Attachment_B--QASPISN.docx

QUALITY ASSURANCE & SURVEILLANCE PLAN (QASP)

INS/ECC

1.0 OBJECTIVE

This Quality Assurance and Surveillance Plan (QASP) sets forth procedures and guidelines that Department of State (DoS) will use in evaluating the technical performance of the contractor selected for the Passport Card Stock award. A copy of this plan is being furnished to the contractor so that the contractor will be aware of the methods that the Government will employ in evaluating performance on this contract and to address any concerns that the contractor may have prior to initiating work. The Surveillance/Evaluation Methods identified in this QASP, in concert with the contractor’s Quality Control Procedures (QCP), will help assure the Government of satisfactory contractor performance.

The QASP is intended to accomplish the following:

· Define the roles and responsibilities of participating Government officials,

· Define the types of work to be performed with required end results,

· Describe the evaluation methods that will be employed by the Government in assessing the contractor’s performance, quality of product and service, etc.; and

· Describe the process of performance documentation.

The QASP is a tool for use by the Government in the administration of the delivery order or task order (or contract) and remains subject to revisions at any time by the Government throughout the contract performance period. Through coordination with the contracting office, Consular Affairs Consular Systems and Technology (CA/CST) will retain the right to change the surveillance methods, metrics and Quality Assurance (QA) procedures described in the plan, or to increase or decrease the degree of surveillance efforts at any time necessary to assure contractor compliance. DoS will work in cooperation with the contractor and provide an informational copy of the QASP to enable the contractor to enhance its Quality Control Procedures (QCP).

NOTE: The contractor, and not the Government, is responsible for management and quality control actions to meet the terms of the contract. The role of the Government in Quality Assurance is to ensure contract standards are achieved, and product quality is maximized.

The Contracting Officer (CO) will designate in writing a Contracting Officer Representative (COR) and a Government Technical Manager (GTM) for the task order, delivery order (or contract). The COR and/or GTM will be designated to monitor daily contractor performance. The COR and/or GTM will:

1. Not provide instructions to the Contractor that might be interpreted as being a change to the contract.

1. Furnish technical assistance to the Contracting Officer and ensure the Contractor’s compliance with the requirements of the contract.

1. Develop checklists and monthly surveillance schedules, in accordance with the master QASP, if beneficial to managing the contract.

1. Conduct announced and unannounced quality assurance reviews to observe and evaluate work performed in accordance with this contract.

1. Maintain detailed records to substantiate products and services received or not received.

1. Review the Contractor’s quality control program, including documentation and logs, to ensure full compliance with all phases of the contract.

1. Give the Contractor fair and equal treatment in all dealings and be consistent in the approach.

1. Document any non-compliance with policies and procedures.

1. Interview both Contractor and DoS personnel to solicit comments, observations, ideas, or problems.

1. Validate all customer complaints received following the procedures outlined in the QASP.

1. Prepare and submit all reports required by this document.

1. Analyze sampling data and identify process improvement opportunities.

1. Brief the CO on Contractor’s progress on a quarterly basis.

The COR or GTM can resolve performance issues in cooperation with the contractor. The COR, with the assistance of the GTM, is responsible for recording and accepting resolution for any performance issues. The COR will immediately notify the Contracting Officer if satisfactory resolution cannot be reached.

2.0 GOVERNMENT SURVEILLANCE

Government surveillance of contractor performance is the method used by the Government to determine whether the contractor is effectively and efficiently complying with all the terms and conditions of the contract.

Performing Surveillance Actual surveillance must be done as stated in this QASP. Surveillance includes scheduling, observing, documenting, and resolving performance issues discovered through surveillance. Even though the Government will be monitoring the contractor’s performance on a continuing basis, the volume of tasks performed by the contractor makes technical inspections of every task and step impractical. Accordingly, only some tasks will contain incentives/disincentives, as monitored and evaluated as specified in the Performance Requirements Summary.

Surveillance Approach The Government’s surveillance approach will be an oversight and insight approach to evaluating the performance requirements as set forth in the Statement of Work (SOW). Definitions of each approach and the conditions under which each will be used are described in the following paragraph.

The following surveillance methods shall be used:

Inspection. The Passport Card Stock contract will use this method for tasks, using stringent performance requirements (e.g., quality of product, timeliness of deliveries, metrics measurements, etc.). Inspection will be scheduled to occur at predetermined times, as identified by the U.S. Government (USG). As stated above, unscheduled/unannounced inspections may also occur under this contract.

Periodic Surveillance. The DoS COR and/or GTM will inspect the contractor’s Quality Control using the method of periodic surveillance. The COR/GTM will also use periodic surveillance to monitor compliance with standard operating procedures.

Surveillance by Customer Complaint Customers that observe unacceptable products or services, either incomplete or not performed, for any contract/service level agreement should immediately contact the COR and/or GTM. The COR or GTM shall complete appropriate QASP surveillance report(s).

Performance Thresholds Performance Standards related to Delivery of Supplies/Equipment

· 1.2

· 1.3

· 1.4

Periodic reports from vendor as well as reports from EXBS field staff

· 1.6

· 1.8

· 1.9

· 1.11

· 1.12

· 1.13

· Equipment grant procedures are adhered to 100% of the time.

Monthly

· 1.15

· Contractor ensures subcontractors contribute to any and all efforts ensuring the best value and level of performance for the DOS ISN/ECC contracts 99% of the time.

· Resolution of subcontractor issues 99% of the time.

Monthly

· 1.17.

Monthly

Performance Standards related to Maintenance and Repair

· 2.2

· Equipment is maintained 95% of the time in accordance with the terms of the task order and/or the approved maintenance plan.

· There are no instances of equipment failure due to the contractor’s non-compliance with required maintenance schedules.

Monthly

· Periodic reports from vendor as well as reports from EXBS field staff

· Periodic reports from vendor as well as reports from EXBS field staff

Performance Standards to Operator and Maintenance Training

High quality operator and maintenance training

· 3.1

· 3.2

· 3.3

· 3.4

· 3.5

· 3.6

· 3.7

· Training is conducted at the correct locations 100% of the time within the period(s) of performance specified

· Logistical arrangements are made in a timely, cost effective manner 95% of the time, with minimal Government involvement.

· The training curriculum shall be developed and delivered to enable the foreign partner equipment maintainer to become proficient in servicing, maintaining, and repairing equipment, 90% of the time.

· 70% of the training participants found the instruction to be very good or excellent and the remaining 30% found it satisfactory.

Monthly

· Periodic reports from vendor as well as reports from EXBS field staff

Documenting Surveillance Surveillance reports will be used to record, evaluate, and report contractor’s performance. These reports provide the CO with contractor status as it applies to the performance criteria. The GTM is required to maintain accurate records of the contractor’s performance. Documenting surveillance is of major importance to the total process of surveillance. The CO cannot properly administer the contract without documentation of actual surveillance.

All documentation resulting from surveillance must be made part of the contract file. The GTM and COR must keep the documentation during the surveillance period, but either quarterly or at the conclusion of the contract, as directed by the CO, the GTM must give the files to the CO for inclusion in the official contract file. In addition, the Contractor shall be notified immediately when performance is marginal or unsatisfactory to allow the contractor to perform corrective actions.

NOTE: Contractor shall also provide the COR or GTM as much advanced written notice as possible in the event of any anticipated or actually-known production problems. Notice shall describe in as much detail as possible the issue, concern, and any recommendations for remediating the problem.

Monthly Performance Meetings The GTM, COR, and Contractor will meet monthly at Monthly Performance Meetings to discuss contract performance, resolve issues, discuss customer complaints, and provide positive interaction and feedback to all parties. The GTM will provide a list of any unresolved deficiencies to the contractor's quality assurance representative. If evidence is shown where the contractor’s quality program has already documented the deficiency and timely corrective action is effective, the GTM will follow up with the contractor’s quality control representative to ensure the deficiencies are remedied in a timely manner, in accordance with the contract. All deficiencies associated with performance requirements listed on the Performance Requirements Summary, whether remedied by the contractor or not, will be included in the GTM’s monthly report regardless of who identified the deficiency.

Quarterly Performance Meetings Quarterly Performance Meetings are optional and can be scheduled at the request of the COR, GTM, CO, or Contractor. Quarterly Performance Meetings are required when Contractor’s performance warrants disincentives by the Government. The GTM, COR, CO and Contractor will meet at Quarterly Performance Meetings to discuss contract performance, resolve issues, discuss customer complaints, and provide positive interaction and feedback to all parties. The GTM will provide a list of any unresolved deficiencies to the contractor's quality assurance representative. If evidence is shown where the contractor’s quality program has already documented the deficiency and timely corrective action is effective, the GTM will follow up with the contractor’s quality control representative to ensure the deficiencies are remedied in a timely manner, in accordance with the contract. All deficiencies associated with performance requirements listed on the Performance Requirements Summary, whether remedied by the contractor or not, will be included in the GTM’s quarterly report regardless of who identified the deficiency. The GTM will provide a copy of the meeting minutes to all attendees within 5 business days of the meeting.

Ad-hoc Meetings The GTM, COR, CO, or Contractor may request a meeting at any time to address issues needing immediate resolution. The issue will be recorded and reviewed in the monthly performance review.

Periodic Surveillance The GTM and/or COR, or other USG-designated personnel will conduct periodic performance reviews with the contractor based on information obtained from and through one or more of the surveillance methods outlined below:

· Periodic Inspection This method evaluates tasks selected on other than a 100% or random basis. It may be appropriate for tasks that occur infrequently and where 100% inspection is neither required nor practicable.

· Independent Verification and Validation (IV&V) This method is verification and validation performed by an individual or organization that is technically, managerially, and financially independent of the development organization and is used to determine that the work product delivered by the contractor matches the content requirement in the contract. This can include various types of system tests, analysis or other V&V techniques.

· Operational Monitoring This method involves examination of reports generated by contractor, automated tools, logs, and websites.

Performance Standards The Acceptable Quality Levels (AQL), as identified in the Performance Requirements Summary (PRS) and RFP, will be reviewed during the monthly evaluation. Contractor will also be notified immediately when performance levels fall below satisfactory.

Customer performance monitors will provide the COR with contract deficiencies, standard performance requirement deficiencies, and all customer complaints documented during the specified period of time for each service provided. All deficiencies will be thoroughly documented. The documentation will include the deficiency, identify the source of information and reference the applicable RFP performance requirements or contract requirement for which the deficiency applies.

3.0 UNACCEPTABLE PERFORMANCE/RE-PERFORMANCE PROCEDURES

The GTM will document all findings using a quality assurance monitoring report. The GTM shall verbally notify the contractor’s PM of the finding and provide a copy of the finding. The PM shall respond with the following information: Contractor Response as to cause, corrective action, and actions to prevent recurrence within 5 working days after notification. The GTM will ensure the response is completed in its entirety, coordinated through the CO, with a copy retained in the official contract file. This information will be included when assessing the contractor’s overall performance (i.e. Option Exercise, Past Performance Questionnaires, etc.).

Deficiencies shall not fall below the acceptable quality levels cited in the PRS for each performance requirement. If any of the services do not conform to contract requirements, In Accordance With the FAR 52.212-4, “Contract Terms and Conditions—Commercial Items,” the Government may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. In Accordance With FAR 52.246-4, “Inspection of Services—Fixed-Price” (AUG 1996) and FAR 52.246-6, “Inspection - Time and Materials and Labor Hour” (MAY 2001):

If any of the products or services do not conform with contract requirements, the Government may require the Contractor to perform the products or services again in conformity with contract requirements, at no increase in contract amount. When the defects in products or services cannot be corrected by re-performance, the Government may --

(1) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(2) Reduce the contract price to reflect the reduced value of the products or services provided.

4.0 ACCEPTANCE/CERTIFICATION OF SERVICES

All documents shall be submitted by contractor in accordance with the RFP, or the delivery order or task order instructions under the Indefinite Delivery / Indefinite Quantity (IDIQ) contract.

5.0 CAPTURING SURVEILLANCE INFORMATION TO ASSIST IN MEETING PAST PERFORMANCE INFORMATION REQUIREMENTS

Contractor Performance Assessment Report System (CPARS). On a yearly basis or as needed, the COR is required to complete a narrative summary of contractor past performance for each contract year. The data will be used by the CO to complete the contractor’s past performance evaluation. The COR will forward the narrative to the CO addressing all of following assessment elements. The CO is responsible for entering the performance information in the CPARS.

· Quality of Product or Service

· Cost Control

· Timeliness of Performance

· Business Relations

· Subcontractors

· Contractor Key Personnel

· Small Disadvantaged Business Goals

· Customer Satisfaction

· Performance Ratings. The ratings used for the QASP surveillance reports are usually described by one of the following five adjectives: Unsatisfactory, Marginal, Satisfactory, Good, or Excellent.