Attachment_5_Quality_Assurance_Surveillance_Plan_2_June_16.docx

ATTACHMENT 5: QUALITY ASSURANCE SURVEILLANCE PLAN (DRAFT)

< This template has been developed to assist DHA requiring activities with creating a QASP. The purpose of the QASP is to provide the Government and Contractor with evaluation criteria that determine whether or not the performance standards for a specific contract have been met. IAW FAR 46.401 the QASP should be prepared in conjunction with the preparation of the statement of work. Complete as much development of the QASP as possible before contract award. Since the winning offeror; their key staff; and final performance standards are not known until after award, the QASP will remain in draft form until the contract is awarded.

The draft QASP (including the attached templates for Performance Report and Contract Discrepancy Report) (CDR) will be submitted with the requirement.

Upon contract award, you should finalize the draft QASP. The QASP is a “living document” and the Government may review and revise it as needed. >

For <enter contract title> Contract Number: < upon award, enter contract number> Contract Description: < enter Contract description > Contractor’s name: < upon award, enter Contractor name > (hereafter referred to as the Contractor).

1. PURPOSE. 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.

This QASP does not detail how the Contractor accomplishes the work. Rather, the QASP is created with the premise that 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.

This QASP is a “living document” and the Government may review and revise it on a regular basis to ensure that the QASP remains a valid, useful, and enforceable document. However, the Government will coordinate changes with the Contractor. Copies of the original QASP and revisions will be provided to the Contractor and Government officials implementing surveillance activities.

The following FAR clauses may apply depending on contract type:

< Remove highlighting from applicable clause(s) below. Delete non-applicable clauses. >.

52.246-4 Inspection of Services – Fixed-Price, 52.246-5 Inspection of Services – Cost-Reimbursement, or 52.246-6 Inspection of Services – Time-and-Material and Labor-Hour

2. GOVERNMENT ROLES AND RESPONSIBILITIES:

The following personnel shall oversee and coordinate surveillance activities.

< Do not enter the names or contact information for Government officials until after contract award. >

0. Contracting Officer (KO) - 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 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 address>

0. Contracting Officer’s Representative (COR) – The COR will be located at the Strategic Partnerships Office. The COR will be responsible for technical administration of the contract, and shall assure proper Government surveillance of the contractor’s. 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. A 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 contract price, terms, or conditions to the KO for action.

Assigned COR: <enter name>

3. CONTRACTOR REPRESENTATIVES: The following employees of the contractor serve as the contractor’s Program Manager and/or Task Manager for this contract.

. Program Manager - <upon award, enter name>

. Other Contractor Personnel - <upon award, enter name or delete these lines if not applicable> Title: <enter title>

4. PERFORMANCE STANDARDS:

<Performance-based contracts include either a Performance Work Statement (PWS) created by the Government, or if a statement of objectives (SOO) is used, a government or Contractor developed PWS. The QASP shall cite the same performance objectives and thresholds as stated in the Performance Requirements section of the PWS. If the requirement includes a statement of objectives (SOO), the QASP will be developed after contract award.> Performance standards define desired services. The Government performs surveillance to determine if the contractor exceeds, meets or does not meet these standards.

The Performance Standards are shown in Table 1 below. The Government shall use these standards to determine contractor performance and shall compare contractor performance to the Acceptable Quality Level (AQL).

Table 1. Performance Standards for Outreach Call Center and Support Services for the Defense Centers of Excellence

TASK 1

2.2.1.1

Performance Reporting Positive Past Performance Evaluation

Performance Reporting Positive Past Performance Evaluation

Responses to crisis, urgent, and non-urgent calls.

Positive customer satisfaction survey results at least 85% of time.

Crisis calls will be responded to immediately.

Referral to non-medical counseling and/or non-urgent call within one (1) business day at least 99% of time.

Management Information System

Performance Reporting Positive Past Performance Evaluation

Performance Reporting Positive Past Performance Evaluation

Performance Reporting Positive Past Performance Evaluation

Performance Reporting Positive Past Performance Evaluation

Performance Reporting Positive Past Performance Evaluation

Task 2 2.2.2 Maintenance and updating of the DCoE Resource Database (Deliverable 19).

Performance Reporting Positive Past Performance Evaluation

Task 3 2.2.3

Performance Reporting Positive Past Performance Evaluation

Task 4 2.2.4.1

Maintain and update Cross Grid on DCoE Share Point

Performance Reporting Positive Past Performance Evaluation

Manage meeting minutes

Progress or Status meetings Positive Past Performance Evaluation

Coordinate Adobe Connect/call in phone line Contact participants via email/outlook calendar reminder Manage Chaplain Working Group email/contact list Manage Chaplain Working Group minutes

DoD has a zero tolerance policy for human trafficking. As the COR monitors the contractor and its employees, CTIP should rank among the COR’s chief priorities. CORs should not personally investigate suspected incidents of TIP, but should forward all reported or suspected violations to the contracting officer immediately

Method Incentive

Has the contractor informed its employees of the U.S government’s zero tolerance TIP policy, including information employees about the actions that will be taken against tem for violations of this policy?

FAR Subpart 52.222-50, Para (c)(10

Has the contractor informed the COR about any information it receives that alleges a contractor employee or subcontractor employee has engaged in conduct violating the TIP policy?

FAR Subpart 52.222-50(d)(1)

Has the contractor informed the contracting officer about any actions taken against contractors, or subcontractor employees pursuant to TIP policy?

FAR Subpart 52.222-50(d)(2)

5. INCENTIVES.

The Government will use <insert incentive fee, past performance, or other method> as incentives. Incentives will be based on exceeding, meeting, or not meeting performance standards. Information about incentives can be found in <insert section or paragraph> of the contract.

6. METHODS OF QA SURVEILLANCE.

< After contract award, the contracting Officer’s Representative (COR) will need to review the Performance Standards Summary Matrix in the contract to determine if the selected monitoring methods are appropriate to monitor each performance standard. Within a QASP, multiple surveillance methods may be used. The method for any given task will depend on the performance standard and Acceptable Quality Level (AQL). >

Various methods exist to monitor performance. The COR will use the surveillance methods listed below in the administration of this QASP.

Regardless of the surveillance method, the COR will contact the Contractor's task manager or on-site representative when a defect is identified and inform the manager of the specifics of the problem. The COR, with assistance from the AM, will be responsible for monitoring the Contractor’s performance in meeting a specific performance standard/AQL.

< Place the performance standard(s) after the description of the method. Delete any methods that are not required.>

a. DIRECT OBSERVATION. (Can be performed periodically or through 100% surveillance.)

<Insert performance standard(s) or delete this method.>

b. MANAGEMENT INFORMATION SYSTEMS (MIS). (Evaluates outputs through the use of management information reports. Best used for general surveillance and may need to be supplemented by periodic inspections.)

<Insert performance standard(s) or delete this method.>

c. PERIODIC INSPECTION. (Uses a comprehensive evaluation of selected outputs. Inspections may be scheduled [Daily, Weekly, Monthly, Quarterly, or annually] or unscheduled, as required.)

<Insert performance standard(s) or delete this method.>

d. USER SURVEY. (Combines elements of validated user complaints and random sampling. Random survey is conducted to solicit user satisfaction. Appropriate for high quantity activities that have historically been satisfactory. May also generate periodic and 100% inspections.)

<Insert performance standard(s) or delete this method.>

e. VALIDATED USER/CUSTOMER COMPLAINTS. (Relies on the user of the service to identify deficiencies. Complaints are then investigated and validated. Highly applicable to services provided in quantity and where quality is highly subjective.)

<Insert performance standard(s) or delete this method.>

f. 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.)

<Insert performance standard(s) or delete this method.>

g. PERIODIC SAMPLING. (Variation of random sampling. However, sample is only taken when a deficiency is suspected. Good follow-up to MIS analysis. Sample results are applicable only for the specific work inspected. Since sample is not entirely random, it cannot be applied to total activity performance.)

<Insert performance standard(s) or delete this method.>

h. RANDOM SAMPLING. (Designed to evaluate the outputs of the award requirement by randomly selecting and inspecting a statistically significant sample. Highly recommended for large quantity repetitive activities with objective and measurable quality attributes.)

<Insert performance standard(s) or delete this method.>

i. Progress or status meetings.

<Insert performance standard(s) or delete this method.>

j. Analysis of Contractor's progress reports. (Evaluate cost, schedule, etc.)

<Insert performance standard(s) or delete this method.>

k. Performance reporting. (Evaluate metrics for a specific time period. Develop metrics or use metrics found in MIS.)

<Insert performance standard(s) or delete this method.>

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.

7. RATINGS.

Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level. A rating scale shall be used to determine a positive, neutral, or negative outcome. The following ratings shall be used:

<State the method(s) that shall be used and delete other methods. Relate the method you select to one or more performance standards. The rating method may depend on the monitoring techniques you select. One rating method may be used for all standards or multiple methods may be used. Examples are shown below. However, other rating scales are acceptable and may be used. >

Example 1:

Example 2:

<A numerical scale with numbers 1 through 10 where 1 is poor and 10 is excellent.>

8. DOCUMENTING PERFORMANCE.

<Documentation must be accurate and thorough. Completeness, currency, and accuracy support both satisfactory and unsatisfactory performance.>

a. ACCEPTABLE PERFORMANCE.

The Government will document positive performance. A report template is attached. Any report may become a part of the supporting documentation for fixed fee payments, incentive fee payments, or other actions.

b. UNACCEPTABLE PERFORMANCE.

When unacceptable performance occurs, the COR will inform the Contractor. This will normally be in writing unless circumstances necessitate verbal communication. In any case the COR will document the discussion and place it in the COR file.

When the COR determines formal written communication is required, the COR will prepare a Contract Discrepancy Report (CDR), and present it to the Contractor's task manager or on-site representative. A CDR template is attached to this QASP.

The Contractor will acknowledge receipt of the CDR in writing. The CDR will specify if the Contractor is required to prepare a corrective action plan to document how the Contractor shall correct the unacceptable performance and avoid a recurrence. The CDR will also state how long after receipt the Contractor has to present this corrective action plan to the COR. The Government shall review the Contractor's corrective action plan to determine acceptability.

Any CDRs may become a part of the supporting documentation for contract payment deductions, fixed fee deductions, incentive fee nonpayment, or other actions deemed necessary by the KO.

9. FREQUENCY OF MEASUREMENT.

a. Frequency of Measurement.

During contract/order performance, the COR will take periodic measurements, <enter how often> as specified in the AQL column of the Performance Standards Summary Matrix, and shall analyze whether the negotiated frequency of measurement is appropriate for the work being performed.

<It may help if the Government prepares a work sheet with a schedule. This work sheet is for Government use only and is not to be shared with the Contractor.>

b. Frequency of Performance Assessment Meetings.

The COR will meet with the Contractor <enter how often> to assess performance and will provide a written assessment.

<The incentive plan may determine the frequency of performance assessment meetings. COR must review the contract to determine if it includes incentives. If only past performance information is required, state when you will provide interim assessments (if required) or a final assessment. For an incentive fee plan, state the frequency you will provide cost information. For other fee plans, state the frequency and type of information you will provide.>

Prepared by: <Enter name>

Signature – Contracting Officer’s Representative

PERFORMANCE REPORT

< This template will be used to formally document surveillance. >

1. CONTRACT NUMBER: <insert number>

2. PREPARED BY: (Name of COR) <insert name>

3. DATE (and time observed discrepancy):

4. OBSERVATION:

<Examples of items to include in a report are:

- Method of surveillance.

- How frequently you conducted surveillance.

- Surveillance results.

- Number of observations.>

Prepared by: <Enter COR’s name>

CONTRACT DISCREPANCY REPORT (CDR)

< This template will be used to formally document discrepancies. >

1. Contract Number: < insert number >

2. TO: (Contractor Task Manager or on-site representative) < insert name >

3. FROM: (Name of COR) < insert name >

4. DATE (and time observed discrepancy):

5. DISCREPANCY OR PROBLEM: < Describe in detail. Identify any attachments. >

6. CORRECTIVE ACTION PLAN: A written corrective action plan < is / is not > required.

< If a written corrective action plan is required include the following. > The written Corrective Action Plan will be provided to the undersigned not later than < # days after receipt of this

CDR. >

Prepared by: < Enter COR’s name >

Received by:

< The COR may initiate a CDR at any time, including whenever the number of monthly recorded defects for a performance standard exceeds the allowable number of defects; anytime unacceptable performance is determined critical in nature and requires formal corrective action; and whenever an unfavorable trend is detected in contractor performance. >