Section J.1 Attachment 2- Quality AssuranceSurveillance Plan
Quality Assurance Surveillance Plan (QASP)
For
U.S. House of Representatives Child Care Center (HCCC)
Catered Meals Contract
Contract TBD
October 30, 2017
1.0Introduction
1.1 Background
The Chief Administrative Officer (CAO) for the U.S. House of Representatives (House), provides finance, information technology, cyber security, procurement, logistics, and human resource services to the community of 10,000 House Members, Officers and staff. One such service provided by the CAOis quality Child Care Services to Members, Staff and Support Staff. The Contractor shall provide healthy and nutritious catered meals and snacks five days a week, to all children enrolled at the HCCC. All food must meet the United States Department of Agriculture (USDA) guidelines for children as well as addressing the deliverables stated in Section C.3 titled “Statement of Work” The Government shall have an organization in place to monitor the efforts of the Contractor, and monitor and evaluate the performance of the Contractor.
1.2 Purpose
The purpose of Quality Assurance (QA) is to measure and determine contract compliance of the quality and quantity of goods and services purchased from a Contractor. A written Quality Assurance Surveillance Plan (QASP) has been designed to aid the Contracting Officer’s Representative (COR) and Alternate (ACOR) in providing effective surveillance of services. This plan provides for monitoring and evaluating all contract requirements through a combination of devices such as Inspection Checklists and Random Sampling.
1.3 Revisions to the QASP
The QASP is a tool for use in Government administration of the performance work statement (PWS) and remains subject to revision at any time by the Government throughout the Contract performance period. Revisions to this surveillance plan are the responsibility of the Government. Changes may be made unilaterally and need not be announced to the Contractor; the Government may provide informational copies to the Contractor at its option.
1.4 QASP Relation to the Quality Assurance Plan (QAP)
The QAP is a required element of the contractor’s technical proposal in response to the solicitation. While the QAP represents the way in which the Contractor will ensure its quality and timeliness of services, the QASP represents the way in which the Government will evaluate the contractor’s performance.
2.0 QUALITY Assurance Program Management
2.1 Overview
This section focuses on the roles and responsibilities of the major stakeholders of the Quality Assurance (QA) process, the management of the QA program, and the QA processes and procedures that occur as part of the QA program.
2.2 Roles and Responsibilities
2.2.1 Key Stakeholders
Key personnel responsible for QA include the Contracting Officer (CO), Contract Specialist (CS), the Contracting Officer’s Representative (COR), andAlternate Contracting Officer’s Representative (ACOR). Their responsibilities, along with those of the Contractor, are described below.
2.2.2 Alternate Contracting Officer’s Representative (ACOR)
The ACOR shall act as the Contracting Officer’s Representative (COR) when the COR is not available to fulfill his or her duties.
2.2.3 Contracting Officer (CO)
The CO supports steps taken for ensuring Government and Contractorare in compliance with the terms and conditions of the Contract. The CO serves as the official agent with the authority to modify and interpret the Contract with the Contractor. The CO relies on the CS, COR, ACOR and other functional experts to provide information and recommendations regarding the Contractor’s performance. While the CO may delegate many of the day-to-day contractual administration duties to the COR/ACOR, certain contractual actions are retained as the sole purview of the CO, including: certification of invoices for payment, negotiation and issuance of contract modifications, issuance of Contractor Contract Deficiency Reports, issuance of “show cause” letters, issuance of “Letters of Concern”, termination of the Contract, contract closeout, and resolution of Contractor claims and disputes.
2.2.4 Contracting Officer’s Representative (COR)
An individual designated in writing by the Contracting Officer to act as his/her authorized representative to assist in administering a contract. The source and authority for a COR/ACOR is the Contracting Officer. The COR/ACOR has the right to inspect and test all services called for by the contract at all times and places during the term of the contract. The COR shall perform quality assurance reviews and tests in a manner that will not delay or impede the Contractor's work.COR/ACOR limitations are contained in the written appointment letter. COR/ACOR are the front line staff responsible for obtaining performance data and monitoring the Contractor’s performance on a day-to-day basis. COR/ACOR serve a key role in determining if the Contractor is fulfilling its contractual obligations. COR/ACOR are expected to hold the Contractor to the highest possible performance standards, while recognizing that unforeseen and uncontrollable problems do occur. COR/ACOR are expected to be objective and consistent in evaluating Contractor performance against Performance Measures (PMs) and other contractual requirements. COR/ACOR play a key role in contract administration by serving as the eyes and ears of the contract, CO and CS. Some of the key contract administration duties of COR/ACOR include:
- Conducting surveillance and completing and submitting inspection checklists, evaluation worksheets and other documents;
- Providing recommendations assessing Contractor performance to the CO for issuance of memos of commendation, and Contract Deficiency Reports
- Serving as subject matter experts; and
- Making recommendations for potential changes to performance measures.
CORs and ACORs possess no authority to allow the Contractor to deviate from contract requirements. CORs and ACORs also have no authority to direct or interfere with the methods of performance by the Contractor or to issue modifications directly to any Contractor personnel.
CORs and ACORs must have expertise in their areas of responsibility and have complete knowledge of the performance measure methodologies, reporting procedures, PMs, and standard facility operations.
2.2.5 Contractor
The Contractor is expected to cooperate with all activities associated with assessing its performance, as stated in Appendix A, and respond promptly to direction provided by the CO. This QASP is based on the premise that the Contractor, not the Government, is responsible for the management and quality control actions to meet the terms of the contract. The Performance Requirements recognize that the contractor is not a perfect manager and that the unforeseen and uncontrollable problems do occur. Good management and use of an adequate quality control plan will allow the contractor to operate within specified performance requirements. COR/ACOR are to be objective, fair and consistent in evaluating contractor performance against the standards.
2.2.6 Contracts Specialist
Shall assist the Contracting Officer fulfill is their contractual obligation but does not have signing authority to executecontractual actions that are retained as the sole purview of the CO, including: certification of invoices for payment, negotiation and issuance of contract modifications, issuance of Contractor Contract Deficiency Reports, issuance of “show cause” letters, issuance of “Letters of Concern”, termination of the Contract, contract closeout, and resolution of Contractor claims and disputes.
3.0 Management of Quality Assurance Program
QA program management encompasses a range of responsibilities, including: prioritizing surveillance, managing resources, scheduling surveillance, auditing performance findings, and resolving performance reporting discrepancies between the Contractor and the Government. This section provides guidance for each of these responsibilities.
3.1 Surveillance
Each inspection made by the COR/ACOR will be documented and filed with a copy given to Contractor for further reference, audit, and proof of inspection.
3.1.1 Prioritizing Surveillance
The CAO may adjust the intensity of its surveillance depending on its level of satisfaction with the Contractor’s performance.Decreased surveillance may include a change in surveillance method or surveillance frequency. Increased surveillance represents the highest level of surveillance and may include such methods and techniques as 100% inspection.The Government’s use of increased surveillance generally results from a disparity between the findings of the Government’s QA and the Contractors QC regarding the Contractors performance. Surveillance may also be increased because the Contractor fails to meet the required performance levels, as stated in Appendix A, or because of changes in the operational environment due to newly introduced Contract procedures or processes, or other activities disrupting the status quo.
3.1.2 Monitoring Contractor Performance
COR/ACORs continuously document and report Contract performance to the CS, who is responsible for addressing any performance-related issues. These issues may include a failure by the Contractor to perform services in accordance with Government Directives, a failure by Contractor to meet PMs, or a failure by the Contractor to meet other contractual obligations.
4.0 Surveillance Guidelines
4.1 Surveillance Methods and Analysis Tools
The CO/CS/COR/ACOR will select the appropriate surveillance methods and analysis tools with which to monitor performance. In order to choose the appropriate methods, the CO/CS/COR/ACOR will develop a surveillance plan and select from a number of potential types of surveillance including: direct observation, sampling, periodic inspection, 100% inspection, and unscheduled inspections.
Surveillance planning activities provide structure and direction for COR/ACORs. The following bullets represent the steps and sequencing for surveillance planning:
- Obtain performance measure results from the Contractor where applicable;
- List known problem areas detected by previous surveillance;
- Obtain all information required to conduct surveillance;
- Identify performance requirements not associated with performance measures;
- List special projects or surveillance assignments;
- Determine the priority of each activity
4.3 Types of Surveillance
COR/ACORs may use surveillance and inspection methods not limited to direct observation, random or periodic sampling, 100% inspection, and unscheduled inspections to monitor performance. Surveillance methods should be chosen and implemented with the goal of minimizing intrusive and disruption. In accordance with Section E.1 Inspection and Acceptance, Part (c), the COR has the right to inspect and test all services called for by the contract at all times and places during the term of the contract.
4.3.1 Direct Observation
Direct observation is designed to evaluate support services through careful, direct examination of activities to determine whether services conform to contract requirements.
4.3.2 Random Sampling
Random sampling is a QA method designed to evaluate some, but not all, occurrences of a specific contract requirement. Essentially, all occurrences of a service performed are assumed to be equally important. Random sampling should be used for large quantity, repetitive activities. There are several advantages of random sampling including:
results are objective and defensible; not subject to questions of bias; can be more accurate than an examination of every item in a large population (this is true where the volume and tediousness of the data under review can lead to errors of omission or fact);saves time and money (frequently, a sample may include fewer items than a fixed percentage sample); and,minimizes the potential that any QAE will affect the specific occurrences selected for evaluation.
4.3.2 Planned Sampling
Planned sampling is a more subjective process than random sampling. It is designed to inspect some, but not all, of the monitored services. Planned sampling differs from random sampling in the way in which samples are selected. Specific occurrences of contract requirements that are to be inspected are selected for evaluation prior to their scheduled accomplishment. COR/ACORs are able to monitor efforts in those areas where inspection is most needed. Planned sampling provides a less systematic way of looking at service output and forming conclusions about the Contractor’s level of performance than random sampling. It can provide a onetime subjective evaluation of the Contractor’s performance, or it can be used to detect a change in the Contractor’s level of performance (e.g., trend analysis). Planned sampling requires that the sample selection criteria be well documented and consistently applied and that there are no intervening factors when looking at performance changes over time.
4.3.3 100% Inspection
One-hundred percent inspection requires that every occurrence of a performed service is inspected. These inspections may be used for requirements that are critical or where there is some reason for suspecting that the performance standard is not being met and should be more closely monitored. One-hundred percent inspection may also be used for monitoring scheduled contract requirements such as one-time deliverables. In some cases, one-hundred percent inspection is used simply because data is easily accessible.
4.3.4 Unscheduled Inspections
The Government may conduct unscheduled inspections of the Contractor’s overall performance and contract compliance. Unscheduled inspections enable COR/ACORs to evaluate and document, on an as needed basis, the Contractor requirements where an increased level of surveillance is thought to be necessary. Unscheduled inspection is also used to evaluate contract requirements that have no specified surveillance method.
4.3.5 Performance Assessment Report (PAR)
The CS/CO will review reports submitted by the COR/ACORs. If the COR/ACORs determines that the Contractor has failed to meet performance standards either through inspection or review of this document, he or she may prepare a PAR for the CO/CS as appropriate. Upon receipt of a PAR report, the CO/CS may require the Contractor to take necessary action to ensure that performance conforms to contract requirements.
4.3.6 Customer ComplaintReport (CCR)
The CS/CO will review customer complaints that have been submitted either online or through use of suggestions boxes. Customer complaints must include individual’s name and contact number to be valid. If the CO/CS/COR/ACORs determines that the Contractor has failed to meet performance standards, as stated in Appendix A, as a result of this complaint, he or she may require the contractor to prepare a Corrective Action Report (CAR) which will address the customer complaint and will detail corrective action, if applicable.
4.3.7 Contractor Assessments(weekly, bi-weekly, monthly, quarterly, semi-annually and annually.
The contract requires various reports to be submitted to the Government on a weekly, bi-weekly, monthly, quarterly, semi-annually and annual basis. Each report will be assessed on several factor including but not limited to, timeliness, accuracy and level of detail.
4.3.8 Contractor Performance Assessment
On an annual basis, the House will conduct a comprehensive assessment of contractor performance on all aspects of the contract. As a result of this assessment, the House may require the Contractor to take corrective action on items that negatively affect the House community. All corrective action will be incompliance with the HCCC Catered meals Contract (Contract # TBD) or otherwise noted by CO through modification.
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