QASP.pdf

CUI

Controlled By: US Navy Controlled By: MSSD CUI Category: PROCURE Distribution/Dissemination Control: FEDCON POC: Aimee Maciejewski, aimee.b.maciejewski.civ@us.navy.mil

Page 1 of

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1. Contract or Task Order Title: Advanced Critical Services for Cisco Unified Communications in support of Cisco Collaboration Applications.

2. Purpose:

This QASP provides a systematic method to evaluate performance for the stated contract. This QASP explains the following:

• What will be monitored?

• How monitoring will take place.

• Who will conduct the monitoring?

• How monitoring efforts and results will be documented.

This QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

This QASP is a “living document” and the Government may review and revise it on a regular basis. Updates shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

3. Roles and Responsibilities:

The following personnel shall oversee and coordinate surveillance activities.

Program/Project Manager (PM) – The PM provides program oversight and supports the COR’s performance as-sessment activities.

Contracting Officer (KO) – The KO 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 KO shall also ensure that the contractor receives impartial, fair, and equitable treatment under this contract. Determine the final assessment of the contractor’s performance.

Contracting Officer’s Representative (COR) – The COR is responsible for providing continuous technical over-sight of the contractor’s performance. The COR uses the QASP to conduct the oversight/surveillance process. The COR shall keep a Quality Assurance file that accurately documents the contractor’s actual performance. The pur-pose is to ensure that the contractor meets the performance standards contained in the contract. The COR is respon-sible for reporting early identification of performance problems to the KO. The COR is required to provide an an-nual performance assessment to the KO which will be used in documenting past performance. The QASP is the pri-mary tool for documenting contractor performance. The COR is not empowered to make any contractual commit-ments or to authorize any contractual change on the Government’s behalf.

CUI Category: PROCURE Distribution/Dissemination Control: FEDCON

Other Key Government Personnel- This may include performance monitors, inspectors, technical experts, work-force service division and center directorate level security personnel, management personnel, requirements office, or others (i.e. users) who provide information that helps the COR monitor contractor performance.

4. Primary Method of Surveillance: Periodic Inspection is scheduled for Items 6.4.1, 6.6.2 and 6.6.3. There will be Random Sampling, Periodic Inspections, and Customer Input for Items 6.1.5 and 13 Weekly Progress Reports.

There will be 100% inspection for Contract Management Items.

Random Sampling. This is usually the most appropriate method for recurring tasks. With random sam-pling, services are sampled to determine if the level of performance is acceptable. Random sampling works best when the number of instances of the services being performed is very large and a statistically valid sample can be obtained. Computer programs may be available to assist in establishing sampling proce-dures.

Periodic Inspection. These services are monitored weekly, monthly, quarterly, semiannually, annually, etc. Periodic types of activities are perfect for periodic inspection because not only are they infrequent, but there is normally a predetermined, specified time frame within which the tasks must be accomplished.

Therefore, you know exactly when to conduct the evaluations. Periodic inspections automatically become 100 percent evaluations or "100 percent checks." Inspections should be divided and scheduled by fre-quency: annual, semiannual, quarterly, monthly, weekly and as required. Sometimes services are required for which the time or frequency cannot be predicted, such as accident investigations, one-time special task-ing by higher headquarters, etc. These would be labeled "as required inspections." Others are known and predictable such as the quarterly status report or the monthly travel report currently included in some DISA service contracts.

Customer Input. Although usually not a primary method, this is a valuable supplement to more system-atic methods. For example, in a case where random sampling indicates unsatisfactory service, customer complaints can be used as substantiating evidence. In certain situations where customers can be relied upon to complain consistently when the quality of performance is poor, e.g., dining facilities, building services, customer surveys and customer complaints may be a primary surveillance method, and customer satisfac-tion an appropriate performance standard. In all cases, complaints should be documented, preferably on a standard form.

Surveillance Matrix

The Surveillance Matrix (Appendix 1) is the list of performance objectives and standards that must be performed by the contractor. This matrix details the method of surveillance the COR will use to validate and inspect these perfor-mance elements. Inspection of each element will be documented in the COR file.

Performance objectives define the desired outcomes. Performance Standards define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performance surveillance, using this QASP, to determine the quality of the contractor’s performance as it relates to the performance element standards. The AQL performance Standard Table should be used to form the foundation of the COR’s inspection checklist.

5. Performance Standards:

• 98% AQL, with less than 2% of any document requiring revision during draft; 100% AQL for final acceptance

6. Documenting Performance:

CUI Category: PROCURE Distribution/Dissemination Control: FEDCON

Acceptable Performance.

The Government shall document positive performance. A Performance Assessment Report (PAR) template is at-tached (Appendix 2). Any report may become part of the supporting documentation for fixed price payments, award/incentive fee payments, Contractor Performance Assessment Reporting System (CPARS) entries, or other actions. Government acceptance of services permits the contractor to invoice for the service fee.

Unacceptable performance.

Unacceptable contractor performance can be identified by customer complaints (Appendix 3) or upon schedule sur-veillance evaluations. When unacceptable performance occurs, the COR shall inform the contractor. This will nor-mally be in writing unless circumstances necessitate verbal communication. The COR shall document the discus-sion and place it in the COR file and provide a copy to the KO.

When the COR determines formal written communication is required, the COR shall prepare a Corrective Action Report (CAR). The CAR is forwarded to the KO for dissemination to the contractor. A CAR template is attached to this QASP (Appendix 4).

The contractor shall acknowledge receipt of the CAR in writing. The CAR will specify if the contractor is required to prepare a corrective action plan to document how the contractor shall correct the unacceptable performance and avoid a recurrence. The CAR will also state how long after receipt the contractor has to present this corrective ac-tion plan to the KO and COR. The Government may withhold payment for services until corrective action is taken.

The Government shall review the contractor's corrective action plan to determine acceptability. Upon Government acceptance of the corrected services the contractor will be permitted to invoice for the service fee.

Any CAR may become a part of the supporting documentation for contract payment deductions, fixed fee deduc-tions, award fee nonpayment, CPARS or other actions deemed necessary by the KO.

7. Mandatory or regulatory compliance items: The contractor will provide initial proof of compliance with reg-ulatory and compliance items contained in the contract (such as mandatory annual training, Department of Defense (DoD)/Department of the Navy (DoN) required training, Pearl Harbor Naval Shipyard & Intermediate Maintenance Facility (PHNSY & IMF) Occupational Health and Safety training, security requirements, and Environmental Safety Awareness training. The Contracting Officer's Representative (COR) and the Contracting Officer (KO) will evalu-ate the initial submission and will conduct ad hoc reviews of the contractor's compliance throughout the remainder of the contract. The contractor will monitor compliance as required by FAR 52.222-50, Combating Trafficking in Persons, and report any issues to the KO.

8. Acceptable Quality Level (AQL):

The AQL for this project is 98% AQL, with less than 2% of any document requiring revision during draft;

100% AQL for final acceptance.

9. Evaluation Method:

The COR will document the time of verbal notification to the contractor. The COR will document the official time and date of notification on the Maintenance Call Record. The COR will review self-diagnostic systems logs, conduct a comparison with actual maintenance performance and otherwise verify and validate contractor

CUI Category: PROCURE Distribution/Dissemination Control: FEDCON performance. The contractor shall enter in the record the official time the system is restored to full operational status. The COR will confirm the date and time of problem resolution in the record.

10. Performance Rating

In evaluating the quality of contractor’s performance, the following performance ratings may be used (same as CPAR ratings).

Performance Rating Criteria

Exceptional

Performance meets contractual requirements and exceeds many to the govern-ment’s benefits. The contractual performance of the element or sub-element being assessed was accomplished with no problems and contractor actions were highly ef-fective.

Very Good Performance meets contractual requirements and exceeds some to the government benefits. The contractual performance was accomplished with few minor problems for which corrective actions taken by the contractor were effective.

Satisfactory Performance meets contractual requirements. The contractual performance con-tains some minor problems for which corrective actions taken by the contractor were satisfactory.

Marginal

Performance does not meet some contractual requirements. The contractual perfor-mance reflects a serious problem for which the contractor has not yet identified cor-rective actions. The contractor’s proposed actions appear 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 contains serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

CUI Category: PROCURE Distribution/Dissemination Control: FEDCON

Appendix 1 - Surveillance Matrix

Standards 6.1.1

Acceptable Quality Levels

Methods of Calculation Surveillance Results/Ratings

Project Plan-ning

Project planning activities per-formed by con-tract (and sub-contract) person-nel. Support for approximately 3 days per month which includes remote and on-site activities.

Three days per month.

Measurement Interval – The Measurement Interval is one (1) month.

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be col-lected from reported hours.

Method of Surveillance – Evaluation of time sheets.

Timing of Measurement Measurements are taken within five (5) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Exceptional Very Good Satisfactory Marginal Unsatisfactory

CUI Category: PROCURE Distribution/Dissemination Control: FEDCON

6.6.2

Acceptable Quality Levels

Methods of Calculation Surveillance Results/Ratings

List of Rec-ommendations

List shall be pri-oritized with jus-tification at con-clusion to a pro-ject or solution implementation in accordance with 6.6.2

Review of report Measurement Interval – Random Sampling/Cus-tomer Input

Measurement Period – The Measurement Period begins at 00:01 on the first day of the month and ends at 24:00on the last day of the month.

Source of Measurement Data – Data will be col-lected from reported hours.

Method of Surveillance – Periodic Inspection

Timing of Measurement Measurements are taken within five (5) days of the end of the Measurement Period.

Reporting Frequency: - Reporting to commence upon Contract Award and continue throughout the Period of Performance.

Satisfactory

6.6.3

Acceptable Quality Levels

Methods of Calculation Surveillance Results/Ratings

Assessment Checklist

List shall be pro-vided at conclu-sion of a project or solution im-plementation in accordance with 6.6.3

Review of Check-list

Measurement Interval –

Measurement Period – The Measurement Period begins at 00:01 on the first day and ends at 24:00.

Satisfactory

CUI Category: PROCURE Distribution/Dissemination Control: FEDCON

Source of Measurement Data – Observation of work areas.

Method of Surveillance – Periodic Inspection

Timing of Measurement As needed.

Standards 6.3

Acceptable Qual-ity Levels

Methods of Calculation

Surveillance Results/Ratings

Acceleration Capabilities

98% Random Sampling (observation) of Contractor’s fol-low-through of this work

Measurement Interval –

Measurement Period – The Measurement Period begins at 00:01 on the first day and ends at 24:00.

Source of Measurement Data – Observation of work areas.

Method of Surveillance – Random Sampling.

Timing of Measurement –

Satisfactory

Standards 6.4

Acceptable Qual-ity Levels

Methods of Calculation

Surveillance Results/Ratings

Design Engi-neering

98% Random Sampling (observation) of Contractor’s fol-low-through of this work

Measurement Interval –

Measurement Period – The Measurement Period begins at 00:01 on the first day and ends at 24:00.

Source of Measurement Data – Observation of work areas.

Satisfactory

CUI Category: PROCURE Distribution/Dissemination Control: FEDCON

Method of Surveillance – Random Sampling.

Timing of Measurement –

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACT/TASK ORDER

NUMBER

2. CONTRACTOR 3. TYPE OF SERVICES

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

5. COR PHONE 6. SUSPENSE DATE

I. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT

APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM

REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY

BOX WAS CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE CONCUR

NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION

DATE

CUI Category: PROCURE Distribution/Dissemination Control: FEDCON

Appendix 2 – Performance Assessment Report

Appendix 3 – Customer Complaint Record

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUM-

BER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON

FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS

CUI Category: PROCURE Distribution/Dissemination Control: FEDCON

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 4 – Corrective Action Report

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

CUI Category: PROCURE Distribution/Dissemination Control: FEDCON

7. DEFICIENCY MAJOR MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the defi-ciency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

ACCEPTED REJECTED

12. CLOSE DATE