Attachment_1_Appendix_12_-_QASP.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Operations and Maintenance Support Services for the

USDA, Agricultural Research Service Western Regional Research Center Albany, California

WRRC QASP

O&M Support Services Dated: 10-31-2013

PROCUREMENT SENSITIVE

TABLE OF CONTENTS

LIST OF ATTACHMENTS

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the performance-based Performance Work Statement (PWS) entitled “Operations and Maintenance Support Services for the Western Regional Research Center (WRRC)”. This performance-based plan sets forth the procedures and guidelines the Albany Research Center will use in evaluating the technical performance of the operations and maintenance (O&M) service contractor. It is essential that the contractor providing O&M services 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 identified in the PWS.

1.2.1 The performance-based 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 the WRRC 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 adequately achieved 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.

1.3.1 The Government will communicate performance objectives expected from the contractor through the PWS. The Government will also identify corresponding performance metrics required to be tracked and reported by the contractor for each performance objective communicated in the PWS. 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 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 their performance to the designated Government representative.

1.3.4 The Government representative will monitor performance and review performance reports furnished by the contractor on a regular interval (the previous month’s performance report by the 15th of each month) 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 will be a commitment to mutual success.

2.4 The ACO will be responsible for monitoring contract compliance, contract administration, and cost control; and resolving any differences between the observations documented by the QAS and the contractor’s performance. The ACO may call upon the expertise of other Government individuals, such as the Facilities Engineer, as required.

3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED

3.1 The contractor shall provide operations and maintenance support in accordance with the PWS. These services include work management, preventive maintenance, building maintenance, alteration and repair, utilities support, electrical, boiler plant operations, ventilation, air conditioning and refrigeration (HVAC/R), electrical, telecommunications, mechanical tasks, plumbing, facilities maintenance, carpentry/painting, locksmith support, and administrative services to support the research mission at WRRC. These activities include quality control, financial control, and records management; and staying abreast of industry trends so as to recommend innovative ideas for incorporation into the facilities maintenance and operations programs at WRRC. 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, uniform building and industry codes, and USDA, ARS, WRRC regulations. The specific work requirements are found in the following PWS sections:

· Work Management – Section C.2

· Administrative Services – Section C.3

· Facilities Services – Section C.4

· Utilities Services – Section C.5

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 WRRC.

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 The Government will evaluate contractor performance in accordance with the terms of this contract whereby surveillance will be done according to standard inspection procedures or other contract provisions and any action taken by the ACO, as a result of surveillance. The Government/QAS, will monitor the contractor’s performance on a continuous basis throughout the life of the contract to determine if performance meets contract standards. In an effort to minimize the contract administration burden upon the Government, simplified methods of surveillance are random checks/sampling, observations, periodic inspections, customer feedback, and review of contractor 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/ feedback and input from Center employees as a source 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-oriented 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 QAS/ACO: 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 QAS/ACO as opposed to the contractor by using the established customer complaint collection process. The QAS/ACO will accept the customer complaints and investigate using the Quality Assurance Monitoring Form - Customer Complaint Investigation in Attachment III. This form documents the nature of the complaint, the results of the QAS/ACO 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 requirement performance metrics (RPM) is provided in Attachment I of 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 contractor 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 I.

4.4 The metrics approval requests will be submitted to the PCO for review. After the Government grants approval, the contractor will begin populating the metrics and using them to monitor performance levels. The ACO and QAS will review outcome expectations with the contractor. During the contract period of performance, the Government/WRRC 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 PCO, ACO, and contractor.

4.5 It should be recognized that while the WRRC 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 Government/QAS/ACO. 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 their monthly report. The contractor may propose satisfaction measurements with ratings that distinguish between various levels of satisfaction. The contractor will discuss with the ACO/QAS 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 in order 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 of service levels are expressed in the PWS and measured by the RPMs in Attachment I. 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 ACO/QAS, 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 I) with a description of performance trends. The ACO 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 ACO and contractor will agree to the graphical design of the reports and frequency with which the reports will be reviewed with the contractor. The ACO 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 ACO, but will reflect the annual values.

5.2 The Government’s QA monitoring, accomplished by the QAS, will be reported using the monitoring forms in Attachments II and III. The forms, when completed, will document the QAS’ understanding of the contractor’s performance under the contract to ensure that the PWS requirements are being met.

5.2.1 In addition to QA monitoring, the QAS 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 I). The QAS must coordinate and communicate with the contractor to resolve issues and concerns of marginal or unacceptable performance.

5.2.2 The QAS will retain a copy of all completed QA monitoring forms and forward copies to the ACO and contractor in a timely manner. The contractor is required to respond in writing to the ACO/QAS 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 quarterly 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 QAS will prepare a written report for the ACO summarizing the overall results of the quality assurance monitoring of the contractor’s performance. This written report consists of the contractor’s submitted Performance Management Report and the completed Quality Assurance Monitoring Forms (Attachment II) will become part of the QA documentation.

6.3 The ACO may require the contractor’s project manager, or a designated alternate, to meet with the ACO, QAS, and other Government personnel as deemed necessary to discuss performance evaluation. The ACO will define a frequency of in-depth reviews with the contractor, however if the need arises, the contractor will meet with the ACO 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 expected trend

· Recommendations made by the QAS based on contractor information

· Issues arising from independent reviews and inspections

6.4 The ACO/QAS 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 ACO/QAS 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 and alerted on upcoming events based on customer developments

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

6.5 After discussing these and other success factors, the ACO/QAS 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 PCO/ACO.

7.0. FAILURE TO PERFORM

7.1 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 PCO/ACO shall notify the service provider of failure to meet standards through QA monitoring forms, cure notices, or show cause notices and shall inform the service provider manager or designated alternate of such notices.

2. Deductions. The Government has the right to withhold a percentage of payment of the monthly cost for performing particular services based on failure to meet performance standards. The percentage of such withholding is identified in the Required Performance Metrics (RPM) of Attachment I.

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

ATTACHMENT I

REQUIRED PERFORMANCE METRICS (RPM)

Required Service

Performance Standards

Acceptable Quality Levels

Method Of Surveillance

Incentive (Negative) (Impact on Contractor Evaluation)

Work Management (See PWS Section C.2)

Submit PM report of scheduled, completed, and outstanding tasks on monthly basis

(PWS C.2.1.2 (G))

Accomplish additional work in accordance with proposed time frames

Maintain/update MP2 work management system

(PWS C.2)

Administer quality control program including subcontractor management in accordance with QC Plan (PWS C.2.5)

Respond to priority and emergency work orders in a timely manner

(PWS C.2.2.1 & C.2.2.2)

100%

10%

5%

Files review, periodic, random, observations, complaints

Files review, random, complaints

Files review, periodic, random

If all standards in this section are not maintained, the Government will reduce the Contract by 2% of the monthly invoice

Contractual remedies

Administrative Services

Section C.3)

Maintain stockroom inventory and requisition items prior to depleted stock levels (PWS C.3.1.1)

Submit stockroom reports as required (PWS C.3.1.3)

Deliver incoming shipments within one working day and express/perishables within one hour (PWS C.3.1.2 (C))

Ensure visitor log entries are complete and visitor escort requested (PWS C.3.2 (C))

Distribute first class mail in same day (PWS C.3.3 (C))

Maintain vehicle operation records on a daily basis

(PWS C.3.4 (A))

2%

Files review, periodic, random, complaints, observations

Periodic, random, observations, complaints

If all standards in this section are not maintained, the Government will reduce the Contract by 2% of the monthly invoice

Facilities Services

Section C.4)

Thoroughly clean restrooms on daily basis; maintain lobbies and conference rooms in orderly manner (PWS C.4.2)

Maintain grounds in acceptable manner (PWS C.4.4)

Test and certify fire protection system in accordance with safety certification requirements

(PWS C.4.5 (B))

Monitor and maintain security surveillance system

Files review, periodic review, random, observations, complaints

Periodic review, random, observations

If all standards in this section are not maintained, the Government will reduce the Contract by 2% of the monthly invoice

Utilities Services (See PWS Section C.5)

Perform required maintenance of EPS and UPS systems

Maintain electrical services

Maintain telecommunications support

Provide emergency shower maintenance/testing/repair

Perform PM, including water treatment and testing, on boilers, cooling towers, chillers, high purity water systems

(PWS C.5.3)

Files review, periodic, random, complaints, observations

Random, complaints

If all standards in this section are not maintained, the Government will reduce the Contract by 2% of the monthly invoice

ATTACHMENT II

QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD: _______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

LEVEL OF SURVEILLANCE SELECTED (Check):

ANALYSIS OF RESULTS:

OBSERVED SERVICE PROVIDER PERFORMANCE MEASUREMENT RATE = ______%

NARRATIVE OF PERFORMANCE DURING SURVEY PERIOD: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

PREPARED BY: ___________________________________ DATE: _____________________

ATTACHMENT III

QUALITY ASSURANCE MONITORING FORM –

CUSTOMER COMPLAINT INVESTIGATION

SERVICE or STANDARD: _______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

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: _____________________

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