Attachment_C_QASP.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

UNITED STATES DEPARTMENT OF STATE

BUREAU OF CONSULAR AFFAIRS, PASSPORT SERVICES (CA/PPT) PASSPORT PRODUCTION SUPPORT SERVICES (PPSS)

1. PURPOSE

This Quality Assurance Surveillance Plan (QASP) is a Government developed and applied document used to ensure that systematic quality assurance methods are used in the administration and evaluation of performance standards included in this contract. The intent is to ensure that the Contractor performs in accordance with the established performance standards/acceptable quality levels; that the Government receives the quality of services called for in the Task Order; and that the Government only pays for the acceptable level of services received.

2. SCOPE

The QASP is put in place to provide Government surveillance and oversight of the Contractor’s efforts in meeting the performance standards required by the contract.

3. GOVERNMENT RESOURCES

The following personnel will implement all Government surveillance activities:

Contracting Officer (CO) – The Contracting Officer ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the task order, and safeguards the interests of the United States in the contractual relationship. It is the Contracting Officer who assures the Contractor receives impartial, fair and equitable treatment under the task order. The Contracting Officer is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

Assigned Contracting Officer: Deborah Carey, A/LM/AQM/IP/IAB Telephone: (703) 875-4229

Contracting Officer’s Representative (COR) – The Contracting Officer’s Representative is responsible for technical administration of the task order and assures proper Government surveillance of the Contractor’s performance. The Contracting Officer’s Representative 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 task order price, terms, or conditions shall be referred to the Contracting Officer for action.

Assigned Contracting Officer’s Representative: Shamere Mack Telephone: TBD

Government Technical Monitors (GTM) – A Government Technical Monitor is responsible for technical administration of the task order and performs government surveillance of the Contractor’s performance. The Government Technical Monitor 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 task order price, terms, or conditions shall be referred to the Contracting Officer for action. The Contracting Officer’s Representative will nominate Government Technical Monitor(s) to the Contracting Officer to adequately monitor the Contractor’s performance.

Assigned Government Technical Monitor(s): TBD Telephone(s): TBD

4. PERFORMANCE STANDARDS AND ACCEPTABLE QUALITY LEVELS

The performance standards and acceptable quality levels may be adjusted and/or added to emphasize program objectives for a given year. The performance metrics monitored in this contract are referenced as follows:

· RFP SECTION E.7. Critical Performance Metrics and Incentives/Disincentives

· RFP SECTION F.7. Performance Requirements – Table 2

· QASP, Performance Requirements Summary – Table 3

The QASP will be updated and provided to the Contractor 30 calendar days in advance of the start of the performance year for which the updated QASP will be effective.

5. METHODS OF QA SURVEILLANCE

The below listed methods of surveillance shall be used in the administration of this QASP. The specific surveillance method for each performance standard and acceptable quality level is listed in the “Monitoring Method” column of Table 3 – Performance Requirements Summary.

Inspection – Indicates that a GTM, the COR, or both will be responsible for monitoring the Contractor’s performance in meeting a specific performance standard/acceptable quality level.

· In the case of a written or product deliverable, the review will consist of 100% inspection of the specific deliverable and supporting documentation.

· In the case of day-to-day support activities, the review will consist of periodic inspection or random inspection.

6. DOCUMENTATION

The COR will document non-compliant performance as defined by the performance standards and associated acceptable quality levels (see Table 3 – Performance Requirements Summary). The Customer Service Report (CSR), Figure 1, will be primarily used by the COR to render a complaint on contractor performance to the Contractor’s Program Manager. The Contract Discrepancy Report (CDR), Figure 2, will be used by the CO to report unsatisfactory contractor performance or any serious or critical contractual issue to Contractor Senior Management. The procedure for processing the CSR and CDR is described below:

6.1 Customer Service Report

The CSR will be processed in the following manner:

a. The customer that renders a contractor complaint will fill-out the CSR and submit the CSR to the COR or the GTM.

b. Upon receipt of the CSR, the COR or the GTM will validate the contractor complaint (when more than one CSR is received for the same service for the same time frame, from the same or different customers, the COR or the GTM will consolidate the report).

c. If the COR or the GTM is satisfied that the complaint is valid, they will notify the Contractor’s Program Manager or designated representative of the complaint.

d. The COR or the GTM will conduct a meeting with the Contractor’s Program Manager or designated representative. The purpose of this meeting will be to determine why performance was non-compliant, and what steps are necessary to prevent the defect from recurring.

e. The COR or the GTM will utilize the Decision Table (Refer to Section 8, Decision Tables) to assist in validating the CSR and to help determine the possible cause of any non-compliant performance.

f. After a meeting with the Contractor’s Program Manager or designated representative concerning non-compliant service, which is not the fault of the Government, document the action taken by the Contractor. Any subsequent non-compliant service in that specific area will be reported directly to the Contracting Officer.

g. The task order areas, where unacceptable service was reported by CSR and determined to be valid by the COR and/or the GTM, should be scheduled for future sampling to determine if the deficiency has been corrected.

CUSTOMER SERVICE REPORT

1. Date/Time of Complaint:

SOURCE OF COMPLAINT

2. Organization

5. Nature of Complaint: Be specific. Clearly and legibly state what the problem is or the specific non-compliant service that was observed. Specify the date and time the problem occurred or the defect was observed. Briefly describe the operational impact, if any. Attach photocopies or appropriate documentation.

6. Task Order Reference: Cite the section and paragraph number of the task order that the observed defect was not in compliance with.

7. COR Validation: Summarize the outcome of the validation of the complaint. The summary should include who was contacted, what was said, what processes and procedures were looked at (use of the Decision Table), and what results of the validation were including whether the Contractor or the Government was at fault.

8. Date/Time Contractor Informed of Complaint:

8a. Contractor Response Due No Later Than (NLT):

9. Action Taken by Contractor: Include an explanation why the non-compliant service occurred and what the Contractor will do to prevent the non-compliant service from recurring.

10. Received/Reviewed/Validated By: Signature of the COR or GTM receiving and validating the complaint.

Acceptable (circle one): Yes No

Figure 1 – Customer Service Report (front-side)

Instructions for the Customer Service Report (CSR)

The following is an explanation of each block on the CSR form:

1. DATE/TIME OF COMPLAINT: Self-explanatory.

2. ORGANIZATION: Self-explanatory.

3. NAME/TITLE/LOCATION: Name of customer, title, work location of the customer submitting the complaint.

4. PHONE NO.: Phone number of customer submitting the complaint.

5. NATURE OF COMPLAINT: State the specific non-compliant event that was observed. Be brief but to the point. Specify the date and time, the non-compliant event was observed and briefly describe the operational impact (i.e. created backlog, caused delay in renewal notices, etc.) of the non-compliant service, if any. If the non-compliant material is not accompanying the CSR when submitted to the COR or the GTM, photocopies or appropriate documentation must be provided clearly outlining the non-compliant service (i.e., renewals processed incorrectly). If the customer corrects the non-compliant service, before and after samples must accompany the CSR.

6. TASK ORDER REFERENCE (IF KNOWN): Cite the section and paragraph number of the task order that the observed service was not in compliance with.

7. COR VALIDATION: Summarize the outcome of the validation of the complaint, and what the final results of the validation were, including whether the Contractor or the Government was at fault.

8. DATE/TIME CONTRACTOR INFORMED OF COMPLAINT: Self-explanatory.

8a. CONTRACTOR RESPONSE DUE BY: The COR will enter the date by which the contractor is expected to respond.

9. ACTION TAKEN BY CONTRACTOR: Include an explanation why the non-compliant service occurred and what the Contractor will do to prevent the non-compliant service from recurring.

10. RECEIVED/REVIEWED/VALIDATED BY: Signature of the COR or the GTM receiving and validating the complaint. If performance is unsatisfactory, forward to the Contracting Officer and state reasons.

Figure 1 – Customer Service Report (back-side)

6.2 Contract Discrepancy Report

The CDR will be processed in the following manner:

a. When surveillance by the COR or the GTM indicates unsatisfactory performance, the COR or the GTM may initiate a CDR and submit it, along with the checklist recording the unsatisfactory performance, to the Contracting Officer.

b. The Contracting Officer shall evaluate the CDR and, if the Performance Requirements indicate unsatisfactory performance, sign and send it to the Contractor’s Program Manager or their designated representative.

c. The Contractor’s Program Manager or designated representative is then required to complete Blocks 9 and 10 of the CDR explaining in writing why performance was unsatisfactory, how performance will be returned to satisfactory levels and how recurrence of the problem will be prevented in the future.

d. The CO, with COR and GTM assistance, shall evaluate the Contractor’s Program Manager or designated representative explanation and determine what further action, if any, is required. In assisting the CO, the COR and GTM will utilize the Decision Table to make a meaningful decision as to the validity of the Contractor’s explanation and recommended corrective action.

e. If the Contractor does not achieve satisfactory performance in that specific requirement by the end of the next month, the Contracting Officer will issue another CDR.

f. If a third CDR is issued, the Contracting Officer can consider issuing a Cure Notice or a Show Cause letter if the reply to a Cure Notice is unsatisfactory.

CONTRACT DISCREPANCY REPORT

1. CONTRACT NUMBER

2. REPORT NO. FOR THIS DISCREPANCY

3. TO: (Contractor Organization and Program Manager Name)

4. FROM: (DoS Representative)

5. DATES

6. DISCREPANCY OR PROBLEM: (Describe in detail: include references to PWS/PRS)

7. SIGNATURE OF CONTRACTING OFFICER

8. TO: (Contracting Officer)

FROM: (Contractor)

9. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION AND ACTIONS TO PREVENT RECURRENCE. ATTACH CONTINUATION SHEET. IF NECESSARY. (Cite applicable QC program procedure or new QC procedures).

11. GOVERNMENT EVALUATION (Acceptable, partial acceptance, rejection. Attach continuation sheet, if necessary.)

12. GOVERNMENT ACTIONS (Payment deduction, cure notice, show cause, other)

13. CLOSE OUT

14. NAME/TITLE

15. NOTIFICATIONS

CONTRACTOR

COR

CO

Figure 2 – Contract Discrepancy Report (front-side)

Instructions for the Contract Discrepancy Report (CDR)

The following is an explanation of each block on the CDR form:

1. CONTRACT NUMBER: Self-explanatory.

2. REPORT NO. FOR THIS DISCREPANCY: A unique number to identify the report. Numbers should be in sequence for a specific contract/task order.

3. TO: Name of Contractor Organization and Program Manager.

4. FROM: Name of DoS Representative.

5. DATES: Specify the date and time, the unsatisfactory task order performance was observed.

6. DISCREPANCY OR PROBLEM: State the specific discrepancy or problem that was observed. Briefly describe the operational impact of the unsatisfactory service, if any. Reference the task(s)/subtask(s) in the Performance Work Statement (PWS) and/or in the contract that were not performed in a satisfactory manner.

7. SIGNATURE OF CONTRACTING OFFICER: Self-explanatory.

8. TO: Name of the DoS Contracting Officer.

9. CONTRACTOR RESPONSE AS TO CAUSE, CORRECTIVE ACTION AND ACTIONS TO PREVENT RECURRENCE: Contractor’s explanation on why performance was unsatisfactory, how performance will be returned to satisfactory levels and how recurrence of the problem will be prevented in the future.

10. SIGNATURE: Signature of the Contractor Program Manager or representative within the Contractor’s Organization.

11. DATE: Self-explanatory.

12. GOVERNMENT ACTIONS: Contracting Officer’s decision related to the performance problem.

13. CLOSE OUT: Issue resolved and close out date.

14. NAME/TITLE: Name of person closing out the CDR.

15. NOTIFICATIONS: Dates various parties were notified of the close-out notification.

Figure 2 – Contract Discrepancy Report (back-side)

6.3 Quality Assurance Tracking Report

6.3.1 Report Format

At the end of each month, it is recommended that the COR and/or GTM prepare a Quality Assurance Tracking Report as shown in Table 1. This two-part report contains performance data that will be used by both the COR/GTM and Contracting Officer to evaluate task order performance.

Part I provides a summary of each service monitored during the surveillance period as well as the number of CSRs received and validated. It includes a detailed explanation on why performance was not acceptable and what action will be taken to prevent recurrence.

Part II allows the COR/GTM to provide a narrative summary of the Contractor’s overall performance during the reporting period, provide any additional comments/remarks, and list action items for the next reporting period.

6.3.2 Report Distribution

The COR and/or GTM will maintain a copy of the report in the Quality Assurance File (see Section 6.4 of this document). Copies of the report shall be submitted to the Contracting Officer as requested, at the conclusion of task order performance, and whenever contractor performance fails to meet acceptable quality levels.

6.4 Quality Assurance File

The COR or designee will also maintain a complete quality assurance file. The file will contain copies of all reports, evaluations, recommendations, surveillance checklists, and any actions related to the Government’s performance of the quality assurance functions.

7. RECORD RETENTION

All records will be retained for the life of the task order and forwarded to the Contracting Officer within thirty calendar days after contract/task order expiration/termination.

8. DECISION TABLES

8.1 Purpose

Decision Tables serve two purposes. First, Decision Tables help the COR and the GTM determine whether the Contractor or the Government is at fault. If the Government caused any of the performance problems, these will not be counted against the Contractor’s performance. Second, Decision Tables allow the COR and the GTM to identify processes that cause the Contractor to perform in an unsatisfactory manner so that process improvement initiatives can be introduced.

8.2 Completion and Evaluation of the Decision Table

The Decision Table (Table 2) will be completed by the COR and/or GTM for each requirement surveyed and found to be overall non-compliant/unsatisfactory at the end of the surveillance period. The COR and/or GTM will list all contractor deficiencies (areas found to be overall non-compliant/unsatisfactory at the end of the surveillance period), the symptoms of the problem and identify the possible sources of the problem. The table also assists the COR and the GTM in making a meaningful evaluation of the Contractor’s explanation of the problem and in determining the validity of the corrective action.

9. PERFORMANCE REQUIREMENTS SUMMARY

The critical performance requirements are those designated with corresponding performance measures and standards. Surveillance will be in accordance with the Performance Requirements Summary (PRS). See Table 3 – Performance Requirements Summary.

Attachment B

RFP SAQMMA14R0260 Page 2

DOS CONTRACTING OFFICER’S REPERESENTATIVE QUALITY ASSURANCE TRACKING REPORT

PART I – Provide a summary of each service monitored during the selected performance period. Also annotate the number of Customer Service Reports received and validated during the month. For any block checked not acceptable, provide a detailed explanation in the Remarks block or in the forwarding memo/email to the Contracting Officer, if necessary. The detailed explanation should clearly state what the problem was, the outcome of the COR and/or GTM validation and the contractor’s response as to the cause. It should also specify the corrective action taken and any action taken to prevent recurrence.

Table 1: Quality Assurance Tracking Report

DECISION TABLE

PART I

If Contractor’s performance problem is:

Probable cause factors/impacting conditions are:

Which could result from:

Suggested review procedures and/or preventive measure(s) is/are:

PART II – Narrative

1. Provide a narrative summary of the contractors overall performance this reporting period.

2. Provide any additional comments/remarks.

3. List the action items for the next reporting period.

Table 2 – Decision Table

TABLE 3 – PERFORMANCE REQUIREMENTS SUMMARY

See RFP SECTION E.7. Critical Performance Metrics and Incentives/Disincentives;

RFP Section F.7. Performance Requirements- Table 2; in addition to Table 3 below:

PERFORMANCE REQUIREMENTS SUMMARY

Note: all days are business days; availability % excludes scheduled downtime Monitoring Method to be Used

Deliverables that are in full to request data and/or plan; meet Task Order requirements and have no material quality issues.

Refer to paragraph 8, Deliverables Deliverables are written clearly and concisely, providing DoS stakeholders a clear understanding of all deliverables.

Final documentation must be in Microsoft Suite 2007 or current DoS version.

Final documentation must be spell checked, grammar checked, and accepted by the Government.

Deliverables that meet or exceed the delivery dates specified by the PWS and/or, COR (if applicable).

Refer to RFP F.6.1 – Deliverables Schedule

DoS 100% inspection of all deliverables by COR.