J.2(p)_Quality_Assurance_Surveillance_Plan_ Draft _-_042116.pdf

Quality Assurance Surveillance Plan (QASP)

1.0 Introduction

This quality assurance surveillance plan (QASP) sets forth the procedures and guidelines the Federal Retirement Thrift Investment Board (FRTIB) also known as the “Agency”, will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 Purpose

The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the contract requirements and performance standards identified in Section C.

This QASP defines the roles and responsibilities of all members, identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor’s performance, describes quality assurance documentation requirements, and describes the analysis of quality assurance monitoring results.

It is intended that FRTIB’s QASP and the contractor’s Quality Control Plan (QCP) complement one another to achieve an equitable and efficacious oversight and monitoring partnership.

1.2 Performance Management Approach

This QASP will define the performance management approach taken by the FRTIB to monitor the contractor’s performance to ensure the performance standards identified in Section C (notably C.6) are achieved. Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether acceptable performance is being achieved by the contractor.

1.3 Performance Management Strategy

The contractor is responsible for the quality of all work performed. The contractor measures that quality through the contractor’s own quality control (QC) program (i.e QCP).

The FRTIB representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against the performance standards shown in Section C. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

During the Phase‐In period (prior to Go‐Live), FRTIB expects to work collaboratively with the contractor to ensure that their QCP complements the FRTIB’s QASP. The FRTIB views the QCP and QASP as living documents that evolve as necessary in accordance with the transformation of the Service Center. FRTIB considers QCP outputs and results as in‐scope for its QASP activities.

2.0 Roles and Responsibilities

2.1 Contracting Officer

The Contracting Officer (CO) is responsible for monitoring compliance and administration and for resolving any differences between the observations documented by the FRTIB contracting officer's representative (COR) and the contractor. The CO will designate a COR as the Agency authority for performance management.

2.2 Contracting Officer’s Representative

The Contracting Officer’s Representative (COR) is designated in writing by the CO to act as his or her authorized representative to assist in administering the contract. COR limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensures proper Agency surveillance of the contractor’s performance. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Agency’s behalf.

Any changes that the contractor deems may affect price, terms, or conditions shall be referred to the CO for action. The COR will have the responsibility for completing QCP monitoring forms used to document the inspection and evaluation of the contractor’s work performance.

3.0 Identification of Required Performance Standards/Quality Levels The required performance standards and/or quality levels are included in Section C.

3.1 Acceptable Quality Levels

The Service Level Requirements included in Section C.6, for contractor performance, are structured to allow the contractor to manage how the work is performed. It is expected that the contractor’s QCP (to be reviewed and approved by FRTIB) will provide further detail to describe Acceptable Quality Levels (AQL) in reaching Section C.6 SRLs.

4.0 Methodologies to Monitor Performance

4.1 Surveillance Methods

In an effort to minimize the performance management burden, simplified surveillance methods shall be used by the Agency to evaluate contractor performance when appropriate.

FRTIB expects to use the following primary methods of surveillance:

Random Monitoring o This is to be performed by the COR or COR designated inspector(s) o This may be project based, by subject matter area, etc.

o This may be on‐site at contractor facilities.

o This may occur without prior warning to the contractor (i.e. surprise inspection).

o FRTIB and the contractor shall collaborate to create, maintain, and continually enhance agreed upon Quality Assurance Monitoring Forms to document the results of Random Monitoring inspections.

100% Inspection o This is to be performed by the COR or COR designated inspector (s) and may when necessary include the CO.

o This may be project based, by subject matter area, etc.; however, it is intended that

CDRL items (See Section J.X) will primarily comprise this surveillance category. In order to maintain appropriate oversight and management of ExPRESS contractual items and Service Center operational activities, it is expected that FRTIB and the contractor will review each CDRL in a timely manner after the required delivery date of each CDRL.

FRTIB and the Contractor will collaborate to agree upon an appropriate time to do this.

o This may be on‐site at contractor facilities.

o This may occur without prior warning to the contractor (i.e. surprise inspection).

o FRTIB and the contractor shall collaborate to create, maintain, and continually enhance agreed upon Quality Assurance Monitoring Forms to document the results of 100% Inspections.

Periodic Inspection o This is to be performed by the COR or COR designated inspector(s) o This may be project based, by subject matter area, etc.

o This may be on‐site at contractor facilities.

o This may occur without prior warning to the contractor (i.e. surprise inspection);

however, it is expected that FRTIB will conduct Periodic Inspections on a quarterly basis, with a set scope and agenda, and be done in collaboration with the contractor.

o FRTIB and the contractor shall collaborate to create, maintain, and continually enhance agreed upon Quality Assurance Monitoring Forms to document the results of Periodic Inspections.

4.2 Acceptable Quality Levels

The acceptable quality levels (AQLs) included in Attachment 6.1, Performance Requirements Summary Table, for contractor performance, are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls.

5.0 Quality Assurance Documentation

5.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes.

Performance standards are expressed in Section C (notably Section C.6) and assessed using the requirements and performance monitoring techniques, activities, processes and procedures detailed in the contractor QCP, and then further assessed via the details provided in this QASP.

5.2 Monitoring Forms

The Agency’s QA surveillance, accomplished by the COR (or other approved parties), will be reported using the monitoring forms. A suggested example is located in Attachments 6.4.1. The forms, when completed, will document the Agency’s assessment of the contractor’s performance under the contract to ensure that the required results are being achieved.

FRTIB will retain a copy of all completed QA surveillance forms.

6.0 Analysis of Quality Assurance Monitoring Results

6.1 Determining Performance

FRTIB shall use the monitoring methods cited to determine whether the performance standards (i.e.

SLRs), and QCP AQLs have been met. If the contractor has not met the minimum requirements, it may be asked to develop a corrective action plan to show how and by what date it intends to bring performance up to the required and acceptable levels.

6.2 Reporting

At the end of each quarter, the COR will prepare a written report for the CO summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report will become part of the QA documentation. It will enable the Agency to demonstrate whether the contractor is meeting the performance standards.

6.3 Reviews and Resolution

The CO and/or COR may require the contractor’s Program Manager , or a designated alternate, to meet with the other Agency personnel as deemed necessary to discuss performance evaluation. The CO and/or COR (as necessary) will define a frequency of in‐depth reviews with the contractor, however, if the need arises, the contractor will meet with the CO and/or COR (as necessary) as often as required or per the contractor’s request. The agenda of the reviews may include:

Performance assessment data and trend analysis

Issues and concerns of both parties

Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis

Recommendations for improved efficiency and/or effectiveness

Issues arising from the performance monitoring processes.

Adjustments to QCP and/or QASP documentation, activities, etc.

The CO and/or COR must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

The CO and/or COR and contractor should jointly formulate tactical and long‐term courses of action.

Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented.

Changes to service levels, procedures, and metrics will be incorporated as a contract modification.

6.4 List of Attachments

Attachment 6.4.1 ‐ Quality Assurance Monitoring Form (example)

Attachment 6.4.1 Quality Assurance Monitoring Form (example)

DELIVERY ORDER:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

ANALYSIS OF RESULTS:

Service Provider’s Performance (Check): Meets Standards

Does Not Meet Standards

Narrative of Performance During Survey Period:

CORRECTIVE ACTION PLAN REQUIRED:

Yes No

If yes, please provide detail:

PREPARED BY: ___________________________________ DATE: _________________