Attach_0002_-_QASP_for_ITS_29_Aug.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR <Enter Contract Number>

1. PURPOSE.

1.1. This Quality Assurance Surveillance Plan (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

1.2. This QASP does not detail how the Contractor accomplishes the work.

Rather the QASP is created with the premise 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.

1.3. 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.

2. ROLES AND RESPONSIBILITIES. The following personnel shall oversee and coordinate surveillance activities:

2.1. Contracting Officer (KO): The KO is responsible for monitoring contract compliance, contract administration and cost control, and resolving any differences between the observations documented by the Contracting Officer’s Representative (COR) and the Contractor’s performance. The KO shall also assure that the Contractor receives impartial, fair, and equitable treatment under this contract. The KO is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

Assigned KO: <Enter Name> Organization or Agency: <Enter Organization or Agency name> Telephone: <Enter Number> Email: <Enter Email Address>

2.2. Contract Specialist (KS): The KS acts as an acquisition consultant and serves as liaison between the Contracting Office and the Network Enterprise Center- Rock Island (NEC-RIA).

Assigned KS: <Enter Name> Telephone: <Enter Number> Email: <Enter Email Address>

2.3. Contracting Officer’s Representative (COR): The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the Contractor’s performance. The COR shall keep a quality assurance file. At the conclusion of the contract or when requested by the KO, the COR shall provide documentation to the KO. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf. The Contractor shall refer any changes they deem may affect tract price, terms, or conditions to the KO for action.

2.4. Other Key Government Personnel: The Government may choose to add additional personnel to assist in monitoring and inspecting the Contractor’s performance. Government personnel assigned to provide this service will be identified by the COR, in writing to the Contractor, prior to performing this function.

3. IDENTIFICATION OF SERVICES TO BE PERFORMED. The Contractor shall provide Network Enterprise Center IT support in accordance with the PWS. The performance standards are established in the paragraph of the PWS that covers the specific category of work. The acceptable quality level (AQL) of performance is set in each PWS paragraph.

4. METHODOLOGIES TO MONITOR PERFORMANCE. In an effort to minimize the contract administration burden, simplified methods of surveillance techniques shall be used by the Government to evaluate Contractor performance. The primary methods of surveillance are:

4.1. PERIODIC INSPECTION. Uses a comprehensive evaluation of select outputs. Inspections may be scheduled (daily, weekly, monthly, quarterly, semi-annually or annually) or unscheduled.

4.2. DIRECT OBSERVATION: Can be performed periodically or through 100% surveillance.

4.3. USER SURVEYS: Combines elements of periodic inspection and validated user complaints. This relies on the user of the service to identify deficiencies.

Complaints are then investigated and validated.

4.4. 100% INSPECTION. Evaluates all outputs. Most applicable to small quantity, but highly important services. May be used where there are written deliverables and stringent requirements such as tasks required by law, safety, or security. Surveillance results may be used as the basis for actions (to include payment deductions) against the Contractor. In such cases, the Inspection of Services clause in the Contract becomes the basis for the KO’s actions.

4.5. CUSTOMER FEEDBACK. The Contractor is expected to establish and maintain professional communication between its employees and customers. The primary object of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints. Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the COR. The COR will accept those customer complaints and investigate using the Quality Assurance Monitoring Form – Customer Complaint Investigate, Identified in Attachment II QASP Below.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

4.6. ACCEPTABLE QUALITY LEVELS. The acceptable quality levels (AQLs) included in the Performance Requirements Summary (TE-2), for Contractor performance are structured to allow the contactor to manage how the work is performed while providing negative incentives for performance shortfalls. For certain critical activities such as those including Information Assurance requirements, the desired performance level is established at 100%. Other levels of performance are keys to the relative importance of the task to the overall mission performance at the Network Enterprise Center-Rock Island (NEC-RI).

5. QUALITY ASSURANCE REPORTING.

5.1 The performance management feedback loop begins with the

communication of expected outcomes. Performance standards are expressed in the PWS and measured by the required performance metrics in the PRS (TE-2).

5.2 The Government’s QA monitoring, accomplished by the COR (and others as designated) will be reported using the monitoring forms in Attachments I and II. The forms, when completed, will document the COR’s understanding of the Contractor’s performance under the contract to ensure that the PWS requirements are being met. The COR will retain a copy of all completed QA monitoring forms.

6. ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS.

6.1 The Government shall use the observation methods cited to determine whether the AQLs have been met. The Government’s evaluation is then translated into the specific negative incentives that cause adjustments to the Contractor’s monthly payments.

6.2 At the end of each month, the COR will prepare a written report for the KO summarizing the overall results of the quality assurance monitoring of the Contractor’s performance. This written report consists of the Contractor’s submitted monthly progress report and the completed Quality Assurance Monitoring Forms (Attachment 1 QASP Below) which will become part of the QA documentation.

6.3 The CO may require the Contractor’s project manager, or a designated alternate, to meet with the KO and other Government personnel as deemed necessary to discuss performance evaluation. The COR will define a frequency of in-depth reviews with the Contractor; however if the need arises, the Contractor will meet with the KO as often as required or per the Contractor’s request. The agenda of the reviews may discuss:

• Monthly performance measured by the metrics and trends

• Issues and concerns of both parties

• Projected outlook for upcoming months and progress against expected trend

• Recommendations made by the COR based on Contractor information

• Issues arising from independent reviews and inspections

6.4 In addition to QA monitoring, the COR will use the information contained in the Contractor’s monthly report to assess the Contractor’s level of performance for each objective measured in this QASP. The COR must coordinate and communicate with the Contractor to resolve issues and concerns of marginal or unacceptable performance. The Contractor will discuss with the KO/COR satisfaction ratings receiving a “less than acceptable” rating. For such cases, the Contractor should highlight its perspective on factors driving customer satisfaction and present plans to adjust service levels accordingly to bring the satisfaction rating up to an acceptable level.

6.5 The CO/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 at the convenience of the KO.

7. FAILURE TO PERFORM.

7.1 The Contractor may receive deductions or even termination based on failure to perform. The following criteria apply for determining appropriate action:

7.1.1. Notifications. Consistent with FAR Part 49, the KO shall notify the service provider of failure to meet standards through QA monitoring forms, cure notices, or show cause notices and shall inform the service provider project manager or designated alternate of such notices.

7.1.2. The Government has the right to withhold a percentage of payment of the monthly cost for performing particular services based on failure to meet performance standards. The percentage of such withholding is identified in the PRS (TE- 2).

8. PERFORMANCE REQUIREMENTS METRICS.

8.1. The Performance Requirements Summary (PRS) (TE-2) identifies performance-based measures which will be used to monitor Contractor performance.

The NEC will periodically evaluate the Contractor’s performance by appointing a representative(s) to monitor performance to ensure services are received. The NEC representative will evaluate the Contractor’s daily performance through personal dealings and direct inspections of work products and demonstrated knowledge of applicable regulations. The NEC may conduct random and/or periodic inspections and increase the number of quality control inspections if deemed appropriate because of repeated failures discovered during quality control inspections or because of repeated customer complaints. Likewise, the NEC may decrease the number of quality control inspections if performance dictates. The NEC representative shall make final determination of the validity of customer complaint(s).

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

8.2.1. Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements, and

8.2.2. Reduce the contract price to reflect the reduced value of the services performed. Performance scoring will be in accordance with the acceptable quality level (AQL) identified in the PRS (TE-2).

ATTACHMENT I

QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

SURVEILLANCE METHOD (Check): _____ Surveys _____ 100% Inspection _____ Periodic Inspection _____ Customer Input/Feedback

LEVEL OF SURVEILLANCE SELECTED (Check):

_____ Monthly

_____ Quarterly _____ As Needed

ANALYSIS OF RESULTS:

OBSERVED SERVICE PROVIDER PERFORMANCE MEASUREMENT RATE = ______%

SERVICE PROVIDER’S PERFORMANCE (Check): ____ Meets Standards ____ Does Not Meet Standards

NARRATIVE OF PERFORMANCE DURING SURVEY PERIOD:

SIGNATURE: ___________________________ DATE: _____________________

ATTACHMENT II

QUALITY ASSURANCE MONITORING FORM –

CUSTOMER COMPLAINT INVESTIGATION

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

DATE/TIME COMPLAINT RECEIVED: _____________ (MILITARY TIME)

SOURCE OF COMPLAINT: ______________________________ (NAME)

______________________________ (ORGANIZATION)

______________________________ (PHONE NUMBER)

______________________________ (EMAIL ADDRESS)

NATURE OF COMPLAINT:

RESULTS OF COMPLAINT INVESTIGATION:

DATE/TIME SERVICE PROVIDER INFORMED OF COMPLAINT: _____________

(MILITARY TIME)

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER:

RECEIVED AND VALIDATED BY: _________________________________________

PREPARED BY: _______________________ DATE: _____________