Attachment_1-Quality_Assurance_Surveillance_Plan.pdf

QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

Bureau of Land Management Red Rock Canyon National Conservation Area

Issued July 9, 2024

Table of Contents

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 Contracting Officer’s Representative

3. IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS 5

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

5.2 Monitoring Forms

6. ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.2 Reporting

6.3 Reviews and Resolution

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 Bureau of Land Management (BLM) Red Rock Canyon National Conservation Area (RRCNCA). This plan sets forth the procedures and guidelines the BLM 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 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 BLM Contracting Officer’s Representative (COR) 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. 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 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.

2. ROLES AND RESPONSIBILITIES

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 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 Contracting Officer’s Representative

The COR is designated in writing by the CO to act as their 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 Attachment 1, “Performance Requirements Summary.” If the Contractor meets the required service or performance level, they will be paid the monthly amount agreed on in the contract.

Failure to meet the required service or performance level will result in a deduction from the monthly amount.

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:

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

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

Periodic Inspection – COR typically performs the periodic inspection on a monthly basis.

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 but the customer always has the option to communicate complaints to the 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. The COR will accept those customer complaints and investigate using the Quality Assurance Monitoring Form

– Customer Complaint Investigation, identified in Attachment 3.

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 Attachment 1, Performance Requirements Summary Table, for Contractor performance are 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 money handling, 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 RRCNCA.

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 shown in Attachment 1.

5.2 Monitoring Forms

The Government’s QA surveillance, accomplished by the COR, will be reported using the monitoring form in Attachments 2. The forms, when completed, will document the Government’s assessment of the Contractor’s performance under the contract to ensure that the required service and quality levels are being achieved.

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

6. ANALYSIS OF QUALITY ASSURANCE ASSESSMENT

6.1 Determining Performance

6.1.1 The 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.

6.2 Reporting

6.2.1 At the end of each month, the COR will prepare a written report for the Contracting Officer 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 form (Attachment 2), 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 and other Government IPT 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 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

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 PCO/ACO.

ATTACHMENT 1: PERFORMANCE REQUIREMENTS SUMMARY

Performance Objective Standard Performance

Threshold Method of

Surveillance

The contractor shall provide the accurate product that was purchased or issued.

Interagency Standard Operating Procedure for current calendar year America the Beautiful, The National Parks and Federal Recreational Lands Pass

RRCNCA Fee Station Standard Operating Procedures

No more than 3 customer complaints per month.

Validated customer complaint

The contractor shall provide the correct change due to a customer.

RRCNCA Fee Station Standard Operating Procedures

No more than 3 customer complaints per month.

Validated customer complaint

If a refund is warranted, the contractor shall contact recreation.gov the day of to initiate the refund. BLM will be made aware of refunds.

RRCNCA Fee Station Standard Operating Procedures

No more than 2 instances of not processing refunds or communicating with

BLM.

Validated customer complaint

The contractor will communicate with BLM anytime dispatch is called.

RRCNCA Fee Station Standard Operating Procedures

No more than 3 instances per performance year.

100 Percent Surveillance

The contractor will communicate in a concise and professional manner when communicating with dispatch.

RRCNCA Fee Station Standard Operating Procedures

No more than 1 instance per performance year.

100 Percent Surveillance

The contractor will communicate with BLM anytime emergency vehicles enter the Scenic Drive.

RRCNCA Fee Station Standard Operating Procedures

No more than 3 instance per performance year.

Random Sampling

The contractor will communicate with BLM anytime the software or systems are non-functional and when they return to functionality.

RRCNCA Fee Station Standard Operating Procedures

No more than 1 time per month.

100 Percent Surveillance

The contractor will communicate with BLM anytime the internet is non-functional.

RRCNCA Fee Station Standard Operating Procedures

No more than 1 time per month.

100 Percent Surveillance

The contractor will use proper radio etiquette when communicating with BLM

RRCNCA Fee Station Standard Operating Procedures

No more than 1 time per month.

Periodic Surveillance staff and only conduct business on approved channels.

The contractor will ensure the fee station is open at the posted times and closed no earlier than the posted times.

This includes the physical booths and the operating systems.

RRCNCA Fee Station Standard Operating Procedures

No more than 1 time per performance year.

Periodic Surveillance

The contractor will ensure cashier funds are accounted for at the start and end of each shift.

RRCNCA Fee Station Standard Operating Procedures

No more than 1 time per performance year.

100 Percent Surveillance

The contractor will ensure that all interagency passes are accounted for at the start and end of each shift.

RRCNCA Fee Station Standard Operating Procedures

No more than 1 time per performance year.

100 Percent Surveillance

The contractor will follow standard operating procedures for voiding out, exchanging, and upgrading interagency passes.

Interagency Standard Operating Procedure for current calendar year America the Beautiful, The National Parks and Federal Recreational Lands Pass

RRCNCA Fee Station Standard Operating Procedures

No more than 1 time per performance year.

100 Percent Surveillance

Changes to operating procedures will be suggested to BLM for approval and implementation.

RRCNCA Fee Station Standard Operating Procedures

No more than 1 time per performance year.

100 percent surveillance

The contractor will provide a friendly greeting and welcome.

RRCNCA Fee Station Standard Operating Procedures

No more than 1 customer complaint per month.

Validated customer complaint

The contractor will provide accurate information to visitors.

RRCNCA Fee Station Standard Operating Procedures

No more than 1 customer complaint per month.

Validated customer complaint

The contractor will sell or issue the most appropriate interagency pass to visitors.

Interagency Standard Operating Procedure for current calendar year America the Beautiful, The National Parks and Federal Recreational Lands Pass

No more than 1 customer complaint

Validated customer complaint

RRCNCA Fee Station Standard Operating Procedures

The contractor will change the entrance signs as needed.

RRCNCA Fee Station Standard Operating Procedures

No more than 3 instances per month.

Periodic Surveillance

The contractor will keep track of and communicate when there are fee runners. (Those who bypass the booths without paying).

RRCNCA Fee Station Standard Operating Procedures

No more than 3 instances per month.

100 Percent Inspection

The contractor will have funds and reports ready and accurate for BLM deposits on scheduled days.

Department of the Treasury Manuel of Procedures and Instructions for Cashier’s (Cashier’s Manuel)

DOI Cash Management Handbook

BLM 1372Col – lections

RRCNCA Fee Station Standard Operating Procedures

No more than 1 instance per month.

100 Percent Inspection

The contractor will inform BLM of an employee departure and return all federal property.

1.4.7. Performance Work

Statement

No more than 3 instances per performance year.

100 Percent Inspection

The contractor will submit to formal and informal audits of funds, passes, or operations

Department of the Treasury Manuel of Procedures and Instructions for Cashier’s (Cashier’s Manuel)

DOI Cash Management Handbook

BLM 1372Col – lections

RRCNCA Fee Station Standard Operating Procedures

No more than 1 instance per performance year.

Periodic Surveillance

The contractor will adhere to money handling procedures described in Department of the Treasury, DOI and BLM regulations and SOPs.

Department of the Treasury Manuel of Procedures and Instructions for Cashier’s (Cashier’s Manuel)

DOI Cash Management Handbook

BLM 1372Col – lections

No more than 1 instance per performance year.

RRCNCA Fee Station

Procedures

Contractor will ensure BLM funds and interagency passes are secure.

Department of the Treasury Manuel of Procedures and Instructions for Cashier’s (Cashier’s Manuel)

DOI Cash Management Handbook

BLM 1372 - Collections

RRCNCA Fee Station Standard Operating Procedures

No more than 1

Contractor will provide good customer service and conflict resolution.

RRCNCA Fee Station Standard Operating Procedures

No more than 1 customer complaint per month.

Valid Customer Complaint

Contractor will staff fee station appropriately for the high season and busier days and times.

RRCNCA Fee Station Standard Operating Procedures

No more than 3 instances per month.

Periodic Surveillance

Contractor will provide traffic flow assistance as needed to assist with congestion and safety.

RRCNCA Fee Station Standard Operating Procedures

Contractor will answer main phone number and provide friendly and accurate visitor information assistance.

RRCNCA Fee Station

Procedures

No more than 1 customer complaint

Valid Customer Complaint

Contractor will conduct business according to safety standards and inform the BLM of any safety concerns.

RRCNCA Fee Station

Procedures

Contractor will ensure the continuity of business

RRCNCA Fee Station Standard Operating Procedures

Contractor will communicate issues using the appropriate chain of command

RRCNCA Fee Station Standard Operating Procedures

The contractor will regularly meet with the BLM to provide updates and share information based on an agreed upon schedule.

RRCNCA Fee Station Standard Operating Procedures

The contractor will hire and on-board employees in accordance with BLM procedures.

1.4.7. Performance Work

Statement

No more than 2 instances per

The contractor will adhere to conservation rules and leave no trace principles.

Feeding the squirrels at fee station

Empty pallets piled up

No more than 1 instance per month.

Periodic Surveillance

The contractor will fill out and sign required documents in a timely manner.

RRCNCA Fee Station Standard Operating Procedures instance per month.

Radom Sampling

The contractor will answer requests for information from BLM in a timely manner.

RRCNCA Fee Station Standard Operating Procedures instance per month.

Random Sampling

The contractor will keep track of government property in use, stored or returned.

Includes EMV equipment, passes.

No more than 1

Random Sampling

The contractor will run the fee station according to BLM provided operating procedures.

RRCNCA Fee Station Standard Operating Procedures

No more than 3 instances per month.

Periodic Surveillance

Contractor will ensure all employees have active PIV cards and are always worn.

1.4.7. Performance Work

Statement

The contractor will ensure all employees are wearing a clean uniform that includes a name tag and the PIV card.

1.4.12. Performance

Work Statement

ATTACHMENT 2: QUALITY ASSURANCE SURVEILLANCE PLAN EVALUATION SHEET

Recreation Fee Collection for Red Rock Canyon National Conservation Area

Type of Inspection: Monthly Inspector(s):

Monthly Payment Adjustment(s) Month, Year:

Performance Requirements Summary:

Critical: Not To Exceed 1/Month, Deduction Rate: 2.5% Major: Not to Exceed 2/Month, Deduction Rate: 1.25% Minor: Not to Exceed 3/Month, Deduction Rate: 0.625%

Frequency: D = Daily/Periodic Daily W=Weekly M = Monthly B=Semi-Annual

Frequency

Requirement Performance Category D W M B Satisfactory Unsatisfactory Deduction

Percentage Product/Passes

1. Accurate Product Purchased/Issued Critical

2. All interagency passes accounted for at start and end of each shift Major

3. Standard operating procedures followed for:

a. Voiding Interagency Passes Major

b. Exchanging Interagency Passes Major

c. Upgrading Interagency Passes Major

4. Sale/issue of the most appropriate interagency pass to visitors Major

5. Interagency passes secured Major

6. Submitted to formal and informal audits of passes Critical

Money Handling

1. Correct change provided Critical

2. Refunds properly processed; BLM notification made Major

3. Cashier funds accounted for at start and end of each shift Major

4. Funds & reports ready & accurate for BLM deposits on scheduled days Critical

5. Adhered to money handling procedures described in Department of the Treasury, DOI and BLM regulations and SOPs

Critical

6. Secured all BLM funds Critical

7. Submitted to formal and informal audits of funds Critical

Communication:

Provided notification to BLM for all:

1. Dispatch Calls Major

2. Emergency Vehicle Entry Major

3. Software/Systems/Internet non-functionality / Return to functionality Major

4. Fee runners Minor General

1. Professional & courteous communication with:

a. Dispatch Major

b. BLM Staff Major

c. General Public Major

2. Proper radio etiquette used Major

3. Issues communicated via appropriate chain of command

Minor

4. Met regularly with BLM to provide updates and share information Major

5. Filled out and signed documents in a timely manner Major

6. Responded to requests for information from BLM in a timely manner Major

Fee Booth Operation

1. Opened /Closed in accordance with posted times (physical booths & Operating Systems) Critical

2. Provided a friendly greeting and welcome Major

3. Provided accurate information to visitors Major

4. Changed entrance signs as needed Minor

5. Provided traffic flow assistance as needed. Minor

6. Answered main phone number and provided friendly and accurate visitor information assistance

Minor

7. Conducted business according to safety standards and informed the BLM of any safety concerns

Major

8. Ensured continuity of business Critical

9. Tracked all fee runners Minor

10. Operated fee station in accordance with BLM provided operating procedures Critical

11. Adhered to conservation rules and leave no trace principles Minor

12 Tracked all Government property in use, stored or returned Critical

13. Provided good customer service and conflict resolution Major

14. Suggested changes to operating procedures to BLM for approval and implementation Critical

15. Submitted to formal and informal audits of operations Critical

Staffing

1. Staffed fee stations appropriately for the high season and busier days and times Major

2. Informed BLM of an employee departure and returned all federal property Major

3. Ensured all employees have active PIV cards and are always worn Major

4. Ensured all employees are wearing a clean uniform that includes a name tag and the PIV card

Minor

5. Hired and on-boarded employees in accordance with BLM procedures. Critical