QASP.pdf

United States Department of Agriculture

Agricultural Research Service

Quality Assurance Surveillance Plan

(QASP)

Facility Operation and Maintenance Support Services at the

Eastern Regional Research Center

Wyndmoor, Pa.

QUALITY ASSURANCE SURVEILANCE PLAN (QASP)

1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is established to monitor contractor compliance to complete the requirements listed in the performance-based Performance Work Statement (PWS) entitled “Operations and Maintenance Support Services for the Eastern Regional Research Center (ERRC) in Wyndmoor Pa. This performance-based plan sets forth the procedures and guidelines ERRC will use in evaluating the technical performance of the contractor. This requirement is for the full range of operational and maintenance support services at the ERRC campus. It is essential that the contractor providing this support be knowledgeable in a variety of maintenance and support functions and in providing a quality control plan keyed to the governments performance requirements.

1.1 PURPOSE

1.1.1 The purpose of the QASP is to describe the methods used to measure performance, define the Government roles and responsibilities and to describe the quality assurance monitoring and reporting activities.

1.2 PERFORMANCE MANAGEMENT APPROACH

1.2.1 The performance-based PWS structures the acquisition around “what” service is required as opposed to “how” the contractor should perform the work. This QASP will define the performance management approach taken by ERRC to monitor, manage, and take appropriate action on the contractor’s performance against expected outcomes or performance objectives communicated in the PWS. Performance management rests upon developing a capability to review and analyze information generated through performance metrics. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management. The data generated in a performance management approach provides information that indicates whether or not expected outcomes for required services are achieved adequately by the contractor. Evaluations are focused on project and work management to achieve a desired outcome and not on interim process steps. The interim process steps are delegated to the contractor, who will be responsible for managing the internal processes and practices used to achieve contractual outcomes. An effective system with processes that generate well-defined performance data is central to performance management.

1.2.2 Performance management also represents a significant shift from the more traditional Quality Assurance (QA) concepts in several ways. Performance management focuses on assessing whether or not outcomes are being achieved and migrates away from scrutiny on compliance with the processes and practices used to achieve the outcome. The only exceptions to process reviews are those required by law (local, state, and federal), and compelling business situations such as safety and health. An outcome focus provides the contractor flexibility to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved at the desired level of performance. By focusing scrutiny on the desired outcomes rather than processes, performance management unlocks the contractor’s potential for innovation and continuous performance improvement.

1.3 PERFORMANCE MANAGEMENT STRATEGY

1.3.1 The Government will communicate performance objectives expected from the contractor throughout the PWS. For each performance objective communicated in the PWS, the Government has identified critical performance evaluation elements that will be used to designate why performance as below the acceptable quality level of 100%. These elements are described in attachment 1.

1.3.2 The contractor’s Quality Control Plan (QCP) will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS and the Quality Assurance Plan.

1.3.3 The Contractor shall submit quarterly to the CO/ACO a project management report by the 15th day of the following month. The Government representative will evaluate this report to assure compliance in the performance of all services as defined in the PWS. The report will also describe how deficient performance activities will be corrected to eliminate future performance deficiencies.

2.0 ROLES AND RESPONSIBILITIES

2.1 The relationship between the contractor and the Government is a commitment to mutual success.

2.2 The Contracting Officer (CO) will designate a full-time representative (ACO) as the Government Authority for performance management. The number of additional representatives serving as Technical Quality Assurance Specialists (QAS) will depend on the complexity of services as well as the contractor’s performance.

2.3 The ACO is responsible for monitoring, assessing, and communicating the technical performance of the contractor. The QAS will have the responsibility for completing QA monitoring reports to document the inspection and evaluation of the contractor’s work performance. Government surveillance may occur under the inspection of services clause for any service related to the contract.

2.4 The CO is responsible for monitoring contract compliance, contract administration, cost control, resolving any differences between observations documented by the ACO, and the contractor’s performance. The CO may call upon the expertise of other Government individuals as required.

3.0 IDENTIFIACATION OF SERVICES TO BE PERFORMED

3.1 The contractor shall provide through effective project and work management services required for project management, maintenance, alteration, and repair of building structures, general maintenance, administrative support services, security protection services and modernization support necessary to support the research mission of ERRC. These activities include quality control, financial control and records management. The contractor’s services and support shall be performed in accordance with the PWS. The performance objectives are established for each section of the PWS as noted in attachment 1.

Due to the complexity of ERRC’s research mission, the acceptable level of performance is established at one hundred percent (100%).

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 In an effort to minimize the contract administration burden on the Government, simplified methods of surveillance and reliance on simplified techniques shall be used by the Government to evaluate contractor performance. The primary methods of surveillance are random checks, observations, inspections, complaint investigation, and review of those records and files that are required to be maintained and delivered under this statement of work. The Government will use appointed representatives as well as reports and input from center employees and visitors as sources of comments on the contractor’s performance.

4.2 The contractor is expected to establish and maintain professional communication between employees and customers. The primary objective of professional communication between employees and customers is customer satisfaction. Customer satisfaction is the most significant external indicator of success and effectiveness of all services provided, and can be measured through customer complaints. Performance management drives the contractor to be customer focused through initially addressing customer complaints and investigating the issues and/or problems. During the investigation, thee contractor should document and report the following to the QAS: 1) the nature of the complaint, 2) The results of the investigation, 3) Corrective actions taken on valid customer complaints.

NOTE: The customer always has the option to communicate complaints to the QAS as opposed to the contractor by using the established customer complaint collection process. The QAS will accept the customer complaints and will investigate and document the basis for the complaint. The QAS and ACO will notify the Contractor’s Project manager (PM) of the complaint and the results of the QAS investigation, and mutually agree on the corrective action to be taken by the contractor to resolve the complaint.

4.3 The contractor is provided with performance objectives noted throughout the PWS and a list of critical performance evaluation elements (attachment 1) that will be used to determine if the inspected services are at or below the Acceptable Quality Level (AQL) of 100%.

4.4 During the contract period of performance, ERRC may modify or change the critical performance evaluation elements to support the scientific mission and priorities that may evolve. Such changes will be accomplished in consultation with the CO, ACO and the contractor.

4.5 The contractor will be required to report the overall service level based on customer satisfaction results to the Government in the Project Manager’s quarterly report. The contractor will document measures taken to correct services evaluated below the AQL during the quarter and show how these measures will drive the level of performance to an acceptable level of performance. The contractor should also document highlighted activities that met or exceeded customer satisfaction.

5.0 QUALITY ASSURANCE REPORTING

5.1 The performance management feedback loop begins with the communication of expected outcomes. Expectations for performance services are expressed in the PWS and measured by the Critical Performance Evaluation Measures noted in attachment 1. The contractor will implement a QCP that sets forth procedure management and responsibilities for ensuring quality work performance. The contractor will develop a process to assess and report their performance to the QAS, which will be submitted quarterly in the performance management report.

5.1.1 The performance Management Report will include a description of performance trends for each performance category, inspections that noted failure to comply with critical performance evaluation elements, and methods used to increase those evaluated areas to the AQL. The ACO and the contractor will jointly define the manner in which the information should be presented. The contractor may also furnish recommendations on how to achieve a better means of providing overall services, with consideration given to energy conservation. The ACO and the contractor will agree to the graphic design of the reports and particular data needed to identify the types of decisions the report is intended to support.

5.1.2 The contractor will also prepare a comprehensive report to close out each annual period of performance. This report will contain the same types of data as the quarterly reports presented to the CO and ACO, but will reflect the overall value of performance and what plans may be proposed for improved performance.

5.2 The Government’s QA monitoring, accomplished by the QAS, will be reported using the monitoring forms in attachment 2. The report will document the reasons why the contractor’s performance was evaluated below the AQL using the critical performance evaluation measures listed in attachment 1. The report will identify when information was given to the contractor to take corrective action and the time given to correct the performance. Following the correction period (or sooner at contractor request), the QAS will inspect the work and amend the monitoring form include the corrective action taken and the results of the re-inspection. If upon receipt of a monitoring form from the Government, the contractor feels the performance in question meets or exceeds the AQL and corrective action is not required, the contractor will notify the Government in writing why the performance meets or exceeds the AQL and why corrective action is not required. Failure to correct the performance as determined by the re-inspection may result in the Government evaluating contractor performance below the ACL. Forms, when completed, will document the QAS understanding of the contractor’s performance under the contract to ensure that the PWS requirements are being met.

5.2.1 Based on the assessments identified in the QAS monitoring reports, the contractor is required to respond in writing to the ACO why performance did not meet standards as noted in the PWS and what action will be taken to prevent further performance shortfalls. The report is to be submitted within 5 working days after receipt of the evaluation form.

5.2.2 The QAS will retain a copy of all completed QA monitoring reports. The contractor is required to respond in writing to the ACO regarding QA monitoring reports recording performance that “does not meet standards” within 5 working days after receipt of forms.

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 The Government shall use the observation methods cited in the statement of work as the basis for determining whether the AQL has been met.

6.2 At the end of each quarter, the ACO will review the information submitted in the contractor’s Performance Management report.

6.3 The ACO may require the contractor’s Project Manager or a designated alternate to meet with the ACO, QAS, and other Government personnel as deemed necessary to discuss the performance evaluation. The ACO will define a frequency of in-depth reviews with the contractor, however, if the need arises, the contractor will meet with the ACO as often as required or per the contractor’s request.

The agenda of the reviews may discuss:

• Quarterly performance evaluations

• Issues and concerns of both parties

• Projected outlook for upcoming months and progress against the expected trend

• Recommendations made by the ACO based on contractor information.

• Issues arising from independent reviews and inspections.

6.4 The ACO and QAS(s) will work with the contractor in a collaborative manner to make decisions and take action based on performance evaluation information to ensure:

• Corrective actions are being taken

• Customer expectations are being met.

• The contractor is presented with a look ahead to achieve proactive management and is alerted to upcoming events based on customer developments.

6.5 After discussing these and other success factors, the ACO and the contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to critical performance evaluation elements, thresholds, or service levels should be clearly documented. Any changes that would result will be incorporated as a contract modification at the convenience of the CO. Final decisions on the results of the overall evaluation report shall rest with the CO.

6.6 If contractor performance as determined by the Government meets AQL for the first three years of performance, the government may elect to extend the terms and conditions of the existing contract for a period not to exceed seven years. The determination to extend for each year after the third year will be based on the performance evaluation of the previous year.

7.0 FAILURE TO PERFORM

7.1 The contractor may be terminated based on failure to perform.

7.2 Consistent with the FAR Part 49, the CO shall notify the contractor of failure to meet standards through QA monitoring forms, cure notices or show of cause notices, and shall inform the contractor Project Manager or designated alternate of such notices.

7.3 If the CO determines that the contractor has failed to perform to the extent that a termination for default is justified, the CO shall issue a notice of termination consistent with FAR Part 49.

Attachment 1

Quality Assurance Performance Objectives

Required Service

Performance Standards

Acceptable Quality Levels

Method of

Surveillance Work Management PWS Section 2

Work Management timely completion of routine services, work order management, Staffing

Quality control performed IAW QC plan

Preventative Maintenance;

Maintenance performed IAW PM plan

Additional Work – Estimates are accurate and work is accomplished as required

100%

Random files review, complaints, random inspections

Random Inspections, File review

PM plan review, files review, random and in-progress inspections

Prevailing wages as applicable, file review, in-progress and final inspections

Administrative Services PWS Section 3

Shipping/Receiving, bar coding, and warranty tracking

Supply and inventory management

Mail Services

Vehicle Maintenance

Complaints, Random file review, observation

Complaints, observation, file review

Complaints, observation, file review

Complaints, observation, file review

Security and Monitoring Services PWS Section 3.2

Security and Watchperson services

File review, complaints, observation

Response to Emergencies

Patrols

File review, complaints, observation

File review, complaints, random observation, Government review of security station logs/reports.

Environmental services and safety equipment maintenance PWS Section 4

Asbestos Abatement Procedures as required by EPM

Storage tank and tank monitoring systems

Air Quality/ Emissions

Safety equipment Maintenance

Smoke/Fire Detection and Suppression Systems, fixed and portable

Qualifications/certifications, files, in-progress inspections, manifest documentation

File review, inspection report review, observation

File review, inspection report review, observation

File review, inspection report review, observation

File review, inspection report review, observation

Information technologies/ Communication Services PWS Section 5

Provision of IT services

Provision of telephone services file review file review

Utilities Services PWS Section 6

Response to Failures and trouble calls

Work completed IAW Federal, State, and Local Codes and ARS standards

Staff certification and licenses as required

Inspection, complaints, file review, observation

Observation, complaints, in-progress and final inspection

File Review

HVAC management IAW PWS standards

Work/ Workplace Safety

Affirmative Procurement of Energy Efficient parts and supplies review of engineering and operational logs, trend log review

Observation, complaints, random inspection

File review, observation, complaints

Facilities Services PWS Section 7

Architectural Services

Grounds Appearance

Snow and Ice removal services

Moving Services

Housekeeping/ Janitorial

Recycling

Pest Control Management

Conference Room Procedures file review

Complaints, observation, file review

Observations, complaints, random and in-progress inspections

Schedule review and verification of timely completion, complaints, observation

Complaints, random and in-progress inspection

File review, unscheduled inspection, complaints

Schedule review, file review, complaints, unscheduled inspection

Complaints, observation, file review, unscheduled inspection

Attachment 2

QUALITY ASSURANCE MONITORING FORM

INSPECTION DATE _____________________________, INSPECTOR _____________________________

SURVEILLANCE METHOD: _____ RANDOM SAMPLING

_____ 100% INSPECTION

_____ PERIODIC INSPECTION

_____ CUSTOMER COMPLAINT

_____ DOCUMENT REVIEW

-FREQUENCY OF INSPECTION SELECTED _____ DAILY

_____ WEEKLY

_____ MONTHLY

_____ AS-NEEDED

INSPECTED SERVICE OR STANDARD PWS SECTION:____________

CONTRACTOR PERFORMANCE _____ MEETS STANDARDS _____ DOES NOT MEET STANDARDS

NARRATIVE OF PERFORMANCE NOTED DURING INSPECTION:

DATE OF PM NOTIFICATION INSPECTED SERVICE BELOW AQL ______________

TIME ALLOWANCE FOR CORRECTION OF WORK _______________

DATE OF REINSPECTION _______________

RESULTS OF

REINSPECTION:________________________________________________________________________