Attachment 3 QASP.pdf

Quality Assurance Surveillance Plan (QASP)

Lead Based Paint Evaluations 12/12/2019

Version 1.0

1 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 Contracting Officer's Representative

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY

LEVELS

4.1 Surveillance Techniques

4.2 Customer Feedback

4.3 Acceptable Quality Levels

6.2 Reporting

6.3 Reviews and Resolution

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)

Lead Based Paint Evaluations

1 Vision

The Department of Housing and Urban Development (HUD) / Office of Single-Family Asset

Management (SFAM) is seeking contractor support to provide lead evaluation services.

1 INTRODUCTION

This quality assurance surveillance plan (QASP) is pursuant to the requirements listed in the performance work statement (PWS) entitled Lead Based Paint Evaluation Services. This plan sets forth the procedures and guidelines the Department of Housing and Urban Development 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 Contracting Officer's Representative in the Real Estate Owned Division 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 contractors 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 contractors 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 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.

The Contracting Officer's Representative

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 contractors performance, and must be identified and designated by the CO.

2.2 The Contracting Officer's Representative

The contracting officer's representative 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 contractors 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, "Performance

Requirements Summary. If the contractor meets the required service or performance level, it will be reflected on the interim and yearly contractor performance report.

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 - The 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 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 involving visual assessments and clearance examinations, the desired performance level is established at 98 percent.

Other levels of performance are keyed to the relative importance of the task to the overall mission performance at each property inspected.

6.2 Reporting

At the end of each month or as required by the Contracting Officer, the COR will prepare a written report for the CO summarizing the overall results of the quality assurance surveillance of the contractors performance. This written report, which includes the contractors submitted monthly report and the completed quality assurance monitoring forms (Appendix 2 and Appendix 4), 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 contractors 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 CO and 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.

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

Performance

Rating

Criteria

Excellent /

Outstanding

Performance meets contractual requirements and exceeds many to the

Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with few minor problems for which corrective actions taken by the contractor was highly effective.

Very Good Performance meets contractual requirements and exceeds some to the

Government’s benefit. The contractual performance of the element or sub-element being assessed was accomplished with some minor problems for which corrective actions taken by the contractor was effective.

Satisfactory Performance meets contractual requirements. The contractual performance of the element or sub-element contains some minor problems for which corrective actions taken by the contractor appear or were satisfactory.

Marginal Performance does not meet some contractual requirements. The contractual performance of the element or sub-element being assessed reflects a serious problem for which the contractor has not yet identified corrective actions. The contractor’s proposed actions appear only marginally effective or were not fully implemented.

Unsatisfactory Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the element or sub-element contains a serious problem(s) for which the contractor’s corrective actions appear or were ineffective.

Appendix 1 - Surveillance Matrix

Statements Standards/AQLs Inspections Ratings

5.1.1

The Contractor shall conduct visual assessments for assigned HUD owned

Single Family Properties.

Deliverables:

A4 Visual Assessments

a) Conduct Visual Assessment and submit a Visual Assessment Report within 6 business days of initial assignment

AQL: 98%

What: visual assessments

How: 100 % Review of Status reports

Frequency: Randomly

Who: Contracting Officer

Representative in each Homeownership

Center

Standard(s): a

5.1.2

The Contractor shall conduct Lead Based

Paint Inspections for lead based paint inspection report.

A5 LBP Inspections Report

a) The Contractor shall complete the lead-based paint inspection and submit the Lead Based Inspection Report within 6 business days of initial

What: Lead Based Paint Inspections

Report

How: 100% review

Frequency: Randomly

Who: Contracting Officer

Representative in each Homeownership

5.1.3

The Contractor shall prepare Lead Based

Paint Stabilization Plan that the identifies the locations of deteriorated lead based paint for stabilization and a cost estimate for implementing the plan for each HUD owned property assigned where deteriorated lead based paint has been found.

A6 Stabilization Plan

a) The Contractor shall complete the

Lead Based Paint Stabilization Plan within 6 business days of initial

What: Lead Based Paint Stabilization

Plan

How: 100% review

Frequency: Randomly

Who: Contracting Officer

Representative in each Homeownership

5.1.4

The Contractor shall conduct a clearance examination and prepare a Clearance

Report which shall provide documentation of the hazard reduction or maintenance activity as well as the results of the clearance examination.

A7 Clearance Examinations Report

a) The Contractor shall provide the

Clearance Report to the FSM within 6 business days of assignment

What: a Clearance Report which shall provide documentation of the hazard reduction or maintenance activity as well as the results of the clearance examination

Deliverables

How: 100% review

Frequency: Randomly

Who: Contracting Officer

Representative in each Homeownership

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 MAJOR 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

ACCEPTED REJECTED

12. CLOSE DATE

Appendix 3 - Customer Complaint Record

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

Appendix 4 - Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

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

1. CONTRACT/TASK ORDER NUMBER 2. CONTRACTOR 3. TYPE OF SERVICES

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

5. COR PHONE 6. SUSPENSE DATE

I. PERFORMANCE

7. DEFICIENCY (CHECK ALL BOXES THAT APPLY)

NEW

REPEAT

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

9. BRIEF DESCRIPTION OF DEFICIENCY (IF DEFICIENCY BOX WAS

CHECKED)

10. DETAILED PERFORMANCE ASSESSMENT

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE CONCUR 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. CONCUR NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS