assessment. For an award fee plan, state the frequency you will provide input on the Contractor’s performance to the award-fee evaluation board and the CO. For an incentive fee plan, state the frequency you will provide cost information. For other fee plans, state the frequency and type of information you will provide.

The COR may initiate a CDR at any time, including whenever the number of monthly recorded defects for a performance standard exceeds the allowable number of defects; anytime unacceptable performance is determined critical in nature and requires formal corrective action; and whenever an unfavorable trend is detected in Contractor’s performance.

AQD Quality Assurance Surveillance Plan Template Version 1.0

April 1, 2009