Attachment_4_-_OCC_QASP.docx

Quality Assurance Surveillance Plan (QASP) For Macroeconomic Forecasts

Attachment 4

QUALITY ASSURANCE SURVEILLANCE PLAN

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Table of Contents

QUALITY ASSURANCE SURVEILLANCE PLAN

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INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is developed pursuant to the requirements listed in the performance-based Performance Work Statement (PWS). This performance-based plan sets forth the procedures and guidelines the Office of the Comptroller of the Currency (OCC) will use in evaluating the technical performance of the service provider.

1.1 Purpose

The purpose of the QASP is to describe the systematic methods used to measure performance and to identify the reports required and the resources to be employed. The QASP provides a means for evaluating whether the service provider is meeting the performance standards identified in the PWS.

This QASP is designed to define roles and responsibilities, identify the performance objectives, define the methodologies used to monitor and evaluate the service provider’s performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

1.2 Performance Management Approach

The performance-based PWS structures the acquisition around “what” service is required as opposed to “how” the service provider should perform the work. This QASP will define the performance management approach taken by OCC to monitor, manage, and take appropriate action on the service provider’s performance against expected performance objectives communicated in the PWS. Performance management rests upon developing a capability to review and analyze information generated through performance metrics. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management. The data generated in a performance management approach provides information that indicates whether the service provider is achieving expected outcomes for required services adequately.

Performance management also represents a significant shift from the more traditional Quality Assurance (QA) concepts in several ways. Performance management focuses on assessing whether or not outcomes are being achieved and migrates away from scrutiny on compliance with the processes and practices used to achieve the outcome. The only exceptions to process reviews are those required by law (Federal, State, and local) and compelling business situations such as safety and security. An outcome focus provides the service provider flexibility to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved at the desired levels of performance.

1.3 Performance Management Strategy

The service provider’s Quality Control Plan (QCP) will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The service provider will develop and implement a performance management system with processes to assess and report their performance to the designated Government representative.

The Government representative will monitor performance and review performance reports furnished by the service provider to determine how the service provider is performing against communicated performance objectives. The Government will make decisions based on performance measurement metric data and notify the service provider of those decisions. The service provider will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

ROLES AND RESPONSIBILITIES

2.1 Contracting Officer (CO)

The Contracting Officer (CO) is responsible for monitoring contract compliance, contract administration and cost control; and resolving any differences between the observations documented by the Contracting Officer Representative, and the service provider’s performance. The CO will designate one full-time COR as the Government authority for performance management.

2.2 Contracting Officer Representative (COR)

The COR is responsible for monitoring, assessing, and communicating the technical performance of the service provider and assisting the service provider. The COR will have the responsibility for completing QA monitoring forms (refer to sample Exhibits II and III) used to document the inspection and evaluation of the service provider’s work performance. Government surveillance may occur under the Inspection of Services clause for any service relating to the contract.

IDENTIFICATION OF SERVICES TO BE PERFORMED

The service provider shall provide the specific services in accordance with the PWS.

Section 6.2 of the PWS lists the performance requirements, the performance standards that are tied to specific areas in the PWS, the acceptable level of performance, and the method of surveillance.

METHODOLOGIES TO MONITOR PERFORMANCE

Surveillance techniques shall be used by the Government to evaluate service provider performance. The primary methods of surveillance are random checks, observations, inspections, feedback, and review of the records and files that are required to be maintained and delivered under this PWS. The Government will use appointed representatives, as well as reports and input from OCC employees as sources of comments on the service provider’s performance.

The service provider is expected to establish and maintain professional communication between its employees and customers. The primary objective of professional communication between employees and customers is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer feedback. Performance management drives the service provider to be customer focused through initially addressing customer feedback and investigating any issues and/or problems.

NOTE: The customer always has the option to communicate feedback to the COR as opposed to the service provider. The COR will accept the customer feedback and will investigate using a form similar to the Quality Assurance Monitoring Form – Customer Feedback Investigation identified in Exhibit III.

The performance standards located in Exhibit I, Service Performance Summary, for service provider performance are structured to allow the service provider to manage how the work is performed while providing incentives for performance that exceeds the performance standards and disincentives for failures. Levels of performance are keyed to the relative importance of the task to the overall effectiveness of support provided.

QUALITY ASSURANCE REPORTING

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and measured by the required performance standards in Exhibit I.

The Government’s QA monitoring, accomplished by the COR, will be reported using the sample monitoring forms in Exhibits II and III or similar forms. The forms, when completed, will document the COR’s understanding of the service provider’s performance under the contract to ensure that the PWS requirements are being met.

The COR will retain a copy of all completed QA monitoring forms.

ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

The Government shall use the observation methods cited to determine whether the performance standards have been met. The Government will evaluate the results and assess if the performance standards have been met to determine if an incentive or disincentive should be applied.

Upon request from the CO, the COR will prepare a written report for the CO summarizing the overall results of the quality assurance monitoring of the service provider’s performance. This written report, which consists of the service provider’s submitted monthly report and the completed Quality Assurance Monitoring Forms (Exhibit II), will become part of the QA documentation.

The COR may require the service provider’s Project Manager, or a designated alternate, to meet with the CO and other Government personnel as deemed necessary to discuss performance evaluation. The COR will define a frequency of in-depth reviews with the service provider, however if the need arises, the service provider will meet with the COR as often as required or at the service provider’s request. The agenda of the review meetings may include:

Monthly performance measured by the metrics and trends Issues and concerns of both parties Projected outlook for upcoming months and progress against expected trends Recommendations made by the COR based on service provider information Issues arising from independent reviews and inspections

In addition to QA monitoring, the COR will use the information contained in the service provider’s monthly report to assess the service provider’s level of performance for each objective measured in this QASP (detailed in Exhibit I). The COR must coordinate and communicate with the service provider to resolve issues and concerns of marginal or unacceptable performance. The service provider will discuss satisfaction ratings receiving a “less than acceptable” rating with the COR. For such cases, the service provider should highlight its perspective on factors driving customer satisfaction and present plans to adjust service levels accordingly to bring the satisfaction rating up to an acceptable level.

The COR and service provider 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 contract modification at the convenience of the CO.

FAILURE TO PERFORM

The service provider may receive disincentives or even termination based on failure to perform. The following criteria apply for determining appropriate action:

1. Notifications. Consistent with FAR Part 49, the CO shall notify the service provider of failure to meet standards through QA monitoring forms, cure notices, or show cause notices and shall inform the service provider or designated alternate of such notices.

2. Deductions. The Government has the right to apply disincentives for failure to meet performance standards. The specific disincentives are identified in the Performance Requirements Summary (PRS) in Exhibit I.

3. Termination. If the CO determines the service provider has failed to perform to the extent that a termination for default is justified, the CO shall issue a notice of termination, consistent with FAR Part 49.

Incentive/Disincentives for Meeting/Not Meeting AQL

1. Positive or negative performance will be documented

2. Noncompliance to contract standards will be corrected at no cost to the government

3. The service provider may receive informal or formal acknowledgement for exceptional performance in the form of certificates or letters.

Notification. The service provider shall respond in writing to the Contracting Officer, to all notifications of failure to meet Acceptable Quality Levels within 3 days of issuance by the Contracting Officer. The service provider’s response shall include the corrective action taken to rectify the problem and the proposed measure to preclude the recurrence of the problem.

EXHIBIT I: PERFORMANCE REQUIREMENTS SUMMARY/SERVICE LEVEL AGREEMENTS

EXHIBIT II: SAMPLE OF QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

|_| Random Sampling |_| 100% Inspection |_| Periodic Inspection |_| Customer Feedback

LEVEL OF SURVEILLANCE SELECTED (Check):

|_| Monthly |_| Quarterly |_| As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: %

ANALYSIS OF RESULTS:

OBSERVED SERVICE PROVIDER PERFORMANCE MEASUREMENT RATE = %

SERVICE PROVIDER’S PERFORMANCE (Check):

|_| Meets Standards |_| Does Not Meet Standards

NARRATIVE OF PERFORMANCE DURING SURVEY PERIOD:

Prepared By: Date:

EXHIBIT III: SAMPLE QUALITY ASSURANCE MONITORING FORM

CUSTOMER FEEDBACK INVESTIGATION

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

DATE/TIME FEEDBACK RECEIVED: _____________ ________ AM / PM

SOURCE OF FEEDBACK: _______________________________ (NAME)

_______________________________ (ORGANIZATION)

_______________________________ (PHONE NUMBER)

_______________________________ (EMAIL ADDRESS)

NATURE OF FEEDBACK:

RESULTS OF FEEDBACK INVESTIGATION:

DATE/TIME SERVICE PROVIDER INFORMED OF FEEDBACK: __________ AM / PM

ACTION TAKEN BY SERVICE PROVIDER:

RECEIVED AND VALIDATED BY:

PREPARED BY: DATE:

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