EVS_QASP_Final.pdf

Quality Assurance Surveillance Plan

QUALITY ASSURANCE SURVEILLANCE PLAN

Version – March 2021

For: Employment Verification Services

Contract Number:

Contract Description: The contractor shall develop and maintain a database that tracks the evidence supporting contractor/subcontractor relationships with the DOE. Due to these types of jobs usually being associated with a subcontract, employment is extremely difficult to verify using the DOL’s current resources. Some contractors have access to relevant union, pension, or other records that could assist the DOL. This work will augment current federal staff in our verification of employment.

Contractor’s Name:

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:

52.246-4 Inspection of Services – Fixed-Price,

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:

Organization or Agency:

Telephone:

Email:

b. Contracting Officer’s Representative (COR) - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the contractor’s performance. The COR shall keep a quality assurance file. 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.

Assigned COR: Kristine Zahm

Telephone: 202-354-9589

Email: Zahm.Kristine@dol.gov

3. Contractor Representatives The following employees of the contractor serve as the contractor’s Project/Program Manager and Other Contractor Personnel for this contract.

a. Contract Manager: TBD

Telephone Number:

Email:

4. Performance Standards mailto:Zahm.Kristine@dol.gov

Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets or does not meet these standards.

The Performance Requirements Summary Matrix, Exhibit 1 in the Performance Work Statement includes performance standards. The Government shall use these standards to determine contractor performance and shall compare contractor performance to the Acceptable Quality Level (AQL).

Performance Objective

Standard Performance Threshold/

Acceptable Quality Level

Method of Surveillance

Task 1: Requests for Information on Contractual Relationship

5.3.2 and 5.4 Item 6 Upon receipt of a request for contractual information from the DOL, the Contractor will perform some or all of the following work and complete it within 20 business days from date of receipt from DOL:

Provide evidence that the employer had a contractual relationship with a covered facility

95-100% of the time.

Periodic Inspection by the

COR.

Task 2. Requests for Copies of Supporting Documentation

5.3.2 and 5.4 Item 7 Upon receipt of a request for supporting documentation establishing the contractual relationship with DOE, the Contractor will perform some or all of the following work and complete it within 5 business days from date of receipt from

DOL:

Provide the DOL with a copy of supporting documentation that establishes the contractual relationship with DOE

95-100% of the time.

Periodic Inspection by the

COR.

Task 3: Develop and Maintain Database

5.0.1, 5.2.1 and 5.4 Item 1

The Contractor will develop and maintain a process for tracking, in an electronic format, all evidence collected/received in support of a contractor/subcontractor contractual relationship with the DOE and include the minimum data requirements outlined in 5.2.1. The database will be a cross-relational list of contractors/subcontractors to DOE worksites.

100% of the time

Periodic Inspection by the

COR.

5.0.2 and 5.4 Item

The Contractor will provide a public version of the database allowing access to a limited set of information as outlines in this PWS.

100% of the time

Periodic Inspection by the

COR

5.4 Item 8 The Contractor will be expected to ensure that

updates to the database are derived from appropriate research and the application of sound interpretive analysis.

100% of the time

Periodic Inspection by the

COR

Task 4: Site Visits

5.3.2 Allow the DOL to conduct site visits with access to

the evidence collected in support of the information added to the database.

100% of the time

Direct Observation /Periodic Inspection by the COR

Task 5: Performance Reporting

5.3.2 and 5.4 Items 4, 5, 9, and 12.

Provide a monthly report to the DOL, in electronic format, to include reporting data required under this PWS. The Contractor shall submit monthly progress reports by the tenth calendar day of each month.

95-100% of the time

Periodic Inspection /Random Sampling by COR via email

5. Incentives

Not applicable

6. Methods of QA Surveillance

Various methods exist to monitor performance. The COR shall use the surveillance methods listed below in the administration of this QASP. However, the Government is not limited in his oversight of the contracted services and may use a variety of methods to surveil the contractor’s performance.

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

DIRECT OBSERVATION – Direct Observation consists of the review by a Federal POC and/or COR.

Task 4: Site visits

PERIODIC INSPECTION – Inspection of the following tasks will be conducted periodically throughout the contract period of performance and on an as needed basis.

Task 1: Requests for Information on Contractual Relationship.

Task 2: Requests for copies of Supporting Documentation.

Task 3: Develop and maintain Database.

RANDOM SAMPLING – Sampling for the following tasks will be purely random within a specified period of time during contract performance.

Task 5: Performance Reporting

7. Ratings Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. A rating scale shall be used to determine a positive, neutral, or negative outcome. The following ratings shall be used:

EXCEPTIONAL: Performance significantly exceeds contract requirements to the Government’s benefit.

SATISFACTORY: Performance meets contractual requirements.

UNSATISFACTORY: Performance does not meet contractual requirements.

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 fee payments, or other actions.

b. UNACCEPTABLE PERFORMANCE.

When unacceptable performance occurs, the COR shall inform the contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR shall document the discussion and place it in the COR file.

When the COR determines formal written communication is required, the COR shall prepare a Contract Discrepancy Report (CDR), and present it to the contractor's task manager or on-site representative. 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 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 deductions, fixed fee deductions, award fee nonpayment, or other actions deemed necessary by the CO.

9. Frequency of Measurement

a. FREQUENCY OF MEASUREMENT.

During contract/order performance, the COR shall take periodic measurements, either quarterly or as deemed appropriate, and 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 COR shall meet with the contractor quarterly, or as appropriate, to assess performance and shall provide a written assessment.

Prepared by: Kristine Zahm

Signature – Contracting Officer’s Representative

Performance Report

1. CONTRACT NUMBER: <insert number>

2. Prepared by: (Name of COR) <insert name>

3. Date and time of observation:

4. Observation:

<Examples of items to include in a report are:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results.

- Number of observations.>s

Prepared by: <Enter COR’s name>

Signature – Contracting Officer’s Representative Date