FOIA Support Quality Assurance Surveillance Plan (QASP).docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FIOA Support

Created: 4/29/2021

Table of Contents

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled FIOA Support. This plan sets forth the procedures and guidelines the federal staff for this contract will use in ensuring the required performance standards or services levels are achieved by the contractor.

Purpose The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards/quality levels identified in the PWS and the contractor’s quality control plan (QCP), and to ensure that the government pays only for the level of services received.

This QASP defines the roles and responsibilities of all members of the integrated project team (IPT), identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor’s performance, describes quality assurance documentation requirements, and describes the analysis of quality assurance monitoring results.

Performance Management Approach The PWS structures the acquisition around “what” service or quality level is required, as opposed to “how” the contractor should perform the work (i.e., results, not compliance). This QASP will define the performance management approach taken by FSA related to the FIOA Support activities to monitor and manage the contractor’s performance to ensure the expected outcomes or performance objectives communicated in the PWS are achieved. Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether expected outcomes for the project are being achieved by the contractor.

Performance management represents a significant shift from the more traditional quality assurance (QA) concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and to what extent. This approach migrates away from scrutiny of compliance with the processes and practices used to achieve the outcome. A performance-based approach enables the contractor to play a large role in how the work is performed, as long as the proposed processes are within the stated constraints. The only exceptions to process reviews are those required by law (federal, state, and local) and compelling business situations, such as safety and health. A “results” focus provides the contractor flexibility to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved and/or the desired performance levels are being met.

Performance Management Strategy The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor’s own quality control (QC) program. QC is work output, not workers, and therefore includes all work performed under this contract regardless of whether the work is performed by contractor employees or by subcontractors. The contractor’s 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 contractor will develop and implement a performance management system with processes to assess and report its performance to the designated government representative. The contractor’s QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. This QASP enables the government to take advantage of the contractor’s QC program.

The government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The government will make determination regarding incentives based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

ROLES AND RESPONSIBILITIES

The Contracting Officer The contracting officer (CO) is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the contracting officer's representative (COR), technical point of contact (TPOC), subject matter expert (SME), or program manager (PM) and the contractor. The CO will designate one full-time COR as the government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the contractor’s performance, and must be identified and designated by the CO.

The Contracting Officer’s Representative The contracting officer’s representative (COR) is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The COR is responsible for contract administration of the project and ensures proper government surveillance of the contractor’s performance. The COR shall work with the TPOC who has operational, day-to-day interactions with the contractor. The COR 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 contract price, terms, or conditions shall be referred to the CO for action. The TPOC will have the responsibility for completing QA monitoring forms, if used to document the inspection and evaluation of the contractor’s work performance. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in the PWS and in Attachment 1, “Performance Requirements Summary.” If the contractor meets the required service or performance level, it will be paid the monthly amount agreed on in the contract. Failure to meet the required service or performance level will result in that failure being documented in the CPARS and the contractor shall, if needed receive a cure notice from the CO.

METHODOLOGIES TO MONITOR PERFORMANCE

Surveillance Techniques In an effort to minimize the performance management burden, simplified surveillance methods shall be used by the government to evaluate contractor performance when appropriate. The primary methods of surveillance are (include those that apply)

· Random monitoring, which shall be performed by the COR designated inspector. Normally this would be the TPOC or POC

· Periodic Inspection – COR/TPOC typically performs the periodic inspection monthly.

Customer Feedback The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication 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 complaints.

Performance management drives the contractor to be customer focused through initially and internally addressing customer complaints and investigating the issues and/or problems, but the customer always has the option to communicate complaints to the CO or COR, as opposed to the contractor.

Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the CO/COR. The CO/COR will accept those customer complaints and investigate as required and document results.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

Acceptable Quality Levels The acceptable quality levels (AQLs) included in Attachment 1, Performance Requirements Summary Table, for contractor performance are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls. One example of a negative incentive is to allow for not exercising the next option period. For certain critical activities such as those involving critical defect resolutions, the desired performance level is established at no violations. Other levels of performance are keyed to the relative importance of the task to the overall mission performance related to data management and analytics.

QUALITY ASSURANCE DOCUMENTATION

The Performance Management Feedback Loop The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and are assessed using the performance monitoring techniques shown in Attachment 1.

ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

Determining Performance Government shall use the monitoring methods cited to determine whether the performance standards/service levels/AQLs have been met. If the contractor has not met the minimum requirements, it may be asked to develop a corrective action plan to show how and by what date it intends to bring performance up to the required levels.

Reporting At the end of each month, reporting, which includes the contractor’s submitted monthly report, will become part of the QA documentation. It will enable the government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards, including technical/scheduling objectives.

Reviews and Resolution The COR, TPOC, SME, or PM may require the contractor’s project manager, or a designated alternate, to meet with the CO, COR, SME, or PM and other government personnel as deemed necessary to discuss performance evaluation. The CO, COR, TPOC, SME, or PM will define a frequency of in-depth reviews with the contractor, including appropriate self-assessments by the contractor; however, if the need arises, the contractor will meet with the COR, TPOC, SME, or PM as often as required or per the contractor’s request. The agenda of the reviews may include:

· Monthly performance assessment data and trend analysis

· Issues and concerns of both parties

· Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis

· Recommendations for improved efficiency and/or effectiveness

The CO, COR, or TPOC must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

The COR and contractor 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.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

Performance Requirements Summary (PRS)

1. Identify Non-Technical Clarification

Within 1 working day of receipt of the initial FOIA/PA request, the Contractor shall review the request and identify to the COR any non-technical clarification that needs to be done to place the Contractor in a position to process the request.

No more than 2 violations per month

Customer Review

Pass/Fail

2. Respond to Statement of Work Required

1. to Statemenr

Within 3 working days of receipt of the Statement of Work Required, the Contractor shall review the Statement of Work Required and provide to the COR the 1) number of requests in the appropriate production queue, 2) estimated Contractor effort minutes required to process the request, 3) estimated CPU (mainframe) cost, and 4) estimated responsive record delivery date.

No more than 2 violations per month

3. Perform Technical Clarification

Upon receipt of the Request Perfection Notice, the Contractor is cleared to conduct technical clarification

No more than 2 violations per month

4. Prepare Responsive Record

The Contractor shall prepare the responsive record based on the order the request was received, or according to the instructions received from the program manager.

5. Prepare Tasks

The Contractor shall prepare the Task. The task shall consist of all information developed in response to the FOIA/PA request.

6. Prepare Request Archive

The Contractor shall archive electronically and place on external hard drive.

7. Participate in Process Improvement

The Contractor shall participate in process improvement efforts and shall make suggestions to implement cost reduction methodologies and improve operational efficiencies.

8. Participate in Problem Resolution

The Contractor shall participate in problem resolution efforts. Problem resolution includes participating with Government personnel and other Contractor personnel in problem identification, reporting, definition, research, tracking, and the development of recommended solutions.

9. Provide Training

Upon request, the Contractor shall provide training required to familiarize Government personnel with the activities being performed by the Contractor.

Customer Review

10. Additional Tasks

For large efforts, tasks may be divided by subtask. The following table provides a complete listing of the required tasks. The table includes, Task No. and Name, End Result/Deliverable, Tool for creating it, Acceptance Criteria, and Intended Use, as applicable.

In addition to the Tasks listed above (1-9), the other Tasks required are large efforts required by the Contractors to create extract files on a quarterly and annual basis.

For #12 listed below, the miscellaneous extract files are FOIA/PA request dependent. All extract files are used by the Contract staff to fill FOIA/PA requests. Creating these extracts files are necessary to prevent the contractors from doing daily runs against production files to extract data. The daily runs have proven to slow down production.

Customer Review