Quality Assurance Surveillanceplan

QUALITY ASSURANCE SURVEILLANCEPLAN

[Insert Project Title]

[Insert Solicitation / Contract Number]

TABLEOFCONTENTS

Section 1:Introduction……………………………………………………………………...... [Insert Page]

1.1Purpose ……………………………………………………………………………………..

1.2QASP Relation to the Contract ……………………………………………………

1.2.1QASP Revisions…………………………………………………………………………...

1.2.2Surveillance Performance Progression …………………………………………..

1.3QASP Relation to the Quality Control Plan ……………………………………

Section 2:Performance Description ……………………………………………………......

2.1Performance Standards and Acceptable Quality Level …………………..

2.1.1Allowable Deviation …………………….………………………………………………

2.1.2Substantially Complete ………………………………………………………………...

2.2Nonperformance ………………………………..………………………………………..

2.2.1Documentation ………………………………………….…………………………………

2.2.2Remedial Actions.……………………………………….…………………………………

Section 3:Contractor and Government Responsibility .………………………......

3.1Contractor Responsibility ……………………………………………………………..

3.2Government Responsibility ……. ……………………………………………………

3.2.1Contracting Officer ….…………………………………………………………………...

3.2.2Contracting Officer Representative ….…………………………………………..

3.2.3Customers ……………………………………………..……………………………………

Section 4:Surveillance Methods to Perform Quality Assurance .…………......

4.1Surveillance Methods …………..………………………………………………………..

4.2Analysis Results ……………………..……………………………………………………

Example-1Performance Requirement Summary …………………………………………...

Example-2Performance Requirement Summary …………………………………………...

Example-3Performance Requirement Summary …………………………………………...

Example-4Discrepancy Report ……………………………………………………………………...

Example-5Customer Feedback Record ……………….………………………………………...

Example-6Sampling Guide/Inspection Checklist …………………………………………...

Example-7Quality Assurance Monitoring ……………………………………………………...

Example-8Customer Complaint Investigation…..…………………………………………...

Example-9Surveillance Activity Checklist ……………………………………………………...

SECTION 1: INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled [Insert brief description of the project]. This plan sets forth the procedures and guidelines that the USDA, [Insert program organization] will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1Purpose

The purpose of the QASP is to describe the systematic methods used to measure performance and to identify the reports required and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards identified in the PWS. This QASP is designed to define roles and responsibilities, identify the performance objectives, define the methodologies used to monitor and evaluate the contractor’s performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

1.2QASP Relation to the Contract

1.2.1QASP Revisions

The Contracting Officer Representative (COR)may make revisions or changes to the QASP procedures and surveillance methods,or increase or decreasethedegreeofsurveillancemethods at any time during the contract performance period. Changes to the Metric must be incorporated into the PWS, Performance Requirement Summary (PRS) and QASP by a bilateral modification to contract that is issued by the Contracting Officer (CO). A copy of the QASPis provided tothecontractor toenablethecontractorto enhance itsQualityControl(QC)program to performin accordancewithitsQualityControlPlan (QCP).

1.2.2Surveillance of Performance Progression

Astheperformanceperiod progresses, thelevelsofsurveillancemaybealtered for serviceareaswhereperformanceiseitherconsistentlyexcellentorunsatisfactory. Ifconsistently good performance, then theamountofsurveillancemaybe reduced.If observations revealconsistentdeficiencies,increased surveillancemaybe implemented.

1.3QASP Relation to the Quality Control Plan (QCP)

TheQCP isa requiredelementofcontract andtheContractorshalladhereto itsestablishedqualitycontrol processesandproceduresin managingand performing workasdescribedinthecontract.Whilethe QCP representsthewayinwhichthe Contractorwillensureitsqualityandtimelinessofservices, as definedin thePWS, theQASP representsthewayinwhichtheGovernment personnel

specified in Section 3: Contractor and Government Responsibilities, Paragraph 3.2, Government

Responsibilitieswillevaluatethe contractor’s performance.The contractor’sQC program andtheresidual organization’s QASP should becomplementary programs thatensuresuccessfulcontractorperformance.

SECTION 2: PERFORMANCEDESCRIPTION

Performanceofthecontractorwillbemonitoredthrough the surveillancemethodsdescribed in Section 4: Surveillance Methods to PerformQualityAssurancetoassess the Contractor’sperformanceagainstPWS requirements.

2.1 PerformanceStandards andAcceptableQuality Levels (AQLs)

Forselected activities inthePWS,thePRS providesaperformancestandardand an AQL. A performancestandardistheexpectedlevelof contractorperformance. AnAQL definesthelevelof performancethatissatisfactory. Dependingon theserviceevaluatedandtheevaluation method selected, performancestandardsandAQLsmaybestated asanumberofoccurrencesorasapercentage. PerformancestandardsandAQLs forrandomsamplingand 100percent inspectionaregenerallystatedas percentages. Forperiodicinspections, performancestandardsmaybestated aseitherpercentagesoras absolutenumbers.

Thecontractrequiresthe Contractorto performallworkasspecified. Anyinaccuraciesoromissionsin servicesorproductsarereferred to as“defects”on thepartoftheContractor.TheContractorshallberesponsible forallidentified defects,and maybe required toperformthework atnocost tothegovernment.TheAQLstake intoaccountthatinsome instancesan allowablelevelofdeficiencies(deviations)ispossiblewhileoverallperformancecontinuesto meet the government’s desiredlevelofservice.

2.1.1Allowable Deviation

TheAQLsdefine thelevelornumberofperformancedeficienciestheContractorispermitted toreach underthiscontract. AQLstake intoaccountthedifferencebetweenan occasionaldefectand agross numberofdefects. AQLs can beexpressed asapercentageoforasan absolutenumber (e.g., threeper month). Theremaybe instanceswhere100 percentcomplianceisrequired, and no deviationis acceptable(e.g., wheresafetyis involved).

2.1.2SubstantiallyComplete

In somecases, serviceoutputsareevaluated usingsubjectivevalues(e.g., excellent, satisfactory, unsatisfactory). Thecriteria foracceptableperformanceandfordefectsmustbedefinedforthese serviceoutputs.Theconceptof“substantiallycomplete” should bethebasisforinspectionsbased on subjectivescales.Workisconsidered“substantiallycomplete”where

therehasbeen nosignificantdeparturefromthe termsofthecontractand no omission of

essentialwork.In addition, theContractorhasperformed the workrequiredtothebestofitsabilityandtheonly varianceconsistsofminoromissionsordeficiencies.

2.2 Non-performance

Non-performanceoccurswhen thecontractor’sperformancedoesnotmeet theAQL foragiven requirement. Requirementsmaycontainmultipleperformanceelements, andtherefore,deficienciesmay occurin oneormoreaspectsofperformance(e.g., timeliness,accuracy, completeness, etc.)orsubject areasofeffort.

Whensurveillanceindicates thatthe contractor'sserviceoutputisnotin compliancewith thecontract requirements, theContracting Officer’s Representative (COR) mustdeterminewhethertheContractoror theGovernmentcaused thedeficiency. If thecauseofthedefect restswiththeGovernment, correctiveaction mustbetaken through Government channels.If thecauseofthedefectisdueto action orinaction bythecontractor, thecontractor is responsibleforcorrection of theproblematnoadditionalexpense totheGovernment.

2.2.1Documentation

Documentation of work non-performed or unacceptable workisessentialfortrackingContractor performance.TheCOR willdocument deficientworkbycompilingfactsdescribingtheinspection methodsand results and to substantiatenonconformancewiththecontract. Asample documentationreportingformisprovidedin Appendix[Insert Number and Title]. The documentation,with anyrecommendations, willbeforwarded totheCO. In thecaseofthe Contractor, theCOR willdecidewhetherto elevatetheproblemto theCOfor correctiveaction.

2.2.2RemedialActions

TheFederalAcquisition Regulation allowsforpenalties intheeventthattheContractorfailsto performthe required services. Penaltiesaredefinedasthoseactionstaken underthedirection of theCOagainst the contractorwithin thegeneralprovisionsof thecontractfornonconformance tothePWS and PRS.

SECTION 3: CONTRACTOR AND GOVERNMENT RESPONSIBILITIES

3.1ContractorResponsibility

TheContractor isresponsiblefor deliveringproductsorservicesin accordancewith thecontract. ImplementingitsQCP, whichdescribestheContractor’smethods forensuringallproductsandservicesunder thecontract meetestablished performancestandardsand AQLs. Maintaining, and providingforaudit, qualitycontrolrecordsandreportsandallrecordsassociated with theinvestigationandcomplaint resolutions. Appointingasinglequality controlpoint-of-contacttoactasacentralrecipientofcommunication fromtheCOR or CO.

3.2 GovernmentResponsibility

3.2.1ContractingOfficer (CO)

The CO is responsible foradministering and monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by COR and the contractor’s performance. The CO may delegate various day-to-daycontractadministration duties to a Administering ACO (ACO) and/or the COR for performance management and administrativeactionssuchasinvoiceapprovaland issuanceofContractDiscrepancyReportsmaybe, andnormallyare,delegated bytheCO to the COR. TheCOshallapproveanyrevisionstotheQASP processesorstandards.

3.2.2Contracting Officer Representative (COR)

TheCOR, isdesignated in writing, by the CO. TheCOR will ensurethattheQA functionisproperlyexecuted, playsakeyrolein contractadministration and performsthecontractsurveillance and monitoring. Somekeycontractadministrationdutiesinclude, butarenotlimitedto, performssurveillanceas required bythisQASP; makerecommendationstotheCOfor issuanceofContractDiscrepancyReportsorlettersofcommendation and acceptanceorrejection ofcompletedworkand for administrativeactionsbased on unsatisfactoryornon-performed work, andrevisions or changes totheQASP; and assiststheCOinidentifyingnecessarycontractmodifications and preparingreportsofContractorperformanceandcost.

TheCORmayuse the form(s)included in the Appendices toperform the inspectionorother formsasapproved bytheCO. The Contractoroverallguidanceisalsoprovided by FAR clause [Insert InspectionAcceptanceClause Number]inSection [Insert Number] of thecontract.

3.2.3Customers [Insert this Section if applicable]

Customersor organizations/offices that the Contractor provided support maybe requested to assisttheCOR in conductingQAto provide information relating to the Contractor’sperformance through CustomerFeedback. Information gained fromtheCustomerFeedbackmaybeused in conjunctionwith othermethodsofobservationtoratetheperformanceof the Contractor.

SECTION 4: SURVEILLANCE METHODS TO PERFORMQUALITY ASSURANCE

4.1 SurveillanceMethods

Thesurveillancemethodsused in theQAprocessaretheGovernment’stoolstomonitor theContractor’s productsand services. ThebestmeansofdeterminingwhethertheContractorhasmetallcontract requirementsistoinspectthe Contractor’sserviceproductsandanalyze the results. Further, documented inspectionresultsarean effective tool incontractadministration that can confirmthe successfulachievementofallperformance requirementsorhighlightareaswheredefects existand improvementsarenecessary.

[Explain how the PRS method of surveillance will be measured.]

[Insert and describe the SurveillanceMethods. Below is an Example.]

4.1.1 100Percent Inspection

The100 percentinspectionmethod requirescompleteinspection each month and willbe usedforcritical contract requirements.

4.1.1.1 Performance StandardsandAQLs

Theperformancestandardsand AQLsmaybestated aseitherpercentagesorabsolutenumbers.

4.1.1.2 EvaluationProcedures

Observed defectsforaservicemonitoredby100 percent inspectioniscompared to the performancestandardandAQL.

4.2 Analysis andResults

Whentheinspectionsand[Insert “customer feedback,” if applicable]validationshavebeencompleted,theCORwill performan analysisoftheContractor’sperformance.Thepurposeoftheanalysisisto ensureGovernment isreceivinghigh-qualityproductsand servicesfromtheContractor. The COR will reviewtheresults,ratethe Contractor’scompliancewiththeperformance standards and AQLs, and characterize theContractor’soverallperformance. Analysisofalltypesofcontractmonitoringwillresult in oneofthefollowingoutcomes:

[Insert and define the Performance Outcome. Below is an Example.]

[4.2.1OutstandingPerformance

OutstandingperformanceistheresultoftheContractorsubstantiallyexceedingtheperformance standardswith significantachievementsand no significantdeficiencies.TheGovernment mayreduceitslevelofsurveillancewhen theCORdeterminesthattheContractorprovidessustained performancethatsignificantlyexceedstherequirementswithno significantdeficiencies.]

[THIS PAGE IS FOR INFORMATIONAL PURPOSES]

THE CONTACTING OFFICER MUST INCLUDE AS ATTACHMENTS OR EXHIBITS THE APPROPRAITE PERFORMANCE REQUIREMENT SUMMARY, FORMS, CHECKLISTS, ETC. IN THE QASP THAT WILL BE USED DURING SURVEILLANCE /MONITORING FOR THE APPLICABLE CONTRACT

THE FOLLOWING DOCUMENTS ARE EXAMPLESONLY, WHICH IS NOT ALL INCLUSIVE, THT CAN BE REVISED AND USED, IF APPLICABLE IN THE QASP AS ATTACHMENTS OR EXHIBITS

EXAMPLE- 1

PERFORMANCE REQUIREMENT SUMMARY

PerformanceTask
(PWS Reference) / PerformanceIndicator / PerformanceStandard / Acceptable QualityLevel (AQL) / Methodof
Surveillance
TimelinessandAccuracyof
Delivery-Supplies/Services
(PWS, Section 6.6.4) / Supplies/Services delivered as ordered –Quantity/Quality / Deliverymatches Order quantityand Supplies/ Services description / 95% ofall deliveriesmatchorderquantityand supplies/services / Inspectionof
MonthlySalesandDeliveryReport.

EXAMPLE-2

PERFORMANCE REQUIREMENT SUMMARY

PerformanceObjective / PWS Reference/ Contract Reference / PerformanceStandard / Acceptable QualityLevel (AQL) / Methodof
Surveillance
Ensure smooth transition with the incumbent during the phase-in period / 5.4.3 Transition / Obtain GFP, access to classified documents, access to network,, obtain CACs and access badges for employees, obtain proper security levels, obtain room/building keys / Score of acceptable or higher required on scale / 100% inspection
(TEP review)

EXAMPLE-3

PERFORMANCE REQUIREMENT SUMMARY

Required Services
(PWS Task) / Performance Standard / Acceptable QualityLevel (AQL) / Methodof Surveillance / Incentive (+ /- )
Impact on Contractor Payment
Submit a PM report of scheduled, completed, and outstanding tasks monthly
(PWS C.2.1.2 (G)) / 100% of reports accurately depict current status / 99% / File reviews, periodic inspections, and random, observations, customer complaints / $500 for each documented instance when a report is submitted after the 15th of the month

EXAMPLE-4

DISCREPENCYREPORT / 1.DISCREPENCYREPORT NO.
2.TO:(Contractor / ProjectManagerName) / 3.FROM: (NameofCOR)
CONTRACT NUMBER: DATE:
PREPARED / ORALNOTIFICATION / RETURNEDBYCONTRACTOR / ACTION COMPLETE
4.DISCREPENCY OR PROBLEM(DescribeinDetail.IncludePWSreferences.AttachContinuationSheetifNecessary)
5.SIGNATUREOFCOR
6.TO:(NameofCOR) / 7.FROM: (Contractor / Project Manager)
8.CONTRACTOR RESPONSEASTO CAUSE,EFFECT,CORRECTIVEACTION ANDACTIONSTO PREVENT RECURRENCE(AttachContinuationSheetifnecessary. Citeapplicable Contractor QCprogramproceduresornewQCprocedures)
9.SIGNATUREOFCONTRACTOR REPRESENTIVE / 10.DATE
11.GOVERNMENTEVALUATION(Acceptance,partialacceptance,orrejection.AttachCoordinationSheetifnecessary)
12. GOVERNMENTACTIONS(Curenotice,showcause,other)
CLOSEOUT
KTR NOTIFIED / NAME ANDTITLE / SIGNATURE / DATE
COR

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EXAMPLE-5

CUSTOMERFEEDBACK RECORD
DATEANDTIMEOFCOMPLAINT CONTRACT NUMBER/ OR PROJECT:
SOURCEOFCOMPLAINT ORGANIZATION
INDIVIDUAL
NATUREOF COMPLAINT
PWS REFERENCE
VALIDATION
DATEANDTIMECONTRACTOR INFORMED OFCOMPLAINT / NAMEOFCONTRACTOR REPRESENTATIVEINFORMED OFCOMPLAINT
ACTIONTAKENBYCONTRACTOR (Responsibleofficer)
RECEIVEDANDVALIDATED BY

Determination:ComplaintValidComplaintInvalid

EXAMPLE-6

SAMPLING GUIDE/INSPECTION CHECKLIST

CONTRACT NUMBER: ______

SERVICEFUNCTION: PWS SECTION:

1 / MethodofSurveillance:
2 / LotSize:
3 / SampleSize:
4 / PerformanceRequirement: PerformanceisExcellent(E)when ______orfewerdefectsare discovered permonth. Performance isSatisfactory(S) when ______orfewerdefectsare discovered permonth. Performance isUnsatisfactory (U)when ______ormore defectsarediscovered permonth.
5 / SamplingProcedure:Instructionson howto selectthe samplemustbeclearandcomplete
6 / InspectionProcedure:Theproceduremustbedetailed enough toallowayes/noobjective decisionastotheacceptabilityofperformancebyanyonemakingthe inspection.Explain when evaluationisto occurandwhatisacceptable/unacceptable
Performance: Excellent(E), Satisfactory(S), Unsatisfactory(U), NotApplicable (N/A)
PRS Requirements / Timeliness / Quality ofWork / Notes
OverallRatingOf Inspection
(E, S, U orN/A)

COR/InspectorComments:

______

Contractor Signature: ___ Date: __

COR Signature: ______Date: ______

EXAMPLE-7

QUALITY ASSURANCE MONITORING

CONTRACT NUMBER: ______

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check the applicable item):

Random Sampling100% InspectionPeriodic InspectionCustomer Complaint

LEVEL OF SURVEILLANCE (Check the applicable item):

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 the applicable item):

 Meets Standards

 Does Not Meet Standards

Narrative of Performance During Survey Period:

Prepared By: ______Date: ______

EXAMPLE-8

CUSTOMER COMPLAINT INVESTIGATION

CONTRACT NUMBER: ______

SERVICE or STANDARD:

______

______

SURVEY PERIOD:______

DATE COMPLAINT RECEIVED: ______

SOURCE OF COMPLAINT: ______(Name)

______(Organization)

______(Phone No.) ______(Email Address)

NATURE OF COMPLAINT: ______

RESULTS OF COMPLAINT INVESTIGATION: ______

DATE SERVICE PROVIDER INFORMED OF COMPLAINT: ______

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER: ______

Received and Validated By: ______

Prepared By: ______Date: ______

EXAMPLE-9

SURVEILLANCE ACTIVITY CHECKLIST

Performance
Requirement / Performance
Standard / Method of
Measurement / Performance
Metrics / Method of
Surveillance / Date
Accomplished / Compliance
(Exceed, Met, Partial Met)

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