Atch_C__02a_00703_DRAFT_QASP_OIO_Coding.pdf

DRAFT SUBJECT TO CHANGE AS OF 01/04/2018

Atch C

U. S. Department of Commerce National Institute of Standards and Technology

QUALITY ASSURANCE

SURVEILLANCE PLAN

Contract No. ________, Task Order No. ___________

Contractor:

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TABLE OF CONTENTS

Section 1 - Introduction

1.1 Purpose

1.2 QASP Relation to Contract

1.3 Revisions to the QASP

Section 2 - Performance Description

2.1 Performance Standards and Acceptable Quality Levels (AQLs)

2.2 Allowable Deviation

2.3 Substantially Complete ..................................................................... Error! Bookmark not defined.

2.4 Non-Performance .............................................................................. Error! Bookmark not defined.

2.5 Documentation

2.6 Remedial Actions

Section 3 - Roles and Responsibilities

3.1 Contractor Responsibility

3.2 Government Responsibility

3.3 Contracting Officer

3.4 COR’s ................................................................................................ Error! Bookmark not defined.

3.5 Office of the Director Project Leads ................................................. Error! Bookmark not defined.

Section 4 - Performing Quality Assurance

4.1 Surveillance Methods

4.1.1 100 Percent Inspection

4.1.2 Periodic Inspection

4.1.3 Random Sampling

4.1.4 Office of the Director Project Lead Feedback

4.2 Analysis and Results

4.2.1 Outstanding Performance

4.2.2 Very Good Performance

4.2.3 Satisfactory Performance

4.2.4 Unsatisfactory Performance

Section 5 - Templates ....................................................................... Error! Bookmark not defined.

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Section 1 - Introduction

1.1 Purpose

This QASP describes the procedures that the Contracting Officer’s Representatives (COR) and the Technical Point of Contact (TPOC) for Contract No. __________, Task Order No. ___________ (hereafter referred to as “the contract”) will use to monitor Contractor performance. The QASP focuses on examining the services provided by the Contractor and not the processes used to produce them. It is intended that the QASP be a tool to guide the COR and the TPOC in assessing Contractor performance.

1.2 QASP Relation to Contract

Within reason, NIST will retain the right to change the surveillance methods and QASP procedures, or to increase or decrease the degree of surveillance efforts at any time necessary to assure contract compliance.

1.3 Revisions to the QASP

The QASP is a tool for use in Government administration of the contract. Changes must be made bilaterally between the Government and the Contractor. As the performance period progresses, the levels of surveillance may be altered for service areas in cases where performance is either consistently excellent or consistently unsatisfactory. If observations reveal consistently good performance, the amount of surveillance may be reduced. If observations reveal consistent deficiencies, increased surveillance may be implemented.

Section 2 - Performance Description The TPOC will monitor the Contractor’s performance through various surveillance methods described in Section 4: Performing Quality Assurance. The TPOC will gather and evaluate performance data to assess Contractor performance against contract requirements. The TPOC will report the results of that assessment to the COR.

2.1 Performance Standards and Acceptable Quality Levels (AQLs) For selected activities in the PWS, performance standards and AQLs are listed in the Performance Requirements Summary (PRS) in the contract. A performance standard is the expected level of Contractor performance. An AQL defines the level of performance that is satisfactory.

The contract requires the Contractor to perform all work as specified. Any inaccuracies or omissions in services are referred to as “defects” on the part of the Contractor. The Contractor shall be held responsible for all identified defects. The AQLs take into account that in some instances an allowable level of deficiencies (deviations) is possible while overall performance continues to meet NIST’s desired level of service.

2.2 Allowable Deviation

The AQLs define the level or number of performance deficiencies the Contractor is permitted to reach under this contract. AQLs take into account the difference between an occasional defect and a gross number of defects. Discrepancies in excess of the AQLs shall be reported to the Contractor via the Contractor Discrepancy Report (CDR). The Contractor shall respond to the CDR on the Customer Feedback Record (CFR) describing in detail its correction plan for the immediate discrepancies as well as a correction to the process that created the discrepancies in the first place. All documents will be

Page | 3 submitted to the CO for inclusion into the official contract record. CDR and CFR forms can be found in Section 5 of this document.

2.3 Documentation

Thorough documentation of unperformed or poorly performed work is essential for tracking Contractor performance throughout the period of performance. The TPOC will document deficient work on the CDR by compiling facts describing the inspection methods and results. The Contractor will respond to the CDR by completing the CFR. If necessary, the TPOC will develop documentation to substantiate nonconformance with the contract. That documentation, together with any recommendations, will be forwarded to the Contractor. If agreement on correction cannot be reached, the problem will be elevated to the Contracting Officer (CO) for corrective action.

2.4 Remedial Actions

The Federal Acquisition Regulation (FAR) allows for penalties in the event that the Contractor fails to perform the required services. Penalties are defined as those actions taken under the direction of the CO against the Contractor within the general provisions of the contract for nonconformance to the PWS.

The CO will determine the penalty for nonconformance based upon the terms and conditions of the contract.

Section 3 - Roles and Responsibilities

The purpose of QA is to ensure that the customers are satisfied with the services received from the Contractor and to ensure that the Contractor is meeting its obligation to NIST. The roles and responsibilities of the stakeholders involved in QA are described below.

3.1 Contractor Responsibility

The Contractor is responsible for delivering services in accordance with the contract. The Contractor is responsible for producing, maintaining, and providing for audit, quality control records and reports and all records associated with the investigation and resolution of customer complaints. The Contractor appoints a single quality control point-of-contact (i.e., program manager or project manager) to act as a central recipient of communication from the Government.

3.2 Government Responsibility

This section of the QASP briefly defines the duties and responsibilities of key Government personnel involved in contract administration and quality assurance. The key personnel who will be responsible for QA are the CO, the COR, and the TPOC.

3.3 Contracting Officer /Contracting Officer’s Representative The CO has the authority to administer the contract. The CO may delegate many of the day-to-day contract administration duties to the COR. However, certain contractual actions such as negotiation and issuance of contract modifications, resolution of Contractor claims and disputes, issuance of cure notices (notification that unless unacceptable performance is corrected, the Government may terminate the contract for default, IAW FAR 49.607), issuance of show-cause letters (following a cure notice, requesting facts bearing on the case), termination of the contract, and contract close-out functions are retained by the CO. Administrative actions such as invoice approval and issuance of CDRs may be, and normally are, delegated by the CO to the COR. The Contractor shall direct all communication regarding questions or issues related to QA and inspection to the CO or the COR. The CO is the sole Government representative that can negotiate modifications to the terms of the contract or this QASP.

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3.4 Contracting Officer’s Representative

CORs, as a federal employee within the NIST Office of the Director, are designated by name and/or position to act as a liaison between the Government and the Contractor on all issues pertinent to the daily operation of the contract. The CORs represent the CO and, therefore, are the Contractor’s initial point-of-contact with the Government. If there are problems with Contractor performance, the CORs will inform the Contractor of the problems and recommend to the CO that adverse contractual actions are appropriate (e.g., cure notice) if the Contractor fails to correct the problem. Also, the CORs must refer differences of contract interpretation to the CO.

3.5 Technical Point of Contact

The TPOC is the Subject Matter Expert (SME) assigned to oversee the technical performance of the contract. In that capacity, the TPOC evaluates the effectiveness of the Contractor’s work by reviewing the processes and procedures that control the work to ensure the work is progressing as expected in accordance with the PWS as well as all documents and reports produced thereof. The TPOC does not have any authority to direct the Contractor or to make a Contract change.

Section 4 - Performing Quality Assurance

4.1 Surveillance Methods

The surveillance methods used in the QA process are the Government’s tools to monitor the Contractor’s services. The best means of determining whether the Contractor has met all contract requirements is to inspect the Contractor’s service products and analyze the results. Further, documented inspection results are an effective tool in contract administration. Inspections either confirm the Contractor’s successful achievement of all performance requirements or highlight areas where defects exist and improvements are necessary.

The surveillance method to be employed will be the 100 percent inspection and customer feedback. The number of inspections conducted may be reduced in those instances where the Contractor has established a good performance record.

4.1.1 100 Percent Inspection The 100 percent inspection method requires complete inspection of a contract requirement and will be used for requirements that are especially critical or where there is some reason for suspecting that the performance standard or AQL is not being met. Evaluation schedules for 100 percent inspections will be prepared as frequently as the TPOC deems appropriate and performed in accordance with the PRS, Section VI of the PWS. The TPOC will document the inspections using the form found in Section 5 of this document, Sampling Guide/Inspection Checklist.

4.1.2 Periodic Inspection

Not applicable.

4.1.3 Random Sampling

Not applicable.

4.1.4 TPOC Feedback

Validated TPOC feedback is a quality assurance method based on TPOC and Contractor interaction.

The TPOC continually receives the outputs of Contractor performance and is in a position to evaluate the Contractor on a recurring basis. Because the TPOC has a clear stake in the quality of Contractor services, the TPOC is a valuable resource for the CO/COR. The TPOC monitors the services

Page | 5 provided by the Contractor, both positive and negative. In the case of poor performance or non-performance, the TPOC issues a CDR to the Contractor. The Contractor reports its response and corrective action to the TPOC on the CFR. If the TPOC determines the corrective action is sufficient, the CDR is closed. If the TPOC determines the CFR response is insufficient, the COR is notified.

The COR then investigates the report and, if found to be valid, documents the findings and submits them to the CO for corrective action to be conducted in accordance with the terms and conditions of the contract.

4.2 Analysis and Results

When the inspections and customer feedback record validations have been completed, the TPOC performs an analysis of the Contractor’s performance. The purpose of the analysis is to ensure NIST is receiving high-quality services from the Contractor. The TPOC rates Contractor compliance with the performance standards and AQLs and characterizes the Contractor’s overall performance according to one of the following outcomes: outstanding performance, very good performance, satisfactory performance, or unsatisfactory performance.

4.2.1 Outstanding Performance

Outstanding performance is the result of the Contractor substantially exceeding the performance standards with significant achievements and no significant deficiencies. NIST may reduce its level of surveillance when the TPOC determines that the Contractor provides sustained performance that significantly exceeds the requirements with no significant deficiencies.

4.2.2 Very Good Performance

When the Contractor’s performance is very good, performance exceeds acceptable quality levels and achievements exist with no significant deficiencies. Strengths in performance are substantially greater than minor performance weaknesses.

4.2.3 Satisfactory Performance

When the Contractor’s performance is good, performance meets acceptable quality levels and deficiencies are correctable without adverse impact to mission accomplishment. Strengths and weaknesses in performance are on balance where any deficiencies are identified and corrected immediately by the Contractor.

4.2.4 Unsatisfactory Performance

When the performance for any service does not meet the AQL, the Contractor’s performance is unsatisfactory, and is, therefore, unacceptable. The following responses are available:

• The CO and/or TPOC meets with the Contractor to discuss discrepancies, trends, and intended corrective measures;

• The level of surveillance is increased until the Contractor demonstrates acceptable performance over a period of time;

• The TPOC issues a Contract Discrepancy Report for each service that does not meet its AQL;

• Should deficiencies be significant and affect multiple requirements, CO action such as a ‘Cure’ notice may be appropriate.

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Section 5 - Templates

CONTRACTOR DISCREPENCY REPORT

1. DISCREPENCY

REPORT NUMBER

2. TO: (Contractor)

3. FROM: (Name of COTR)

DATES

PREPARED

ORAL NOTIFICATION RETURNED BY

CONTRACTOR

ACTION COMPLETE

4. DISCREPENCY OR PROBLEM (Describe in Detail. Include PWS references. Attach Continuation Sheet if Necessary.)

5. SIGNATURE OF COR

6. TO: (Name of COR)

7. FROM: (Service Provider)

8. CONTRACTOR RESPONSE AS TO CAUSE, EFFECT, CORRECTIVE ACTION AND ACTIONS TO PREVENT RECURRENCE. (Attach Continuation Sheet if necessary. Cite applicable Contractor QC program procedures or new QC procedures.)

9. SIGNATURE OF CONTRACTOR REPRESENTIVE

10. DATE

11. GOVERNMENT EVALUATION (Acceptance, partial acceptance, or rejection. Attach Coordination Sheet if necessary.)

12. GOVERNMENT ACTIONS (Cure notice, show cause, other.)

CLOSE OUT

SP NOTIFIED

NAME AND TITLE SIGNATURE DATE

QAE

COTR

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CUSTOMER FEEDBACK RECORD

DATE AND TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

INDIVIDUAL

NATURE OF COMPLAINT

PWS REFERENCE

VALIDATION

DATE AND TIME SERVICE PROVIDER INFORMED OF

COMPLAINT

NAME OF SP REPRESENTATIVE INFORMED OF

COMPLAINT

ACTION TAKEN BY CONTRACTOR (Responsible officer)

RECEIVED AND VALIDATED BY

Determination: Complaint Valid Complaint Invalid

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SAMPLING GUIDE/INSPECTION CHECKLIST

SERVICE FUNCTION: ________________________________________________________

PWS SECTION: ________________________________________________________

NOTE: E = Excellent Performance S = Satisfactory Performance U = Unsatisfactory Performance N/A = Not Applicable

1 Method of Surveillance:

2 Lot Size:

3 Sample Size:

4 Performance Requirement: Performance is excellent (E) when _____ or fewer defects are discovered per month. Performance is satisfactory (S) when _____ or fewer defects are discovered per month. Performance is unsatisfactory (U) when ________________ or more defects are discovered per month.

5 Sampling Procedure: Instructions on how to select the sample must be clear and complete

6 Inspection Procedure: The procedure must be detailed enough to allow a yes/no objective decision as to the acceptability of performance by anyone making the inspection. Explain when evaluation is to occur and what is acceptable/unacceptable

Performance: Excellent (E), Satisfactory (S), Unsatisfactory (U), Not Applicable (N/A)

PWS Requirements Timeliness Quality of Work Notes

Overall Rating Of Inspection (E, S, U, or N/A)

COR Comments:

Contractor Signature: Date: _________________

COR Signature: Date: