J3_AFS_Quality_Assurance_Surveillance_Plan.pdf

Contract Number

APPENDIX E

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

Army Financial Statements

Reviewed By:

Anitra Morrison Director, Financial Reporting Directorate Requiring Activity

Sabrinna Cosom Contracting Officer

QUALITY ASSURANCE SURVEILLANCE PLAN

FOR

Army Financial Statements

1.0 INTRODUCTION. This Quality Assurance Surveillance Plan (QASP) for the Army

Financial Statements contract is to describe the plan the Army will use to ensure the contractor’s performance meets the baseline established by the contract in terms of technical requirements, schedules and quality. This plan provides the basis for the Contracting Officer’s Representative (COR) to evaluate the contractor’s performance.

1.1. Purpose. The role of the government in quality assurance is to ensure contract standards are achieved. The purpose of the QASP is to identify the methods and procedures the government will use to evaluate contractor actions while performing the requirements in the Performance Work Statement (PWS). It is designed to provide an effective surveillance method by monitoring contractor performance for each listed performance objective in the Performance Requirements Summary of the Army Financial Statements contract.

1.1.1. The QASP provides a systematic method to evaluate the services the contractor is required to furnish. The QASP is based on the premise the government desires to maintain a quality standard for the Army Financial Statements and that a service contract is the best means of achieving that objective.

1.1.2. The QASP has been developed by the requiring activity. It is designed to provide direction to personnel performing contract surveillance activities. Personnel surveying the contract terms and conditions and PWS requirements will periodically review the QASP throughout the life of the contract.

2.0. ROLES AND RESPONSIBILITIES.

2.1. Contracting Officer Representative (COR). The COR is responsible for quality assurance guidance and to ensure that contract quality requirements, provision, standards, and thresholds are defined, practical, enforceable, necessary, and verifiable.

2.1.1. The COR evaluates and documents contractor performance in accordance with the QASP and PWS.

2.1.2. The COR notifies the Contracting Officer of any significant performance deficiencies.

2.1.3. The COR maintains surveillance documentation

2.1.4. The COR recommends improvements to the QASP and PWS throughout the life of the contract.

2.2. Contracting Officer (KO). The Contracting Officer is responsible to safeguard the interests of the United States in contractual relationships. Only the contracting officer is authorized to bind the government and then, only to the extent of the authority delegated to them through the issuance of a warrant.

2.2.1. The KO delegates authority for inspection and/or acceptance in accordance with terms of the contract.

2.2.2. The KO informs the contractor of the names, duties, and limitations of authority for all quality assurance personnel assigned to the contract.

3.0. DESCRIPTION OF SERVICES

3.1. Scope of Work. The contractor shall provide all personnel, equipment, tools, materials, vehicles, supervision, and other items necessary to provide Army Financial Statements as defined in the Performance Work Statement (PWS).

3.1.2 Contractor personnel on the team shall complete required Information Assurance and OPSEC training.

4.0. QUALITY REQUIREMENTS

4.1. Quality Control Program. The contractor, not the government, is responsible for management and quality control actions to meet the terms of the contract.

4.1.2 The quality control program is the driver for quality. The contractor is required to develop a comprehensive program of inspections and monitoring actions. The first major step to ensuring a “self-correcting” contract is to ensure that the quality control program, approved at the beginning of the contract, provides the measures needed to lead the contractor to success.

4.1.3 Once the quality control program is accepted, careful application of the process and standards presented in the remainder of this document will ensure a robust quality assurance program.

5.0. SURVEILLANCE

5.1. Surveillance Schedule. The Contracting Officer Representative (COR) will develop a surveillance schedule. Copies of the schedule shall be sent to the contract administrator five calendar days prior to the start of the month. The schedule shall be marked “FOR OFFICIAL USE ONLY”. Changes to the surveillance schedule will be posted and copies sent to the contract administrator. Include documentation regarding reason for changes.

5.1. Surveillance Methods. This QASP will incorporate customer complaint and periodic surveillance as the approach to insure the contractor complies with the PWS requirements. Reperformance is the preferred method of correcting any unacceptable performance.

5.1.1. Customer Complaint. Anyone who observes unacceptable services, either incomplete or not performed, should immediately contact the COR. The COR should inform the customer the approximate time the defect will be corrected and advise the customer to contact the COR if the defect is not corrected. The COR will consider the customer complaint resolved unless notified otherwise by the customer.

5.1.2. The COR will conduct an investigation to determine the validity of the complaint.

If the COR determines the complaint to be valid, the COR will document the findings and notify the customer and the contractor. The COR will retain the annotated copy of the written complaint for the government’s files. If the complaint is valid, the contractor will be given four hours to correct the defect.

5.1.3. The contractor shall return the written customer complaint document to the COR, completed with the actions taken to correct the defect. The government will retain this document to ensure the contractor has taken appropriate action(s) to prevent the recurrence of defects. The COR will retain and file the complaint form. At the end of each month, all validated complaints will be counted to determine if performance is satisfactory or unsatisfactory based on the criteria in the Performance Requirements Summary.

5.1.4. Random Sampling. Initially the COR will evaluate randomly selected samples of the activity to determine the acceptability of the entire requirement. This method of surveillance reduces the time the COR must spend on surveillance duties, and yet it still gives a reasonably accurate picture of a service’s overall acceptability. Random Sampling is statistically based and assumes the government receives acceptable performance by the contractor if a given percentage or number of scheduled inspections are found to be acceptable.

5.1.5. Surveillance Team. The surveillance team consists of the following key players:

Contracting Officer Representative, Contracting Officers, and Contract Administrators.

6. DOCUMENTATION REQUIREMENTS.

6.1.1. The Contracting Officer Representative is responsible for maintaining a Surveillance Folder at a designated location. The following information should be contained in the Surveillance Folder:

6.1.2. QASP

6.1.3. Contractor’s Quality Control Plan

6.1.4. Activity Log. A chronological log of the actions taken in the accomplishment of quality assurance.

6.1.5. Contract. Applicable portions of the contract and PWS, modifications, and delivery orders.

6.1.6. Appointment Letters and Training Certificates of the COR

6.1.7. Certification of Services Documentation

6.1.8. Surveillance Checklists

6.1.9. Quality Assurance Surveillance Schedules

6.1.10. Corrective Action Request Log

6.1.11. Corrective Action Requests

6.1.12. Monthly Surveillance Status Reports

6.1.13. Minutes/Memo’s/Miscellaneous Correspondence

SECTION 7

PERFORMANCE REQUIREMENTS SUMMARY (PRS)

7.1 Overview. This PRS summary identifies critical success factors for the contract. It identifies both the performance objectives for those factors and the performance threshold required for each performance objective. The Government reserves the right to surveil all services called for in the contract to determine whether or not the performance objectives and goals were met. This PRS;

7.1.1 Lists the performance objectives for the required service that the Government will surveil.

7.1.2 The absence of any contract requirement from the PRS shall not detract from its enforceability nor limit the rights or remedies of the Government under any other provision of the contract including the clauses entitled “Inspection of Services” and “Default”.

7.1.3 Will be used as the baseline to develop a QASP. The QASP will identify the surveillance methods the Government will use to evaluate the contractor’s performance.

7.1.3.1Surveillance methods may include: periodic inspections and customer complaints.

7.1.3.2Methods of surveillance can change after contract award based on, but not limited to:

a. Acceptance of a contractor QC plan.

b. A partnering agreement which established the metrics to be used.

c. Contractor performance.

7.2 Performance Evaluation. Performance of a service will be evaluated to determine whether or not it meets the performance threshold. Re-performance is the preferred method of correcting any unacceptable performance. The contractor shall provide the Government written response why the performance threshold was not met, how performance will be returned to acceptable levels, and how recurrence of the cause will be prevented in the future.

7.3. Performance Requirements Summary

Performance Objective

Standard Performance

Threshold

Method of Surveillance

PRS #1 Contractor shall provide professional quality financial statements within time frames specified by OSD and OMB

PWS Para #s 5.1 – 5.1.4.12

Compliance with COR guidance and deadlines

Zero deviation from standard

Periodic surveillance by COR

PRS #2 Contractor shall Assist SMEs with financial and operational system issues affecting the financial statements.

PWS Para # 5.2

Compliance with COR guidance and deadlines

Zero deviation from standard

Periodic surveillance by COR

PRS #3 Contractor shall perform accurate and timely accounting data analysis

PWS Para # 5.3 -5.3.7.2

Compliance with COR guidance and deadlines

Zero deviation from standard

Periodic surveillance by COR

PRS # 4 Contractor shall provide advice and assistance during Mock year end and year end closing activities.

PWS Para #s 5.4

Compliance with COR guidance and deadlines

Zero deviation from standard

Periodic surveillance by COR

PRS #5 Contractor shall provide weekly and monthly status reports.

PWS Para #s 5.5 – 5.5.3

Compliance with COR guidance and deadlines

Zero deviation from standard

Periodic surveillance by COR & contractor performance

PRS #6 Contractor shall provide evidence staff has completed IA Awareness OPSEC training within 30 days of being assigned to the contract.

PWS Para #s 1.6.6

Compliance with COR guidance and deadlines establishing requirement in the PWS

Zero deviation from standard

Periodic surveillance by COR

PRS #1

PERFORMANCE OBJECTIVE (Service):

PERFORMANCE THRESHOLD (Standard):.

SURVEILLANCE:

LOT SIZE:

PROCEDURES:

FAILURE TO PERFORM: