ID09180038_D.5_QUALITY_ASSURANCE_SURVEILLANCE_PLAN.pdf

GSA R9 FAS AAS Project Number RC-R9-17-00029

COI: ID09180038

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Manpower Personnel Testing Analysis Support Services

In Support of:

Defense Human Resources Activity (DHRA) Office of People Analytics (OPA)

1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) entitled Manpower Personnel Testing Analysis (MPTA) Support Services. This plan sets forth the procedures and guidelines R9 FAS AAS will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 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 or 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.

1.1.1 Copies of the original QASP and revisions shall be provided to the Contractor and Government officials responsible for surveillance activities. The Government can change the method of surveillance at any time.

1.1.2 The intent is to ensure that the Contractor performs in accordance with performance metrics set forth in the contract documents, that the Government receives the quality of services called for in the contract and that the Government only pays for the acceptable level of services received. This QASP describes:

● What will be monitored

● How monitoring will take place

● Who will conduct the monitoring

● How monitoring efforts and results will be documented

1.1.3 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, describes the analysis of quality assurance monitoring results, and provides a Performance Requirements Summary (Attachment 1) that includes the method used to improve contractor performance when appropriate.

1.2 PERFORMANCE MANAGEMENT APPROACH

This QASP will define the performance management approach taken 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.

1.3 PERFORMANCE MANAGEMENT SUMMARY

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.

1.3.1 The contractor will develop and implement a performance management system with processes to assess and report its performance to the designated Government representative. This QASP enables the Government to take advantage of the contractor’s QC program.

1.3.2 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 a 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.

2.0 ROLES AND RESPONSIBILITIES

2.1 Contracting Officer (CO)

The 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) 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.

Assigned: Ms. Karina R. Levitas

Organization: General Services Administration, Federal Acquisition Service, Contracting Division

2.2 Contracting Officer's Representative (COR)

The 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 technical administration of the project and ensures proper Government surveillance of the contractor’s performance. 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 COR will have the responsibility for completing QA monitoring forms 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.

Assigned: Mary Pommerich Organization: Department of Human Resources Activity (DHRA) Office of People Analytics

(OPA).

2.3 Contractor Representatives

a. Program Manager – TBD

b. Other Contractor Personnel – N/A

3.0 IDENTIFICATION OF PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in the PWS and in Attachment 1, “Performance Requirements Summary.”

3.1 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 a deduction from the monthly amount.

3.2 Non-Performance occurs when the contractors performance does not meet or exceed the prescribed performance standard for a given requirement. Requirements may contain multiple performance elements, and therefore, deficiencies may occur in one or more aspects of performance (e.g., timeliness, accuracy, completeness, etc.).

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 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:

a) 100% INSPECTION: (Evaluates each MSR report and meeting)

Each month, the COR, shall review the generated documentation and enter summary results into the Quality Assurance Monitoring Form (Attachment 2).

b) 100% INSPECTION. (Evaluates all outcomes) Each quarter, the COR shall review all of the Contractor’s performance/generated documentation and document your results accordingly. This assessment shall be placed in the COR’s QA file.

c) 100% INSPECTION (of a Specific type of Deliverable) in a Specific Area

Each quarter, the COR shall review the Contractor’s performance/generated documentation and document your results accordingly. This assessment shall be placed in the COR’s QA file.

d) Validated Customer Complaint or Validated Below Average Acceptable Level of Performance in a Specific Area

Each quarter, the COR shall review the Contractor’s performance/generated documentation corresponding to a validated customer complaint or validated below average acceptable performance level in a specific area and document your results accordingly. This assessment shall be placed in the COR’s QA file.

4.2 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.

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

4.2.2 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 COR. The COR will accept those customer complaints and investigate them using the Quality Assurance Monitoring Form: Customer Complaint Investigation, identified in Attachment 3.

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

4.3 Acceptable Quality Levels

Performance Standards define acceptable performance for specific tasks. The Government performs surveillance to determine if the Contractor exceeds, meets or does not meet these standards.

4.3.1 The Performance Metrics for Deliverables and Performance Standards are outlined in the PWS. The schedule of deliverables is outlined in D.1.16 of the PWS. The Government may utilize the Performance Based Service Assessment Survey, provided at the end of this document, or other method to compare Contractor performance to the Acceptable Quality Level (AQL) in the Performance Requirements Summary (PRS).

4.3.2 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.

5.0 QUALITY ASSURANCE DOCUMENTATION

5.1 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 assessed using the performance monitoring techniques shown in Attachment 1.

5.2 The Contracting Officer Representative will, in addition to providing documentation to the

Contracting Officer, maintain a complete Quality Assurance file. The file will contain copies of all reports, evaluations, recommendations, and any actions related to the Government’s performance of the quality assurance function, including the originals of all Surveillance Activity

Checklists. All such records will be retained for the life of this contract. The Program Manager

(PM) shall forward these records to the Contracting Officer at termination or completion of the contract.

5.3 Monitoring Forms

The Government’s QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Attachments 2 and 3. The forms, when completed, will document the Government’s assessment of the contractor’s performance under the contract to ensure that the required results are being achieved.

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

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 Determining Performance

The Government shall use the monitoring methods cited to determine whether the performance requirements 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.

6.2 Reporting

At the end of each month, the COR will prepare a written report for the PM summarizing the overall results of the quality assurance surveillance of the contractor’s performance.

This written report, which includes the contractor’s submitted monthly report and the completed quality assurance monitoring forms (Attachment 2), will become part of the QA documentation. It will enable the Government to demonstrate whether the contractor is meeting the stated performance requirements.

6.3 Reviews and Resolution

The COR may require the contractor’s PM, or a designated alternate, to meet with the CO and other Government IPT personnel as deemed necessary to discuss performance evaluation. The COR 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 as often as required or per the contractor’s request. The agenda of the reviews may include:

a. Monthly performance assessment data and trend analysis

b. Issues and concerns of both parties

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

d. Recommendations for improved efficiency and/or effectiveness

e. Issues arising from the performance monitoring processes.

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

6.3.2 The CO, 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.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

NUMBER REQUIRED

SERVICES

(TASKS)

PERFORMANCE

STANDARD

ACCEPTABLE LEVEL

1 Project Deliverables

Deliverables submitted by the due date with no errors. Refer to deliverables in section D.1.16.1 of the

PWS.

Not more than two deliverables can be submitted to the COR later than required submission date or with errors

2 Contract Deliverables

Deliverables submitted by the due date with no errors. Refer to deliverables in section D.1.16.1 of the

PWS.

Not more than two deliverables can be submitted to the COR later than required submission date or with errors

3 Monthly Progress Report

Reports completed by the 20th day of the month with no errors

Not more than two failures to comply per year.

4 Application Support

Applications support staff provides a wide variety of services including problem resolution, consultation, and work requests such as enhancements.

Measure the satisfaction levels relating to the support provided by the applications areas. Specifically task 9 and task 11, section D.1.11 and D.1.13 of the PWS

All support needs are fulfilled on time and within budget. All deliverables including providing procedural documentation, including user’s guides, software installation procedures, and other such documents are accurate minimal editing.

5 Technical Needs Shows understanding of requirements. Efficient and effective in meeting requirements. Meets technical needs and mission requirements. Offers quality services/products

Contractor submitted reports and data shall be accurate and services and products shall require minimal editing.

6 Project Milestones and Schedule

Project deliverables are delivered within project milestones and with no errors.

Contractor shall adhere to task order deliverable schedules with no more than two late reports per year.

7 Project Staffing

Currency of expertise. Personnel possess necessary knowledge, skills, and abilities to perform tasks.

Satisfactory or higher

8 Cost Control Contractor stays within project budget and maintains program budget limitations and burn rate.

Task order expense shall be within awarded task order amounts, monthly status reports shall contain an accurate reflection of all expenses to date and all invoices shall be accurate and contain required supporting documentation.

No more than one error per quarter and any issues are remedied within seven calendar days of identification of issue.

The evaluation ratings are as follows:

● Exceptional – Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the task and sub-task being assessed was accomplished with few minor problems for which corrective actions taken by the contractor were highly effective.

● Very Good - Performance meets contractual requirements and exceeds some to the

Government’s benefit. The contractual performance of the task and sub-task being assessed was accomplished with some minor problems for which corrective actions taken by the contractor were effective.

● Satisfactory - Performance meets contractual requirements. The contractual performance of the task and subtask contain some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

● Marginal - Performance does not meet contractual requirements. The contractual performance of the task and sub-task being assessed reflect a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

● Unsatisfactory – Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the task or sub-task contains a serious problem(s) for which the contractor’s actions appear or were ineffective.

ATTACHMENT 2

QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

❒ 100% Inspection

LEVEL OF SURVEILLANCE (Check):

❒ Monthly ❒ Quarterly ❒ As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

LIST OF ALL APPLICABLE DELIVERABLES – IDENTIFY WHETHER PROJECT OR

CONTRACT DELIVERABLE:

LIST OF ANY REMEDIATION NEEDED ON ANY PARTICULAR DELIVERABLE:

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: _________________

ATTACHMENT 3

QUALITY ASSURANCE MONITORING FORM – CUSTOMER COMPLAINT INVESTIGATION

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

DATE/TIME COMPLAINT RECEIVED: _____________ ________ AM / PM

SOURCE OF COMPLAINT: _______________________________ (NAME)

_______________________________ (ORGANIZATION)

_______________________________ (PHONE NUMBER)

______________________________ (EMAIL ADDRESS)

NATURE OF COMPLAINT:

RESULTS OF COMPLAINT INVESTIGATION:

DATE/TIME SERVICE PROVIDER INFORMED OF COMPLAINT: _____ ________ AM / PM

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER:

RECEIVED AND VALIDATED BY: __________________________________________________

PREPARED BY: ___________________________________ DATE: _____________________