Attachment_II_-_QASP.docx

UNITED STATES DEPARTMENT OF AGRICULTURE

AGRICULTURAL RESEARCH SERVICE

Southern Regional Research Center New Orleans, LA

ATTACHMENT II

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

OPERATION AND MAINTENANCE SUPPORT SERVICES

Solicitation #: AG-32SD-S-14-0001 SRRC O&M Support Services New Orleans, LA

Solicitation #: AG-32SD-S-14-0001 SRRC O&M Support Services New Orleans, LA

Attachment II: Quality Assurance Surveillance Plan (QASP)

TABLE OF CONTENTS

Appendix 2: Quality Assurance Monitoring Form 14

Appendix 3: Quality Assurance Monitoring Form – Customer Complaint Investigation 15

QUALITY ASSURANCE SURVEILLANCE PLAN

1.0. Introduction

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) entitled “Operations and Maintenance Support Services for the Southern Regional Research Center (SRRC) in New Orleans, LA”. This QASP sets forth the procedures and guidelines SRRC will use in evaluating the technical performance of the Contractor. This requirement is for the full range of operational and maintenance support at the entire SRRC complex. It is essential that the Contractor providing this support be knowledgeable in a variety of maintenance and support functions and in providing a quality control plan keyed to the government’s performance requirements

1.1. Purpose

1.1.1. The purpose of the QASP is to describe the systematic methods used to measure performance and to identify the reports required and the resources to be employed. The QASP provides a means for evaluating whether the Contractor is meeting the performance standards set out in the PWS.

The QASP will be used as a Government document to enforce the inspection and acceptance of the contract. The Government reserves the right to make changes to this QASP during the contract performance period. The QASP describes the mechanism for documenting noteworthy accomplishments or discrepancies for work performed by the SRRC Contractor. Information generated from SRRC’s surveillance activities will directly feed into the SRRC’s performance evaluation.

1.1.2. This QASP is designed to define roles and responsibilities, identify the performance objectives, define the methodologies used to monitor or evaluate the Contractor’s performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

1.2. Performance Management Approach

1.2.1. The PWS structures the acquisition around “what” service is required as opposed to “how” the Contractor should perform the work. This QASP will define the performance management approach taken by SRRC to monitor, manage, and take appropriate action on the Contractor’s performance against expected outcomes or performance objectives communicated in the PWS. Performance management rests upon developing a capability to review and analyze information generated through performance metrics. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management. The data generated in a performance management approach provides information that indicates whether or not expected outcomes for required services are being achieved adequately by the Contractor. Metrics used in performance management focus on desired outcomes and not on interim process steps. The interim process steps are delegated to the Contractor, who will be responsible for managing the internal processes and practices used to achieve contractual outcomes. An effective system with processes that generate well-defined performance data is central to performance management.

1.2.2. Performance management also represents a significant shift from the more traditional Quality Assurance (QA) concepts in several ways. Performance management focuses on assessing whether or not outcomes are being achieved and migrates away from scrutiny on compliance with the processes and practices used to achieve the outcome. The only exceptions to process reviews are those required by law (local, state, and federal) and compelling business situations such as safety and health. An outcome focus 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 at the desired levels of performance. By focusing scrutiny on the desired outcomes rather than processes, performance management unlocks the Contractor’s potential for innovation and continuous performance improvement.

1.3. Performance Management Strategy

1.3.1. The Government will communicate performance objectives expected from the Contractor through the PWS. For each performance objective communicated in the PWS, the Government will identify corresponding performance metrics that are required to be tracked and reported by the Contractor. These metrics will provide an indication of whether the Contractor is achieving performance objectives at the appropriate levels of performance.

1.3.2. The Government will define each performance metric and the data requirements for calculating the value of each metric over the appropriate time period. The Contractor may use additional performance metrics for managing their internal processes and operations to supplement the Government’s metrics.

1.3.3. The Contractor’s Quality Control Plan (QCP) will set forth the staffing and procedures for the self-inspection of 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 their performance to the designated Government representative.

1.3.4. The Contractor shall submit to the COR the previous months performance report by the 15th of each month. The Government representative 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 decisions 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.

2.0. Roles and Responsibilities

2.1. The relationship between the Contractor and the Government is a commitment to mutual success.

2.2. The Contracting Officer (CO) will designate a full-time representative (COR/ACO) as the Government authority for performance management. The number of additional representatives serving as Technical Inspectors will depend upon the complexity of the services measured as well as the Contractor’s performance.

2.3. The COR/ACO is responsible for monitoring, assessing, and communicating the technical performance of the Contractor. The CO/ACO will have the responsibility for completing QA monitoring forms (refer to Attachments 2 and 3) used to document the inspection and evaluation of the Contractor’s work performance. Government surveillance may occur under the Inspection of Services clause for any service relating to the contract.

2.4. The CO is responsible for monitoring contract compliance, contract administration, cost control, resolving any differences between the observations documented by the COR/ACO, and the Contractor’s performance. The CO may call upon the expertise of other Government individuals as required.

3.0. Identification of Services to be performed

3.1. The Contractor shall provide the work management, preventive maintenance, building maintenance, alteration and repair, ground maintenance, heating, ventilation, air conditioning and refrigeration (HVAC/R), electrical, plumbing, housekeeping, safety, plot, and administrative services to support the research mission of SRRC. These activities include quality control, financial control, and records management. The Contractor’s services and support shall be performed in accordance with the Performance Work Statement (PWS).

3.2. The work shall be performed in accordance with all applicable Federal, State, and local laws, as well as Federal, USDA, ARS, and SRRC regulations. The specific work requirements are found in the following PWS sections:

· Work Management – see PWS Section 2

· Administrative Services – see PWS Section 3

· Safety – see PWS Section 4

· Information Technology Support – see PWS Section 5

· Utilities Services – see PWS Section 6

· Facilities Services – see PWS Section 7

· Greenhouse and Plot Services – see PWS Section 8

The performance standards are established in the paragraph of the statement of work that covers the specific category of work. The acceptable level of performance is set in the acceptable quality level related to that paragraph. For certain critical activities such as those involving facility environment, security, chemical, biological, radiological, and toxin activities, and accident control, the desired performance level is established at one hundred percent (100%). Other levels of performance are keyed to the relative importance of the task to the overall mission performance at SRRC.

4.0. Methodologies to Monitor Performance

4.1. In an effort to minimize the contract administration burden upon the Government, simplified methods of surveillance and reliance on simplified techniques shall be used by the Government to evaluate Contractor performance. The primary methods of surveillance are random checks, observations, inspections, complaints and review of those records and files that are required to be maintained and delivered under this statement of work. The Government will use appointed representatives, as well as reports and input from Center employees and visitors as sources of comments on the Contractor’s performance.

4.2. The Contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of professional communication between employees and customers 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 addressing customer complaints and investigating the issues and/or problems. During the investigation, the Contractor should document and report the following to the COR: 1) the nature of the complaint, 2) the results of the investigation, and 3) corrective actions taken on valid customer complaints.

NOTE: The customer always has the option to communicate complaints to the COR as opposed to the Contractor by using the established customer complaint collection process. The COR will accept the customer complaints and will investigate using the Quality Assurance Monitoring Form - Customer Complaint Investigation identified in Attachment 3. Attachment 3 documents the nature of the complaint, the results of the COR investigation, and the corrective action taken by the Contractor to resolve the complaint.

4.3. The Contractor is provided with a list of metrics that track performance against thresholds identified in the PWS. The performance metrics and their definitions are provided in Attachment 1 to this QASP. The Government will provide the Contractor with any known data sources for the metrics, but the Contractor should expect to provide the source data for many of the metrics. In the QCP, the Contractor will detail how data will be gathered to calculate metrics and shall submit this documentation for Government approval. The request for approval of the metric documentation will clearly articulate how the Contractor will populate the data required that comprise the performance metrics as defined by the Government. The request for approval of the metric should specifically address:

· The process used by the supplier to collect data

· The sources that will be used to collect data

· The tools that will be used to collect data – information systems or other

· How the supplier proposes to validate the data collected

The acceptable quality levels (AQL) for Contractor performance are structured to allow the Contactor to manage how the work is performed while providing negative or disincentives for repeated performance shortfalls. The AQLs for this effort are found in Attachment 1.

4.4. The metrics approval requests will be submitted to the COR for review. After the Government grants approval the Contractor will begin populating the metrics and using them to monitor performance levels. The COR will review outcome expectations with the Contractor. During the contract period of performance SRRC may modify or change the metrics the Contractor is required to maintain as the mission and priorities evolve. Such changes will be accomplished in consultation with the CO, COR, and Contractor.

4.5. It should be recognized that while SRRC may have existing systems that capture at least some of the data required by the metrics, there are many other measurements that are not being captured by the current systems. When possible, performance metrics should be used in a real-time fashion by the Contractor and should be accessible by the COR. The data collected by the Contractor should support monthly, quarterly, semi- annual, and annual performance report development. The Contractor may need to augment existing systems and tools for capturing measurement data. Metric data will be non-proprietary.

4.6. The Contractor will be required to report the overall service level via customer satisfaction results to the government in the monthly report. The Contractor may propose satisfaction measurements with ratings that distinguish between various levels of satisfaction. The Contractor will discuss with the COR satisfaction ratings receiving a “less than acceptable” rating. For such cases, the Contractor should highlight its perspective on factors driving customer satisfaction and present plans to adjust service levels accordingly to bring the satisfaction rating up to an acceptable level.

5.0. Quality Assurance Reporting

5.1. The performance management feedback loop begins with the communication of expected outcomes. Expectations for performance of services are expressed in the PWS and measured by the required performance metrics in Attachment 1. The Contractor will implement a QCP that sets forth procedure management and responsibilities for ensuring quality work performance. The Contractor will develop a process to assess and report their performance to the COR, which will be submitted monthly in the Performance Management Report.

5.1.1. The Performance Management Report will include all required performance metric data (Attachment 1) with a description of performance trends. The COR and the Contractor will jointly define the manner in which the information should be presented. The Contractor may also suggest supporting metrics to be included in the Performance Management Report; therefore, the report may not be limited to just the required performance metrics. The COR and Contractor will agree to the graphical design of the reports and frequency with which the reports will be reviewed with the Contractor. The COR will identify the types of decisions the reports are intended to support.

5.1.2. The Contractor will also prepare a comprehensive report to close out each annual period of performance. This report will contain the same types of data as the monthly reports presented to the COR and the CO, but will reflect the annual values.

5.2. The Government’s QA monitoring, accomplished by the COR, will be reported using the monitoring forms in Attachments 2 and 3. The forms, when completed, will document the COR’s understanding of the Contractor’s performance under the contract to ensure that the PWS requirements are being met. Note: use of attachments 2 & 3 is not required. They are provided for information purposes.

5.2.1. In addition to QA monitoring, the COR will use the Performance Management Report to assess the Contractor’s level of performance for each performance objective measured in this QASP (detailed in Attachment 1). The COR must coordinate and communicate with the Contractor to resolve issues and concerns of marginal or unacceptable performance.

5.2.2. The COR will retain a copy of all completed QA monitoring forms. The Contractor is required to respond in writing to the COR regarding the QA monitoring forms recording performance that “does not meet standards” within 5 working days after receipt of the forms.

6.0. Analysis of Quality Assurance Monitoring Results

6.1. The Government shall use the observation methods cited in the statement of work as the basis for determining whether the AQLs have been met. Dialog with the Contractor on the specific discrepancies and complaints shall form the basis for the annual performance evaluation. The Government’s evaluation is then translated into the specific negative incentives that cause adjustments to the Contractor’s monthly payments.

6.2. At the end of each month, the COR will review the information submitted in the Contractor’s Performance Management Report.

6.3. The COR may require the Contractor’s Project Manager, or a designated alternate, to meet with the CO, COR, and other Government personnel as deemed necessary to discuss performance evaluation. The COR will define a frequency of in-depth reviews with 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 discuss:

· Monthly performance measured by the metrics and trends

· Issues and concerns of both parties

· Projected outlook for upcoming months and progress against the expected trend

· Recommendations made by the COR based on Contractor information

· Issues arising from independent reviews and inspections

6.4. The COR will work with the Contractor in a collaborative manner to make decisions and take action based on performance measurement information generated from the metrics. The COR should work with the Contractor and customers to manage critical factors, such as ensuring the following:

· Corrective actions are being taken

· Customer expectations are being met

· The Contractor is presented with a look ahead to achieve proactive management is alerted on upcoming events based on customer developments

If any performance standards are not met the Contractor will explain why its Quality Control Plan did not work as well as describe how the Quality Control Plan will be altered to ensure that these performance standards will be continually met in the future.

6.5. After discussing these and other success factors, 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 contract modification at the convenience of the CO. Final decisions on results of the overall evaluation report shall rest with the CO.

7.0. Failure to Perform

The Contractor may receive deductions or even termination based on failure to perform. The following criteria apply for determining appropriate action:

1. Notifications: Consistent with FAR Part 49, the CO shall notify the Contractor of failure to meet standards through QA monitoring forms, cure notices, or show cause notices and shall inform the Contractor Project Manager or designated alternate of such notices.

2. Deductions: The Government has the right to withhold a percentage of payment for the monthly cost of performing particular services based on failure to meet performance standards. The percentage of such withholding is identified in the AQL Table.

3. Termination: If the CO determines that the Contractor has failed to perform to the extent that a termination for default is justified, the CO shall issue a notice of termination, consistent with FAR Part 49.

Appendix 1: Quality Assurance Performance Objectives

Levels Method of Surveillance Incentive (Negative) (Impact on Contractor Evaluation)

Work Management (See PWS Section 2.)

Preventative Maintenance – Scheduled maintenance performed on time

Additional Work –estimates accomplished in stated time requirement

Quality Control Tasks Plan maintained records as specified

10%

Random, files review

Complaints, files review, random

Files review, complaints

Contractual remedies

Administrative Services

Section 3)

Storeroom Operations procedures

Security Management monitoring

Technical Meetings, Tours, Seminars and Conference Tasks

0%

5%

Files, observation, complaints, random

Files, observation complaints, Files, complaints, Observation

If all standards in this section are not maintained the Government will reduce the Contract by 5% of the monthly invoice for each month that compliance is not met.

Safety Services and Support

Section 3)

Government Safety Manager- support as specified

Files, random, observation, complaints, periodic

If all standards in this section are not maintained the Government will reduce the Contract by 5% of the monthly invoice for each month that compliance is not met.

Information Technology Support Services

Section 5)

LAN Support Task – Availability/Access to web as per requirement

2%

Files, complaints, random, observation

Utilities Services (See PWS Section 6)

Response to failures

HVAC/R – Chill water temperature and steam pressure production

Building conditioning

5%

Files, complaints, observation, random

Files, complaints, random, observation, periodic government representative will review trend logs to verify compliance

Random, complaints, review trend logs

If all standards in this section are not maintained the Government will reduce the Contract by 5% of the monthly invoice for each month that compliance is not met.

Facilities Services (See PWS Section 7)

General maintenance

General cleaning

Grounds Maintenance

Files, complaints, observation, random government representative will maintain a log of discrepancies which shall be corrected within 10 days

Files, complaints, observation, random government representative will maintain a log of discrepancies, soiled and stained carpet which shall be corrected within 48 hours

Files, complaints, observation, random government representative will maintain a log of discrepancies or unsightly conditions which shall be corrected within 72 hours

Greenhouse Support Services (See PWS Section 8)

Greenhouse Requirements – maintain as per instructions for scientists

2%

Complaints, random, periodic, government representative will check instruction log to verify compliance

ATTACHMENT I Quality Assurance Performance Objectives

Attachment II: Quality Assurance Surveillance Plan (QASP) Appendix 1: Quality Assurance Performance Objectives Appendix 2: Quality Assurance Monitoring Form

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

SURVEILLANCE METHOD (Check): _____ Random Sampling _____ 100% Inspection _____ Periodic Inspection _____ Customer Complaint

LEVEL OF SURVEILLANCE SELECTED (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: _____________________

* This form may be modified to an electronic format.

Appendix 2: Quality Assurance Monitoring Form Appendix 3: Quality Assurance Monitoring Form – Customer Complaint Investigation

SERVICE or STANDARD:

SURVEY PERIOD: ___________________

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: _____________________

* This form may be modified to an electronic format.

Attachment II: Quality Assurance Surveillance Plan (QASP) Appendix 3: Quality Assurance Monitoring Form – Customer Complaint Investigation image1.wmf