Attachment 0003_Sample QASP.pdf

Attachment 0003

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Grounds Maintenance and Landscaping Services

Western Federal Lands Highway Division 610 E 5th Street, Vancouver WA 98661-3801

Issued [Insert Date]

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) entitled Grounds Maintenance and Landscaping Services.

This plan sets forth the procedures and guidelines Western Federal Lands Highway Division (WFLHD) will use in ensuring the required performance standards or service levels are achieved by the contractor.

The QASP is not part of the Contract. It is provided to the Contractor solely for informational purposes and is subject to change by the Government during the life of the contract. The Government reserves the right to perform assessments more or less often than outlined in this

QASP.

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 project team, 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 WFLHD 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 the 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. 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. 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 determinations 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.

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer (CO)

The 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 one 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 Contracting Officer’s Representative (COR)

The COR is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract and COR limitations are contained in the written appointment letter. The COR is responsible for the 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 the 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 its Appendix A, “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.

Failure to meet the required service or performance level may result in a deduction from the monthly amount as described in Appendix B, “Performance-Based Deductions”, of the PWS.

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 may include:

Government Inspections;

Customer complaints with verification by the COR; and Review of Contractor’s QC documentation

These inspections will be documented using the Quality Assurance Monitoring Form identified in Appendix A.

4.2 Customer Feedback

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.

Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, and will usually be sent to the COR via email from the Government employee. Customer complaints may also originate from a phone call to the Facility Maintenance staff. The COR will accept those customer complaints and investigate using the Customer Complaint Record, identified in Appendix C.

Customer feedback may also be obtained from the results of formal customer satisfaction surveys or verbally during random QA inspections.

4.3 Acceptable Quality Levels

The acceptable quality levels (AQLs) included in the Performance Requirements Summary Appendix A is structured to allow the contractor to manage how the work is performed while providing negative incentives for performance shortfalls. For certain critical activities such as those involving [insert names of any critical services], 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 WFLHD.

5 QUALITY ASSURANCE DOCUMENTATION

5.1 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 so indicated.

5.2 Monitoring Forms

The government’s QA surveillance, accomplished by the COR, will be reported using the monitoring forms in Appendices A and B. The forms, when completed, will document the government’s assessment of the contractor’s performance under the contract to ensure that the required results are being achieved.

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

6 ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

Government shall use the monitoring methods cited to determine whether the 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 the required levels. Failure to meet the AQL may result in a deduction from the monthly payment, using the deduction percentages shown.

6.2 Reporting

At the end of each month, the COR will prepare a written report summarizing the overall results of the quality assurance surveillance of the contractor’s performance. This written report, which includes the contractor’s submitted monthly report and the completed quality assurance monitoring forms (Appendices A and B), will become part of the QA documentation. It will enable the government to demonstrate whether the contractor is meeting the stated objectives and/or performance standards, including cost/technical/scheduling objectives.

6.3 Reviews and Resolution

6.3.1 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 CO and 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 COR as often as required or per the contractor’s request. The agenda of the reviews may include:

Monthly 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 Issues arising from the performance monitoring processes, if appropriate [ Add others as deemed necessary ]

6.3.2 The COR must coordinate and communicate with the contractor to resolve issues and concerns regarding marginal or unacceptable performance.

6.3.3 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.

7 SURVEILLANCE GUIDE AND EVALUATION PROCEDURE.

The CO will use an inspection checklist to evaluate the Contractor’s performance. At the end of each month, the CO will summarize their findings, calculate the deduction amount, and notify the Contractor of any deduction being made. Notice to the Contractor will not be made if there is no deduction.

8 PAYMENT

8.1 Payment will be made monthly at the firm-fixed contract price. Contract price and payment shall be full compensation for all contract work.

8.2 Quality adjustments shall be made when work has not been performed according to the contract and the Contractor did not or could not correct the situation. An example of work that could not be corrected is failure to perform work that is required on a daily basis, such as cleaning bathrooms or emptying trash cans. The adjustment will be determined by totaling the work not performed during the payment period and comparing it to the total work scheduled to be performed. If this comparison results in greater than 10% of the work not being performed, an equal adjustment will be made.

Attachment 0003 – Appendix A Quality Assurance Monitoring Form

PREPARED BY: ___________________________________ DATE: _________________

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:

Attachment 0003 – Appendix B Customer Complaint Record

PREPARED BY: ___________________________________ DATE: _________________

CUSTOMER COMPLAINT RECORD

DATE/TIME OF COMPLAINT

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