12444826Q0006_Quality Assurance Surveillance Plan NRS Hamden Custodial.pdf

US Department of Agriculture (USDA)

Quality Assurance Surveillance Plan

NRS Hamden Custodial Contract

51 Mill Pond Road, Hamden, CT

Attachment 2

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 Analysis and Results

Appendix A: Performance Requirement Summary Appendix B: Cleaning Feedback Record Appendix C: Monthly Complaint Record

Project Name NRS Hamden Custodial Contract

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 NRS Hamden Custodial Contract. This plan sets forth the procedures and guidelines that the USDA, Forest Service Northern Research Station 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 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).

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 Performance Requirements Summary (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 B: Cleaning Feedback Record and Appendix C: Monthly Complaint Record. 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.

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) and/or Government Technical Monitor (GTM) 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.

When the COR is not available at the facilities, the Government Technical Monitor (GTM) will assume duties.

The GTM will be designated in writing by the CO and has the overall responsibility to assist the Contracting Officer (CO) and Contracting Officer’s Representative (COR) as an inspector to monitor contractor performance through monitoring, evaluating, and communicating with the CO and COR on the contractor’s performance and their compliance with contract requirements.

The COR may use the form(s) included in the Appendices to perform the inspection or other forms as approved by the CO.

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

4.1.1 Random visual inspection for cleaning objectives. The COR and GTM will have the ability and are authorized to surveil and document contract requirements compliance.

4.1.1.1 Percent Inspection

Inspection will be random and at the discretion of the customers and COR/GTM, inspection may be up to 100% of the work.

4.1.1.2 Performance Standards and AQLs

The performance standards and AQLs will be stated as absolute numbers based on the number of deficiencies noted.

4.1.2 COR and GTM record keeping and review for reporting requirements

4.1.2.1 Percent Inspection

Inspection will be 100% of the work.

4.1.2.2 Performance Standards and AQLs

The performance standards and AQLs will be stated as complete or not complete monthly.

4.2 Analysis and Results

When the inspections and customer feedback validations have been completed, the COR/GTM will perform an analysis of the Contractor’s performance. The purpose of the analysis is to ensure Government is receiving high-quality products and services from the Contractor. The COR will review the results, rate the Contractor’s compliance with the performance standards and AQLs, and characterize the Contractor’s overall performance.

Analysis of all types of contract monitoring will result in one of the following outcomes:

4.2.1 Outstanding Performance

Outstanding performance is the result of the Contractor substantially exceeding the performance standards with significant achievements and no instances of performance not meeting the PWS described objectives per month, and all reporting completed correctly. The Government may reduce its level of surveillance when the COR determines that the Contractor provides sustained performance that significantly exceeds the requirements with no significant deficiencies.

4.2.1 Acceptable Performance

Acceptable performance is the result of the Contractor meeting the performance standards with less than 5 instances of performance not meeting the PWS described objectives per month, and all reporting completed correctly. The Government may increase its level of surveillance when the COR determines that the Contractor provides sustained acceptable performance.

4.2.1 Unacceptable Performance

Unacceptable performance is the result of the Contractor meeting the performance standards with equal to or more than 5 instances of performance not meeting the PWS described objectives per month or not meeting reporting requirements. The Government will increase its level of surveillance when the COR determines that the Contractor provides sustained unacceptable performance.

The Contractor must maintain Acceptable Performance or corrective action will be required of the contractor.

Appendix A: Performance Requirement Summary

PERFORMANCE REQUIREMENT SUMMARY

Performance Objective

PWS Reference/

Contract Reference

Performance Standard Acceptable

Quality Level

(AQL)

Method of Surveillance

Basic Cleaning Services

PWS Section 3.1

Count instances of performance not meeting described objectives in PWS per month.

Example Instance not Meeting Described Objective: A trash can is not emptied on a scheduled cleaning day.

Less than 5 Instances

Random Visual Surveillance by COR, GTM and Building Occupants (May be up to 100%)

Basic Restroom and Breakroom

PWS Section 3.2

Count instances of performance not meeting described objectives in PWS per month.

Example Instance not Meeting Described Objective: A restroom stall is found with no toilet paper.

Surveillance by COR, GTM and Building Occupants (May be up to 100%)

Laboratory Cleaning

3.3

Count instances of performance not meeting described objectives in PWS per month.

Example Instance not Meeting Described Objective: Trash not emptied.

Surveillance by COR, GTM and Building Occupants (May be up to 100%)

Periodic Cleaning

3.4

Count instances of performance not meeting described objectives in PWS per cleaning cycle.

Example Instance not Meeting Described Objective: Smudges are observed on a window immediately after scheduled cleaning is completed.

Surveillance by COR, GTM and Building Occupants (May be up to 100%)

Special Request, Cleaning Services

PWS Section 3.5 Full completion of miscellaneous cleaning service provided per the special request

100% Requester Satisfaction

100% Visual Surveillance

Reporting PWS Section 7.0 Completion and Submittal of all Required Reports by Due Dates

100% Completion

COR and GTM Record Keeping and Review

Appendix B: Cleaning Feedback Record

CLEANING FEEDBACK RECORD

DATE AND TIME OF COMPLAINT CONTRACT NUMBER/ OR

SOURCE OF COMPLAINT

ORGANIZATION

INDIVIDUAL

NATURE OF COMPLAINT

PWS REFERENCE (COR)

COR DETERMINATION (COR circle)

Complaint Valid Complaint Invalid

DATE AND TIME CONTRACTOR INFORMED

OF VALID COMPLAINT (COR)

CONTRACTING OFFICER REPRESENTATIVE

(COR)

RECEIVED BY AND DATE (Contractor Representative):

CONTRACTOR RESPONSE AND/OR ACTION (Contractor Representative)

COR RESPONSE TO CONTRACTOR RESPONSE/ACTION (COR)

CIRCLE FINAL DETERMINATION:

Complaint Valid Uncorrected Complaint Valid Corrected Complaint Invalid

Appendix C: Monthly Complaint Record

MONTHLY COMPLAINT RECORD

MONTH OF REPORT CONTRACT NUMBER/ OR

PROJECT:

SUMMARY OF VALID COMPLAINTS

TOTAL VALID COMPLAINT COUNT

COR DETERMINATION OF PERFORMANCE

Outstanding Acceptable Unacceptable

CONTRACTING OFFICER REPRESENTATIVE (COR)

RECEIVED BY AND DATE (Contractor Representative):

CONTRACTOR RESPONSE (Contractor Representative):