FTC-18-Q-0004_Redress_Attachment_3_-_QASP.pdf

Attachment 3

QUALITY ASSURANCE SURVEILLANCE PLAN

for

Claims and Settlement Administration for FTC Redress

Federal Trade Commission

Bureau of Consumer Protection Office of Claims and Refunds

Attachment 3 - QASP

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1. PURPOSE

The purpose of the Quality Assurance Surveillance Plan (QASP) is to describe the systematic methods used to monitor the contractor’s performance, to include the required documentation and the resources employed. It also provides a means for evaluating whether the Contractor is meeting the Acceptable Quality Level (AQL) identified in the Performance Work Statement (PWS) and the Contractor’s Quality Control Plan (QCP). This QASP addresses the following topics:

• Roles and responsibilities;

• Procedures;

• Methods of assessment;

• Successful performance and remedies;

• Certification of services;

• Sample of contract discrepancy report; and

• Complaint procedures and training instructions.

1.1 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 defines the performance management approach that the Contracting Officer’s Representative (COR) and Contracting Officer (CO) uses to monitor the contractor’s performance to achieve the performance objectives stated in the PWS.

FTC assesses what outcomes are achieved and to what extent in accordance with the quality levels stated in the PWS. A performance-based approach enables the Contractor to play a larger role in how the work is performed. Evaluating process gives way to evaluating outcomes in performance-based situations. The only exceptions to not performing 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 and/or desired performance levels are met.

2. IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and quality levels are included in Section 1.4.9 of the PWS and summarized in the Performance Requirements Summary (PRS) Table, at attachment 1 of this document. The quantity and quality of the Contractor’s work will be monitored and inspected against these standards and levels to determine if the work completed is in accordance with the requirements of the contract.

3. METHODOLOGIES TO MONITOR PERFORMANCE

3.1 Surveillance Techniques

The objective of contract surveillance is to monitor Contractor performance to assure the services received are consistent with contract quality requirements and received in a timely manner. Methods of surveillance include, but are not limited to:

Continuous monitoring, which shall be performed by the COR’s designated inspector;

100% Review – of all documents and reports produced by the Contractor for accuracy and completeness;

Periodic Inspection and Third-Party Audit – COR’s periodic inspection and third-party audit;

Reports – COR’s review of Contractor reporting/invoicing and reports; and Records – Review of CO’s and COR’s records, as well as, Contractor pre-screening and security records.

Effective use of the QASP, in conjunction with the Contractor’s QCP, will allow the Government to evaluate the Contractor’s success in meeting the specified contract requirements. Should the Contractor begin to experience problems or difficulties in contract performance, surveillance frequency may be increased and/or additional surveillance methodologies employed by the government.

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3.2 Customer Feedback

The Contractor is expected to establish and maintain professional communication between its employees and customers. The contractor’s customers for the purpose of this contract are claimants and individuals working on behalf of the FTC. 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. The Contractor shall act promptly to effect satisfactory resolution. Whether resolved or not, all customer complaints and comments are to be documented and promptly forwarded to the COR. The Quality Assurance Monitoring Form – Customer Complaint Investigation, identified in Attachment 4 of this document, will serve as the primary document for all complaints.

3.3 Acceptable Quality Levels

The AQLs included in the Performance Requirements Summary Surveillance Table are structured to allow the Contractor to manage how the work is performed. For certain critical activities, such as those involving security, the desired performance level may be established at 100 percent.

4. QUALITY ASSURANCE DOCUMENTATION

4.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes. The acceptable quality levels are assessed as shown at Attachment 1.

4.2 Monitoring Forms

The Government’s surveillance of Contractor performance will be reported by the COR using the monitoring forms, notices, worksheets, reports and questionnaires in Attachments 2 through 4. These documents, when completed, will be used to support the Government’s assessment of the Contractor’s performance under the contract to ensure the required results (services and quality levels) are being achieved.

5. ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

In determining performance, the Government shall use appropriate and necessary surveillance monitoring methods to determine whether the Contractor’s performance has met performance standards/service levels/AQLs. If the Contractor has not met the minimum requirements, the Contractor will be directed by the DAR to develop a Corrective Action Plan (CAP) to show how and by what date the Contractor intends to bring performance up to the required levels.

5.1 Reporting

At the end of each performance period, the COR will prepare a written report for the CO summarizing the overall results of the surveillance of the Contractor’s performance (Attachment 2). This written 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. The Contractor’s PM is furnished a copy of this report.

5.2 Reviews and Resolution

The Contractor’s PM shall meet with the CORs and other Government personnel, as deemed necessary by the CORs, to discuss their performance evaluation. The Government will define the frequency and depth of these reviews with the Contractor, including appropriate self-assessments by the Contractor. In addition, either the Government or the Contractor may request meetings to discuss issues pertinent to the performance under this contract. The agenda topics of these reviews may include but are not limited to:

Monthly performance assessment data and trend analysis;

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Issues and concerns of both parties;

Projected outlook for upcoming months and progress against expected trends, including a CAP analysis;

and Recommendations for improved efficiency and/or effectiveness..

5.3 Issues Arising from the Performance Monitoring Processes

In addition to these reviews, either party may request meetings to discuss issues pertinent to the performance under this contract. It is anticipated that during the course of contract performance, the Government and the Contractor will engage in discussions regarding changes and additional improvements to the network. Items arising from these discussions regarding changes to metrics, thresholds, or service levels should be completely documented and submitted to the CO for contract modification consideration.

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ATTACHMENT 1—PERFORMANCE REQUIREMENTS SUMMARY

PWS Reference Standard Acceptable Quality

Level (AQL) Method of Surveillance

Task #1 – Money Management, Section 1.4.1(A)

Bank Accounts Open case specific, non-interest bearing FDIC-insured checking account in accordance with PWS.

100% opening within three calendar days of assignment receipt

Contractor must send COR a confirmation email. COR will confirm via monthly bank statements.

Task #1 – Money Management, Section 1.4.1(B)

(1) Provide the COR and his/her representative with read-only rights to online banking for the redress checking account assigned to a specific case.

Full access on all accounts

Contractor must send COR a confirmation email. COR will confirm via monthly bank statements.

Task #1 – Money Management, Section 1.4.1(B)

(2) Obtain the DAR’s written approval and authorization of claims distribution in accordance with policy or the court or administrative order prior to any disbursements and transfers of claims funds, including the payment of all invoices for work performed under this

PWS.

Obtain DAR’s written approval and authorization of claims distribution

DAR confirms receipt

Task #1 – Money Management, Section 1.4.1(B)

(3)Ensure that the bank returns to the contractor all original canceled checks (front and back) or clearly legible images of all original canceled checks (front and back) and bank drafts and bank statements.

100% return COR confirms receipt.

Section 1.4.1(B)

(4) Ensure that each checking account has payee name and check amount based positive pay or similar services to combat check fraud.

100% of accounts Continuous monitoring

Section 1.4.1(B)

(5) Provide to the COR or a designee the following details within one (1) business day of bank account opening:

date established, name of the account, account number and type, physical location of account, and signature cards

100% of accounts within 3 business days

Contractor must send COR a confirmation email. COR will confirm via monthly bank statements.

Task #1 – Money Management, Section 1.4.1(B)

(6)Ensure that the bank sends a duplicate original bank statement - via express mail or as a PDF File – directly to the COR or a designee

100% of bank statements within ten

(10) calendar days after the end of the month

COR will confirm via monthly bank statements.

Task #1 – Money Management, Section 1.4.1(B)

(7) Provide to the Contracting Officer, COR, General Counsel, and/or Inspector General any information requested pertaining to the bank records and activities.

Upon request Continuous monitoring

Section 1.4.1(B)

(8) Ensure that after receiving written notification of a needed correction to bank and/or financial statements that the appropriate corrections are made

Within forty-five (45) calendar days.

COR will confirm via monthly bank statements.

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Section 1.4.1(B)

(9)Prepare and provide to the COR a reconciliation of the prior month’s activity of each redress bank account

On the following schedule: September, December, March, June, on or before the 5th business day after the end of those months; all other reconciliations shall be provided on or before the 7th business day after the end of the month.

COR will confirm via monthly bank statements.

Task #1 – Money Management, Section 1.4.1(B)

(10) Prepare and maintain a check register in each case accounting for all checks printed in accordance with the

PWS.

100% accurate information

Contractor will make the check register available to COR at any time during the process, and will send a final check register as part of the case closing.

Task #1 – Money Management, Section 1.4.1(B)

(11) Prepare and maintain a register in each case accounting for all debit and purchase cards distributed in accordance with the PWS.

100% accurate information

Contractor will make the register available to COR at any time during the process, and will send a final register as part of the case closing.

Task #1 – Money Management, Section 1.4.1(C)

Tax Identification Number

Obtain a tax identification number for each redress case assigned

3 business days of receipt of the initial Work Assignment

Contractor must send COR a confirmation email. COR will confirm via monthly bank statements.

Task #1 – Money Management, Section 1.4.1(C)

(1) Prepare and timely file all necessary tax returns, forms or reports with the appropriate authorities

100% of cases Contractor must send COR the completed tax forms at the closing of the case, or at least two months before they must be filed.

Task #1 – Money Management, Section 1.4.1(C)

Pay all required taxes, if applicable, from the redress fund and deposit any tax refunds into the redress account or return the tax refund to the FTC if the account is closed.

100% of cases Contractor must send COR the completed tax forms at the closing of the case, or at least two months before they must be filed.

Task #1 – Money Management, Section 1.4.1(C)

(1) Deliver a copy of any required annual income tax returns to the COR at the time the contractor invoices for the associated tax preparation fees

100% of cases Contractor must send COR the completed tax forms at the closing of the case, or at least two months before they must be filed...

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Section 1.4.1(D)

Liability Insurance and Employee Dishonesty Bonding

(1) Contactor shall obtain and maintain in accordance with PWS

At a minimum, the contractor must carry liability insurance of ten million dollars ($10,000,000) and employee dishonesty bonding of five million dollars ($5,000,000).

The blanket policies shall apply to all Work Assignments. The policies shall be executed in favor of both:

(a) the Federal Trade Commission for the benefit of the potential redress recipients pursuant to such judgment(s) administered under the Contract, and

(b) the potential redress recipients pursuant to such judgment(s)

Contractor must send COR a confirmation email.

Task #1 – Money Management, Section 1.4.1(D)

(2) policy modification and/or cancellation

60 calendar days’ notice of modification and/or cancellation.

The contractor shall inform the CO and COR within 10 business days if ever an occurrence arises in which the contractor’s existing bonding and insurance policy is insufficient to cover the Work Assignment(s) assigned.

Contractor must send COR a confirmation email.

Task #1 – Money Management, Section 1.4.1(D)

(3) The surety on the bond must represent and warrant that it holds a Federal Certificate of Authority as Acceptable Surety On Federal Bond and Reinsuring

N/A Contractor must send email.

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Section 1.4.1(E)

Depository Bonding

(1) The contractor shall take all necessary administrative steps for the redress funds to qualify for the FDIC pass-through deposit insurance for beneficiary accounts. The FDIC coverage shall be based upon the ownership interest of each beneficiary for up to $250,000 in deposit insurance.

Qualifying for the FDIC pass-through deposit insurance for beneficiary accounts.

Contractor must sent email.

Task #2 - Help Services, Section 1.4.2

IVR (Interactive Voice Response) in accordance with PWS

100% accuracy to approved script

Continuous Monitoring

Task #2 - Help Services, Section 1.4.2

Website Hosting in accordance with

PWS

Maintain over 99% website availability

Task #3 – Claims Processing and Eligibility, Section 1.4.3

Claims Data (care of) in accordance with PWS

100% accuracy Continuous Monitoring

Eligibility, Section 1.4.3

Data Reconciliation - in accordance with PWS

Eligibility, Section 1.4.3

Initial COR Verification of Claim data in accordance with PWS

If requested by government

Eligibility, Section 1.4.3

Claim Finalization In accordance with

PWS

Task #4 – Redress Distribution, Section 1.4.4(A)

Prepare checks, bank drafts, purchase cards, debit cards, coupons, or any other distribution financial instrument using commercially available means and as appropriate to the redress fund distribution requirements in accordance with PWS.

Contractor must use method determined by government for each case

Section 1.4.4(B)

Distribute - redress and include any accompanying cover letter, brochures and other documents up to 2 pages and up to the U.S. Postal "one ounce" rate charged for first class mail

Within six months of receiving data and case assignment

Section 1.4.4(C)

Distribute – Limited situations that require fund recipients to receive tax form required for tax preparation, the contractor shall distribute the appropriate IRS form and cover letter.

Within 30 calendar days of the end of the corresponding tax year.

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Task #4 – Final Accounting Section 1.4.7

Prepare and provide to the DAR an affidavit containing an accounting for all redress funds including principal, additions to principal, expenses, distributions to redress claimants and/or for authorized consumer education.

Within 30 calendar days of direction of the DAR to close case

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Task #4 – Reporting and General Administration Requirements Section 1.4.8

a. Monthly Reporting – Prepare written monthly status report

b. Meeting Minutes for Monthly Reporting

c. Record Keeping

d. Invoicing

a. Monthly

b. Within three business days of monthly meeting

c. Keep records six years following the closing of QSF bank account unless otherwise directed by COR

d. Upon completion of significant tasks, not more frequently than monthly and at least once a year.

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ATTACHMENT 2—SAMPLE—QUALITY ASSURANCE MONITORING FORM

The QA monitoring form is completed by the COR during each surveillance event and is maintained in the COR contract file to document the surveillance and subsequent findings.

SERVICE or STANDARD:

SURVEY PERIOD: SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD:

ANALYSIS OF RESULTS: O bserved Service Provider Perform ance M easurem ent R ate: ______% Service Provider’s Performance (Check): Meets Standards Customer Complaint

Narrative of Performance During Survey Period:

Does Not Meet Standards

PREPARED BY: ___________________________________ DATE:______________

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ATTACHMENT 3—CONTRACT DEFICIENCY NOTICE

A deficiency notice/report is used to document a deficiency in the Contractor’s performance of a contract requirement. The Contractor is required to report back the corrective action taken. If the Contractor’s inability to perform is based upon the FTC’s lack of support, it should be documented on this form.

Date of Discovery:

Location:

Responsible Contract Site Manager:

Deficiency Noted:

COR Signature and Date

Contract Site Manager Signature and Date

NOTE: Contractor Project Manager should correct the deficiency noted above and notify the COR of the corrective action taken and whether the action taken corrected the condition.

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ATTACHMENT 4—SAMPLE—RECORDS OF COMPLAINT

Significant and/or recurring complaints validated by the COR are documented in a Record of Complaint and provided to the Contractor for resolution.

DATE REPORTED: Month Day, Year

REPORTED BY:

TYPE OF COMPLAINT:

DATE OF COMPLAINT: Month Day, Year

COMPLAINANT:

RELEASABLE TO CONTRACTOR: Below Tear Line Only

SUMMARY OF COMPLAINT:

ACTIONS TAKEN / PERSONNEL NOTIFIED:

UPDATES:

CONTRACTOR ACTIONS:

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ATTACHMENT 4—SAMPLE—RECORDS OF COMPLAINT (CONT’D)

___________________________Tear Line (Releasable to Contractor) _____________________

DATE REPORTED: Month Day, Year

REPORTED BY:

TYPE OF COMPLAINT:

DATE OF COMPLAINT:

COMPLAINANT: Anonymous

KEY POINTS RELEASABLE TO CONTRACTOR:

CONTRACTOR ACTIONS:

Note: Depending on the nature of the complaint, a tear line and summarized version of events may be necessary to protect the identity of the complainant from reprisal.

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ATTACHMENT 5—SAMPLE—SURVEILLANCE ACTIVITY CHECKLIST

SURVEILLANCE ACTIVITY CHECKLIST

Contract, Task, or Deliverable

Contract Section

Performance Standard

Acceptable Quality

Method of Surveillance

Date Accomplished

Compliance (Exceeded, Met, or Partially)