A04_QASP_NWOD_Vault_Pumping.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Northwest Oregon District Vault Toilet Pumping / Bureau of Land Management

1 INTRODUCTION

This QASP is pursuant to the requirements listed in the Performance Work Statement (PWS) for the Northwest Oregon District Vault Toilet Pumping / Bureau of Land Management (BLM) project. This plan sets forth the procedures and guidelines the Government will use in ensuring the required performance standards or services levels are achieved by the contractor.

1.1 Purpose

1.1.1 The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and the resources to be employed. The

QASP provides a means for evaluating whether the contractor is meeting the performance standards / quality levels identified in the PWS and the contractor’s quality control plan (QCP), and to ensure that the Government pays only for the level of services received.

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

1.1.3 The QASP does not detail how the contractor accomplishes the work. Rather, the QASP is created with the premise that the contractor is responsible for management and quality control actions to meet the terms of the contract. It is the Government’s responsibility to be objective, fair, and consistent in evaluating performance. In addition, the QASP should recognize that unforeseen and uncontrollable situations may occur.

1.1.4 This QASP is also a “living document” and the Government may review and revise it on a regular basis. However, the Government shall coordinate changes with the contractor. Updates shall ensure that the QASP remains a valid, useful, and enforceable document. Copies of the original QASP and revisions shall be provided to the contractor and Government officials implementing surveillance activities.

1.2 Performance Management Approach

1.2.1 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 will define the performance management approach taken by the Government to monitor and manage the contractor’s performance to 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 whether expected outcomes for the project are being achieved by the contractor.

1.2.2 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. The only exceptions to process reviews are those required by law (federal, state, and local) and compelling business situations, such as safety and health. A “results” focus provides the contractor flexibility to continuously improve and innovate over the course of the purchase order as long as the critical outcomes expected are being achieved and/or the desired performance levels are being met.

1.3 Performance Management Strategy

1.3.1 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 purchase order regardless of whether the work is performed by contractor employees or by subcontractors. The contractor’s QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS.

The contractor will develop and implement a performance management system with processes to assess and report its performance to the designated Government representative. The contractor’s

QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. This

QASP enables the Government to take advantage of the contractor’s QC program.

1.3.2 The Government representative(s) will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The Government will make determinations regarding incentives based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2 ROLES AND RESPONSIBILITIES

2.1 Contracting Officer (CO)

The CO is responsible for monitoring purchase order compliance, purchase order administration, and cost control and for resolving any differences between the observations documented by the

Contracting Officer's Representative (COR) and the contractor. The CO will designate a COR as the Government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the contractor’s performance, and must be identified and designated by the CO.

2.2 Contracting Officer’s Representative (COR)

The COR is designated in writing by the CO to act as his or her authorized representative to assist in administering the purchase order. COR 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.

Any changes that the contractor deems may affect price, terms, or conditions shall be referred to the CO for action. The COR will have the responsibility for completing QA monitoring forms used to document the inspection and evaluation of the contractor’s work performance. The PM and CO will advise the requirements owner (client agency) throughout the purchase order to ensure proper administration and oversight of the purchase order.

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS / QUALITY

LEVELS

The required performance standards and / or quality levels are included in the PWS and in

Attachment 1, “Performance Requirements Summary (PRS).” If the contractor meets the required service or performance level, it will be paid the unit amounts agreed upon in the purchase order.

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

In an effort to minimize the performance management burden, simplified surveillance methods shall be used by the Government to evaluate contractor performance when appropriate. The primary methods of surveillance are:

⮚ Random monitoring, which shall be performed by the COR designated inspector.

⮚ 100% Inspection – Each month, the COR shall review the generated documentation and enter summary results into the Surveillance Activity Checklist.

⮚ Periodic Inspection – COR typically performs the periodic inspection on a monthly basis.

4.2 Customer Feedback

The contractor is expected to 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 can be measured through customer complaints.

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 complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the COR. The COR will accept those customer complaints and investigate using quality assurance monitoring forms such as the one in Attachment 2.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

4.3 Acceptable Quality Levels (AQLS)

The AQLs included in Attachment 1, 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 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and are assessed using the performance monitoring techniques shown in Attachment 1.

5.2 Monitoring Forms

The Government’s QA surveillance, accomplished by the COR, will be reported using monitoring forms such as the one in Attachment 2. The forms, when completed, will document the

Government’s assessment of the contractor’s performance under the purchase order to ensure that the required results by BLM are being achieved.

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

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

The Government shall use the monitoring methods cited to determine whether the performance standards / service levels / AQLs have been met. If the contractor has not met the minimum requirements, it may be asked to develop a corrective action plan to show how and by what date it intends to bring performance up to the required levels. Failure to meet the AQL may result in a deduction from the invoice payment, using the deduction percentages shown in Attachment 1.

Likewise, if the contractor exceeds the performance standards, an incentive or award fee will be paid, in accordance with the incentive fee or award fee plan included in the purchase order (if applicable).

6.2 Reporting

At the end of each month, the COR may prepare a written report for the CO summarizing the overall results of the QA surveillance of the contractor’s performance. This written report, which includes the contractor’s submitted documentation and the completed quality assurance monitoring forms (Attachment 2), 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 cost / technical / scheduling objectives.

6.3 Reviews and Resolution

6.3.1 The COR may require the contractor’s project manager, or a designated alternate, to meet with the CO and other Government IPT personnel as deemed necessary to discuss performance evaluation. The COR will define a frequency of in-depth reviews with the contractor, including appropriate self-assessments by the contractor; however, if the need arises, the contractor will meet with the COR as often as required or per the contractor’s request. The agenda of the reviews may include:

⮚ Monthly performance assessment data and trend analysis

⮚ Issues and concerns of both parties

⮚ Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis

⮚ Recommendations for improved efficiency and/or effectiveness

⮚ Issues arising from the performance monitoring processes

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

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

Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics will be incorporated as a purchase order modification at the convenience of the CO.

1. ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

Performance

Objective

Standard Acceptable Quality

Levels

Incentive /

Disincentive

Timeliness of service after call is made.

Servicing vault within five business days of initial call.

Related Deliverables:

Invoice with gallons pumped, clean vault

100% complete, 100% accurate, 100% timely, in compliance with county, state, federal policy

Contractual remedy, and reporting on

CPARS

Removal of floating debris / trash in tank

Remove all debris / trash from vault prior to pumping and dispose of off-site.

100% complete, 100% accurate, 100% timely, in compliance with county, state, federal policy

Contractual remedy, and reporting on

CPARS

Pumped sewage in a leak proof container.

No leaking liquids from sewage pumped into the holding tank of the truck.

100% complete, 100% accurate, 100% timely, in compliance with county, state, federal policy

Contractual remedy, and reporting on

CPARS

Floor of vault covered with water

Pre-charge vault with fresh water (100-150 gallons each vault).

100% complete, 100% accurate, 100% timely, in compliance with county, state, federal policy

Contractual remedy, and reporting on

CPARS

Area surrounding vault toilet clean and free of contaminated spills

Clean and disinfect spill areas of contamination from the pumping process, including vegetated areas, concrete pad, and access hole.

100% complete, 100% accurate, 100% timely, in compliance with county, state, federal policy

Contractual remedy, and reporting on

CPARS

2. ATTACHMENT 2: SAMPLE QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

❒ Random Sampling ❒ 100% Inspection ❒ Periodic Inspection ❒ Customer Complaint

LEVEL OF SURVEILLANCE (Check):

❒ Monthly

❒ Quarterly

❒ As needed

PERCENTAGE OF ITEMS SAMPLED DURING SURVEY PERIOD: ______ %

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Service Provider’s Performance (Check):

❒ Meets Standards

❒ Does Not Meet Standards

Narrative of Performance During Survey Period:

PREPARED BY: ___________________________________ DATE: _________________