A12 ATTACHMENT B - QASP 1-2-2020.docx

Federal Emergency Management Agency Federal Insurance and Mitigation Administration Risk Management Directorate

ATTACHMENT B

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Hazard Mitigation Technical Assistance Program (HMTAP) Non-Architectural and Engineering (Non-A&E) Services

JANUARY 2, 2020

1. INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the Statement of Objectives (SOO). This QASP describes how government personnel will evaluate and assess contractor performance. The QASP is based on the premise that the Contractor, not the Government, is responsible for the day-to-day performance of the work and all the management and quality control actions required to meet the terms of the contract. The role of the Government is quality assurance to ensure task order standards are achieved and maintained.

The QASP is designed to provide an effective surveillance method to monitor the service provider’s performance relative to the requirements listed in the agreement. The QASP illustrates the systematic method the Government will use to evaluate the services the service provider is required to furnish.

2. 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 to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards/quality levels identified herein and to ensure that the government pays only for the level of services received.

This QASP defines the roles and responsibilities of QASP stakeholders, 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.

3. OBJECTIVE

This QASP provides a quality surveillance strategy for the Hazard Mitigation Technical Assistance Program (HMTAP) Non-Architectural and Engineering (Non-A&E) Services. The primary intent of the plan is to provide a basis for the Contracting Officer’s Representative (COR) evaluation of performance quality. The plan will also afford the COR and the Contracting Officer a productive mechanism and oversight to preclude major deficiencies in performance, provide input for annual contractor past performance evaluations, and make the determination for exercising of task order options.

4. ROLES AND RESPONSIBILITIES

Contracting Officer

The Contracting Officer (CO) is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the Contracting Officer’s Representative (COR), the HMTAP Program Manager and the contractor. The CO will designate one full-time COR as the Government authority for performance management. The number of additional representatives serving as project managers and technical monitors depends on the complexity of the services measured, as well as the contractor’s performance, and will be identified and designated by the CO for each task/delivery order.

Contracting Officer’s Representative The Contracting Officer’s Representative (COR) is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. COR responsibilities are contained in the written appointment letter. The COR is responsible for day to day administration of the program 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 discussed by the COR that the contractor deems may affect contract price, terms, or conditions shall be referred to the CO for action. The COR will have the responsibility for completing quality assurance (QA) monitoring forms used to document the inspection and evaluation of the contractor’s work performance.

5. PERFORMANCE AREAS

Surveillance of contractor performance will be performed by the appointed COR and the Contracting Officer based on the surveillance methodologies identified in the QASP. The following performance areas will be the basis from which all surveillance will originate:

5.1 Timeliness and Schedule

5.2 Quality

5.3 Organization and Coordination

5.4 Effective Reporting

5.5 Cost Control

5.6 Responsive Key Personnel and Effective Staffing Management

6. QUALITY CONTROL PLAN

As a part of its agreement with the Government, the service provider is required to develop, implement, and maintain a Quality Control Plan (QCP) that illustrates the methods it will use to review its performance to ensure it conforms to the performance requirements (Appendix A: Performance Requirements Summary Table). Such reviews are performed by the service provider in order to validate its operations and assure the Government that the services meet the performance standards.

The service provider’s QCP should include monitoring methods that ensure and demonstrate its compliance with the performance standards. This includes inspection methods and schedules that are consistent with the regular reviews conducted by the Government. The reports and other results generated by the service provider’s QCP activities should be provided to the COR as requested.

The frequency and type of the service provider’s reviews should be consistent with what is necessary in order to ensure compliance with the performance standards, but no less frequent than what is described in the Government’s monitoring instrument/worksheets (See Appendix A).

The service provider is encouraged not to limit its inspection to only the processes outlined in the Government’s standard, however, certain key documents must be provided by the contractor to assure the Government that the services meet the performance standards. Some of the documentation that must be generated and made available to the COR for inspection is listed below:

· QCP Reports

· Written policies and procedures to implement and assess operational requirements of the standard

· Documentation and recording-keeping that ensure ongoing operational compliance with the standards (e.g., monthly reports, quarterly reports, invoices, etc.)

· Staff training records

The list is intended as illustrative and is not all-inclusive. The service provider must develop and implement a program that addresses the specific requirement of each standard and the means it will use to document compliance.

6. METHOD OF EVALUTATION AND SURVEILLANCE

The COR will perform surveillance and evaluate each of the performance areas described in this plan. The COR will conduct evaluations of all of items identified in the QASP. The monitoring methods are identified in the QASP. The COR may also receive input through customer feedback, FIMA personnel and other government personnel, as appropriate.

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

6.1 Site Visits: Site visits will be random. They can be scheduled or ad-hoc. Site visits are used to observe actual performance to determine the extent of compliance with performance standards, and to ensure any noted deficiencies are effectively addressed and corrected as quickly as possible.

Scheduled site visits will be performed no less than one (1) per contract period as funding allows. Scheduled site visits may involve direct observation of contractor personnel performing tasks, interacting with Government staff or the public. Site visits may be performed by the COR or by other parties designated as representatives of FEMA. The COR or other designated representative of FEMA will record all findings on the Site Visit Quality Assurance Monitoring Form (Appendix B).

Ad-hoc site visits are unscheduled and will be conducted as a result of special interests arising from routine monitoring of the service provider’s QCP, an unusual occurrence pertaining to the agreement, or other FEMA concerns.

When visiting a site, either the COR or a designated representative of FEMA may conduct their own inspections of contractor performance activities or accompany the service provider’s designated Quality Control Inspector (QCI) on scheduled inspections. The COR and QCI may inspect the same event simultaneously but independently and compare results to determine if any surveillance areas were overlooked. The COR or other designated representative of FEMA will record all findings on the Site Visit Quality Assurance Monitoring Form (Appendix B). Site visit findings will be provided to the contractor personnel as appropriate.

6.2 Customer Feedback:

The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is to determine the level of 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 compliments and/or complaints. The COR will accept those customer compliments and complaints and investigate using the Customer Service Feedback Investigation Form, identified in Appendix C.

Performance management drives the contractor to be customer-focused by initially and internally addressing customer complaints and investigating the issues and/or problems. The customer always has the option to communicate complaints to the CO and COR, rather than the contractor.

Customer complaints, to be considered valid, must be set forth clearly and in writing with the detailed nature of the complaint, must be signed, and must be forwarded to the COR.

6.3 Other Feedback:

The COR or other designated representative of FEMA will complete a performance evaluation as part of the closeout of each task order to ascertain the extent of compliance with the performance standards. The COR or other designated representative of FEMA will record all findings on the Task Order Performance Evaluation Form (Appendix D).

6.4 Reviews and Resolution:

The CO or COR may require the contractor’s Program Manager, Task Order Manager, or a designated alternate, to meet with Government personnel as deemed necessary to discuss the performance evaluation. The CO and COR will define a frequency of reviews with the contractor, including appropriate self-assessments by the contractor; however, if the need arises, the contractor will meet with the CO and 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

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

The CO 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 contract modification at the convenience of the CO.

7. INSPECTION OF DELIVERABLES

All deliverables will be inspected for content, completeness, accuracy, and conformance to requirements specified in the SOO. Unless specifically noted and mutually agreed upon, the Government may take up to 15 business days after receipt of the deliverable to inspect and review the deliverable, provide comments and feedback, and accept or reject the deliverable. If necessary, the contractor may take up to 15 business days to address the comments or feedback provided by the Government, unless specifically noted and mutually agreed upon.

8. QUALITY ASSURANCE SURVEILLANCE PLAN

The absence of any task order requirement from the QASP shall not detract from its enforceability to limit the rights or remedies of the government under any other provisions of the contract, including the clauses entitled “Inspection of Services” and “Default.”

The QASP is organized in accordance with:

· Desired Output: Lists the performance requirement that the government will survey.

· Performance Standard: Sets forth the required performance levels.

· Acceptable Quality Levels (AQLs): AQLs for Contractor performance is structured to allow the Contractor to manage how the work is performed. Levels of performance are keyed to the relative importance of the task to the overall mission performance.

· Method of Surveillance: Sets forth the surveillance methods the Government will use to evaluate the contractor’s performance for the listed tasks and the level/frequency of surveillance.

· Performance Incentive/Disincentive: The contractor’s performance will be monitored in accordance with the QASP. Deficiencies in contractor performance will be fully and accurately documented to (1) identify the discrepancy, (2) record the steps taken to correct the discrepancy, and (3) detail the outcomes and disposition of the deficiency. Likewise, successful or exceptional performance will be recorded in the COR file and appropriate actions will be taken to recognize the contractor (i.e., Contractor Performance Assessment Reporting System (CPARS).

PERFORMANCE REQUIREMENT SUMMARY (PRS)

9. MONITORING FORMS

The government’s quality assurance surveillance, accomplished by the COR, will be reported using a monitoring form (Appendix B). The form, when completed, will document the government’s assessment of the contractor’s performance under the task order to ensure that the required results are being achieved.

10. REPORTING

At the end of each quarter, the Contractor will prepare a written report for the COR summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which includes any of the completed quality assurance monitoring forms, 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.

11. PERFORMANCE EVALUATION

Performance of a service will be evaluated to determine whether or not it meets the performance requirements of the task order. When the performance requirement is not met, the Contracting Officer will issue a Discrepancy Report (DR) to the Contractor. The Discrepancy Report is drafted by the COR, who forwards it to the Contracting Officer; this follows the program’s task order monitoring procedures. The Contractor shall respond to the DR by completing the appropriate blocks of the form and returning it to the Contracting Officer within 15 calendar days of receipt. In the case of DRs issued as the result of other methods of surveillance, the Contracting Officer shall take appropriate measures according to the clause entitled “Inspection of Services.” Depending on the quality and timeliness of the response to the DR, incentives/disincentives will be provided by the Contracting Officer (CO) and Contracting Officer Representative (COR) in the Contractor Performance Assessment Reporting System (CPARS) database.

ATTACHMENT 1: SAMPLE QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

☐Random Sampling ☐1 00% 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:

Appendix C: Customer Service Feedback Investigation Form

PREPARED BY:

DATE:

Appendix A: Performance Requirements Summary Table

Administrative Performance Requirements

Contract Objectives Performance Requirements

Contract Management Performance Requirements

*NOTE: A satisfactory CPARS rating is considered favorable and higher ratings require better than favorable performance.

Appendix A: Performance Requirements Summary Table

Appendix B: Site Visit Quality Assurance Monitoring Form

Government Evaluator Name:

Government Evaluator Title:

Evaluation Date:

Task Order Number:

Project Title:

Observation Location:

Activity Being Observed:

Check the box that most closely indicates your level of agreement with each statement. Use the scale of 1 (strongly disagree) through 5 (strongly agree). The Government Evaluator must provide detailed site visit notes with clear examples that support the ratings for each evaluation criteria.

Strongly Disagree

Strongly Agree

General Observations

The Contractor demonstrated acceptable interaction with Government field staff.

The Contractor was able to clearly state the objectives of the field work.

The Contractor was demonstrated knowledge of the project.

The Contractor demonstrated knowledge of FEMA-related programs.

Specific Observations: The Government will identify observations that are specific to the project type.

Site Visit Notes:

Appendix B: Site Visit Quality Assurance Monitoring Form

Appendix C: Customer Service Feedback Investigation Form

Memorandum for: _______, Contracting Officer Memorandum From: __________, Contractor Officer’s Representative Date:

Subject: Customer Service Feedback Investigation General Information

1. Contractor:

2. Contract Number:

3. Task Order Number:

4. Project Title:

5. Evaluation Date:

6. Government Evaluator Name:

7. Government Evaluator Title:

Customer Service Feedback Information

8. Name of Customer:

9. Date of Customer Service Feedback:

10. Customer Service Feedback specifics (Describe in detail and reference task order proposal…Include any backup documentation provided by complainant.):

Contractor Response to Customer Service Feedback

11. Narrative of Contractor Response:

Government Analysis of Customer Service Feedback

12. Is Government surveillance investigation necessary? _______ (If so, complete questions 13 – 17.)

13. Surveillance Type:

14. Date of Surveillance:

15. Narrative of Performance during Survey Period:

16. Government Evaluation of Contractor Response/Resolution:

17. Recommended Government Action:

By signing below, the COR confirms the information contained herein for the Contracting Officer.

COR Signature Date

Printed Name – FEMA COR Appendix D: HMTAP Performance

Appendix D: Task Order Performance Evaluation Form

HMTAP

PERFORMANCE EVALUATION

start date end date

PURPOSE OF PROJECT (This should be taken from SOO):

* All ratings must include supporting comments.

Upon opening this document you will need to disable the security warning by clicking on the OPTIONS button at the top of the document. When the Security Alert-Macro Warning comes up, select the Help protect me from unknown content (recommended) option. This will allow you to make changes to the document.

To complete this form, fill out each of the five following evaluation comments and the rating recommendations section. For each evaluation factor, select the appropriate rating from the drop-down menu in the left column. In the right column, provide supporting comments that substantiate that rating. The evaluation comments must directly apply to the performance requirements in the agreed upon proposal. These comments are required in order for the evaluation to be accepted for review by the Contracting Officers Representative.

QUALITY OF PRODUCT OR SERVICE

(use below requirements guidelines for quality rating)

COST CONTROL/EFFICIENCY

(use below requirements guidelines for quality rating)

SCHEDULE

BUSINESS RELATIONS (Contract Requirements)

MANAGEMENT OF KEY PERSONNEL

CONSIDERATIONS AND RECOMMENDATIONS FOR FUTURE PROJECTS OF THIS TYPE

Were “Official” corrective actions required?* (If yes, corrective action documents must be attached) |_| Yes if yes, continue to answer the questions below.

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