Attachment 0002 - Quality Assurance Surveillance Plan.doc

Quality Assurance Surveillance Plan (QASP)

Office of Single Family Housing Handbook Implementation and Support Services

09/22/2021

Version 1.0

31 Vision

1 INTRODUCTION

1.1 Purpose

1.2 Performance Management Approach

1.3 Performance Management Strategy

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

2.2 The Government Technical Representative

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

4.2 Customer Feedback

4.3 Acceptable Quality Levels

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

Appendix 1 - Surveillance Matrix Appendix 2 - Corrective Action Report (CAR) Appendix 3 - Customer Complaint Record Appendix 4 - Performance Assessment Report (PAR)

Quality Assurance Surveillance Plan (QASP) Office of Single Family Housing Handbook Implementation and Support Services

1 Vision

1 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) entitled Office of Single Family Housing Handbook Implementation and Support Services. This plan sets forth the procedures and guidelines HUD, Office of Single Family Housing will use in ensuring the required performance standards or service 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 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 in the PWS and the Contractor's Quality Control Plan (QCP), and to ensure that the Government pays only for the level of services received.

1.1.2 This QASP defines the roles and responsibilities of all members of the Integrated Project Team (IPT), 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.

1.2 Performance Management Approach

1.2.1 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 the Office of Single Family Housing to monitor and manage the Contractor's performance to ensure the 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.

1.2.2 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 the critical outcomes expected are being achieved and/or the desired performance levels are being met.

1.3 Performance Management Strategy

1.3.1 The Contractor is responsible for the quality of all work performed. The Contractor measures that quality through the Contractor's 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 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 its performance to the designated government representative. 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 Contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2 ROLES AND RESPONSIBILITIES

The following personnel shall oversee and coordinate surveillance activities.

2.1 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 Contracting Officer’s Representative (COR) 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 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.

2.2 The Government Technical Representative

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 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 the responsibility for completing QA monitoring forms 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 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/ QUALITY LEVELS

The required performance standards and/or quality levels are included in the PWS and in Appendix 1, "Surveillance Matrix". If the Contractor meets the required service or performance level, it will be paid the monthly amount agreed on in the contract.

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

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

· 100% Inspection - Each month, the COR, shall review the generated documentation and enter summary results into the Surveillance Activity Checklist.

4.2 Customer Feedback

The Contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is 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 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/or COR, as opposed to the Contractor.

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

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

4.3 Acceptable Quality Levels

The Acceptable Quality Levels (AQLs) included in Appendix 1, "Surveillance Matrix", for Contractor performance are structured to allow the Contractor to manage how the work is performed. For certain critical activities such as those identified in the Performance Requirement Summary (PRS), 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.

5 QUALITY ASSURANCE DOCUMENTATION

5.1 The Performance Management Feedback Loop

In evaluating the quality of Contractor’s performance, the following performance ratings may be used.

Performance

Rating Criteria

Appendix 1 - Surveillance Matrix

5.1 Single Family Housing Policy Handbook Editing.

a) 100% accurate editing services for SFH Handbook documents and other policy documents.

AQL: Zero deviation

b) 100% ability to edit documents AQL: Zero deviation

c) 100% accuracy in maintaining the consolidated SFH Handbook, including table of contents, glossary and acronym list.

AQL: Zero deviation

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.1.1 Editing Services.

a) 100% accurate editing services for SFH Handbook documents and other policy documents.

AQL: Zero deviation.

b) 100 ability to edit documents

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.1.2 Single Family Housing Handbook Maintenance.

a) 100% accuracy in maintaining the consolidated SFH Handbook, including table of contents, glossary, and acronym list.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.1.3 Index Creation.

a) 100% accuracy in creating and maintaining the SFH Handbook index.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.2.1 Revise and Maintain Existing Suite of Training Modules.

a) 100% accuracy in updating and maintaining the existing suite of training modules.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.2.2 Develop New Training Modules.

a) 100% accuracy in developing new training modules

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.3 Website Assessment.

a) The assessment shall be conducted AQL: Zero deviation.

b) An initial assessment with preliminary findings and recommendations shall be delivered by the last calendar day of month nine (9).

AQL: Zero deviation.

c) The final assessment that includes the findings and recommendations shall be delivered by the last calendar day of month 12.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.4 Policy BPA Maintenance and Support.

a) 100% accurate modification, maintenance, and support of the policy development SharePoint solution.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.4.1 Training.

a) Provide comprehensive training that outlines the functionality of the BPA SharePoint application with emphasis on any changes that have occurred since the last training session.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.4.2 Maintenance and Modification.

a) 100% accuracy in providing programming support for the modification to the BPA tool.

AQL: Zero deviation

b) Provide all documents related to the maintenance and modification of the BPA.

AQL: Zero deviation.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.4.2.1 BPA SharePoint Tool Report Development.

a) 100% accuracy in developing and maintaining the Automated Policy Development User Guide.

AQL: Zero deviation

b) 100% accuracy in modifying existing reports and/or developing new reports in the BPA tool.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.4.2.2 End-user Support.

a) 100% responsiveness to requests for trouble-shooting assistance within one (1) business day.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.5.2 Meetings.

a) 100% logistical support for the preparation and execution of meetings. This includes scheduling and meeting minutes.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

5.5.3 Administrative Reporting Requirements.

a) Provide a monthly status report that includes an executive summary, progress from the previous reporting period; pending deliverables; and program challenges.

AQL: No later than the 8th calendar day.

Standard(s): 100% inspection of standard(s) on a monthly basis as applicable.

Appendix 2 - Corrective Action Report (CAR)

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY FORMCHECKBOX

MAJOR FORMCHECKBOX

MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

FORMCHECKBOX

ACCEPTED FORMCHECKBOX

REJECTED

12. CLOSE DATE

Appendix 3 - Customer Complaint Record

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 4 - Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. FORMCHECKBOX

DEFICIENCY (CHECK ALL BOXES THAT APPLY)

FORMCHECKBOX

NEW

FORMCHECKBOX

REPEAT

FORMCHECKBOX

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE FORMCHECKBOX

CONCUR FORMCHECKBOX

NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. FORMCHECKBOX

CONCUR FORMCHECKBOX

NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS