Livermore_Landscape_Maintenance_Services_-_Attachment_A_-_QASP.docx

Exhibit 4: Record of Complaint Attachment A Quality Assurance Surveillance Plan Livermore Landscape Maintenance Services Federal Communications Commission

June 13, 2019

Prepared By:

United States Federal Communications Commission (FCC) Enforcement Bureau (EB) 445 12th Street SW Washington, DC 20554

Federal Communications Commission – Livermore Landscape Maintenance Services Attachment A – QASP FCC ETRS Modernization PWS

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is to be used in conjunction with satisfaction of requirements in the performance work statement (PWS) entitled Livermore Facility Support Services. This plan sets forth the procedures and guidelines that the Federal Communications Commission (FCC) Enforcement Bureau (EB) will use to ensure the contractor achieves the required performance standards.

PURPOSE

The QASP describes the methods used to monitor performance and identifies the required documentation and the resources to be employed to achieve performance objectives. The QASP provides a means for evaluating the contractor’s performance, adherence to the contractor’s quality control plan (QCP), and ensuring that the Government pays only for the level of services received.

This QASP addresses the following topics:

· Performance management approach

· Performance management strategy

· Roles and responsibilities

· Required performance standards

· Methodologies to measure performance

· Quality assurance documentation

· Analysis of quality assurance assessment Performance Management Approach The PWS structures the acquisition around “what” service or quality level is required, as opposed to “how” the contractor should perform the work (i.e., results, not compliance). This QASP defines the performance management approach taken by EB to monitor and manage the contractor’s performance to ensure achievement of the expected outcomes or performance objectives communicated in the PWS. 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. Analysis of performance data should indicate whether the contractor is achieving expected outcomes for the project.

Performance management represents a significant shift from the more traditional quality assurance (QA) concepts in several ways. Performance management focuses on whether and to what extent the contractor achieves expected outcomes. This approach migrates away from scrutiny of compliance with the processes and practices used to achieve the outcome. A performance-based approach enables the contractor to play a large role in how the work is performed, provided the proposed processes are within the stated constraints. A “results” focus provides the contractor flexibility to continuously improve and innovate over the course of the contract provided the expected outcomes are achieved and/or the desired performance levels are being met.

Performance Management Strategy The contractor is responsible for the quality of all work performed under this contract. The contractor’s QCP shall set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. This QASP details how and when the Government will survey, observe, test, sample, evaluate, and document contractor performance.

The Government will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The contractor shall be responsible for making changes in processes and practices to manage performance effectively.

ROLES AND RESPONSIBILITIES

Contracting Officer The Contracting Officer (CO) is responsible for monitoring contract compliance and contract administration, and is the only person authorized to appoint/designate a Contracting Officer’s Representative (COR). The CO will designate, in writing, a COR for the task order as the Government representative for performance management. The CO may also designate in writing any number of additional representatives to serve as technical inspectors, depending on the complexity of the services to be measured.

Contracting Officer’S Representative The COR is designated to act as the CO’s authorized representative to assist in administering the task order. COR limitations are contained in the LOCAL-4 Contracting Officer’s Representative clause and the COR appointment letter. The COR is responsible for technical administration of the project and 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. Any changes that the contractor deems may affect contract price, terms, or conditions shall be referred to the CO for action.

REQUIRED PERFORMANCE STANDARDS

The required performance standards are included in the Performance Requirements Summary (PRS), which is included as Appendix 1 to this document. The Government will monitor and inspect the quality of the contractor’s work against these standards to determine if the work is completed in accordance with the requirements of the contract and justifies the amount of payment made.

METHODOLOGIES TO MONITOR PERFORMANCE

Surveillance Techniques The objective of contract surveillance is to monitor contractor performance to assure the services received are consistent with contract quality requirements and received in a timely manner. Methods of surveillance include but are not limited to:

· Random observation, which shall be performed by the COR or a designated inspector.

· 100% Inspection – Each month, the COR, shall review the contractor’s work (including generated documentation) and enter summary results into Exhibit 1 (Quality Assurance Monitoring Form).

· Periodic Inspection – COR periodic inspection (period will be specified in order, but is typically done monthly).

· Surveys – COR review of customer/requiring activity (RA) feedback surveys.

· Reports - COR review of contractor reports and other deliverables.

· File Review – FCC Program Manager (PM), CO and COR review of contractor deliverables.

· Customer Input –In certain situations, such as where customers can be relied upon to complain consistently when the quality of performance is poor (e.g. help desk support, building services), performance customer surveys and customer complaints may be a primary method.

Effective use of the QASP will allow the Government to evaluate the contractor’s success in meeting the required performance standards. If the contractor begins to experience problems or difficulties in task order performance, surveillance frequency may be increased and/or additional surveillance methodologies employed by the Government.

PERFORMANCE raTING DEFINITIONS In evaluating the quality of contractor’s performance, the Government will use the following performance ratings:

· Exceptional – Performance meets 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 was accomplished with some minor problems for which corrective actions taken by the contractor were effective.

· Satisfactory – Performance meets contractual requirements. The contractual performance contains some minor problems for which corrective actions taken by the contractor were satisfactory.

· Marginal – Performance does not meet some contractual requirements. The contractual performance reflects a serious problem for which the contractor has not yet identified corrective actions. 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 contains a serious problem (or problems) for which the contractor’s corrective actions appear or were ineffective.

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. The contractor shall act promptly to effect satisfactory resolution of any customer complaints. Whether or not the contractor reaches satisfactory resolution with the customer, the contractor shall promptly document all customer complaints and comments made to the contractor and report them to the COR using the Record of Complaint form in Exhibit 4.

QUALITY ASSURANCE DOCUMENTATION

The Government’s surveillance of contractor performance will be reported by the COR using the Quality Assurance Monitoring Form and Contract Deficiency Notice in Exhibits 1 and 3. These documents, when completed, will be utilized to support the Government’s monthly assessment of the contractor’s performance under the task order on the Monthly Surveillance Report in Exhibit 2.

ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

The Government shall use the surveillance methods set forth in this QASP and the PRS to determine whether the contractor’s performance has met the required performance standards.

If the contractor has not met a performance standard, the Government will direct the contractor to develop a corrective action plan to show how and by what date it will bring performance up to the required standard. Failure to meet one or more of the performance standards may result in an adverse past performance rating for the task order (see FAR 42.1503) and will be considered by the Government in determining whether to exercise option periods on this task order. If the contractor exceeds one or more of performance standards, a positive past performance rating may be given for the task order.

monthly surveillance Report At the end of each month, the COR will prepare a written monthly surveillance report (Exhibit 2) for the CO summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which will include the contractor’s submitted monthly status report and the completed quality assurance monitoring forms (Exhibit 1), will become part of the QA documentation. The report will address whether the contractor is meeting the stated performance standards, including technical/scheduling objectives. A copy of this report will be furnished to the contractor’s PM.

Reviews and Resolution The contractor’s PM shall meet periodically with the COR and other Government personnel, as deemed necessary by the COR, to discuss performance evaluations. The Government will define the frequency and depth of these reviews with the contractor, including appropriate self-assessments by the contractor. In addition, either the Government or the contractor may request meetings to discuss issues pertinent to the performance under this contract. The agenda topics of these reviews may include but are not limited to:

· Monthly performance assessment data and trend analysis

· Issues and concerns of both parties

· Projected outlook for upcoming months and progress against expected trends, including corrective action

· Recommendations for improved efficiency and/or effectiveness

· Issues arising from the performance monitoring processes In addition to these reviews, either party may request meetings to discuss issues pertinent to the performance under this contract. During contract performance, the Government and the contractor will likely engage in discussions regarding changes and improvements. The contractor shall document recommendations arising from these discussions (e.g., regarding changes to performance metrics or thresholds). The documentation shall be submitted to the CO for his or her consideration as to whether a contract modification is appropriate.

QASP

Appendix 1: Performance Requirements Summary (PRS) Appendix 1 – Performance Requirements Summary (PRS)

Task Order Administration – PWS Section 6

Grounds Maintenance – PWS 6.1

Gravel Maintenance – PWS 6.2

Appendix 1: PRS Summary

Exhibit 1: QUALITY ASSURANCE MONITORING FORM The QA monitoring form is completed by the COR and/or technical representative(s) during each surveillance event and is maintained in the COR contract file to document the surveillance and subsequent findings.

SURVEY PERIOD: SURVEILLANCE METHOD (Check):

Random Observation 100% Inspection Periodic Inspection File Review Customer Input LEVEL OF SURVEILLANCE (Check):

Monthly Quarterly As needed

ITEMS SAMPLED DURING SURVEY PERIOD:

ANALYSIS OF RESULTS:

Provider’s Performance (Check): Meets Standards Customer Complaint

Narrative of Performance During Survey Period:

Meet Standards Does Not Meet Standards

PREPARED BY: ________________________________

DATE: _________________

Exhibit 1: Quality Assurance Monitoring Forms

EXHIBIT 2: MONTHLY SURVEILLANCE REPORT

COR Name:

Contract Number:

To:

SURVEILLANCE METHOD

100% Inspection Random Onsite Inspection Scheduled Periodic Inspection Contractor Submitted Report Files Review Customer Input

CONTRACTOR'S QUALITY OF WORK

Exceptional Very Good Satisfactory Marginal Unsatisfactory

Number of customer complaints this month?

COR Signature Exhibit 2: Monthly Surveillance Report

EXHIBIT 3: CONTRACT DEFICIENCY NOTICE

A deficiency notice/report is used to document a deficiency in the contractor’s performance of a contract requirement. The contractor is required to report back the corrective action taken. If the contractor’s inability to perform is based upon the Government’s lack of support, it should be documented on this form.

Date of Discovery:

Location:

Responsible Contract Site Manager:

Deficiency Noted:

COR Signature and Date

Contract Site Manager Signature and Date

NOTE: Contract Site Manager should correct the deficiency noted above and notify the COR of the corrective action taken and whether the action taken corrected the condition.

Exhibit 3: Contract Deficiency Notice

EXHIBIT 4: RECORD OF COMPLAINT

Date:

Contract Number:

Contractor’s Program Manager’s Name:

Name of Contractor Company:

Name of individual filing the complaint:

Names of Individuals Involved in the complaint:

Names of individuals notified of complaint (COR, PM, Company, etc.):

Date of incident:

Describe the incident:

Task Order Number:

Phone Number:

Company POC and Phone Number:

Government Response:

COR Signature:

Contractor’s Signature:

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