A01_-_Quality_Assurance_Surveillance_Plan_(QASP).pdf

“Source Selection Information – See FAR 2.101 and FAR 3.104”

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

“LOCKSMITH SERVICES”

CONTRACT #W911QY-16-X-XXXX

1. INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is developed for the Naval Health Research Center

(NHRC) to provide Locksmith Services under the subject contract Performance Work Statement (PWS).

2. PURPOSE

A. This QASP is a Government-developed and applied document to be used for this contract to ensure that systematic quality assurance methods are used in the performance and administration of the PWS as included in the contract. The intent is to ensure that the Contractor performs in accordance with performance metrics set forth in the contract documents. The Government’s QASP and the

Contractor’s Quality Control Plan (QCP) work together to ensure project performance standards are met. It is needed to ensure the Government receives the quality of service called for under the contract, and pays only for the acceptable level of service received.

B. The QASP details how and when the Government will survey, observe, test, sample, evaluate, and document Contractor performance according to the PWS. This can range from a one-time inspection of a product or service to periodic in-process inspections of on-going product or service delivery.

C. To maximize the benefit and effectiveness of the QASP as a contract administration tool, it must be used as a living document. The QASP must be revised to address the specific approach used by the selected Contractor, and the risks associated with that unique approach. The QASP should be periodically reviewed by the Contracting Officer (KO) and the Contracting Officer’s Representative

(COR) throughout contract performance, and updated as substantive changes to the contract requirements, performance or contract surveillance approaches occur.

D. The QASP is intended to accomplish the following:

What will be monitored

How monitoring will take place

Who will conduct the monitoring

How monitoring efforts and results will be documented

3. AUTHORITY

Authority for issuance of the QASP is provided under FAR Subpart 46.401(a). Contract Section E ---

Inspection and Acceptance (for commercial acquisitions, in accordance with FAR 52.212-4), provides for inspections and acceptance of the articles, services and documentation called for in the contract, and this action is accomplished by the Contracting Officer or his/her duly authorized representative COR.

4. SCOPE

A. To fully understand the roles and responsibilities of the parties, it is important to first define the distinction between Quality Control Plan (QCP) and the Quality Assurance Surveillance Plan. The

Contractor, and not the Government, is responsible for management and quality control actions necessary to meet the quality standards set forth by the contract. The Contractor develops and submits his QCP for Government approval in compliance with his contract deliverables. Once accepted, the

Contractor then uses the QCP to guide and to rigorously document the implementation of the required management and quality control actions to achieve the specified results.

B. The QASP on the other hand, is put in place to provide Government surveillance oversight of the

Contractor’s quality control efforts to assure that they are timely, effective, and deliver the results specified in the task order. The Government may provide the Contractor an information copy of the

QASP as an Attachment to the solicitation to support the Contractor’s efforts in developing a QCP that will interrelate with the Government’s QASP.

5. GOVERNMENT RESOURCES

The following definitions for Government resources are applicable to this QASP:

CONTRACTING OFFICER (KO) – A person duly appointed with the authority to enter into, administer, or terminate contracts and make related determinations and findings on behalf of the Government.

CONTRACTING OFFICER’S REPRESENTATIVE (COR) – An individual designated in writing by the

KO to act as his/her authorized representative to assist in contract administration. The COR’s duties and limitations are specified in the written letter of designation.

6. ROLES AND RESPONSIBILITIES OF GOVERNMENT OFFICIALS

A. CONTRACTING OFFICER / ADMINISTRATIVE CONTRACTING OFFICER (KO/ACO) – The

Contracting Officer/Administrative 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 KO/ACO who assures that the

Contractor receives impartial, fair and equitable treatment under the contract. Reviewing the COR’s assessment of the Contractor’s performance and resolving any differences between the COR’s version and the Contractor’s version. The KO/ACO is ultimately responsible for the final determination of the adequacy of the Contractor’s performance. Ensure the Contractor’s compliance with contract provisions and determine the appropriate course of action when performance problems occur. The

KO/ACO will also be responsible for monitoring the Contractor’s performance in the areas of compliance, contract administration, cost control, and property control.

B. 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 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 the contract, price, terms, or conditions shall be referred to the Contracting Officer for action. A letter of designation will be issued to the COR with a copy supplied to the Contractor, stating the responsibilities and limitations of the COR.

C. CONTRACTOR – The Contractor is responsible for delivering products or services in accordance with the Contract. The Contractor is responsible for implementing a Quality Control Plan (QCP), which is included as part of its technical proposal. The QCP describes the Contractor’s methods for ensuring all products and services provided under this Contract meet established deliverables and performance standards. The Contractor is responsible for producing, maintaining, and providing for audit, quality control records and reports and all records associated with the investigation. The Contractor shall appoint a single off-site quality control point-of-contact to act as a central recipient of communication from the Government. Any additional reports required by the Government on the total contract-level will be on an ‘ad-hoc’ basis.

7. METHODS OF SURVEILLANCE

The methods of surveillance listed below may be used in the administration of this QASP. In addition to specific instructions that may be mentioned, the appropriate and standardized form that is to be used for documentation of QA surveillance is the Surveillance Activity Checklist (SAC), included as Attachment

A to this QASP.

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

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

PERIODIC INSPECTION: Uses a comprehensive evaluation of selected outputs.

Inspections may be scheduled as required.

A. Analysis of Contractor’s Progress Reports. (Evaluate cost, schedule, etc.)

B. Performance Reporting.

8. EVALUATION PROCEDURES

A. The COR has a primary function to evaluate the performance of the Contractor. In order for evaluations to be conducted in an efficient and accurate manner, and minimize the opportunity for a dispute, it is very important the COR follow certain procedures when scheduling, conducting and documenting inspections.

B. As a minimum, the Evaluation Worksheet should contain the PWS reference, location, and date of the inspection. Regardless of how the evaluation is conducted, the Evaluation Worksheet should be completed during or immediately after the inspection. A clearly written record of the findings is the

Government’s primary evidence in the event of a dispute.

C. At the end of the evaluation period, the Quality Assurance Evaluator (QAE) should summarize all the information on the Evaluation Worksheets and determine the total number of deficiencies for each required service. Any performance not in conformance with standards will be classified as a defect.

9. CONTRACT QUALITY REQUIREMENTS:

Contract quality requirements are the technical requirements in the contract relating to the quality of the product or service and those contract clauses prescribing inspection, and other quality controls incumbent on the Contractor, to assure that the product or service conforms to the contractual requirements.

Government contract quality assurance shall be performed at such times and places as may be necessary to determine that the supplies or services conform to the contract requirements. Failure to meet or exceed the contract quality requirements is defined as a “Nonconformance” on the part of the Contractor. The

Contractor shall be held responsible for any identified nonconformance, and the Government may require the work to be re-performed.

The Government’s Contract Quality Assurance is defined as follows:

A. “Acceptance” means the act of an authorized representative of the Government by which the

Government, for itself or as agent of another, approves specific services rendered as partial or complete performance of the contract.

B. “Conditional Acceptance” means acceptance of services that do not conform to contract quality requirements, or are otherwise incomplete, that the Contractor is required to correct or otherwise complete by a specified date.

C. “Minor Nonconformance” means a nonconformance that is not likely to materially reduce the usability of services for their intended purpose, or is a departure from established standards having little bearing on the effective use of the services.

D. “Major Nonconformance” means a nonconformance, other than critical, that is likely to result in failure of the services, or to materially reduce the usability of the services for their intended purpose.

E. “Critical Nonconformance” means a nonconformance that is likely to prevent performance of a vital agency mission.

10. REMEDIAL ACTION:

If nonconforming services are discovered after acceptance and the defect appears to be the fault of the

Contractor and there are no other contractual remedies, the contracting officer:

A. Shall notify the Contractor in writing of the nonconforming service;

B. Shall request that the Contractor perform the service, at no cost to the Government;

C. May accept consideration if offered. For guidance on solicitation of a refund, see Subpart 242.71. In accordance with FAR 52.246-4: Inspection of Services-Fixed- Price, the Government may require the

Contractor to re-perform any services that do not conform to contract requirements. If the defects cannot be corrected by re-performance, the KO may either require the Contractor to take the necessary action to ensure that future performance conforms to the requirements or the KO may reduce the Contract price to reflect the reduced value of the services performed. The KO will determine the penalty for nonconformance based upon his or her judgment and the severity of the nonconformance.

ATTACHMENT A

SURVEILLANCE ACTIVITY CHECKLIST

DA FORM 5476, MARCH 2008

CONTRACT

REQUIREMEMT

PERFORMANCE

STANDARD

PERFORMANCE

THRESHOLD

METHOD OF

SURVEILLANCE COMPLIANCE

Provide a plan to transition to a new unified master and control key system from the current ciper lock system; the

Stanley Omnilock

2000.

Contract requirements met with few minor and no significant problems encountered.

Within the Period of Performance

Direct Observation 100% Compliance - If below

Performance Threshold, re-perform at no additional cost to become compliant

Repair, re-key and/ or replace broken or inoperative locks, and associated hardware on existing locks.

Contract requirements met with few minor and

Direct Observation 100% Compliance - If below

Performance Threshold, re-perform at no additional cost to become compliant

Installation of new locks and associated hardware.

Contract requirements met with few minor and no significant problems encountered.

Within the Period of Performance

Direct Observation 100% Compliance - If below

Performance Threshold, re-perform at no additional cost to become compliant.

Key duplication. Contract requirements met with few minor and no significant problems encountered.

Within the Period of Performance

Direct Observation 100% Compliance - If below

Performance Threshold, re-perform at no additional cost to become compliant.

Onsite troubleshooting, and

Troubleshooting of card access and cipher lock systems and components.

Contract requirements met with few minor and

Direct Observation 100% Compliance - If below

Performance Threshold, re-perform at no additional cost to become compliant

Servicing of filing cabinets, safes and desks locks.

Contract requirements met with few minor and no significant problems encountered.

Within the Period of Performance

Direct Observation 100% Compliance - If below

Performance Threshold, re-perform at no additional cost to become compliant

Installation of new card access and cipher lock system software, encoders and terminals, new lock sets, door cores, handle sets, deadbolt and associated hardware.

Contract requirements met with few minor and

Direct Observation 100% Compliance - If below

Performance Threshold, re-perform at no additional cost to become compliant

Maintain working order of panic hardware, and push button mechanical locks, cipher locks, card access systems and other locks.

Contract requirements met with few minor and

Direct Observation 100% Compliance - If below

Performance Threshold, re-perform at no additional cost to become compliant

Contractor shall have a 24 hour response time for service requests.

Contract requirements met with few minor and no significant problems encountered.

Within the Period of Performance

Direct Observation 100% Compliance - If below

Performance Threshold, re-perform at no additional cost to become compliant

ATTACHMENT B:

QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

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:

PREPARED BY: ___________________________________ DATE: _________________