Attachment 4 - Quality Assurance Surveillance Plan (QASP).pdf

US Department of Agriculture (USDA)

Quality Assurance Surveillance Plan

Contents Project Name Solicitation / Contract Number Section 1: Introduction

1.1 Purpose

1.2 QASP Relation to the Contract

1.2.1 QASP Revisions

1.2.2 Surveillance of Performance Progression

1.3 QASP Relation to the Quality Control Plan (QCP)

Section 2: Performance Description

2.1 Performance Standards and Acceptable Quality Levels (AQLs)

2.1.1 Allowable Deviation

2.1.2 Substantially Complete

2.2 Non-Performance

2.2.1 Documentation

2.2.2 Remedial Actions

Section 3: Contractor and Government Responsibilities

3.1 Contractor Responsibility

3.2 Government Responsibility

3.2.1 Contracting Officer (CO)

3.2.2 Contracting Officer Representative (COR)

3.2.3 Customers

Section 4: Surveillance Methods to Perform Quality Assurance

4.1 Surveillance Methods

4.2 Contractor Performance Assessment Reporting System

Appendix A: Performance Requirement Summary Appendix B: Discrepancy Report Appendix C: Customer Feedback Record Appendix D: Inspection List

Project Name NAL Building Maintenance

Solicitation / Contract Number

Section 1: Introduction This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Facility Operation and Maintenance Support Services. This plan sets forth the procedures and guidelines that the USDA, Agricultural Research Service (ARS) will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 Purpose

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.

1.2 QASP Relation to the Contract

1.2.1 QASP Revisions

The Contracting Officer Representative (COR) may make revisions or changes to the QASP procedures and surveillance methods or increase or decrease the degree of surveillance methods 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 the contract that is issued by the Contracting Officer (CO). A copy of the QASP is provided to the contractor to enable the contractor to enhance its Quality Control (QC) program to perform in accordance with its Quality Control Plan (QCP). A revised QCP shall be submitted when the QASP is revised.

1.2.2 Surveillance of Performance Progression

As the performance period progresses, the levels of surveillance may be altered for service areas where performance is either consistently excellent or unsatisfactory. If consistently good performance, then the amount of surveillance may be reduced. If observations reveal consistent deficiencies, increased surveillance may be implemented.

1.3 QASP Relation to the Quality Control Plan (QCP)

The QCP is a required element of contract, and the Contractor shall adhere to its established quality control processes and procedures in managing and performing work as described in the contract. While the QCP represents the way in which the Contractor will ensure its quality and timeliness of services, as defined in the PWS, the QASP represents the way in which the Government personnel specified in Section 3: Contractor and Government Responsibilities, Paragraph 3.2, Government Responsibilities will evaluate the contractor’s performance. The contractor’s QC program and the residual organization’s QASP should be complementary programs that ensure successful contractor performance.

Section 2: Performance Description Performance of the contractor will be monitored through the surveillance methods described in Section 4:

Surveillance Methods to Perform Quality Assurance to assess the Contractor’s performance against PWS requirements.

2.1 Performance Standards and Acceptable Quality Levels (AQLs) For selected activities in the PWS, the PRS provides a performance standard and an AQL. A performance standard is the expected level of contractor performance. An AQL defines the level of performance that is satisfactory. Depending on the service evaluated and the evaluation method selected, performance standards and AQLs may be stated as a number of occurrences or as a percentage. Performance standards and AQLs for random sampling and 100 percent inspection are generally stated as percentages. For periodic inspections, performance standards may be stated as either percentages or as absolute numbers.

The contract requires the Contractor to perform all work as specified. Any inaccuracies or omissions in services or products are referred to as “defects” on the part of the Contractor. The Contractor shall be responsible for all identified defects and may be required to perform the work at no cost to the government.

The AQLs take into account that in some instances an allowable level of deficiencies (deviations) is possible while overall performance continues to meet the government’s desired level of service.

2.1.1 Allowable Deviation

The AQLs define the level or number of performance deficiencies the Contractor is permitted to reach under this contract. AQLs take into account the difference between an occasional defect and a gross number of defects. AQLs can be expressed as a percentage of or as an absolute number (e.g., three per month). There may be instances where 100 percent compliance is required, and no deviation is acceptable (e.g., where safety is involved).

2.1.2 Substantially Complete

In some cases, service outputs are evaluated using subjective values (e.g., excellent, satisfactory, unsatisfactory). The criteria for acceptable performance and for defects must be defined for these service outputs. The concept of “substantially complete” should be the basis for inspections based on subjective scales. Work is considered “substantially complete” where there has been no significant departure from the terms of the contract and no omission of essential work. In addition, the Contractor has performed the work required to the best of its ability and the only variance consists of minor omissions or deficiencies.

2.2 Non-Performance

Non-performance occurs when the contractor’s performance does not meet the AQL for a given requirement.

Requirements may contain multiple performance elements, and therefore, deficiencies may occur in one or more aspects of performance (e.g., timeliness, accuracy, completeness, etc.) or subject areas of effort.

When surveillance indicates that the contractor's service output is not in compliance with the contract requirements, the Contracting Officer’s Representative (COR) must determine whether the Contractor or the Government caused the deficiency. If the cause of the defect rests with the Government, corrective action must be taken through Government channels. If the cause of the defect is due to action or inaction by the contractor, the contractor is responsible for correction of the problem at no additional expense to the Government.

2.2.1 Documentation

Documentation of work non-performed or unacceptable work is essential for tracking Contractor performance.

The COR will document deficient work by compiling facts describing the inspection methods and results and to substantiate nonconformance with the contract. A sample documentation reporting form is provided in Appendix D – Inspection List. The documentation, with any recommendations, will be forwarded to the CO. In the case of the Contractor, the COR will decide whether to elevate the problem to the CO for corrective action.

2.2.2 Remedial Actions

The Federal Acquisition Regulation allows for penalties in the event that the Contractor fails to perform the required services. Penalties are defined as those actions taken under the direction of the CO against the contractor within the general provisions of the contract for nonconformance to the PWS and PRS.

Section 3: Contractor and Government Responsibilities

3.1 Contractor Responsibility

The Contractor is responsible for delivering products or services in accordance with the contract.

Implementing its QCP, which describes the Contractor’s methods for ensuring all products and services under the contract meet established performance standards and AQLs. Maintaining, and providing for audit, quality control records and reports and all records associated with the investigation and complaint resolutions.

Appointing a single quality control point-of-contact to act as a central recipient of communication from the COR or CO.

3.2 Government Responsibility

3.2.1 Contracting Officer (CO)

The CO is responsible for administering 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-day contract administration duties to an Administering ACO (ACO) and/or the COR for performance management and administrative actions such as invoice approval and issuance of Contract Discrepancy Reports may be, and normally are, delegated by the CO to the COR.

The CO shall approve any revisions to the QASP processes or standards.

3.2.2 Contracting Officer Representative (COR)

The COR, is designated in writing, by the CO. The COR will ensure that the QA function is properly executed, plays a key role in contract administration, and performs the contract surveillance and monitoring. Some key contract administration duties include, but are not limited to, performs surveillance as required by this QASP;

make recommendations to the CO for issuance of Contract Discrepancy Reports or letters of commendation and acceptance or rejection of completed work and for administrative actions based on unsatisfactory or non-performed work, and revisions or changes to the QASP; and assists the CO in identifying necessary contract modifications and preparing reports of Contractor performance and cost.

The COR may use the form(s) included in the Appendices to perform the inspection or other forms as approved by the CO. The Contractor overall guidance is also provided by FAR clause 52.246-4 in Section C of the contract.

3.2.3 Customers

Customers or organizations/offices that the Contractor provided support may be requested to assist the COR in conducting QA to provide information relating to the Contractor’s performance through Customer Feedback.

Information gained from the Customer Feedback may be used in conjunction with other methods of observation to rate the performance of the Contractor.

Section 4: Surveillance Methods to Perform Quality Assurance

4.1 Surveillance Methods

The surveillance methods used in the QA process are the Government’s tools to monitor the Contractor’s products and services. The best means of determining whether the Contractor has met all contract requirements is to inspect the Contractor’s service products and analyze the results. Further, documented inspection results are an effective tool in contract administration that can confirm the successful achievement of all performance requirements or highlight areas where defects exist, and improvements are necessary.

4.1.1 100 Percent Inspection The 100 percent inspection method requires complete inspection each month and will be used for critical contract requirements.

4.1.1.1 Acceptable Quality Levels

The acceptable quality levels (AQLs) are included in Performance Requirements Summary (PRS) Table.

Contractor performance is structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls. Other levels of performance are keyed to the relative importance of the task to the overall mission performance at ARS.

4.1.1.2 Evaluation Procedures

Observed defects for a service monitored by 100 percent inspection is compared to the performance standard and AQL.

4.1.2 Customer Input

The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction. Customer input will be taken into consideration and used in conjunction with 100% inspection.

4.2 Contractor Performance Assessment Reporting System

The Contractor’s performance shall be documented and measured annually at the Indefinite Delivery, Indefinite Quantity (IDIQ) level and any task orders that exceed $250,000.00 through the annual past performance evaluation through the Contractor Performance Assessment Reporting System (CPARS).

Performance will be evaluated in the areas of:

• Quality of Product or Service

• Schedule

• Cost Control (if applicable)

• Business Relations

• Management of Key Personnel

• Utilization of Small Business

The following rating elements will be used to evaluate each area:

RATING DEFINITION

Exceptional Performance meets all contractual requirements and exceeds many to the

Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the Contractor were highly effective.

Very Good Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the Contractor were effective.

Satisfactory Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the Contractor appear or were satisfactory.

Marginal Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being assessed reflects a serious problem for which the Contractor has not yet identified corrective actions or the Contractor’s proposed actions appear only marginally effective or were not fully implemented.

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the Contractor’s corrective actions appear or were ineffective.

Appendix A: Performance Requirement Summary

PERFORMANCE REQUIREMENT SUMMARY

Performance Objective

PWS

Reference/ Contract

Reference

Performance Standard

Acceptable Quality Level

(AQL)

Method of Surveillance

Central Boiler Plant(s) and Heat Distribution Systems

C.2.2.01.1 Maintain and operate Two

(2) ALDRICH Boilers Model A3C-5000-GO, heating equipment, and the associated distribution systems to provide a 24-hour uninterruptible water supply.

100% Compliance

Review monthly SP reports and logs.

Central Boiler Plant(s) and Heat Distribution Systems

C.2.2.01.5 Perform all necessary tasks to required boilers and equipment in order to pass annual inspections.

100% Compliance

3rd party boiler inspection results

Central Boiler Plant(s) and Heat Distribution Systems

C.2.2.01.7 Maintain boiler water treatment program to duty status boilers to ensure proper water chemistry.

95% Compliance.

Review SP test results

Central Boiler Plant(s) and Heat Distribution Systems

C.2.2.01.8 Switch over fuel source within 1 hour of notification from energy conservation personnel or the utility provider.

100% Compliance

Observation

Building Automation System

C.2.2.02.2 Maintain 5th Floor special purpose area to ensure temperature and relative humidity

100% Compliance

Review Building Automation System (BAS) logs.

Review monthly NAL Preservation Environmental Monitoring

(PEM2)

reports

Building Automation System

C.2.2.02.2 Maintain collection floors 6- 13 to ensure temperature and relative humidity

95% Compliance

Review BAS logs.

Review monthly NAL

(PEM2)

reports

Building Automation System

C.2.2.02.3 Maintain office areas to ensure temperature and relative humidity

95% Compliance

Review BAS logs.

Security Cameras and Secured

C.2.2.03.3.2 Software version verification, preventive maintenance, inspection

100% Compliance

Review quarterly SP maintenance

Controlled Access System of existing devices, cleaning verification of camera views, updating firmware version, testing of ACS doors logs.

Review USDA IT network security scans

Security Cameras and Secured Controlled Access System

C.2.2.03.3.2 Timely mitigation of security vulnerabilities

95% Compliance

Review USDA IT network security scans

Electrical Utilities C.2.2.04.1 Provide electrical utilities

24.7 to ensure uninterrupted service to critical facilities

100% Compliance

Review BAS logs.

Customer feedback.

Electrical Utilities C.2.2.04.1 Respond 24/7 to power failures within 1 hour to ensure that services can be reactivated within an acceptable timeframe in order to determine if the facility ca be returned to full operation before the next working day

100% Compliance

Review BAS logs.

Observation.

HVAC C.2.2.05.1 Maintain systems to prevent hazardous conditions from developing in controlled environments

100% Compliance

Review BAS logs.

Conduct random inspections

Plumbing / Pipefitting

C.2.2.06.01 Maintain steam distribution systems to prevent energy losses and system integrity

95% Compliance

Review BAS logs

Preventive Maintenance

C.2.2.07.2 Implement and maintain an automated PMI system

95% Compliance

Review random samples of PMI system records

Preventive Maintenance

C.2.2.07.2 Correct and prevent malfunctions and maximize overall operating efficiency

95% Compliance

Review SP Preventive Maintenance and Inspection plan.

Conduct random inspections.

Refrigeration Systems

C.2.2.08.3 Maintain refrigeration systems to prevent loss or damage to research

95% Compliance

Review BAS logs.

Review SP maintenance and inspection reports

Smoke / Fire Service

C.2.2.09.2 Conduct annual inspections and testing of

100% Compliance

Review SP maintenance

Maintenance and Detection the facility’s fire, sprinkler, detection, pre-action, and pressurization systems to ensure proper operation of systems and components report.

Review annual inspection results

Reverse Osmosis System

C.2.2.10.03 Perform all maintenance and water tests on the reverse osmosis system and maintain and accurate log of it all

100% Compliance

Review RO maintenance logs.

Fire Hydrants C.2.2.11.01 Flush fire hydrants 97% Compliance

Review SP monthly report

Fire Hydrants C.2.2.11.02 Flow test existing fire hydrants within required schedule

95% Compliance

Review test results

Project Support C.2.3.01 Provide ample staffing to perform general support duties as required

90% Compliance

Customer feedback

Project Support C.2.3.01 Perform general duties associated with the facility to assist occupants in day-to-day activities to meet the customer’s satisfaction

100% Compliance

Customer feedback

Housekeeping C.2.3.02 Maintain all non-utility areas visually clean

95% Compliance

Random visual inspection

Roads and Grounds

C.2.4 All grounds maintenance functions visually complete (see Typical Schedule of Maintenance).

100% Compliance

Visual inspection after service.

Snow Removal C.2.4.13 Maintain snow removal areas to be visually clean.

During heavy snowfall or freezing rain, remove snow from these areas such that ice does not accumulate above 1/8 inch and snow does not accumulate above ½-inch during normal business hours

100% Compliance

Visual inspection after service.

Pond Care C.2.4.14 Maintain pond visually clean

90% Compliance

Random visual inspection.

Pest Control C.2.4.15 No visual evidence of pests

95% Compliance

Random visual inspection.

Customer feedback.

Window Cleaning

C.2.4.16 Windows visually clean immediately after cleaning

100% Compliance

Visual inspection after service.

Hazardous Waste Removal

C.2.4.17 Prepare and remove hazardous waste every 90 days at a minimum, or as

100% Compliance

Observation needed

Appendix B: Discrepancy Report

DISCREPANCY REPORT 1. DISCREPENCY

REPORT NO.

2. TO: (Contractor / Project Manager Name) 3. FROM: (Name of COR)

CONTRACT NUMBER: 1232SA22D0002

DATE: PREPARED ORAL

NOTIFICATION

RETURNED BY

CONTRACTOR

ACTION COMPLETE

4. DISCREPENCY OR PROBLEM (Describe in Detail. Include PWS references. Attach Continuation Sheet if Necessary)

5. SIGNATURE OF COR

6. TO: (Name of COR) 7. FROM: (Contractor / Project Manager)

8. CONTRACTOR RESPONSE AS TO CAUSE, EFFECT, CORRECTIVE ACTION AND

ACTIONS TO PREVENT RECURRENCE (Attach Continuation Sheet if necessary. Cite applicable Contractor QC program procedures or new QC procedures)

9. SIGNATURE OF CONTRACTOR

REPRESENTIVE

10. DATE

11. GOVERNMENT EVALUATION (Acceptance, partial acceptance, or rejection. Attach Coordination Sheet if necessary)

12. GOVERNMENT ACTIONS (Cure notice, show cause, other)

CLOSE OUT

KTR NOTIFIED

NAME AND TITLE SIGNAT

URE

DATE

COR

Appendix C: Customer Feedback Record

CUSTOMER FEEDBACK RECORD

DATE AND TIME OF COMPLAINT CONTRACT NUMBER/ OR

SOURCE OF COMPLAINT

ORGANIZATION

INDIVIDUAL

NATURE OF COMPLAINT

PWS REFERENCE

VALIDATION

DATE AND TIME CONTRACTOR INFORMED

OF COMPLAINT

NAME OF CONTRACTOR

REPRESENTATIVE INFORMED OF

COMPLAINT

ACTION TAKEN BY CONTRACTOR (Responsible officer):

RECEIVED AND VALIDATED BY

Determination: Complaint Valid Complaint Invalid

Appendix D: Inspection List

CONTRACT NUMBER: ___________________________________

SERVICE FUNCTION:

PWS SECTION:

1 Method of Surveillance:

2 Lot Size:

3 Sample Size:

4 Performance Requirement: Performance is Excellent (E) when less than the allowable percentage of defects allowed per the PRS is noted. Performance is Satisfactory (S) when all PRS requirements are met. Performance is Unsatisfactory (U) when more defects are noted than allowed per the PRS.

5 Sampling Procedure: 100% Inspection

6 Inspection Procedure: The procedure must be detailed enough to allow a yes/no objective decision as to the acceptability of performance by anyone making the inspection. Explain when evaluation is to occur and what is t bl / t bl Performance: Excellent (E), Satisfactory (S), Unsatisfactory (U), Not

PRS Requirements Timelines

Quality of

Notes

Overall Rating Of Inspection (E, S, U or N/A)

COR/Inspector Comments:

Contractor Signature: ___ Date: __

COR Signature: ____________________Date: _________________