QUALITY ASSURANCE SURVEILLANCE PLAN
ENVIRONMENT, SAFETY AND OCCUPATIONAL HEALTH
This Quality Assurance Surveillance Plan (QASP) describes the procedures to be used to
assess the quality and compliance of contracts granted for the implementation and
administration of services supporting the Bureau of Engraving and Printing (BEP)
Environment, Safety, and Occupational Health (ESOH) program. This document is a
reference and guide and may be changed by the BEP at any time in order to insure the
complete delivery of services specified in the corresponding Performance Work Statement
1.1 QUALITY ASSURANCE PROGRAM GOAL
The Office of Environment, Safety and Occupational Health Programs (OESOHP) provides
the BEP with a comprehensive ESOH program that protects employee health, improves
safety, and enhances the BEP’s personnel morale and productivity. Certain functions
necessary for the implementation of a comprehensive Environment, Safety, and Occupational
Heath Program will be provided by contractor services. This QASP defines the performance
standards by which the accomplishment of the requirements of the attached contract will be
measured. The QASP also describes the quantitative and qualitative procedures the Bureau of
Engraving and Printing shall use to monitor the extent to which the Contractor meets those
The contract shall be monitored by representatives of the ACO (CO), and may include the
ACO's Technical Representative (COTR), and other formally designated Quality Assurance
Evaluators (QAE), as well as, other employees of the BEP that have contact with and use the
services of the Contractor.
The Contractor is responsible for producing, maintaining, and providing all quality control
records and reports and all records associated with the investigation and resolution of
customer reports, complaints or other feedback. The Bureau shall normally rely on the
Contractor’s Quality Control Program as the primary means of assuring that quality products
and services are delivered.
1.2 PURPOSE OF THE QASP
The purpose of this QASP is to provide quality surveillance of the Contractor providing
services related to Environment, Safety and Occupational Health at the BEP. This
surveillance plan defines the process the BEP expects to follow to obtain data, evaluate the
Contractor and determine if contract performance is acceptable. This QASP applies to the
Performance Work Statement (PWS) and is provided as a guide to the oversight and
assessment of the implementation of the services and deliverable items called for in the PWS.
The BEP reserves the right to modify this plan at any time during this contract.
2.0 CONTRACT ADMINISTRATION DUTIES AND RESPONSIBILITIES
This section of the QASP briefly defines the duties and responsibilities of the key personnel
for Contract administration and quality assurance. The key personnel who will be responsible
for quality assurance are the CO, the COTR, the customers as defined in the PWS, and the
Quality Assurance Evaluator (QAE).
The ACO has the authority to administer the Bureau’s Environment, Safety and Occupational
Health Contract. The ACO may delegate many of the day-to-day contract administration
duties to the COTR, the QAE, or any other individual.
2.2 ACO's Technical Representative
The COTR serves as the day-to-day manager for all requirements of the contract. The COTR
represents the ACO to be referred to as the Administrative ACO (ACO) and functions as the
ACO's point of contact. If there are problems with Contractor performance, the COTR will
inform the Contractor of the problems and recommend to the ACO of any contractual actions
should be taken.
For the purposes of this contract, Customers are defined as the various BEP departments,
employees of the BEP benefit or use the services related to the Environment, Safety and
Occupational Health programs furnished by the Contractor, and any regulatory authorities
that specify standards or issue regulations that affect BEP employee health and safety or BEP
compliance with environmental laws or standards. Customer responsibilities include
establishing contract requirements, assisting in specifications and contract modification
development, assisting in contract negotiations, and assisting the QAE and COTR in
conducting quality assurance by providing information on Contractor performance through
the Customer Complaint Program.
2.4 Quality Assurance Evaluator
The QAE plays a key role in Contract administration. He or she serves as the eyes and ears of
the ACO and COTR. The QAE performs the formal contract surveillance and reports to the
The QAE has the authority delegated by the ACO. The QAE has no authority to allow the
Contractor to deviate from contract requirements unless such authority is specifically granted
by the CO. The QAE has no authority to direct or interfere with the methods of performance
by the Contractor or to issue modifications directly to any of the Contractor’s personnel
unless methods being used are unsafe or compromise security.
2.5 Prohibition of Gratuities or Favors
The QAE, as with all Bureau employees, is prohibited by law from accepting any gratuities
or favors of any nature whatsoever – either directly or indirectly – from any Contractor. This
law must be obeyed without exception. The Contractor is obligated to be aware of and
comply with the pertinent statutes and legal action that can be taken for violations.
3.0 PERFORMANCE STANDARDS
Contract Performance Requirements specified in the PWS are partially summarized, for
reference purposes, in theTechnical Exhibit (TE) #1 Performance Requirements
Summary. This summary is from the PWS and numerical references are to that document.
3.1 CONTRACT PERFORMANCE REQUIREMENTS
The QASP facilitates the determination of the effects of deficiencies in contract performance.
The focus of concern is on the products and services provided and not with the procedures
used to produce them unless those procedures are specifically stated in the contract. If
performance of any required product or service is unsatisfactory, and that performance is the
result of actions, or lack of action, by the Contractor, the BEP may take action in accordance
with the "Inspection of Services" clause of the Federal Acquisition Regulation, Subsection
The QAE will document unperformed work or poorly performed work by compiling facts
describing the inspection methods and results. The COR and QAE will then develop
documentation to substantiate nonconformance with the contract. The documentation,
together with any recommendations, will then be forwarded to the ACO. The ACO has the
final authority to make decisions on administrative actions.
For the purposes of this contract, a defect is defined as the lack of anything necessary for the
complete execution of the tasks and deliverable items specified in the PWS
Compliance is considered "substantially complete" where there has been no departure from
the terms of the contract and no omission of essential work. The Contractor has performed
the work required and submitted all deliverable items on time. Minor omissions or
deficiencies may be allowed at the direction of the ACO.
3.1.3 Allowable Deviation
Even though the Bureau is paying to have all work performed as specified, on time, all the
time, there may be occasional slips and omissions, referred to as “defects,” on the
Contractor's part. The Contractor shall be held responsible for all detected defects, and the
Bureau may require the work to be re-performed or may withhold compensation as
The Allowable Deviation is expressed as a percentage of deviation from the performance
standard or as an absolute number. A deviation of zero is imposed if, in fact, any defect is
unacceptable for contract requirements.
4.0 EVALUATION METHODS
The COTR will conduct performance evaluations based on Section 3.0 of this document and
the required performance levels set forth in the PWS. The Bureau will employ two
techniques for its quality assurance: (1) inspections and (2) customer complaints.
The primary means of determining whether the Contractor has met all contract requirements
will be to inspect the results. Such inspections will confirm that value is received for the
money or that problems exist. The BEP will use 100 percent inspections, random/periodic
sampling and special inspections.
4.1.1 100% Inspection
One hundred percent inspections require full and complete review of a specified contract
activity or deliverable item.
4.1.2 Random/Periodic Sampling
Random/periodic sampling will provide a systematic way of looking at service output and
forming conclusions about the Contractor's level of performance. Evaluation by
random/periodic sampling is designed to inspect some part but not all of the products and
services being monitored. Specific occurrences of contract requirements that are to be
monitored are selected for evaluation prior to their scheduled accomplishment. Sample
selection is based on some subjective rationale and sample sizes are usually arbitrarily
determined. With this type of evaluation, the Contractor knows that work performed in
specific functions or selected locations is more likely to be monitored than work in other
areas or locations. The QAE is able to direct efforts to those areas where inspection is most
needed. The primary means of facilitating random inspection will be through daily contact
with and oversight by the COTR and the QAE.
4.1.3 Special Inspections
Special inspections consist of unscheduled evaluations of contract requirements whenever a
service or deliverable item is identified by a Customer report or complaint as unsatisfactory
4.2 CUSTOMER REPORTS AND COMPLAINTS
4.2.1 Use of Customer Reports or Complaints
Customer complaints will be the chief means of monitoring performance after an initial
period in which the Bureau has determined that the Contractor is delivering quality work.
Customer complaints will be used to monitor quality and provide an indication that quality
problems may exist. The actual documentation of the quality problem, should it exist, will be
by performing an inspection of the specific services provided.
4.2.2 Establishing a Customer Reporting Program
The Contractor is required to establish a Customer Complaint Program. At the beginning of
the contract effort, the COTR will send letters to all administrative, contract, and customer
points of contact. These letters will inform them of the need for their active participation in
the overall Quality Assurance Program. The mailing will also include a Customer Feedback
Record for the customers to use to formalize their assessment of problems with the products
and services they receive or identify when superior services are received. Copies of all
complaints will be provided to the Bureau. A sample Customer Feedback Record is included
as Attachment 1, Customer Feedback Record.
4.2.3 Validating Customer Complaints
When a customer is not satisfied and submits a Customer Feedback Record, the complaint
may or may not be valid. It is primarily the responsibility of the Contractor to investigate
each complaint to determine the problem (even if the problem is the customer). While the
QAE can also investigate customer complaints, most of the responsibility will remain with
the Contractor. The QAE will investigate problems from senior BEP Managers or outside
regulatory authorities and ones involving major problems with the services being provided.
After the complaint has been investigated, the Contractor will take appropriate action,
complete the complaint record, and forward the record to the QAE.
4.2.4 Taking Action Based on Negative Feedback and Customer Complaints
The Contractor must take action every time a Customer Feedback Record is received. If the
complaint is valid, the Contractor must re-perform the product or service until the customer
is satisfied. Other penalties may be imposed on the Contractor. The Contractor will also use
the complaint as an indicator that the quality control program and process methodology
needs improvement to prevent the recurrence of similar problems so that similar problems
will be detected and fixed before a product or service is delivered to the customer. If the
customer complaint is found not to be valid, the Contractor must educate the customer about
what can and cannot be expected from the contracted services. Certain situations will require
the Contractor to explain the contract limitations to a customer. A customer complaint may
also result from a customer’s misunderstanding. The Contractor must assume most of the
responsibility for investigating each complaint and taking appropriate action. When the
complaint has been resolved, the Contractor will provide a copy to the QAE, accompanied by
a written explanation of the actions taken to resolve the complaint.
5.0 SUPPORTING DOCUMENTATION
Several supporting documents will be used for reference by and otherwise determine the
activities of the QAE.
5.1.1 Inventory of Services Worksheet
The QAE will develop an Inventory of Services Worksheet for the service requirements to be
monitored using planned or random/periodic sampling. Worksheets are lists of services to be
monitored, in numerical sequence. The worksheet serves two purposes: (1) it provides a
comprehensive listing of services required, and (2) it provides a means to identify services
5.1.2 Inspection Checklist
The QAE will use an inspection checklist (See Attachment 2, Example Inspection
Checklist) to document inspections of the service requirements. The checklist will show the
results of the QAE’s inspection. Comments will be included on the checklist. The inspection
checklist is the formal means for the documentation for all Bureau inspections performed. It
is used by the Bureau to bring defects to the Contractor's attention. All instances of
noncompliance detected require the Contractor's initials on the original inspection checklist,
indicating notification of the problem. See Attachment 3, Contract Discrepancy Report.
5.1.3 Inspection Schedule
Service requirements to be inspected will have an inspection schedule completed on a regular
basis (normally weekly or monthly). The schedule is completed using the desired methods of
surveillance and evaluation procedures. Once the schedule is completed, the QAE
accomplishes the inspections using inspection checklists. Schedules that indicate service
requirements on a given day permit inspectors to plan their work and to eliminate potentially
CUSTOMER'S GUIDE FOR EVALUATING CONTRACTOR
The customers, as defined in 2.3, above, will provide invaluable assistance to the Quality
Assurance Evaluators (QAE) in augmenting the inspection of the Environment, Safety and
Occupational Health services provided under this contract. Attached is a sample evaluation form
that should be completed by your designated Point of Contact for submission to the Contractor,
Attachment 3, Example Inspection Checklist.
A QAE and a COTR are the OESOHP assigned points of contact for the department or activity,
and shall collect and consolidate, from anyone receiving services, comments on all aspects of
Only the COTR or designated representative is authorized to give direction to the Contractor.
CUSTOMER FEEDBACK RECORD
Date/Time of Complaint:
Source of Complaint:
Nature of Complaint:
Date/Time Contractor Informed of Complaint:
Action Taken by Contractor:
Determination: Complaint Valid ٱ Complaint Not Valid ٱ
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EXAMPLE INSPECTION CHECKLIST
Environment, Safety and Occupational Health
NOTE: S = Satisfactory Performance U = Unsatisfactory Performance N/A = Not Applicable
Overall Rating Of Inspection (S, U, or N/A)
QAE Signature: Date:
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CONTRACT DISCREPANCY REPORT (CDR)
1. CONTRACT NUMBER DISCREPANCY REPORT NUMBER:
2. TO: (CONTRACTOR & MANAGER'S NAME) 3. FROM: (NAME OF COR)
4. PREPARED - ORAL NOTIFICATION - RETURNED BY CONTRACTOR - ACTION COMPLETE
5. DISCREPANCY OR PROBLEM (DESCRIBE IN DETAIL. INCLUDE SOW REFERENCES. ATTACH
CONTINUATION SHEET IF NECESSARY):
6. SIGNATURE OF QAE:
7. TO: (ACO) FROM (CONTRACTOR)
8. CONTRACTOR RESPONSE AS TO CLAUSE, CORRECTIVE ACTION AND ACTIONS TO PREVENT
RECURRENCE (ATTACH CONTINUATION SHEET IF NECESSARY. CITE APPLICABLE QC PROGRAM
PROCEDURES OR NEW QC PROCEDURES):
9. SIGNATURE OF CONTRACTOR REPRESENTATIVE: DATE:
10. GOVERNMENT EVALUATION (ACCEPTANCE, PARTIAL ACCEPTANCE, REJECTION. ATTACH
CONTINUATION SHEET IF NECESSARY):
11. GOVERNMENT ACTIONS (CONTRACTOR DEFICIENCY REPORT, CURE NOTICE, SHOW CAUSE,
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ATTACHMENT 3 (cont.)
NAME: TITLE SIGNATURE DATE
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