Attachment D -NCESS QASP.pdf

ATTACHMENT D

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

NCES COOPERATIVE STATISTICS SYSTEMS

A. Introduction

B. General Purpose of QASP

C. Roles and Responsibilities of Participating Government Officials

D. Contractor Task Performance Standards

E. QASP Evaluation Form

A. Introduction

This performance – based Quality Assurance Surveillance Plan (QASP) sets forth procedures and guidelines that the Department of Education will use in evaluating the technical performance and overall performance of the contractor in accordance with the terms and conditions of this Contract. A copy of this plan will be furnished to the contractor so that the contractor will be aware of the methods that the Government will employ in evaluating performance on this contract and address any concerns that the contractor may have prior to initiating work. The

Quality Assurance Surveillance Plan shall be contractually binding.

The QASP describes the mechanism for documenting noteworthy accomplishments or discrepancies for work performed by the Contractor.

The QASP can be changed/updated, etc. It is intended to be a “living” document that should be revised or modified as circumstances warrant. Either the Contractor or the Government may initiate changes to the QASP.

Bilateral changes may be made to the plan at any time during task order performance. Such changes may not entitle the Contractor to equitable adjustments or to any other compensation for performance in a prior period.

B. General Purpose of the QASP

The QASP is intended to accomplish the following:

Define the roles and responsibilities of participating Government officials and outside experts;

Describe the key deliverables and rating elements and standards of performance against which the contractor’s performance will be assessed for each deliverable;

Describe the process for conducting quality assurance assessments;

Provide copies of the quality assurance monitoring forms that will be used by the Government in documenting and evaluating the contractor’s performance.

Provide basis for determining incentive involving additional work or award terms earned for the

Contractor

C. Roles and Responsibilities of Participating Government Officials

The QASP is a guide to be used by Department officials to conduct surveillance activities of the Contractor after

Contract award. The COR will review technical documents and deliverables generated by the Contractor. ED contract managers (e.g., Contracting Officers (CO) and Contract Specialists) will also conduct review of contract specific Reports or Deliverables such as invoices, monthly status reports, and work plans. The COR and the CO will use the QASP as a tool to evaluate if the Contractor-provided service meets the performance standards in the contract.

The Contracting Officer’s Representative (COR) is responsible for technical administration. It is essential that the COR, establish and maintain a team-oriented line of communication with the contractor’s project director on each task to ensure that the task is accomplished in an efficient and proper manner. Phone and email contact should be held on a regular basis in order to clarify expectations, confront difficulties, and avoid serious problems.

The COR shall review and evaluate the contractor’s overall performance.

Each individual project Task Leader (TL) will be responsible for monitoring, assessing, recording and reporting on the technical performance of the contractor on each task. The project Task Leader will be responsible for completing the QASP monitoring forms which are used to document the inspection and evaluation of the contractor’s performance related to completing the specific tasks and submission of deliverables (initial and final drafts).

The COR or Task Leader 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 price, terms, or conditions shall be referred to the Contracting Officer for action.

The Contracting Officer (CO) or his/her representative will have overall responsibility for overseeing the contractor’s performance. The Contract Specialist (CS) will also be responsible for the day-to-day monitoring of the contractor’s performance in the areas of contract compliance, contract administration, recording of deliveries, cost control and property control; reviewing the COR’s assessment of the contractor’s performance; and resolving differences between the COR’s version and contractor’s response to assessment. The CO may call upon the expertise of other government individuals as required.

The Contracting Officer’s (CO) procurement authorities include the following:

SOLE authority for any decisions which produce an increase or decrease in the scope of the contract;

SOLE authority for any actions subject to the Changes clause;

SOLE authority for any decision to be rendered under the Disputes clause;

SOLE authority for negotiation of the contract;

SOLE authority to approve the substitution or replacement of the Project Manager and other key personnel;

SOLE authority to approve the contractor’s invoices for payment;

SOLE authority to monitor and enforce Department of Labor promulgated labor requirements;

Authority to arrange for and supervise Quality Assurance activities under this contract;

SOLE authority to approve the contractor’s Quality Control Program; and

Signatory authority for the issuance of all modifications to the contract.

QASP Reporting

On an annual basis, the COR will use a quality assurance monitoring form to document and evaluate the

Contractor’s performance under each subtask. This form will serve to document and evaluate the contractor’s overall performance. The form will be completed by the COR and project Task Leader.

The annual contract evaluation will be based on five rating area elements, which include: (a) Quality of Product or

Services; (b) Timeliness of Performance; (c) Cost Control; (d) Problem Resolution and (e) Business Relations. A rating from 0 to 4 that most closely matches the COR’s evaluation of the contractor’s performance will be awarded for each area element, for a maximum total score of 24. The COR will substantiate all scores in narrative form.

E. Contractor Task Work Performance Standards

The work will be evaluated in terms of how well the requirements are satisfied and the extent to which the work performed follows the approach found in the Contractor’s technical proposal. The COR will evaluate the contractor’s performance by using the following categories: Quality of the work and deliverables to determine accuracy, if they meet NCES statistical standards, and present information in a way that is useful for the intended audience; Timeliness to determine the contractor’s responsiveness to technical direction, if the work was performed and deliverables received as specified in the PWS; Cost Control to determine if the work and deliverables were within budget; Problem Resolution to determine if the contractor satisfactorily overcomes or resolves problems; Business Relations to determine if the contractor exhibits effective management to perform the work and produce deliverables as specified.

The COR and Task Leader will rate the contractor’s performance in each category as defined below.

Unsatisfactory. Level of performance which is not acceptable and which fails to meet the minimum standards of performance; jeopardizes the achievement of contract goals. Score: 0

Poor. Nonconformance requires major agency intervention to ensure achievement of contract goals. Score: 1

Fair. Some agency intervention required to ensure achievement of contract requirements. Score: 2

Satisfactory. Level of performance, which meets the minimum standards of performance. Score: 3

Excellent. Level of performance, which exceeds the minimum standards of performance. Score: 4

U.S. Department of Education

CONTRACTOR PERFORMANCE INFORMATION

1. Contract Number:

2. Type of Contract:

3. Contract Value:

4. Period of Performance:

5. Description of Requirement:

6. Ratings. Summarize contractor performance and circle or type in the number below that corresponds to the performance rating for each category. Please see the attachment, which explains the rating scale.

Quality:

Comments:

Problem

Resolution:

Cost Control:

Timeliness:

Business

Relations:

Customer

Service:

Total score:

Evaluated by:

Agency/Organization ______________________________________________Date ___________ ________

(In accordance with the Federal Acquisition Streamlining Act, the following information will not be released to the contractor.)

Name and Title Telephone number

Signature ____________________________________________ E-mail address

Please return this form to the following address:

E-mail to:

Jennifer.Arthur@ed.gov

Information entered on this form will be used in source selection decisions and is protected under subsection 3.104 of the Federal Acquisition Regulation. Do not disclose information entered on this form to the contractor or to any other person except as authorized by the Department of Education contracting officer.

Supplementary Questions

To assist the Department of Education contracting officer, we would greatly appreciate your taking the time to answer the following questions, if any, related to the contractor’s past performance:

mailto:Jennifer.Arthur@ed.gov

Contractor Performance Evaluation

Instructions for Completing Contractor Performance Information Form

Based on the rating area elements presented below and the rating guidelines on the back of this sheet, please evaluate contractor performance in each of the ou wish, you may attach additional comments or information. We would also appreciate your answers to the specific questions, if any, on the back of the form. Please return the form to the address indicated on the back of the form. Thank you for your time and your cooperation.

The Department of Education will use the information from this form to evaluate offerors competing for contract awards. We may release the information from this form to the contractor during negotiations or debriefings. If we release information from this form, we will not release your name to the contractor.

Elements within Each Rating Area

Quality of Product or Service

- Compliance with contract requirements

- Accuracy of reports

- Appropriateness of personnel

- Technical excellence

Problem Resolution

- Anticipates and avoids or mitigates problems

- Satisfactorily overcomes or resolves problems

- Prompt notification of problems

- Pro-active

- Effective contractor-recommended solutions

Cost Control

- Within budget

- Current, accurate and complete billings

- Costs properly allocated

- Unallowable costs not billed

- Relationship of negotiated costs to actual

- Cost efficiencies

Timeliness of Performance

- Meets interim milestones

- Reliable

- Stays on schedule despite problems

- Responsive to technical direction

- Completes work on time, including wrap-up and contract administration

- No liquidated damages assessed

Business Relations

- Effective management

- Use of performance-based management techniques

- Business-like concern for the customer's interests

- Effective management and selection of subcontractors

- Effective small/small disadvantaged business subcontracting program

- Reasonable/cooperative behavior

- Effective use of technology in management and communication

- Flexible

- Minimal staff turnover

- Maintains high employee morale

- Resolves disagreements without being unnecessarily litigious.

Customer Service

- Understands and embraces service and program goals

- Team approach with the customer

- Satisfaction of end users with the contractor’s service

- Positive customer feedback

- Prompt responses

- Courteous interactions

- Effective escalations and referrals

- Initiative and proactive improvements

- Creative service strategies

Attachment D

Rating Guidelines

Quality of Product or Service

0 - Unsatisfactory

Nonconformance jeopardizes the achievement of contract goals; default.

1 - Poor Nonconformance requires major agency intervention to ensure achievement of contract goals;

show cause or cure notices.

2 - Fair Quality meets specifications in most cases, however, some agency intervention required to ensure achievement of contract requirements.

3 - Good Quality meets specifications in all cases.

4 - Excellent Quality exceeds specifications in some cases.

Problem Resolution 0 - Unsatisfactory Inadequately resolved problems jeopardize contract goals.

1 - Poor Significant agency intervention required to resolve problems jeopardizing contract goals.

2 - Fair Some agency intervention required to resolve problems jeopardizing contract goals.

3 - Good Successfully overcomes or resolves all problems and achieves contract goals with minimal agency intervention.

4 - Excellent Anticipates and avoids most problems and successfully overcomes all unforeseen problems.

Cost Control

0 - Unsatisfactory Cost increases jeopardize achievement of contract goals; or billings routinely include unallowable costs.

1 - Poor Significant cost increases; or some inaccurate billings including some with unallowable costs.

2 - Fair Minor cost increases; or some inaccurate billings, but a minimal (1-2) number with unallowable costs.

3 - Good Contractor performed within costs; but some late billings, none with unallowable costs.

4 - Excellent Costs were less than the amount cited in the contract; and billings accurate and timely.

Timeliness of Performance 0 - Unsatisfactory Delays jeopardize the achievement of contract goals.

1 - Poor Other significant delays.

2 - Fair Minor delays.

3 - Good All deliverables on time.

4 - Excellent All deliverables on time with some ahead of schedule; or stays on schedule despite unforeseen circumstances.

Business Relations

0 - Unsatisfactory Unethical or illegal business practices.

1 - Poor Business practices are not attuned to customer support.

2 - Fair Business practices are somewhat attuned to customer support.

3 - Good Business practices focus on customer support.

4 - Excellent

Customer Service

Highly effective, proactive business practices focused on customer support.

0 - Unsatisfactory Response to service requests is routinely late, ineffective, or rude; customers express frustration or anger about many interactions; complaints are unresolved; contractor seems unaware of service issues.

1 - Poor Response to service requests is often late, ineffective or rude; some complaints are resolved.

2 -Fair Response to service requests is uneven in timing or effectiveness; customer interactions are tenuous; contractor is trying hard and understands service issues.

3 - Good Response to service requests is timely, effective and courteous; customers express positive feedback; delivery of service is smooth and organized; collects customer feedback; customer problems are resolved well.

4 - Excellent Response to service requests is timely, effective and courteous; the contractor is proactive in building good relations with customers, proposing new service strategies, analyzing and reporting on service loads and collecting and using customer feedback.