36A77619Q0143-017.docx

Quality Assurance Surveillance Plan

Department of Veterans Affairs

VA Palo Alto Health Care System (VAPAHCS)

Activation Services Contract

03 June 2019

Quality Assurance Surveillance Plan

For: Activation Services Contract Number: Blank until contract award Contract Description: The Contractor shall conduct all necessary Activation Service activities in accordance with the Activation Contract Performance Work Statement (PWS). This includes professional services to include labor, materials, transportation, and equipment to conduct and provide Activation support services to accomplish tasks and deliverables. The types of services represented under this PWS are:

1. Comprehensive Project Management Services

2. Comprehensive Warehouse and Warehousing Services

3. Comprehensive Delivery and Installation Services

4. Move Services (to include Live Animal Transport)

5. Project Close-out Contractor’s Name: Blank until contract award

1. Purpose This Quality Assurance Surveillance Plan (QASP) provides a systematic method to monitor Contractor services performed under this activation contract. The QASP provides a means for evaluating whether the Contractor is meeting the performance standards/quality levels identified in the PWS, the Quality Control Plan, and to ensure that the Government receives the level of services ordered.

This QASP describes:

1. What will be monitored

2. How monitoring will take place

3. Who will conduct the monitoring

4. How monitoring efforts and results will be documented Copies of the original QASP and revisions shall be provided to the Contractor and Government officials responsible for surveillance activities. The Government can change the method of surveillance at any time.

1.1 Performance Management Approach

The PWS sets forth “what” service is required as well as the performance standards associated with that task, as opposed to “how” the Contractor should perform the work (i.e., results, not compliance). This QASP will define the performance management approach taken by the VA Palo Alto Health Care System, California to monitor the Contractor’s performance and ensure the expected outcomes or performance objectives communicated in the PWS are achieved. 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 to what extent the expected outcomes for the project are being achieved by the Contractor.

Performance management represents a significant shift from the more traditional Quality Assurance (QA) concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and to what extent. 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, as long as the proposed processes are within the stated constraints. Required processes are those required by law (federal, state, and local) and compelling business situations, such as safety and health. A “results” focus by the Government 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 and/or the desired performance levels are being met.

1.2 Performance Management Strategy

The Contractor is responsible for the quality of all work performed. The Contractor measures that quality through the Contractor’s own Quality Control (QC) program. QC is work output, not workers, and therefore includes all work performed under this Activation contract, regardless of whether the work is performed by Contractor employees or by Subcontractors. The Contractor’s QC program will set forth the procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The Contractor will implement a performance management system with processes to assess and report its performance to the designated Government representative.

The Government representative(s) will monitor performance by the Contractor to determine how the Contractor is performing against performance standards. The Contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively. The Contractor will be monitored and assessed throughout the period of performance of the Activation contract as to either meeting or not meeting the performance thresholds stated in the Performance Metrics Section of the PWS section 29.2. The Contracting Officer’s Representative (COR) will perform annual assessments. The Performance Based Service Assessment Survey, or other method, may be used to document this assessment. A sample Performance Based Service Assessment Survey is provided at the end of this document. When a Contractor performance issue occurs, the COR will notify the VA Program Manager (PM) and Contracting Officer (CO). The COR/CO will engage the Contractor PM to resolve the discrepancy.

1.2.1 Performance Feedback:

At the end of each assessment period, the assessment will be reviewed by the PM and CO. The COR/CO will notify the Contractor of the results no later than 15 working days after the end of the assessment period.

2. Government Roles and Responsibilities The following personnel shall oversee and coordinate surveillance activities.

a. CO - The CO shall ensure performance of all necessary actions for effective contracting, ensure compliance with the contract terms, and shall safeguard the interests of the United States in the contractual relationship. The CO shall also assure that the Contractor receives impartial, fair, and equitable treatment under this contract. The CO is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

b. COR - The COR is responsible for technical administration of the contract and shall assure proper Government surveillance of the Contractor’s performance. The COR shall keep a quality assurance file. This file shall contain all annual assessment reports. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government’s behalf.

Assigned COR: Dina Cheyette, VA Palo Alto Health Care System

c. Other Key Government Personnel – TBD

3. Contractor Representatives

a. Project Manager – To be completed at award

b. Other Contractor Personnel – To be completed at award; if any (name and title)

4. Performance Standards Performance Standards define required performance for specific tasks. The Government performs surveillance to determine if the Contractor exceeds, meets or does not meet these standards.

The Performance Metrics for deliverables and performance standards are outlined in the PWS. The Government may utilize the Performance Based Service Assessment Survey, provided at the end of this document, or other method to compare Contractor performance to the Acceptable Quality Level (AQL).

5. Methods of QA Surveillance Various methods exist to monitor performance. The COR shall use any or several of the surveillance methods listed below in the administration of this QASP.

100% Inspection (evaluates all outcomes)

· Each quarter, the COR shall review the Contractor’s performance/generated documentation and document the results accordingly. This assessment shall be placed in the COR’s QA file.

Random Sample

· Each quarter, the COR shall review a random sampling of the Contractor’s performance/generated documentation and document your results accordingly. This assessment shall be placed in the COR’s QA file.

Validated Customer Complaint or Validated Below Average AQL in a Specific Area

· Each quarter, the COR shall review the Contractor’s performance/generated documentation corresponding to a validated customer complaint or validated inability to perform in accordance with the AQL in a specific area and document your results accordingly. This assessment shall be placed in the COR’s QA file.

6. Acceptable Quality Levels Metrics and methods are designed to determine if performance exceeds, meets, or does not meet a given standard and acceptable quality level.

The AQLs are included in the Performance Metrics Section of the PWS and are structured to allow the Contractor to manage how the work is performed, while providing negative incentives for performance shortfalls. Incentive for the Contractor to meet contractual requirements is to prevent rework that would be at their own expense. Also, failure to meet contractual requirements would also reflect poorly on Past Performance Evaluations.

7. Incentives The incentive for the Contractor to meet contractual requirements is to prevent rework that would be at their own expense. Work that meets or exceeds the standards will be reflected on the annual performance review.

8. Disincentives The disincentive for the Contractor would be the potential negative Past Performance Evaluations generated and used for future Government requirements.

9. Documenting Performance

a. Acceptable Performance The Government shall document acceptable performance accordingly on the included Performance Based Assessment Form. Any report may become a part of the supporting documentation for any contractual action.

b. Unacceptable performance When unacceptable performance occurs, the COR shall inform the Contractor. This will always be in writing although when circumstances necessitate immediate verbal communication, that communication will be followed in writing. The COR shall document the discussion and place it in the COR file.

When the CO determines formal written communication is required, the COR shall prepare a Contract Discrepancy Report (CDR), and present it to the Contractor's program manager.

The Contractor shall acknowledge receipt of the CDR in writing to the CO. The CDR will state how long after receipt the Contractor must take corrective action. The CDR will also specify if the Contractor is required to prepare a corrective action plan to document how the Contractor shall correct the unacceptable performance and avoid a recurrence. The Government shall review the Contractor's corrective action plan to determine acceptability.

Any CDRs may become a part of the supporting documentation for any contractual action deemed necessary by the CO.

10. Frequency of Measurement

a. Frequency of Measurement During contract performance, the COR will periodically analyze whether the negotiated frequency of surveillance is appropriate for the work being performed.

b. Frequency of Performance Assessment Meetings.

The COR shall meet with the Contractor quarterly to assess performance and shall provide a written assessment to the CO.

11. Quality of Submission The quality of submission should also be considered. Error rates or resubmits for content flaws would be the measures associated with these standards. Examples of standards include:

Accuracy Work products shall be accurate in presentation, technical content, and adhere to accepted elements of style.

Clarity Work products shall be clear and concise. Any/All diagrams shall be easy to understand and be relevant to the supporting narrative.

Consistency to Requirements All work products must satisfy the requirements of this PWS.

File Editing All text and diagrammatic files shall be editable by the VA in Windows-based or Adobe environments/platforms.

Format - Follow specified VA directives or manuals and/or best business practices.

Presentations - Presentations shall be clear, concise, executive-focused, and written in plain, clear English with minimal jargon, understandable by lay persons. The quality of deliverables directly contributes to organizational communications.

Project Plan - Project Plan shall be comprehensive; recognize and address authority, perceptions, and concerns of stakeholders; incorporate scope of requisite requirements across the organization and/or agency.

Reports - There shall be no omissions in the reports, documents or functional requirements.

Publications and other documents - Deliverables shall be in formats appropriate to target audiences; user friendly, clear, thorough and comprehensive.

Meeting facilitation - Pre-meeting preparations and logistics; smooth meeting operations; comprehensive post-meeting summaries to include but not limited to: minutes, action items, attendees, program objectives, milestones, and major decision points.

Analyses and Assessments - Analyses and assessments are performed with accuracy, completeness and adherence to industry best practices.

Obtain stakeholder input - Deliverables shall consist of the timely implementation of input mechanisms, and shall consist of an accurate and comprehensive synthesis of results and recommendations. Integration of relevant stakeholder input documented for deliverable.

The following rating definitions can be used as a guide when completing the Performance Based Service Assessment:

PERFORMANCE BASED SERVICE ASSESSMENT

CONTRACT NUMBER/ TITLE:

PERIOD COVERED:

Place an X in the appropriate response

Performance Standards for Assessment

Very

A. MEETING TECHNICAL NEEDS:

1. What level of understanding does the contractor have of my technical needs and my mission requirements?

2. What level of efficiency and effectiveness does the contractor demonstrate in meeting my requirements?

3. Overall, how well does the contractor meet my technical needs and mission requirements?

4. Overall, the quality of the products/services provided are

B. PROJECT MILESTONES AND SCHEDULE:

1. How well does the contractor meet my established milestones and project dates?

2. How timely are products, reports, and invoices completed, reviewed, and delivered?

3. How would you assess the reasonableness of cost of the services being provided and the accuracy of submitted invoice?

4. How well does the contractor notify me in advance about potential milestones and scheduling problems so that I have enough time to correct them?

C. PROJECT STAFFING

1. How current is the expertise of those contractors performing requested tasks?

2. Do contractor personnel possess the necessary knowledge, skills and ability to accomplish assigned tasks?

3. Are the staffing levels assigned by contractor appropriate for accomplishing the mission?

D. VALUE OF THE CONTRACTOR:

1. How would you assess the value of the services provided by the contractor?

2. How do you rate the quality of the products delivered by the contractor?

3. What overall rating would you give to the contractor's performance?

** Ratings for a Performance Standard are calculated by adding the individual scores under a Performance Standard and dividing it by the number of sub-standards under that Performance Standard.

***Poor and Below Satisfactory ratings must be explained in Section II (Narrative Clarification) below. Must be supportive and objective

II NARRATIVE CLARIFICATION

(USE ADDITIONAL SPACE

AS REQUIRED)

Typed Name And Title of Government Project Lead/ Date

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY |_| MAJOR |_| MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

|_| ACCEPTED |_| REJECTED

12. CLOSE DATE

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

CONTRACTOR PERFORMANCE ASSESSMENT REPORT (CPAR)

(If more space is needed, use reverse and identify by number)

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. |_| DEFICIENCY (CHECK ALL BOXES THAT APPLY)

|_| NEW

|_| REPEAT

|_| NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE |_| CONCUR |_| NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. |_| CONCUR |_| NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS

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