SOL_W15QKN16R0002_PLS_ATTACH_0022_SAMPLE_B_QASP_06FEB2017.pdf

Solicitation W15QKN-16-R-0002 Personnel Life-Cycle Support (PLS)

Attachment 0022 – Sample Task B - QASP

Quality Assurance Surveillance Plan (QASP) Sample Task B - Army OneSource (AOS) Program

06 February 2017

1. OVERVIEW

1.1. Purpose. This Quality Assurance Surveillance Plan (QASP) is a Government-developed document used to determine if the contractor's performance meets the performance standards contained in the contract. The QASP establishes procedures on how this assessment/inspection process will be conducted. It provides the detailed process for a continuous oversight process:

What will be monitored

How monitoring will take place

Who will be conduct the monitoring

How monitoring efforts and results will be documented

The contractor is responsible for implementing and delivering performance that meets contract standards using its Quality Control Plan. The QASP provides the structure for the Government's surveillance of the contractor's performance to assure that it meets contract standards. It is the Government's responsibility to be objective, fair and consistent in evaluating contractor performance.

The QASP is not intended to duplicate the contractor's quality control plan.

The Government will provide a copy of the QASP to the contractor to facilitate open communication. In addition, the QASP recognizes that unforeseen or uncontrollable circumstances might occur that are outside the control of the contractor. Bottom line, the QASP should ensure early identification and resolution of performance issues to minimize impact on mission performance.

1.2. Intent. The intent of this plan is to hold the Contractor accountable for quality control and to encourage the Contractor to take appropriate steps to control and improve quality. The Contractor is responsible for developing an efficient methodology to ensure it meets or exceeds the required thresholds of service as outlined in this acquisition. The Government intends to perform surveillance on this TO in accordance with this QASP, but reserves the right to monitor the TO in any manner necessary, at any times necessary, and at all places necessary to ensure that the rendered services conform to TO requirements. The Government reserves the right to perform quality assurance at the subcontract level and perform quality assurance at the Contractor's place of business, if applicable. Non-conforming services discovered with subcontractors will be addressed with the prime Contractor for resolution.

2. ROLES AND RESPONSIBILITIES

2.1. Contracting Officer (KO). A person duly appointed with the authority to enter into, administer and terminate contracts/TOs on behalf of the Government. The KO is the only person who can legally commit the Government and only the KO, as the Government’s agent, can modify the contract/TO. The KO is the final authority for determining the adequacy of the Contractor’s performance. KO decisions arising under or relating to the contact/TO are final. 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. The KO will determine and document the final assessment of the contractor's performance in the Government's past performance tracking system.

Assigned KO: Cynthia J. Geiss Organization or Agency: ACC-NJ Telephone: (609) 562-7355 Email: cynthia.j.geiss.civ@mail.mil

2.2. Contracting Officer’s Representative (COR). Individuals designated in writing by the KO to perform specific technical and administrative functions within the scope and limitations of their written appointment (e.g., surveillance of Contractor’s performance, accept services). CORs are not empowered to make any contractual commitments or authorize any changes to the order/contract or in any way obligate additional funds by the Government; such authority rests solely with the KO.

2.2.1. At a minimum, two CORs will be identified by separate letter. The KO will appoint a COR at the requiring activity (COR-RA), usually located at the functional program office, and a COR at the enterprise-level, located at the HR Solutions program office (COR-HRS). CORs monitor all technical aspects of the TO and assist in TO administration.

2.2.2. COR -RA. The COR-RA is the Government’s technical expert. Within the limitations of the appointment, the COR-RA shall provide technical assistance to the COR-HRS, and is authorized to perform the functions as identified in the KO appointment letter. These functions may include: perform or cause to be performed inspections necessary in connection with TO performance and verify that the Contractor has corrected all deficiencies; monitor Contractor's performance and notify the KO, COR-HRS, and Contractor of any deficiencies; coordinate availability of Government furnished property; and provide site entry of Contractor personnel. The COR-RA will participate in “Interim Progress Reviews” (IPR) with the Contractor and HR Solutions staff.

A letter of designation issued to the COR-RA, a copy of which is provided to the Contractor, states the responsibilities and limitations of the COR-RA. The COR-RA is not authorized to change any of the terms and conditions of the resulting TO.

Assigned COR-RA: TBD Organization or Agency:

Telephone:

Email:

2.2.3. COR-HRS. The COR-HRS will be appointed by the KO. Within the limitations of the appointment the COR-HRS is authorized to perform the functions as identified in said appointment. These functions may include: assure that the Contractor performs the technical requirements of the TO; perform or cause to be performed inspections necessary in connection with TO performance and verify that the Contractor has corrected all deficiencies; maintain written and oral communications with the Contractor concerning technical aspects of the TO; issue written interpretations of technical requirements, including Government drawings, designs, specifications; monitor Contractor's performance and notify both the KO and Contractor of any deficiencies. A letter of designation issued to the COR-HRS, a copy of which is sent to the Contractor, states the responsibilities and limitations of this COR-HRS, specifically with regard to changes in cost or price, estimates or changes in delivery dates. The COR-HRS is not authorized to change any of the terms and conditions of the resulting order.

Assigned COR-HRS: Randy Gonsalves Organization or Agency: PL HR Solutions Telephone: (502) 624-3607 Email: randall.f.gonsalves.civ@mail.mil

2.2.4. Government Technical Monitor (GTM). While a COR is the only officially appointed representative of the KO, given the scope and complexity of some service contracts, other individuals may assist the COR in monitoring a Contractor’s performance against the requirements in the TO. These individuals will be identified as Government Technical Monitors. The most common reason for designating additional technical monitors to support the COR is physical proximity to the Contractor’s worksite, although they may also be appointed because of special skills or knowledge necessary for effective monitoring of the Contractor’s work. When appropriate, the requiring activity will designate GTMs necessary to aid the COR-RA in observing a Contractor’s performance and reporting discrepancies to the COR-RA and/or COR-HRS. The GTM is not authorized to change any of the terms and conditions of the TO.

2.3. Contractor Representatives. The following employees of the Contractor serve as the Contractor’s Program/Project Manager for this TO.

Program/Project Manager: TBD Title:

Other Key Contractor Personnel: TBD Title:

3. GOVERNMENT SURVEILLANCE

3.1. Methods of Surveillance. Simplified methods of surveillance will be used by the

Government to evaluate Contractor performance. The following are the primary methods of surveillance the Government may utilize to ensure adequate TO performance.

Random Sampling. When a service is performed relatively frequently and a statistically valid sample can be selected for audit. The most appropriate method for frequently recurring tasks.

100% Inspection. Reserved for the highest risk areas where consequence of failure is high or there is likelihood of mission failure.

Periodic Inspection. Planned sampling of a service at specific predetermined dates and times. Periodic Sampling may be appropriate for tasks that occur infrequently.

Customer Input. Validated customer complaints constitute a surveillance method based on customer awareness and satisfaction. Customers familiar with TO requirements notify the CORs when there is a case of poor performance or non-

3.2. Performance Ratings. In evaluating the quality of contractor’s performance, the following performance ratings may be used.

Performance Rating

Criteria

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

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 contains some minor problems for which corrective actions taken by the contractor were satisfactory.

Marginal Performance does not meet some contractual requirements.

The contractual performance reflects a serious problem for which the contractor has not yet identified corrective 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.

3.3. Surveillance and Evaluation Procedures. The COR-RA will evaluate the

Contractor’s performance monthly against the standards in the Performance Requirements Summary (PRS) established in the TO and report information to the COR-HRS via the HR Solutions portal. Evaluations will be to the extent practical to assure the Contractor provides quality services In Accordance With (IAW) the requirements of the TO. If at any time the COR-RA receives indicators (e.g., valid customer complaints or notes Performance Standards are not being met) that the Contractor’s performance is less than acceptable, the COR-RA will investigate to determine if this is a one-time issue that has been promptly corrected, or if the discrepancy is systemic in nature. If the issue is determined to be an isolated occurrence, the COR-RA will continue with monthly evaluations. If the issue is recurring and systemic in nature, the COR-RA, with the assistance of GTMs, will perform more frequent and/or in-depth evaluations.

3.4. Task Order Surveillance. The goal of the QASP is to ensure that contractor performance is effectively monitored and documented. The COR's contribution is their professional, non-adversarial relationships with the KO and the Contractor, which enables positive, open and timely communications. The foundation of this relationship is built upon objective, fair, and consistent COR evaluations of contractor performance against task order requirements. The COR uses the methods contained in this QASP to ensure the Contractor is in compliance with task order requirements. The COR function is responsible for a wide range of surveillance requirements that effectively measure and evaluate the Contractor's performance. Additionally, this QASP is based on the premise that the Contractor, not the Government, is responsible for management and QC actions to successfully meet the terms of the contract.

3.5. 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 performance 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 performs surveillance, using this QASP, to determine the quality of the contractor's performance as it relates to the performance element standards. The PRS should be used to form the foundation of the COR's inspection checklist.

This QASP is a living document and may be modified as needed to ensure the quality of services provided under this contract.

4. NON-CONFORMING PERFORMANCE

4.1. Non-Conformance Procedures. The COR-RA will notify the Contractor each time an unacceptable observation has been recorded and ask the Contractor to correct the problem or re-perform the service. All valid non-conformances observed by the Government will be documented. The COR-RA will document the specifics regarding the TO requirement, the specific deficiency to the requirement, the date, and the Contractor’s corrective actions.

4.2. Customer Feedback. For customer feedback or complaints it is recommended that the Customer Complaint Record/Accord DA Form 5477 http://armypubs.army.mil/eforms/pdf/A5477.PDF be used. However customer feedback can be in any form, verbal or written, but regardless of format the COR- RA will maintain a record of the feedback positive or negative. Upon receipt of a customer complaint:

4.2.1. The COR-RA will receive, document and validate or invalidate all complaints.

If the compliant is invalid, the COR-RA shall contact the complainant and explain why the complaint is invalid.

4.2.2. The COR-RA will fully document the resolution for each customer complaint in the evaluation fields of the HR Solutions portal when reviewing the Contractor’s Monthly Status Report (MSR).

4.3. Contract Discrepancy Reports (CDR). The COR-HRS/COR-RA will report more serious (systemic in nature) deficiencies or recurring deficiencies that could indicate a trend to the KO. The KO may issue a DA Form 5479-R, CDR http://armypubs.army.mil/eforms/pdf/A5479.PDF. The CDR will state the TO requirement, the specific TO reference and the specific violation(s) to the requirement. The KO will notify the Contractor and request corrective action to the specific non-conformance, identification of the root cause and corrective action for the root cause with a required suspense date. The KO may require the Contractor to re-perform any services that do not meet contract requirements at no additional cost to the Government. The Contractor will be required to return a copy of the completed and signed DA Form 5479-R along with their Corrective Action Plan (CAP) to the KO for review, approval and inclusion in the contract/ TO file. The KO should include the COR-HRS/COR-RA in the review of the CAP and re-inspection of services that were found deficient to ensure the CAP included adequate root cause analysis, corrective action for the root cause and that it is accomplished in the timeframe agreed upon. The KO and COR-HRS/COR-RA will not consider the CDR closed until all deficiencies have been corrected and all agreed upon actions of the CAP have been completed. Contractor failure to follow through and complete corrective actions will be reported immediately to the KO for further action. (Note: if the COR-HRS/COR-RA has to repeatedly perform re-inspection there could be a Government re-inspection cost which could be recovered from the Contractor). The COR-HRS/COR-RA will also follow-up after the Contractor has completed the corrective action to ensure that the Contractor’s corrective action was sufficient to preclude reoccurrence.

5. ACCEPTANCE OF SERVICES

5.1. Wide Area Workflow (WAWF). When all services have been deemed acceptable and there is documented evidence to support acceptable performance, the COR- HRS will accept the services provided and authorize payment upon satisfactory completion of the work. This is done by accepting the Contractor’s invoice in WAWF https://wawf.eb.mil/.

5.2. Monthly COR-HRS Activity Report. The COR-HRS will submit a brief monthly activity report to the KO through the WAWF COR Tool (CORT) which will include, at a minimum, evaluation of Contractor’s management, quality of services and timeliness of services received from the Contractor.

5.3. Contractor Manpower Reporting (CMR). The COR-HRS will fill in required information and verify contactor has complied with the required CMR and document any observations. Reporting is for the 12 month period ending September 30th of each Fiscal Year (FY) and reporting is due by the Contractor by October 31st of each FY. Registration and manual can be found at https://cmra.army.mil.

6. QUALITY ASSURANCE SURVEILLANCE FILE

6.1. COR Surveillance File. The official COR-HRS and COR-RA quality assurance surveillance file will be maintained in the on-line COR management tool. The quality assurance, or COR surveillance files shall contain the following as applicable:

6.1.1. Copy of the COR-HRS and COR-RA designation letter from the KO, any changes to that letter, and any termination letters.

6.1.2. Training certifications for COR-HRS and COR-RA and refresher training.

6.1.3. Copy of the TO and all TO modifications.

6.1.4. Copy of the applicable QASP.

6.1.5. Copy of the Contractor’s Quality Control Plan (QCP)

6.1.6. All COR correspondence initiated by authorized representatives (Contractor or Government) concerning performance of the TO.

6.1.7. Names, position titles and contact information of all key personnel assigned to this contract for both the Government and the Contractor.

6.1.8. Monthly surveillance schedules.

6.1.9. Surveillance Checklists

6.1.10. Record of all inspections performed and the results.

6.1.11. Customer Feedback.

6.1.12. Memoranda for record of minutes of any meeting, telephone conversations and discussions with the Contractor or others pertaining to the TO or TO

6.1.13. Documentation pertaining to acceptance of services, reports or data.

7. CONTRACTOR PERFORMANCE ASSESSMENT REPORTING SYSTEM (CPARS)

7.1.1. Documented surveillance data IAW this QASP will be used as objective data to support CPARS ratings. The inclusion of detailed documented inspection results provides objectivity to CPARS reporting. CPARS will be accomplished annually or at the end of a TO whichever occurs first. http://www.cpars.csd.disa.mil/cparsmain.htm

8. QASP CHANGES

8.1.1. The QASP is a living document and, as such, may be changed as needed.

However, the KO must approve changes. The COR will submit recommended changes to the KO for approval.

Statements Standards/AQLs Inspections Ratings

PRS # 1

Outreach to geographically dispersed Soldiers and Families

PWS 5.2

Standard: Increase Army OneSource Resource Center membership by 10% annually.

Baseline of current members is 2,328 AQL: No deviation from standard

What: Monthly Status Report (MSR) PRS reporting and AOS Resource Center How: 100% inspection by monthly review of MSRs and AOS Resource Center for trend. Calculation at the end of the 12 month period of performance.

Who: COR-RA Incentive: Past performance ratings for CPARS could be impacted.

Standard(s): Inspection applies to all standards

PRS # 2

Community Partnerships

PWS 5.4

Standard: Increase the number of community partnerships by 20% annually. Baseline of current partnerships is 76.

AQL: No deviation from standard

What: Monthly Status Report (MSR) PRS reporting and list of community partners report How: 100% inspection by monthly review of MSRs and list of community partners report.

Calculation at the end of the 12 month period of performance.

Who: COR-RA Incentive: Past performance ratings for CPARS could be impacted.

Statements Standards/AQLs Inspections Ratings

PRS # 3

Customer Satisfaction

PWS 5.5

Standard: Ensure at least 90% of customers are satisfied with the quality and timeliness of services and products delivered.

AQL: Quality: 80% of customers rate service quality as satisfactory or higher

Timeliness: 80% of customers rate service timeliness as satisfactory or higher

What: Monthly Status Report (MSR) PRS reporting and client survey results How: 100% inspection by monthly review of MSR monthly report and quarterly client survey services report Who: COR-RA Incentive: Past performance ratings for CPARS could be impacted.

PRS # 4

Required Deliverables

PWS Attachment-Deliverables Schedule

Standard: Complete, accurate, and timely IAW PWS Attachment- Deliverables Schedule AQL: Timeliness: No more than one deliverable late per month.

Quality: No more than one deliverable rejected per month because of inaccurate or incomplete information

What: Required deliverable is submitted to the HR Solutions portal (www.hrsolutions.army.mil)*, or other required systems or personnel within the specified time frames and meets quality standards.

How: 100% inspection by monthly review through the HR Solutions portal and/or confirmation with Government receiver.

Who: COR-RA Incentive: Past performance ratings for CPARS could be impacted.

http://www.hrsolutions.army.mil/

* NOTE: The HR Solutions portal will be replaced by end of FY17. The HR Solutions program office will provide new procedures for deliverable submission and an implementation date prior to replacement of the portal.