J.13 QASP Template.docx

ANNEX E: QUALITY ASSURANCE SURVEILLANCE PLAN TEMPLATE

QASP Template

NOTES ON USING THIS TEMPLATE:

This template has been developed to assist with creating a Quality Assurance Surveillance Plan (QASP). The purpose of the QASP is to provide the Government and contractor with evaluation criteria that determines whether or not the performance standards for a specific contract have been met.

TO FINALIZE THIS DOCUMENT:

Complete as much development of the QASP as possible before contract award. Since the winning offeror; their key staff; and final performance standards are not known until after award, the QASP will remain in draft form until the contract is awarded. Please complete this draft QASP and perform the following steps.

· Remove this introductory instruction box and any other remaining instruction boxes throughout the document (click on the border of the box and press the Delete key on your keyboard).

· Remove all ‘< >’ markers. You should do this for each comment / explanation / instruction as you progress through this template. If not, using Word’s FIND feature may make this task easier (Edit, Find).

· Remove all highlighting. Select your entire document (Edit, Select All). On the highlighting icon on your toolbar, click on the pull-down arrow and select ‘None’ to remove all highlighting.

· Spell-check your document (Tools, Spelling and Grammar).

· If your document is set to display ‘Track Changes’, please accept all changes before saving your final version.

· Your document will be complete.

This template should be TAILORED to meet the specific requirements. Before proceeding, please select a unique file name and save the file on your computer. The following guidelines are provided for using this template:

Instructions, explanations, and comments are embedded throughout this template in this form:

< User input guidance looks like this. >

All instruction boxes and user input guidance must be removed before finalizing this document. To remove instruction boxes, click on the border of the box and press the ‘Delete’ key on your keyboard. Where user input guidance offers a choice or presents optional language, delete only those options that do not apply and remove the ‘< >’ markers and highlighting from the applicable choices.

ANNEX H - DRAFT QUALITY ASSURANCE SURVEILLANCE PLAN

For < upon award, enter contract title> Contract Number: < upon award, enter contract number> Contract Description: < upon award, enter contract description > Contractor’s name: < upon award, enter contractor name > (hereafter referred to as the contractor).

1. PURPOSE.

This Quality Assurance Surveillance Plan (QASP) provides a systematic method to evaluate performance for the stated contract. The QASP provides a means for determining whether the contractor is meeting the performance standards identified in the performance work statement (PWS). The QASP explains the following:

· What will be monitored?

· How will monitoring take place?

· Who will conduct the monitoring?

· How will monitoring efforts and results be documented?

The contractor is responsible for implementing and delivering performance that meets contract standards using its Monitoring, Evaluation, and Learning Plan. The QASP does not detail how the contractor accomplishes the work. Rather, it provides the structure for the government’s surveillance of the contractor’s performance to ensure that it meets contract standards. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. Additionally, this QASP is based on the premise that the contractor, not the government, is responsible for management and quality control/quality assurance (QC/QA) actions to successfully meet the terms of the contract.

<As USAID makes greater use of performance-based service contracting, the contractor is given more freedom to become innovative in their ways to effectively and efficiently meet the Government’s performance objectives. Therefore, it is imperative that there be ongoing coordination between the Government and contractor during QASP development.>

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. Flexibility in the QASP is required to allow for an increase or decrease in the level of surveillance necessary based on contractor performance. Copies of the original QASP and revisions shall be provided to the contractor and Government officials (including but not limited to the Contracting Officer and Contracting Officer’s Representative) implementing surveillance activities.

2. AUTHORITY.

Authority for issuance of this QASP is provided under Part 46 of the Federal Acquisition Regulation, Inspection of Services clause, which provides for inspection, acceptance and documentation of the service called for in the contract or order. This acceptance is to be executed by the contracting officer or a duly authorized representative. In addition, a QASP is required for performance-based acquisition under FAR 37.604.

The following FAR clauses may apply depending on contract type:

3. 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 ensure 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: <upon award, enter name> Organization or Agency: USAID Telephone: <upon award, enter number> Email: <upon award, enter address>

b. Contracting Officer’s Representative (COR) - The COR is responsible for providing continuous technical administration of the contract and shall ensure proper surveillance of the contractor’s performance through the QASP. The COR shall keep a quality assurance file that accurately documents the contractor’s actual performance. The COR is responsible for reporting early identification of performance problems to the CO. The COR is required to provide an annual performance assessment to the CO which will be used in documenting past performance. The QASP is the primary tool for documenting contractor performance. 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.

The assigned COR and Alternate COR (Alt COR) will be named in the COR designation letter, a copy of which will be provided to the contractor.

4. CONTRACTOR REPRESENTATIVES.

The following employees of the contractor serve as the contractor’s leadership, including but not limited to the Project Director for this contract. <Communication should occur with them during QASP development. It will help if they review the draft QASP and accept the final version.>

a. Project Director - <upon award, enter name> Telephone: < upon award, enter number> Email: <upon award, enter address>

b. Other Contractor Personnel - <upon award, enter name or delete these lines if not applicable> Title: <upon award, enter title> Telephone: < upon award, enter number> Email: <upon award, enter address>

5. PERFORMANCE STANDARDS.

<Performance-based contracts include either a Performance Work Statement (PWS) created by the Government, or if a statement of objectives (SOO) is used, a government or contractor developed PWS. The QASP shall cite the performance objectives and thresholds as stated in the Performance Requirements section of the PWS.>

Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets or does not meet these standards. Paragraph F.6 in Section F includes the contract’s performance standards. The Government shall use these standards to determine contractor performance and shall compare contractor performance to the Acceptable Quality Level (AQL).

See Surveillance Plan Matrix example at the end of this template.

6. INCENTIVES.

Incentives shall be based on exceeding, meeting, or not meeting performance standards. Information about incentives can be found in Section G of the contract.

7. PERFORMANCE REQUIREMENTS AND METHODS OF QA SURVEILLANCE.

< After contract award, the COR will need to review the Performance Standards Summary Matrix in the contract to determine if the selected monitoring methods are appropriate to monitor each performance standard. Within a QASP, multiple surveillance methods may be used. The method for any given task will depend on the performance standard and Acceptable Quality Level (AQL). >

7.1 Surveillance Plan Matrix

The “Surveillance Plan Matrix” lists the method of surveillance and level of quality that shall be used by the COR in the technical administration of this QASP. The matrix provides for key tasks, services and deliverables provided by the contractor and the acceptable quality level of these deliverables. The matrix is broken down into sections by objectives in the SOO, as well as one section for reports, success stories, and other deliverables.

The surveillance plan may include key indicators contained in the Monitoring, Evaluation, and Learning Plan (MEL Plan); however, the QASP should be briefer and focus on the most impactful interventions planned. As such, it should not be as detailed, with the focus instead being on defining and ensuring the quality of the key services or deliverables.

7.2 Methods

A variety of methods, including but not limited to the following, may be utilized by the contractor and COR to monitor the progress/success of the activity and the contractor’s performance.

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

< Place the performance standard(s) after the description of the method. Delete any methods that are not required.>

a. DIRECT OBSERVATION. (Can be performed periodically or through 100% surveillance, e.g. site visits to Global Stock Centers) <Insert performance standard(s) or delete this method.>

b. MANAGEMENT INFORMATION SYSTEMS (MIS). (Evaluates outputs through the use of management information reports including reporting from the NextGen Control Tower (see Section C.10). Best used for general surveillance and may need to be supplemented by periodic inspections.)

<Insert performance standard(s) or delete this method.>

c. PERIODIC INSPECTION. (Uses a comprehensive evaluation of selected outputs. Inspections may be scheduled [Daily, Weekly, Monthly, Quarterly, or annually] or unscheduled, as required.)

<Insert performance standard(s) or delete this method.>

d. USER SURVEY. (Combines elements of validated user complaints and random sampling. Random survey is conducted to solicit user satisfaction. Appropriate for high quantity activities that have historically been satisfactory. May also generate periodic and 100% inspections.)

<Insert performance standard(s) or delete this method.>

e. VALIDATED USER/CUSTOMER COMPLAINTS. (Relies on the user of the service to identify deficiencies. Complaints are then investigated and validated. Highly applicable to services provided in quantity and where quality is highly subjective.)

<Insert performance standard(s) or delete this method.>

f. 100% INSPECTION. (Evaluates all outputs. Most applicable to small quantity, but highly important services. May be used where there are written deliverables and stringent requirements such as tasks required by law, safety, or security.)

< Insert performance standard(s) or delete this method.>

g. PERIODIC SAMPLING. (Variation of random sampling. However, sample is only taken when a deficiency is suspected. Good follow-up to MIS analysis. Sample results are applicable only for the specific work inspected. Since sample is not entirely random, it cannot be applied to total activity performance.)

< Insert performance standard(s) or delete this method.>

h. RANDOM SAMPLING. (Designed to evaluate the outputs of the award requirement by randomly selecting and inspecting a statistically significant sample. Highly recommended for large quantity repetitive activities with objective and measurable quality attributes.)

< Insert performance standard(s) or delete this method.>

i. Monthly progress or status meetings including minutes (minutes may address issues, actionable items, steps to address and solve any issues/actions as well as POCs for each issue/action item) < Insert performance standard(s) or delete this method.>

j. Analysis of contractor's progress reports. (Evaluate cost, schedule, etc.) (see Section F) < Insert performance standard(s) or delete this method.>

k. Performance reporting. (Evaluate metrics included in the MEL Plan for a specific time period. Calculate metrics or use metrics found in MIS and NextGen Control Tower.)

< Insert performance standard(s) or delete this method.>

8. 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:

<State the rating scale(s) that shall be used and delete other rating scale examples.> <Relate the rating scale you select to one or more performance standards. The rating scale may depend on the monitoring techniques you select. One rating scale may be used for all standards or multiple rating scales may be used. Examples are shown below. However, other rating scales are acceptable and may be used. >

Example 1:

Example 2:

<A numerical scale with numbers 1 through 10 where 1 is poor and 10 is excellent.>

Example 3:

9. DOCUMENTING PERFORMANCE.

<Documentation must be accurate and thorough. Completeness, currency, and accuracy support both satisfactory and unsatisfactory 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.

Throughout the period of performance, the COR will be providing technical direction and facilitating approvals required by the contract. In addition, the CO or COR may provide notice via email or other written correspondence requesting corrective action per the relevant FAR inspection clause (depending on the type of contract). For example, for the FAR Clause 52.246-5 “Inspection of Services - Cost Reimbursement,” this clause provides that the government may inspect and accept services performed under the contract and require corrective action if the services do not meet contract requirements. While the deliverables listed in the Surveillance Plan Matrix form the bases of this QASP, USAID may inspect and request corrections for any service or deliverable provided under the contract.

c. CPARS Reporting of the contractor’s performance will be done via the United States’ Government Contractor Performance Assessment Rating System (CPARS). This system allows for The US Government to document performance and allows the contractor to respond and comment on the rating. CPARS will be completed on a yearly basis. The QASP will be used as one input for the contractor’s CPARS assessment.

10. FREQUENCY OF MEASUREMENT.

a. Frequency of Measurement.

During contract performance, the COR shall take periodic measurements, <enter how often> 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.

<It may help if the Government prepares a work sheet with a schedule. This work sheet shall be for Government use and shall not be shared with the contractor.>

b. Frequency of Performance Assessment Meetings.

The COR shall meet with the contractor < enter how often> to assess performance and shall provide a written assessment.

<The incentive plan may determine the frequency of performance assessment meetings. COR must review the contract to determine if it includes incentives. If only past performance information is required, state when you will provide interim assessments (if required) or a final assessment. For an award fee plan, state the frequency you will provide input on the contractor’s performance to the award-fee evaluation board and the CO. For an incentive fee plan, state the frequency you will provide cost information. For other fee plans, state the frequency and type of information you will provide.>

Prepared by: <upon award, enter name>

Signature – Contracting Officer’s Representative

Surveillance Plan Matrix

<Please complete one Surveillance Plan Matrix for this Contract>

The offeror must complete the first three columns (“Service or Deliverables Provided”, “Performance Standard and Acceptable Quality Level”, and “Surveillance Method”). The fourth column is completed during contract performance. Revise the number of rows as necessary to match the number of objectives in the SOO/PWS, as well as the number of rows for the proposed tasks/services/deliverables provided.

Objective 1:

Objective 2:

Objective 3:

Reports, success stories, and all other deliverables

PERFORMANCE REPORT

1. CONTRACT NUMBER: < upon award, insert number>

2. Prepared by: (Name of COR) <upon award, 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.>

Prepared by: <upon award, enter COR’s name>