B08_Attachment_4-Quality_Assurance_Surveillance_Plan.pdf

Quality Assurance Surveillance Plan (QASP)

WASHINGTON MONUMENT (WAMO)

SECURITY DOOR MAINTENANCE

For the National Park Service

National Mall & Memorial Parks

Contents

1.0 INTRODUCTION

1.1 PURPOSE

1.2 PERFORMANCE MANAGEMENT APPROACH

1.3 PERFORMANCE MANAGEMENT STRATEGY

2.0 ROLES AND RESPONSIBILITIES

2.1 Contracting Officer

2.2 Contracting Officer Representative

3.0 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY

LEVELS

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

4.2 Customer Feedback

4.3 Acceptable Quality Levels

5.0 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

5.2 Monitoring Forms

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 Determining Performance

6.2 Reporting

6.3 Reviews and Resolution

6.4 List of Attachments

ATTACHMENT A2 – PERFORMANCE REQUIREMENTS SUMMARY

ATTACHMENT A3 – QUALITY ASSURANCE MONITORING FORM

ATTACHMENT A4 – CUSTOMER COMPLAINT INVESTIGATION

1.0 INTRODUCTION

This quality assurance surveillance plan (QASP) sets forth the procedures and guidelines the National Park Service (NPS), National Mall & Memorial Parks (NAMA) 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 monitor performance and to identify the required documentation and the resources employed. The QASP provides a means for evaluating whether the contractor is meeting required performance standards.

This QASP defines the roles and responsibilities of all members of the project team, identifies the performance objectives, defines the methodologies used to monitor and evaluate the contractor’s performance, describes quality assurance (QA) documentation requirements, and describes the analysis of the QA monitoring results.

1.2 PERFORMANCE MANAGEMENT APPROACH

This QASP will define the performance management approach taken by the NPS NAMA to monitor the contractor’s performance to ensure realization of performance standards.

Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether the contractor is achieving acceptable performance.

1.3 PERFORMANCE MANAGEMENT STRATEGY

The contractor is responsible for the quality of all work performed and shall measure quality through the contractor’s quality control (QC) program. QC is the output of work and includes all work performed regardless of whether the work is performed by direct employees, contractor employees, other teaming partners or subcontractors.

The government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against performance standards. The contractor is responsible for making required changes in processes and practices to ensure effective performance management.

2.0 ROLES AND RESPONSIBILITIES

2.1 Contracting Officer

The contracting officer (CO) is responsible for compliance and administration, and for resolving any differences between the observations documented by the NPS/NAMA contracting officer’s representative (COR) and the contractor. The CO will designate a COR as a government authority for performance management.

2.2 Contracting Officer Representative

The contracting officer’s representative (COR), designated in writing by the CO to act as his or her authorized representative, assists in administering the contract. COR’s limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensures proper government surveillance of the contractor’s performance. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the government’s behalf. The COR shall refer any changes that the contractor deems may affect price, terms, or conditions to the CO for action. The COR is responsible for completing the QA monitoring forms used to document the inspection and evaluation of the contractor’s work performance. Attachment A3 includes the Quality Assurance Monitoring Form.

3.0 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY

LEVELS

The required performance standards and/or quality levels are included in Attachment A2, “Performance Requirements Summary.”

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

To minimize the performance management burden, the government’s evaluation of contractor performance (when appropriate) shall use simplified surveillance methods. The primary methods of surveillance are:

Documentation - Monitoring performed by the COR and to include photographic and written materials provided by the contractor. Includes monthly reporting review.

Each service the COR shall review the generated documentation and enter summary results into the Quality Assurance Monitoring Forms

Periodic Inspection – The COR will perform up to three (3) inspections per year, virtual and/or in-person.

4.2 Customer Feedback

The contractor shall establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and is measurable through customer complaints and surveys.

Performance management drives the contractor to be customer focused through initially and internally addressing customer complaints and investigating the issues and/or problems but the customer always has the option to communicate complaints to the COR, as opposed to the contractor. Customer feedback may be obtained either from the results of formal customer satisfaction surveys or from random customer complaints. Any customer complaints will be investigated by the COR using the Quality Assurance Monitoring Form – Customer Complaint Investigation, identified in Attachment A4.

4.3 Acceptable Quality Levels

The acceptable quality levels (AQLs) included in Attachment A2, Performance Requirements Summary Table for contractor performance, are structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls.

5.0 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

Communication of expected outcomes initiates the performance management feedback loop.

Attachment A2 expresses the performance standards expected of the contractor, and the performance monitoring techniques used to assess performance.

5.2 Monitoring Forms

The government’s QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Attachments A3 and A4. The forms, when completed, will document the government’s assessment of the contractor’s performance to ensure achieving the required results.

The COR will retain a copy of all completed QA surveillance forms.

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 Determining Performance

Government shall use the monitoring methods cited to determine whether the contractor has met performance standards, service levels, and AQLs. If the contractor has not met the minimum requirements, the government may request the contractor develop a corrective action plan to show how, and by what date, it intends to bring performance up to required levels.

6.2 Reporting

At the end of each month, the COR will prepare a written report for the CO summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which includes the contractor’s submitted monthly report and the completed quality assurance monitoring forms (Attachments A3 and A4), will become part of the QA documentation. It will enable the government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards including customer satisfaction regarding Task Order cost/technical/scheduling performance.

6.3 Reviews and Resolution

The COR may require the contractor’s project manager or designated alternate, to meet with the CO and other government personnel as deemed necessary to discuss a performance evaluation.

The CO or COR will define a frequency of in-depth reviews with the contractor, however, if the need arises, the contractor will meet with the CO or COR as often as required or per the contractor’s request. The agenda of the reviews may include performance assessment data, issues and concerns of both parties, the projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis, recommendations for improved efficiency and/or effectiveness, and issues arising from the performance monitoring process.

The COR must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

The COR and contractor should jointly formulate tactical and long-term courses of action.

Decisions regarding changes to metrics, thresholds, or service levels require clear documentation. A modification can incorporate changes to service, procedures, and metrics.

6.4 List of Attachments

Attachment A2 – Performance Requirements Summary

Attachment A3 – Quality Assurance Monitoring Form

Attachment A4 – Customer Complaint Investigation Form

ATTACHMENT A2 – PERFORMANCE REQUIREMENTS SUMMARY

Task / Critical Subtask

Quality/Performance Standard

Acceptable Quality Levels

Surveillance Method

Incentive

Quality Control Program (PWS 1.6.1)

Contractor to establish within 15 days of award and provide to COR for approval.

100% Submitted, reviewed, and accepted by COR

Positive: Contractor and COR will have an easy-to-follow program to ensure quality of performance; work is completed correctly the first time: Positive CPARS report

Negative: Inability to positively track performance; Work is being redone over; Negative CPARS report; Cure Notice;

Termination of Contract

Security Checks

(PWS 1.6.5)

Contractor submits paperwork and required documents for checks.

100% Submitted, reviewed, and accepted by COR

Positive: work is allowed to commence; positive CPARS report

Negative: work is delayed and the contractor is not performing the work; CPARS report; Cure Notice; Termination of Contract

Invoicing

(PWS 1.6.15-

1.6.15.1.7)

Invoices are submitted monthly or after a repair order with the correct information and attachments in IPP.gov

100% Submitted, reviewed, and accepted by COR

Positive: Authorization by the COR is on time and payments are not delayed; work is reported and archived correctly;

positive CPARS report

Negative: invoices will be rejected if data is incorrect;

negative CPARS report; Cure Notice; Termination of Contract

Quarterly Maintenance

(PWS 5)

Provide quarterly preventative maintenance to the security doors, control system and related systems and features.

Preventative maintenance services will be scheduled quarterly with the COR and the

USPP.

90% COR will inspect either physically, with a designee, or by verbal communication with contractor

Positive: work is completed and the equipment is maintained for the public keeping with the Park Service mission; positive CPARS report

Negative: Equipment failures and closures of site causing the contractor to be recalled performing work again by CO:

negative CPARS report; Cure Notice; Termination of Contract

Urgent Repairs

(PWS 5.2-5.2.2)

Contractor responds to notification of urgent service calls within one hour. Work is performed to correct issue

90% COR will be in contact with contractor by email, phone, or in person

Positive: Site is made safe and operational for the public quickly; positive CPARS report

Negative: Equipment failures and closures of site causing the contractor to be recalled performing work again by CO:

negative CPARS report; Cure Notice; Termination of Contract

Non-urgent Repairs

(PWS 5.3-5.3.3)

The Contractor shall respond to phone calls or emails within 1 hour to schedule site visits within 3 days. Work is performed to correct issue

90% COR will be in contact with contractor by email, phone, or in person

Positive: Site is made safe and operational for the public quickly; positive CPARS report

Negative: Equipment failures and closures of site causing the contractor to be recalled performing work again by CO:

negative CPARS report; Cure Notice; Termination of Contract

Deliverables & Reports (PWS 5.4-5.4.2)

Contractor provides schedule and description of maintenance within 15 days of award.

Reports are provided with invoices

100% Submitted, reviewed, and accepted by COR

Positive: Authorization by the COR is on time and payments are not delayed; work is reported and archived correctly;

positive CPARS report

Negative: invoices will be rejected if data is incorrect;

negative CPARS report; Cure Notice; Termination of Contract

ATTACHMENT A3 – QUALITY ASSURANCE MONITORING FORM

CONTRACT OR TASK ORDER:

TEAM LEAD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Inspection 100% Inspection Periodic Inspection Customer Complaint

LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

ANALYSIS OF RESULTS:

Service Provider’s Performance (Check): Meets Standards

Does Not Meet Standards

Narrative of Performance During Survey Period:

PREPARED BY: ___________________________________ DATE: _________________

ATTACHMENT A4 – CUSTOMER COMPLAINT INVESTIGATION

CONTRACTOR: _______________________________________________________________

CONTRACT/TASK ORDER NUMBER: ______________________________________________

DATE/TIME COMPLAINT RECEIVED: ___________________________ ________ AM / PM

SOURCE OF COMPLAINT: ___________________________________________ (NAME)

__________________________________________ (ORGANIZATION)

__________________________________________ (PHONE NUMBER)

__________________________________________ (EMAIL ADDRESS)

NATURE OF COMPLAINT:

RESULTS OF COMPLAINT INVESTIGATION:

DATE/TIME SERVICE PROVIDER INFORMED OF COMPLAINT:

___________________ AM / PM

CORRECTIVE ACTION TAKEN BY SERVICE PROVIDER:

RECEIVED AND VALIDATED BY: ____________________________________________________________________________

PREPARED BY: ___________________________________

DATE: _________________________________________