Attach 2 - QASP Elevator Maintenance Repair Services.docx

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Veteran’s Affairs Palo Alto Health Care System Elevator Inspection and Maintenance Service i

TABLE OF CONTENTS

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Elevator Inspection and Maintenance Service. 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.

Purpose The purpose of the QASP is to describe the systematic methods used to monitor performance and identify 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 the Government pays only for the level of services received.

This QASP defines the roles and responsibilities of all members of the integrated project team (IPT), identifies 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.

Performance Management Approach 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 Government to monitor and manage the Contractor’s performance to ensure 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.

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 contract as long as critical outcomes expected are being achieved and/or the desired performance levels are being met.

Performance Management Strategy The Contractor is responsible for the quality of all work performed. The Contractor measures quality through their own quality control (QC) program. QC is work output, not workers, and therefore includes all work performed under this contract regardless of whether the work is performed by contractor employees or by subcontractors. The Contractor’s QC program will set forth 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 QC program 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 determination 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.

ROLES AND RESPONSIBILITIES

The 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 COR and the Contractor. The CO will designate a Contracting Officer Representative (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.

The 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 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 contract price, terms, or conditions shall be referred to the CO for action. The COR will have responsibility for completing QA monitoring forms used to document the inspection and evaluation of the Contractor’s work performance. Government surveillance may occur under inspection of services clause for any service relating to the contract.

IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

Required performance standards and/or quality levels are included in the PWS and in Attachment 1, “Performance Requirements Summary.” If the Contractor meets the required service or performance level, it will be paid the monthly amount agreed on in the contract and will receive recommendation for exercising contract options. Failure to meet required service or performance levels will result in low performance ratings and possible recommendation not to exercise contract options.

METHODOLOGIES TO MONITOR PERFORMANCE

Surveillance Techniques To minimize performance management burden, simplified surveillance methods shall be used by the Government to evaluate contractor performance when appropriate. Primary methods of surveillance are:

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

· Periodic Inspection – Independent Contractor shall perform the periodic inspection on an annual basis and report findings to CO and COR.

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 success and effectiveness of 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 CO and/or COR, as opposed to the Contractor.

Acceptable Quality Levels The acceptable quality levels (AQLs) included in Attachment 1, Performance Requirements Summary Table, for contractor performance are structured to allow the contractor to manage how the contract work is performed while providing negative incentives for performance shortfalls. For certain critical activities such as those involving direct patient care, the desired performance level is established at 100 percent. Other levels of performance are keyed to the relative importance of the task to the overall mission performance at Veterans Affairs Palo Alto Health Care System (VAPAHCS).

QUALITY ASSURANCE DOCUMENTATION

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.

Monitoring Forms The Government’s QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Attachments 2 and 3. The forms, when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure the required results and acceptable quality levels are being achieved.

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

ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

Determining Performance Government shall use monitoring methods cited to determine whether 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 required levels.

Reporting At the end of each quarter, the COR will prepare a written report for the CO summarizing overall results of the quality assurance surveillance of the Contractor’s performance. This written report, which includes the Contractor’s submitted quarterly report and 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 stated objectives and/or performance standards, including cost/technical/scheduling objectives.

Reviews and Resolution The COR may require the Contractor’s project manager, or a designated alternate, to meet with the COR and/or CO and/or other government 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 CO and/or COR as often as required or per the contractor’s request. The agenda of the reviews may include:

· Monthly/Quarterly 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

· Any other 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 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.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

1) All contract work elements shall meet the performance standards listed in the PWS

2) Failing to meet the defined acceptable quality levels affects performance evaluations for award of contract option years

Required Services (Tasks)

Levels Methods of Surveillance

1) Monthly Preventive Maintenance (All elevators)

2) Monthly Recall Test (All elevators)

3) Semi-Annual No-Load Testing (All elevators)

4) Annual Load Test

5) 5-Year Inspection/Testing

(see notes)

6) Elevator Repairs Completed

7) Callback Response time

8) Critical Outage

9) After-hours Callback response time for Non-Critical outage

10) Document Requests and submittals to COR

11) Scheduling of reoccurring events – 6 months in advance

12) Completion of reoccurring testing

12 times annually

12 times annually

2 times annually

1 time annually

1 time every 5 years

Less than 10 days to complete

Less than 1 hour

Less than 2 hours

Next business day

+/- 10 days from completion of work or test

6 months in advance

Monthly +/- 5 business days

Semi-Annual +/- 20 business days

Annual +/- 30 business days

2 – 5 Year +/- 45 business days 95%

100% (no deviation)

90%

95%

85%

95%

COR random review of Monthly Summary Log

COR review of submittals for each Recall Test

COR review of submittals for each Semi-Annual Test

COR review of submittals for each Annual Load Test

COR review of submittals for each 5-Year Inspection/Test

COR review of Monthly Summary Log

COR review of Daily Service Call reports

COR review of Daily Service Call reports

COR random review

COR random review

Notes – 1) 5- Year inspection/testing would occur once for each elevator for contract duration

2) Completion of reoccurring testing is based on the event anniversary date and applying the frequency allowance. For example, a January 5th Monthly Test should be completed again on February 5th, plus or minus 5 business days.

ATTACHMENT 2: QUALITY ASSURANCE MONITORING FORM

SERVICE or STANDARD:

SURVEY PERIOD:

SURVEILLANCE METHOD (Check):

Random Sampling 100% Inspection Periodic Inspection Customer Complaint LEVEL OF SURVEILLANCE (Check):

ANALYSIS OF RESULTS:

Observed Service Provider Performance Measurement Rate: ______%

Narrative of Performance During Survey Period:

PREPARED BY: ___________________________________ DATE: _________________

Contract Discrepancy Report (Attachment 3)

Contract No.

Report No. for this Discrepancy:

Contractor/Manager’s Name:

From: (Name of Project Officer)

Dates

Prepared:

Returned by Contractor:

Action Complete:

Discrepancy or Problem:

Signature of Contracting Officer:

To: (Contracting Officer)

From: (Contractor)

Contractor Response as to Cause, Corrective Action and Actions to Prevent Recurrence (Attach Continuation Sheet if Necessary)

Signature of Contractor Representative:

Date:

Government Evaluation:

Government Actions:

Close Out

Contractor Notified

Project Officer

Contracting Officer