Att 2 QASP Falcon Motor Control Center.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

FALCON MOTOR CONTROL CENTER IMPROVEMENTS – PHASE II

TABLE OF CONTENTS

1.0 2.0 3.0 4.0 5.0 6.0 7.0.

INTRODUCTION

ROLES AND RESPONSIBILITIES

IDENTIFICATION OF SERVICES TO BE PERFORMED

METHODOLOGIES TO MONITOR PERFORMANCE

QUA LITY ASSURANCE REPORTING

ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

FAILURE TO PERFORM

LIST OF ATTACHMENTS

ATTACHMENT I ‐ PERFORMANCE REQUIREMENTS SUMMARY (PRS)

ATTACHMENT II – QUALITY ASSURANCE MONITORING FORM (QAMF)

ATTACHMENT III – QAMF – CUSTOMER COMPLAINT INVESTIGATION

Attachment I contains a table that identifies performance‐based measures which will be used to monitor Contractor performance. The USIBWC will periodically evaluate the Contractor's performance by appointing a representative(s) to monitor performance to ensure services are received. The USIBWC representative will evaluate the Contractor's daily performance through personal dealings and direct inspections of work products and demonstrated knowledge of applicable regulations. The USIBWC may conduct random facility inspections and increase the number of quality control inspections if deemed appropriate because of repeated failures discovered during quality control inspections or because of repeated customer complaints. Likewise, the USIBWC may decrease the number of quality control inspections if performance dictates. The USIBWC representative shall make final determination of the validity of customer complaint(s).

If any of the services do not conform to contract requirements, the USIBWC may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by re‐ performance, the USIBWC may:

(a) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(b) Reduce the contract price to reflect the reduced value of the services performed. Price reductions will be in accordance with the acceptable quality level identified in the required performance metrics table.

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

1.0 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Falcon Motor Control Center Improvements‐Phase II. This plan sets forth the procedures and guidelines the USIBWC 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 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.

1.1.2 This QASP is designed to define roles and responsibilities, identify the performance objectives, define the methodologies used to monitor and 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 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 USIBWC 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.

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 (Federal, State, and local) 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.

1.3 Performance Management Strategy

1.3.1 The Contractor's internal quality control system will set forth the staffing and procedures for self inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PMS. The Contractor shall utilize its internal quality control system to assess and report their performance to the designated Government representative.

1.3.2 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 shall be responsible for making required changes in processes and practices to ensure performance is managed effectively

2.0 ROLES AND RESPONSIBILITIES

2.1. The Contracting Officer (CO) is responsible for monitoring contract compliance, contract administration and cost control; and resolving any differences between the observations documented by the Contracting Officer's Representative (COR) and the Contractor's performance.

2.2 The CO will designate one COR as the Government authority for performance management.

2.3 The COR is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. COR limitations are contained in the written designation letter. The COR is responsible for monitoring, assessing, and communicating the technical performance of the Contractor and assisting the Contractor. The COR will have the responsibility for completing Quality Assurance (QA) monitoring forms (refer to Attachments II and III) 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.

3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED

The Contractor shall provide the services in accordance with the PWS. The performance standards and/or quality levels are included as Attachment I, “Performance Requirements Summary.” The acceptable level of performance is provided under the acceptable quality level for each required service.

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 In an effort to minimize the contract administration burden, simplified methods of surveillance techniques shall be used by the Government to evaluate Contractor performance. The primary methods of surveillance are random monitoring, 100% inspection, periodic inspection, reports, and customer input/feedback. The Government will use appointed representatives, as well as reports and input from users/customers 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.

4.3 The acceptable quality levels (AQL) for Contractor performance are structured to provide negative incentives for performance shortfalls. The AQLs are provided in Attachment I.

5.0 QUALITY ASSURANCE REPORTING

5.1 The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and measured by the required performance metrics in Attachment I.

5.2 The Government's QA monitoring, accomplished by the COR (and others as designated) will be reported using the monitoring forms in Attachments II and III. 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.

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

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 The Government shall use the observation methods cited to determine whether the AQLs have been met. The Government's evaluation is then translated into the specific negative incentives that cause adjustments to the Contractor's payment.

6.2 At the end of each month, the COR will prepare a written report for the CO/CA summarizing the overall results of the quality assurance monitoring of the Contractor's performance. This written report will include the completed Quality Assurance Monitoring Forms (Attachment II) and will become part of the QA documentation.

6.3 The CO/CA may require the Contractor's project manager, or a designated alternate, to meet with the CO/CA 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 shall meet with the CO/CA 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 COR based on Contractor information

• Issues arising from independent reviews and inspections

6.4 In addition to QA monitoring, the COR will assess the Contractor's level of performance for each objective measured in this QASP (detailed in Attachment I). The COR must coordinate and communicate with the Contractor to resolve issues and concerns of marginal or unacceptable performance. The Contractor shall discuss with the CO/CA/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.

6.5 The CO/CA/COR and Contractor shall 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 must be incorporated as a contract modification at the convenience of the CO.

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 CO 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 project 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 or deducted amount of such withholding is identified in the table of Attachment I.

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.

Attachment 1 – Performance Requirements Summary

Required Services (Tasks)

Performance Standards

Acceptable Quality Levels

Method of Surveillance

Negative Incentive (Impact on Contractor)

Complete the project within 240 days after the Contract has been awarded to the Contractor.

PWS, Section 1.6 100% 100% inspection

The Contractor shall be deducted $500 for each calendar day the project delay for liquidated damages.

Provide all services and materials, supplies, and equipment required to remove, replace, and upgrade 4 Motor Control Centers as described in the PWS.

PWS, Section 1.4 and Section 2.1

100% Periodic and/or random inspection, 100% inspection

The Contractor shall be deducted 10% of the total project cost.

Provide training to power plant personnel prior to project acceptance.

PWS, Section 2.1 and Section 2.3

100 % Receipt of training and training program, 100% inspection

The Contractor shall be deducted $100 for each calendar day the deliverable is late.

Provide Project Schedule within Seven

(7) Calendar Days of Award.

PWS, Section 5.1, A1 100% Receipt of deliverable

The Contractor shall be deducted $100 for each calendar day the deliverable is late.

Provide copies of licenses and certifications of electricians and installers.

PWS, Section 5.1 A2 100% Receipt of deliverable

The Contractor shall be deducted $100 for each calendar day the deliverable is late.

Required Services (Tasks)

Performance Standards

Acceptable Quality Levels

Method of Surveillance

Negative Incentive (Impact on Contractor)

Provide all pre‐ engineering designs for review and approval prior to installation.

PWS, Section 5.1 A3 100% Receipt of deliverable

The Contractor shall be deducted $100 for each calendar day the deliverable is late.

Provide an installation procedure plan for review and approval.

PWS, Section 5.1 A4 100% Receipt of deliverable

The Contractor shall be deducted $100 for each calendar day the deliverable is late.

Provide material and equipment certifications.

PWS, Section 4 and Section 5.1 A5

100% Receipt of deliverable

The Contractor shall be deducted $100 for each calendar day the deliverable is late.

Provide product submittals.

PWS, Section 4 and Section 5.1 A6

100% Receipt of deliverable

The Contractor shall be deducted $100 for each calendar day the deliverable is late.

Provide copies of safety documents including the Job Safety Analysis.

PWS, Section 5.1 A7 100% Receipt of deliverable

The Contractor shall be deducted $100 for each calendar day the deliverable is late.

ATTACHMENT II

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: _________________

ATTACHMENT III

QAMF – 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: ______________________